Persagres PDF

PERSPECTIVES OF AGRICULTURAL
RESEARCH AND DEVELOPMENT
EDITORIAL BOARD
EDITORS
Dr. C. Ramasamy
Vice-Chancellor
Dr. S. Ramanathan
Director of Research
Dr. M. Dhakshinamoorthy
Professor
MEMBERS
Dr. G. Kandasamy
Dr. N. Ragupathi
Dr. N. Natarajan
Professors
DIRECTORATE OF RESEARCH
Tamil Nadu Agricultural University
Coimbatore - 641 003
CORRECT CITATION
Ramasamy, C. Ramanathan, S. and Dhakshinamoorthy, M.

2005. Perspectives of Agricultural Research and Development.
A compilation of articles for centenary Seminar on Recent Advances in
Agricultural Research held on 5.9.2005 at Tamil Nadu Agricultural
University, Coimbatore - 641 003, India.
Published by : Tamil Nadu Agricultural Univesity

India
Compiled and
Edited By : Dr. C. Ramasamy
Dr. S. Ramanathan
Dr. M. Dhakshinamoorthy
Cover Design By : Dr. R. Venkatachalam

Dr. K. Ilamurugu and
Dr. N. Natarajan
Printed at : Sri Sakthi Promotional Litho Process

54, Robertson Road
Phone : 0422 - 2450133
Email : [email protected]
FOREWORD
2005 is a landmark year in the history of agricultural education
and research in Tamil Nadu. This year the Agricultural College and
Research Institute, of TNAU Coimbatore celebrates its 100 years of
glorious existence and service. It is a matter of pride that this Agricultural
College is one of the four colleges established by the then Central
Government during the year 1906. However, archival history indicates
that prior to the Agricultural College, an Agricultural School was set up
in Saidapet, Madras as early as 1868 based on the recommendations of
Sir William Denison, the Governor of the then Madras Presidency, this
school was later shifted to become the Agricultural College at
Coimbatore. Another milestone in the development of the college was
with reference to its recognition as a Centre for Post Graduate Education
in 1930 by the Madras University. The AC & RI, Coimbatore which
was later elevated to the position of TNAU in 1971, has lived up to the
expectation that it will be an outstanding centre for education, research
and extension. It is now one of the foremost Agricultural Universities in
India. TNAU has become the epicenter of genetic improvement of the
quality and productivity of a wide range of crop plants. TNAU can now
look back with pride and satisfaction on its contributions to agricultural
education, research and development which have helped the farmers of
the state being identified as most progressive in this part of the country.
On this occasion of the centenary year of the AC & RI,

Coimbatore, it was proposed to organize a seminar on “Recent Advances
in Agricultural Research” by inviting scientific papers from eminent
scientists in India and abroad. These scientific papers have highlighted
the recent advances in the field of education, research management
and evaluation, socio economic issues, biotechnology and crop breeding,
soil and crop management, horticulture, forestry and agricultural
engineering. These scientific papers have been compiled in the form of
a book. This book may serve as a useful document not only to scientists
in India but also in other parts of the globe. It may also serve as an
informative compendium for the agricultural students too.
August 30, 2005

Coimbatore - 641 003 (C. RAMASAMY)
CONTENTS
Sl.No Pg. No.
1. Agricultural Research and Education:

100 years later
M.S.SWAMINATHAN 1-11
2. Search New Genes to augment Agricultural

Productivity, Profitability and Resource Use
Efficiency
MANGALA RAI 12-18
3. From food security to market driven growth in

Indian Agriculture: Implications to Agricutural Policy
PETER B.R. HAZELL 19-34
4. Challenges to Indian Agriculture in a Liberalized

Trade Economy : Implications for Crop
Diversification and Rural Poverty
C.RAMASAMY and K.N.SELVARAJ 35-67
5. Designing Agricultural Research for

Development with Human Face
K.V.RAMAN 68-78
6. Emerging issues in management of Agricultural

Research in the Changing Global Perspective
R.K. SAMANTA and BHARAT S.SONTAKKI 79-95
7. Avenues for achieving sustainable soil productivity

and food security
A. SUBBA RAO and D. DAMODAR REDDY 96-126
8. Emerging trends in Agricultural Extension

B.S.HANSRA, PREVLATA SINGH
and JOGENDER SINGH 127-136
9. Performance - Oriented Evaluation System for

Public Sector Research Organizations in Agriculture
T. BALAGURU 137-152
10. Gloabalization, new technologies and rice
livehood - What about rural women?
REVATHI BALAKRISHNAN 153-167
11. Agricultural Education : Historical Perspective

J.C. KATYAL and H.S. NAINAWATEE 168-173
12. Experience of Teaching Sustainable Development

to Business and Engineering Students in Mexico
MARIO CARRANZA and ILANGOVAN KUPUSAMY 174-181
13. Plant Breeding : Translation, Transgression or

Transformation?
V. ARUNACHALAM 182-196
14. Para-nodulation of non-nitrogen fixing plants

C.T. WHEELER, G.L. MARK, J. MILNE
and J.E. HOOKER 197-204
15. Dynamics and remediation of heavy metals in

contaminated soils
N.S. BOLAN, S. MAHIMAIRAJA and D.C. ADRIANO 205-252
16. Application of weather forecast for different sectors

L.S. RATHORE 253-265
17. Pottassium, an integral part for sustained soil

fertility and efficient crop production
PATRICIA IMAS and HILLEL MAGEN 266-281
18. Changing face of soil fertility and

nutrient management
K.N. TIWARI and T. NAGENDRA RAO 282-317
19. SSNM for rice : Progress and Opportunities

for Tamil Nadu
ROLAND J. BURESH, S. RAMANATHAN,
B. CHANDRASEKARAN, T.JAYARAJ, R.RAJENDRAN,
CHRISTIAN WITT, P. STALIN and K. VALLIAPPAN 318-342
20. Rice farming in Asia: Current status and
emerging challenges and opportunities
V. BALASUBRAMANIAN, M.BELL
and J.A. RICKMAN 343-360
21. Micronutrients Deficiencies in Indian Crops

and their Amelioration
M.V. SINGH 361-398
22. The emergence of ICT as a tool to help farmers:

Reality or myth?
M.A. BELL, D.SHIRES, J. LAPITAN and
V. BALASUBRAMANIAN and A.P. BARCLAY 399-407
23. Emerging Need for Better Extrapolation of

Pestcide Fate Data from Temperate to
Tropical Regions
RAI S. KOOKANA and RIAZ AHMAD 408-425
24. Herbicide Resistant Crops in India - Potential

and Prospects
N.T. YADURAJU and J.S. MISHRA 426-433
25. Enhancing Food Safety : Prevention of Preharvest

AflatoxinContamination
KANNIAH RAJASEKARAN, DEEPAK
BHATNAGAR, ROBERT BROWN,
ZHI YUAN CHEN, JEFFREY W. CARY
and THOMAS, E. CLEVELAND 434-467
26. A genomic approach to toxocology in the model organism

Caenorthabditis elegans
KOICHI HASEGAWA, SATSUKI MIWA
and JOTHI MIWA 468-481
27. Pioneering contributions on the role of resistance

genes, transgenes and bacterial biocontrol agents
for the management of rice diseases
SAMUEL GNANAMANICKAM 482-501
28. Inducing Resistance in plants to Diseases
incited by Microbial Pathogens
P. NARAYANASAMY 502-523
29. Uncommom opportunities for Plant Pathology

S. NAGARAJAN and T.R. SHARMA 524-540
30. Designing Vegetables with Improved Nutrition.

S.SHANMUGA SUNDARAM 541-561
31. New vistas in improving the productivity and

utilization of tropical tuber crops
S. EDISON 562-583
32. Role of Forestry Research in Poverty

Alleviation - Tamil Nadu
G. KUMARAVELU 584-603
33. Emerging Food Technologies - A Review of Major

Developments
R. PAUL SINGH 604-621
34. Post harvest technology in the food system

G.S.V. RAGHAVAN 622-659
35. Conversion of biofuels to a high grade power

utilization
YOHANNES KIROS 660-668
36. Emerging post harvest technologies and

value addition in rice
A. DAKSHINAMURTHY 669-675
AGRICULTURAL RESEARCH AND
EDUCATION : 100 YEARS LATER
M.S. Swaminathan
Chairman National Commission on Farmers
2005 is a significant year in the history of Indias agricultural
research and education, since this year marks the centenary of the
birth of organized institutions for agricultural research and higher
education in the country. The Indian Agricultural Research Institute,
was established at Pusa in Bihar in 1905. Steps were also taken
during 1905 to establish Agricultural Colleges at Coimbatore, Nagpur,
Kanpur, Pune and Lyalpur (now Faislabad in Pakistan). All these
Colleges have since become Agricultural Universities. While
inaugurating IARI at Pusa, Bihar, in 1905, Lord Curzon, the then
Viceroy of India, referred to farming as Indias greatest living industry.
He also emphasized that agricultural education, particularly in villages
should begin in schools. The Indian Council of Agricultural Research
was established in 1929 on the basis of a recommendation of the
Royal Commission on Agriculture headed by Lord Linthgow.
The Royal Commission emphasized the critical role of research
in fostering sustainable advances in agricultural production in the
following words:
However efficient the organization which is built up for
demonstration and propaganda be, unless that organization is
based on the solid foundations provided by research, it is merely
a house built on sand.
In the light of these remarks, it will be useful to first look at the
current agricultural scenario emerging from the mid-term evaluation
undertaken by the Union Planning Commission on our agricultural
progress during the Tenth Five Year Plan period.
Current Agricultural Scenario: Assessment by Union Planning
Commission
1. Growth Rate
• GDP growth in agriculture and allied sectors during the first
three years of the Tenth Plan averages only 1 percent
per annum, in contrast to the Tenth Plan target of 4
percent.
1
• The share of agriculture and allied sectors was 3.9% of the
total Tenth Plan outlay, as against 4.9% in the Ninth Plan.
The total share of agriculture, irrigation and rural development
stood reduced from 20.1% in the Ninth Plan to 18.7% in the
Tenth Plan.
• Tenth Plan expenditure of the Ministry of Agriculture during
2002-03 and 2003-04 was 27% of the total Tenth Plan
outplay.
2. National Accounts
• Growth rates of livestock and crop output have averaged
about 3.6% and 1.1% per annum respectively after 1996-
97, down from 4.5% to 3.1% during 1980-97.
• Within the crop sector, only fruits and vegetables grew at
over 2.5% per annum. The output of remaining crops
fell below 0.5% per annum after 1996-97 as compared to
over 3% earlier.
• Growth of input use in agriculture decelerated after 1996-
97, to about 2% per annum from over 2.5% during 1980-97.
• After 1997-98, output prices began to fall relative to input
prices.
• Part of the deceleration in agricultural growth can therefore
to attributed to lower profitability leading to a slow increase
in input use. Growth of input productivity became
negligible after 1996-97.
• During 1997-2002, agricultural prices declined relative to
prices not only of inputs but also non-food consumer
goods. Purchasing power of agriculture incomes decelerated
more than GDP at constant prices. Real farm incomes
showed no per capita growth after 1996-97.
• Real per capita food consumption declined after 1998-99,
despite fall in relative food prices. Per capita consumption
declined absolutely in case of cereals, pulses and edible
oils. The growth rate in the consumption of fruits, vegetables
and milk also declined,
• Input use and productivity growth decelerated from the 9th
Plan onwards. This was accompanied by low demand
growth and higher farm income variability.
2
3. Crop Production
• The Tenth Plan foodgrains target is 230 million tones in
2006-07. The production was 212.9 million tones in 2001-
02 and since then it has been declining.
• Trend of rice and wheat production was less than population
growth by the end of the 9th Plan. Yield growth throughout
the 1990s was about 1% per annum, as against 3%
during the 1980s. Large exports at below domestic prices
and subsequent poor monsoons have now reduced the
stocks to a low level.
• Yield growth in coarse cereals was about 2% per annum
throughout the 1990s mainly because of maize.
• A Technology Mission in Pulses has been in existence since
the early 1990s. Pulses yields have stagnated and the area
under cultivation has also shrunk. A sharp increase in
imports of pulses has further reduced incentives for
home production.
• Oil Seeds Technology Mission started in 1986. There was a
substantial expansion of area, yield and production till the
mid 1990s. The production went up to 24.4 million tones in
1996-97. The production was 25.1 million tones in 2003-04
but growth continues to be negligible.
• Imports of edible oils, was less than 10% of domestic
production till 1994-95. Now the volume of imports equals
domestic production.
• There is an urgent need to review the work of the
Technology Mission on Oilseeds and Pulses, since the
mission mode approach to project formulation and
implementation should yield the anticipated outputs.
• Cotton Production has been good during 2004-05, but yield
and quality are still poor. The Technology Mission on Cotton
needs to promote a symphony approach, linking the cotton
producers and the textile industry in a symbiotic manner.
• Sugarcane yield has been either stagnating or declining -
recovery of sugar from cane has not increased.
3
• In fruits and vegetables, there has been no increase in
yield. Vegetable yields are declining. Output increase in
entirely through area expansion. The National
Horticulture Mission will have to concentrate on
increasing yield and quality. Post-harvest processing and
management need urgent attention. The National
Horticulture Board needs careful restructuring and
revitalization.
4. Livestock and Fish Production
• Milk and egg production has decelerated. There is however

an increase in the number of crossbred cattle and poultry
since 1997. Feed, Fodder and marketing need attention.
• Fish production is growing at a rate of 4% p.a. and the
production was 6.4 million tones in 2003-04.
5. Overall Trends
• Almost every sector experienced lower growth after 1996-
97. Even in the excellent monsoon year of 2003-04, per
capita output was less, except in horticulture.
• Food consumption has stagnated since the beginning of
the 9th Plan. National Accounts data show that real per capita
consumption of cereals, pulses, edible oils, sugar, milk,
fruits and vegetables was lower in 2003-04 than in 1998-99.
• Overall employment growth has been very slow. Real
agricultural incomes have been stagnating or declining.
• Agriculture will progress only if demand (both home
consumption and export) increases. Consumption should
be increased through both nutrition intervention programmes
and through accelerated non-farm employment.
• Cost of production should be reduced through enhanced
factor productivity. The average fertilizer response of food
grain output to NPK fertilization works out to 7.8 kg grain
per kg NPK. This is a very low return. How can we become
globally competitive if our factor productivity is both low
and declining?
4
• Imports of pulses and oilseeds are growing. Import of pulses,
which used to vary in the range of 3 to 6 lakh tonnes in the
1990s surged to over 2 million tones in 2001-02 and has
remained at that level since then. Imports of edible oils
increased from 1 million tonne in 1995-96 to over 4 million
tonnes in 1999-2000. It is now ranging in the order of 4.2 to
5.3 million tones per year accounting for about half of
domestic consumption.
• Sustainability of food production is threatened by depletion
and pollution of the aquifer, soil health degradation, failure
of research, extension and input supply systems and
declining investment in the farm sector. In addition to being
a gamble in the monsoon, farming is becoming increasingly
a gamble in the market. The fatigue of the green revolution
is due to both ecological damage and technology fatigue.
• India today has the largest number of undernourished
children, women and men in the world. Maternal and foetal
undernutrition is resulting in low birth weight babies. Such
LBW children are handicapped at birth in brain development,
the crudest form of inequity. Yet, we often hear glib talks
about India becoming a Knowledge Superpower. Unless
there is widespread realization among political leaders and
policy makers that we are on the threshold of an
unprecedented human tragedy, we will have to revert once
again to the begging bowl phase of our agricultural
evolution. Also, where hunger rules, peace will not prevail.
New Deal for Rural India
Pledging the commitment of the Government of India to providing
a New Deal for Rual India, Prime Minister Manmohan Singh, a
distinguished Fellow of our Academy said, We want India to shine,
but India must shine for all.
The steps taken to implement this commitment include the
following:
• Reversing the declining trend in investment in agriculture
• 30% of increase in credit flow to farmers
• Increasing public investment in irrigation and wasteland
development
5
• Increasing funds for agricultural research and extension by
almost 40%
• Creating a single market for agricultural produce
• Investing in rural healthcare and education
• Investing in rural electrification ,
• Investing in rural roads
• Setting up commodities futures markets
• Insuring against risk in farming and rural business
Mission 2007: Hunger-Free India
We now have the necessary political economic, and
technological capability and social infrastructure for making a major
effort to eradicate poverty induced endemic hunger by 15 August
2007, which marks the 60th Anniversary of our Independence.
The following are the major components of the Food for All
Movement :
1. Restructure the delivery systems relating to all nutrition
support programmes on a life cycle basis, starting with
pregnant women and 0-2 infants and ending with old and
infirm persons. An illustrative list of the programmes which
will benefit from a life-cycle based delivery system is in
Table 1.
Table 1. Current Status of Interventions
S.No Stage of Life Cycle Intervention / Action
1. Pregnant Mothers Food for Nutrition to avoid maternal and

foetal mal- and under-nutrition resulting in
LBW children
2. Nursing Mothers Support needed for breast feeding,
for at least six months
3. Infants (0-2 years) Not being reached by ICDS
4. Pre-School Children(2-6 years) Integrated Child Development Services
5. Youth going to School(6-18 Noon Meal Programme
years)
6. Youth out of School Not being attended to
7. Adults (18-60 years) Food for Eco-Development
(Sampoorn Gramin Rozgar Yojana),
PDS, TPDS, Antyodaya Anna Yojana
8. Old & Infirm Persons Annapoorna and Food for Nutrition
Programmes
9. Emergencies Food during natural calamities
6
2. Promote community food security systems based on an
integrated attention to conservation, cultivation and
consumption.
Gene Bank Seed Bank Water Bank Grain Bank
This programme should be based on the principle store grain
and water everywhere.
The Community Grain / Food Bank system will help to widen
the food security base by including a wide range of millets, grain
legumes and tubers.
3. Promote the growth of community water security systems
based on a 5-pronged strategy consisting of:
• Augment supplies through mandatory water harvesting and
conservation
• Curtail demand by eliminating all sources of unsustainable
use of water and promoting more crop per drop
methodologies of crop cultivation
• Harness new technologies relating to improving domestic
water use efficiency,de-salination of sea water, breeding of
drought and salinity tolerant crop varieties,bioremediation,
etc.
• Promote seawater farming through integrated agro-forestry
and aquaculture production systems in coastal areas.
• Pay attention to water quality. The quality of drinking water
is deteriorating due to pesticide and bacterial contamination
in ground water. As much attention should be paid to the
improvement of drinking water quality,as to the augmentation
of water supplies. Bioremediation techniques will have to
be used for removing arsenic and heavy metals from tube
well water.
4. Eradicate hidden hunger caused by micro-nutrient
deficiencies based on natural food cum food fortification
approaches. For example, salt fortified with iron, iodine,
minerals and vitamins, coupled with the consumption of
beta-carotene rich sweet potato or vegetables will be very
helpful to fight hidden hunger. Nutritious biscuits can also
be made by local self-help groups.Nutritional literacy should
be promoted at the school level.
7
5. New Deal for the Self-employed
The unemployment rate on current daily status was about 9.21
percent (34.85 million) in 2001-02 in rural areas. Unemployment
among rural youth increased from 9 percent in 1993-94 to 11.10 per
cent among males and 10.60 percent among females in 1999-2000.
Rural employment grew at 0.67% and agricultural employment
at 0.02% during 1999-2000. According to the 55th round of survey of
NSSO the share of self-employed in 1999-2000 was about 53%.
The share of self-employed in total employment, 58% (133 to 134
million) was in the primary sector, i.e., agriculture and allied activities.
Detailed analysis of the causes of food insecurity in rural and
urban India have revealed that inadequate purchasing power due to
lack of job/livelihood opportunities is now the primary cause of
endemic or chronic hunger in the country. Since opportunities for
employment in the organized sector are dwindling, we have to create
a policy environment which enlarges opportunities for remunerative
self-emplovment in rural India in order to avoid an era of jobless
economic growth.
Agriculture, comprising crop and animal husbandry, fisheries,
forestry and agro-forestry and agro-processing is the largest private
sector industry in India, providing livelihood opportunities for over
600 million women and men. There is need to intensify efforts to
create more opportunities for gainful livelihood opportunities in the
farm and non-farm sectors.
The menu of income earning opportunities for the self-employed
needs to be enlarged. NCF has already recommended that all the
existing Krishi Vigyan Kendras (KVKs) should be provided with a
post-harvest technology wing. In addition, there is an urgent need
for atleast 50 SHG capacity building and mentoring centers in
every State, to enhance the management and marketing capacities
of Members of the Self-help Groups (SHGs). Such centers can be
established in existing institutions like Agricultural, Rural and
Womens Universities, IITs, institutions operated by NGOs, etc.
Village Knowledge Centres can provide SHGs with e-commerce
facilities. Accounting software will have to be introduced. SHGs will
be sustainable in the longer term only if they have backward linkages
with technology and credit, and forward linkages with management
and marketing. Sustainable Self-help Groups (SSHGs) will emerge
only if we build the capacity of the key members (both women and
men of SHGs). The SHG Capacity Building and Mentoring Centres
may be financially supported by the Union Ministry of Rural
Development. This will be an essential component of the New Deal
for the Self-employed.
8
6. Enhancing the Productivity of Small Holdings
Nearly 80% of the land holdings are below 2 ha in size. Unlike
in industrialized countries where only 2 to 4% of the population depend
upon farming for their work and income security, agriculture is the
backbone of the livelihood security system for 2/3 of Indias
population. Therefore, farmers constitute the largest proportion
of consumers. The smaller the farm, the greater is the need for
marketable surplus in order to get cash income. Hence, improving
small farm.productivity, as a single development strategy, can
make the greatest contribution to the elimination of hunger and
poverty.
Indian soils are both hungry and thirsty. Hence, soil health
enhancement and irrigation water supply and management hold the
key to the enhancement of small farm productivity. The following
steps are urgently needed.
• National network of advanced soil testing laboratories with
facilities for the detection of micro-nutrient deficiencies. As
a single agronomic intervention, supply of the needed
micronutrients in the soil has the greatest impact on
increasing yield. Hidden hunger is as widespread in soils,
as in humanbeings. In fact, the two have causal
relationships.
• Million Wells Recharge Programme
• Restoring Water bodies and promoting mandatory water
harvesting.
• Establishment of 50,000 Farm Schools to promote farmer
to farmer learning.
• Organisation of Small Farmers Horticulture, Cotton, Poultry
and other Estates, to promote group farming and to confer
the power of scale to small producers both at the production
and post-harvest phases of farming.
7. Proactive Advice on Land and Water Use
Farming is becoming a gamble both in the monsoon and the
market. Farmers urgently need proactive advice on land and water
use. Land use decisions are also water use decisions. (Figure) The
Every Village a Knowledge Centre Movement will help to give farmers
dynamic advice on meteorological and marketing conditions.
9
In addition to dynamic advice, farmers also need proactive
advice on land and water use. For this purpose, State Land Use
Boards should be restructured, retooled and reactivated on the lines
indicated in Fig. This is a task of the utmost priority.
Fig : Proactive Advice on Land use
(Land use decisions are also water use decisions)
State Land Use Board
(to be located in an Agricultural University)
Integrated advice
Meteorological Ecological Factors Marketing

Factors Factors
(Home and external
markets)
8. Designing and introducing a Food Guarantee Act
We have over a century of experience in organizing relief works
(under the provisions of the Famine code in he Colonial Period) and
Food for Work programmes. It is clear that our agriculture has reached
a stage when farmers will grow more only if we can consume more.
Hence, a National Food Guarantee Act, combining the features of
the Food for Work and Employment Guarantee Programmes, will
represent a win-win situation both for producers and consumers.
Women, in particular, prefer a combination of grains and cash as
wage, provided the food grains are of good quality.
National Food Guarantee Act should lead to a decentralized
network of grain storage structures and would help to prevent panic
purchase of food grains during periods of drought or flood. They will
also help to prevent distress sales by producers at the time of harvest.
In addition, it will help to enlarge the composition of the food security
basket.
Brazil, Kenya and a few other countries have announced, Zero
Hunger programmes. India can take the lead to give meaning and
content to the zero hunger concept by developing a National Food
Guarantee Act.
10
On the occasion of the Centenary of the Coimbatore Agricultural
College, the mother of TNAU, let us resolve to work for reversing
the agricultural decline and eliminating under and malnutrition from
our country.
The Land Use Board through a virtual college should give
proactive advice on the choice of crops and farming systems, so as
to achieve a match between demand and supply in farm commodities
and to ensure that the most efficient crops are grown in different
agro-climatic and agro-ecological regions.
11
SEARCH NEW GENES TO AUGMENT
AGRICULTURAL PRODUCTIVITY,
PROFITABILITY AND RESOURCE USE
EFFICIENCY
Mangala Rai
Secretary, (DARE) & Director General, I.C.A.R.Krishi Bhawan,
New Delhi
The success story Indias Green Revolution is well established
and owes much to the introduction and adaptation of genetically
improved varieties of rice and wheat. The discovery and successful
transfer of dwarfing genes in wheat and rice had opened a new
chapter in the history of global agriculture. The new varieties resulted
in a multifold increase in foodgrain production; saved millions of
lives from starvation; provided sustainability to national food security;
and above all, earned pride for the nation. A major battle against
hunger was thus won but the war continues.
The projections indicate that our population will be 1.5 billion
by 2050. Rising population and per capita income are obviously
pushing up the food demand, which needs to be met through
enhanced productivity per unit area, input, time and energy. At the
same time, issues of decreasing factor productivity and need for
improving resource use efficiency have emerged. If we have to
compete in terms of cost and quality globally, conservation and
judicious utilization of prime natural resources in general and genetic
resources in particular will be crucial for competitive growth and
sustainability of the system.
India fortunately is endowed with a wide range of agro-climatic
conditions extending from wettest areas in the east to extremely
arid areas in the west and temperate climate in the north to humid
and coastal areas in the south. The rainy seasons coincide with the
life cycle of chief agricultural crops. There also exist wide range of
soils, which support even more diverse range of life forms - floral,
faunal and microbial, which has placed India among the 12 mega-
centres of biodiversity in the world. There are about 45,000 species
of higher plants. The number of endemic species is estimated to be
close to 3470 in Himalayas, 2000 in peninsular India and 240 in the
Andaman and Nicobar Islands. It is reported that the Indian gene
centre has about 4000 species of medicinal value, 500 fibre yielding
species, 100 aromatic and essential oil yielding species, and 400
fodder yielding species. The Western Ghats and the northeastern
India are also two of the 25 hotspots of biodiversity in the world.
12
Besides the plant species about 114 breeds of domesticated
animals are also found here.
The quest for new genes is closely linked to the 10,000 years
long history of agriculture. Over the years, nature has brought about
hybridization among the closely related as well as some of the
distantly related species. The development of tetraploid and
hexaploid wheat are well known examples of such hybridization. In
case of rice only two species i.e Oryza sativa and O. glaberrima are
pre-dominantly cultivated but their wild and uncultivated species
continue to be the source of genes for improved rice varieties. The
gene (Gsv 1) in rice for resistance to grassy stunt virus was
transferred from O.nivara, likewise O. officinalis was the source for
the genes to develop resistance to brown plant hopper and white-
backed plant hopper. Other important genes introgressed from wild
species of rice into the cultivated species include genes for tolerance
to drought from O. glabeerrima, resistance to rice tungro virus from
O. latifolia, and traits of CMS, resistance to drought and high yield
coming from O.rufipogon, and resistance to Yellow stem borer (YSB)
being introgressed from O. ridleyi.
Wheat is the other most important staple cereal alongwith rice
and probably the earliest cultivated. The genes transgressed in wheat
for resistance to black rust and brown rust has come from Aegilops
speltoids and A. elongatum. The research efforts directed towards
achieving wheat varieties with higher yield potential, improved
nutritional quality, biotic and abiotic resistance have resulted in overall
enhancement of wheat germplasm. Similarly, introgression of genes
from two close wild relatives of maize, Tripsacum and Zea mexicana,
have resulted in higher yields in maize. The nobilization of cane is
well-established case of varietal improvement by harnessing the
plant genetic resources. Practically every cultivated crop, field or
horticultural, has got some useful quality traits through intergeneric
or interspecific crossing.
The Council has accorded high priority to collection, evaluation,
characterization, conservation and utilization of genetic resources
and in this endeavour has established National Bureau of Plant
Genetic Resources at New Delhi, National Bureau of Animal Genetic
resources, Karnal, National Bureau of Fish Genetic Resources at
Lucknow and National Bureau of Agriculturally Important
Microorganisms at Mau. The NBAIM will help in understanding and
conserving our national heritage of micro-organisms, which have
not been understood and conserved so far and provide good
opportunities for isolating and utilizing genes for conventional and
unforeseen products of high environmental and agricultural values.
13
There is a little doubt that to sustain the productivity and
production achieved through conventional means; to meet new,
diverse and complex challenges that lie ahead of us and also to
avail the technological breakthroughs that are now available for
commercial use, so as to maintain comfortable position on food and
nutritional fronts, agricultural research priorities and strategies will
have to be revisited and new system wide system approaches will
have to be developed and adopted. We will have to look for newer
genes, methodologies to transfer them across the living organisms
and at a much faster rate so that the variety or breed developed with
the required new trait in the already well adapted background can be
transferred to the field without much loss of precious time.
The Green Revolution of 1960s rallied around the input
responsive, high yielding varieties grown in the early phase under
near monocultures in traditionally agricultural and fertile areas. Since
then, there has been significant resource degradation, culminating
in further production constraints. To meet these new challenges, it
will be more rewarding if the power of hitherto untapped genes is
harnessed against such constraints as the resource degradation
and pest-weed complexes, etc. Hence, the need is to produce crops
with high input use efficiency, improvement in nutritional quality,
and stability in storage. At the same time, focus will have to be
made on the incorporation of traits like tolerance to various biotic
and abiotic stresses for increasing agricultural productivity and
profitability particularly in the rainfed and marginal environments.
The advent of biotechnology has brought the whole living world
into a common gene pool and has enabled us to realize free flow of
genes across the biological world.Biotechnology offers several
advantages over classical breeding, in terms of precision, reducing
technology gestation period, and gene transfer for specific traits
even from the unrelated organisms. In the context of a holistic
agricultural development and ensuring household food security, role
of biotechnology is going to be much more important than ever before.
Bioprospecting will have to essentially lay the foundation for effective
mining and transfer of genes for specific traits. Saving on precious
time and even resources is likely to become an added advantage in
the changed scenario. Potential benefits could be in form of
development of crops species and animal breeds that are more
resistant to biotic and abiotic stresses, possess enhanced nutritional
level, enhanced shelf-life of farm produce, and efficient conversion
of organic waste into biofuels, etc. However, the further challenge is
to characterize some focused genes from the documented sequences
and harness the much-needed genes for traits like tolerance to
drought, salinity, heat and cold etc., for effective use of the research
results.
14
Application of genetic power in hybrid technology development
is yet another area that is sure to give productive outcome. Since
conventional hybrid breeding methods have certain limitations,
biotechnological tools will have to be employed for hybridization to
achieve the targetted genetic improvement through facilitated use
of desirable genes across plants, animals, fish and microorganisms.
Microorganisms in the rhizosphere are known to be synergistic
to crops since long. These have been essentially seen as the
sustainability supporting components of traditional/biodynamic/
organic agriculture in the conventional mode. Most of the chemical
reactions that take place in the soil, leading to increased availability
of several major and micronutrients, often have active contribution
of microbes. The nitrogen-fixing bacteria, blue green algae, and
phosphate solublizing bacteria are already well known to enhance
availability of major nutritional elements like N and P to plants whereas
the decomposer bacteria are instrumental for recycling and thereby
increasing the availability of Carbon and several micronutrients from
plant residues to soil.
But with the developments in genomics and gene transfer through
biotechnology, their relevance and role has further increased
manifolds. The agriculturally important microbes are increasingly
seen to be much more dynamic and focused gene resource for
developing transgenics to increase productivity and quality, and
incorporating resistance to biotic/abiotic stress factors in the plants
and livestock. The countless microorganisms of agricultural
importance hail from several taxa, such as, bacteria, actinomycetes,
blue green algae (BGA), fungi, including vesicular arbuscular
mycorrhizae (VAM), and viruses. They thrive in a variety of habitats/
systems including soils, living body systems and dead/decayed
matter, marine, snow bound mountains and desert systems, polluted
land and water bodies, etc. Their genetic factors underlying the
differential adaptability to such diverse habitats/systems indicate
invaluable treasure of genes for the benefit of agriculture. The sectoral
importance of microorganisms in agriculture has also increased with
the integration of agriculture, intellectual property and services with
the world trade agreement. Research efforts have to be essentially
focused on prospecting and mining of the microbial genetic potential
for use in crop and animal improvement. The world is keenly looking
forward to harness the genic power from microorganisms through
the rapid development of their institutional capacity through building
up of the state of art laboratories, biosafety and other regulatory
mechanisms, and human resource development.
15
The first transgenic plants engineered for insect resistance in
cotton, corn and soybean were released for commercial cultivation
in 1996. In less than a decade (1996 to 2004), area under biotech
crops has increased more than 47 times globally, from 1.7 million
hectares in 1996 to 81.0 million hectares in 17 countries in 2004.
There has been noticeable growth in four commercialized biotech
crops viz. soybean, maize, cotton and canola. Among these GM
crops, soybean occupied 48.4 million hectares, maize 19.3 million
hectares, cotton 9.0 million hectares and canola 4.3 million hectares.
Other bio-engineered crops include Potato, Squash and Papaya and
many more at the research scale, and the key traits bio-engineered
are herbicide tolerance, insect resistance, etc. The developing
countries have also adopted GM crops and their area is increasing
steadily. The available indications are that in coming years in addition
to the agronomic traits, transgenic plants will predominantly address
the aspects such as improvement of product quality involving
proteins, fats, carbohydrates and important nutrients such as vitamins,
minerals etc. Also, transgenic plants are going to be most sought
after bioreactors for producing edible vaccines, antibodies,
bioplastics, highly saturated oils for industrial use, pharmaceuticals
and a number of other metabolic products/byproducts of economic
importance.
The issues of bio-safety and environmental safety need to be
addressed along with the promotion of biotechnological applications
in agriculture. Every human activity has some or the other inherent
risks. Nevertheless, it is in the interest of a better future of our
coming generations that the positive side of transgenics and other
GM technology is rationally harnessed. We need to be more
scientifically equipped so as to make sensible decisions.
The enhancement of IPRs under the TRIPS Agreement has
keenly affected the area domain of scientific innovations, including
the biotechnological inventions. The bioprospecting, mining and the
application of genetic power in agricultural research are surely to be
influenced by the capacity and skill to manage the IPRs. The
international understanding has been firmed up around two basic
issues i.e. protection of intellectual property for exclusive use, and
benefit sharing on the principles of equity. The TRIPS Agreement
and the CBD have addressed these issues and both provide the
16
legally binding requirements. Yet there are some gaps, which
need to be determined and bridged. The 10-year transition period for
the implementation of TRIPS provision, which was over by 1.1.2005,
appears to have been too short for the developing countries to
institutionalize the whole processes so as to provide a level playing
field to the international players. Interdependence of countries for
genetic resources for food and agriculture will continue, and the
genetic power must be harnessed by the innovating scientists across
the world for the global community as a whole. In relation to
harnessing public good from an IPR protected technology, the IPR
laws already provide the mechanism of compulsory licensing. Much
more needs to be done to generate public good in commodities
having low commercial interest, but which are vital for food security
and system sustainability.
Particular concerns, especially in the public sector research
system are:
l How the whole system is to be fine-tuned in the system wide
system perspective?
l How IPR portfolio is to be managed ?
l How the dissemination of research findings is going to take
shape?
l How the biosafety and environmental safety concerns will be
timely addressed to ?
l How the knowledge base can be used and shared with the
scientific fraternity, the academia, the industry, the farmers, the
end-users, and the public at large?
l How gene power through biotechnological applications in
agriculture can be acclimatized to a level where it eventually
becomes a way of life?
l How the vast genetic variability could be sampled and utilized ?
There is a need for every scientist to familiarize with the techno-
legal requirements of IPR protection and benefit sharing, for example,
entering into MOUs, MTAs, Benefit Sharing Agreements, Licensing
contracts, Transfer of Technology or Know-how Agreements, Secrecy
Agreements, etc. It is important to reveal the IPR related know-
how only in an appropriate manner and at an appropriate time. Holding
17
of IPR titles, both quantitatively and qualitatively is a matter of pride,
no doubt. But, more important is as to how we are going to
disseminate the protected technologies for the cause of enhancing
food security as well as the household nutritional security? In this
endeavour biotechnology and IPR are going to be far more important
for shaping the course of harnessing gene power and we must cope
up with the developments in both areas simultaneously.
The search, characterization, isolation and utilisation of new
genes from across the taxa for imparting desirable traits in crop and
livestock species will remain at the core for the success of any
efforts to enhance farm productivity. Natural and farm biodiversity
needs to be explored as an essential prerequisite in search for new
genes and equally important is to conserve it for the posterity. We
need to intensify the search for new genes and harness the genic
power to enhance agricultural productivity, profitability and resource
use efficiency for developing a prosperous India.
18
FROM FOOD SECURITY TO MARKET-DRIVEN
GROWTH IN INDIAN AGRICULTURE :
IMPLICATIONS FOR AGRICULTURAL POLICY
Peter B. R. Hazell1
International Food Policy Research Institute
INTRODUCTION
India has experienced a remarkable transition in recent decades,
from food deficits in the 1960s to national food surpluses today.
This has been accompanied by an equally dramatic reduction in
poverty; from about 60% of the population in the 1960s to about
25% today. India seems finally to have beaten her national food
problem and now producers more than enough food for all. But even
as one battle has been won the agricultural sector is challenged by
continuing high rural poverty levels, a rapidly changing market
situation, and serious environmental problems that require a
significant response if rural areas are to continue to prosper.
The very success of solving the national food problem means
that market opportunities for further growth in food staples are now
limited. Growth in domestic demand for food staples is now flat and
India faces limited export opportunities for these crops. While there
are still far too many Indians who do not get enough to eat, solving
this problem now requires solutions that raise the incomes of the
poor, not solutions that simply produce more food. Given these
limited market prospects for food staples and declining world and
domestic prices, further increases in farm incomes will have to come
from diversification into higher value crop, livestock and processing
activities. Fortunately, the improved performance of the national
economy in recent years has raised living standards for many, and
demand for higher value foods (fruits, vegetables, oils, fish, livestock
products, etc.) and processed and pre-cooked foods are growing at
unprecedented rates. Add to this the new export market opportunities
for many of the same products that trade liberalization is bringing
about, and there is a happy match between the demands of the
market and the need for farmers to diversify into higher value
activities. But will these markets expand sufficiently to provide the
levels of income growth needed in the agricultural sector, or will
they too eventually become saturated and constrain further growth?
1
Director, Development Strategy and Governance Division, International
Food Policy Research Institute, Washington DC. The author is grateful to Anuja
Saurkar for assistance with the tables.
19
Agricultures ability to contribute to additional poverty reduction
is also challenged by its declining employment elasticity. The
agricultural sector is no longer creating sufficient jobs or livelihoods
in rural areas to absorb the growing rural labor force or to offer
sufficient pathways out of poverty for the remaining rural poor. The
nonagricultural sector now plays a much larger role in driving the
national economy (agriculture only accounts for 25% of national
GDP) and in creating jobs, but because agriculture employs 60% of
the national work force it still has an important role to play. The rural
work force is projected to grow at about 1.33% per year until 2020
and the numbers of small farms and near landless also seem destined
to keep growing. Agricultures role in creating jobs and reducing
poverty is especially important in many of the more backward regions
that missed out on the Green Revolution. But is there sufficient
growth potential for productive employment in the agricultural sector?
A third challenge will be overcoming many of the environmental
problems that now plague agriculture. Water scarcities will continue
to grow and farmers must learn to use less water and to be less
polluting. Land degradation and deforestation must also be contained.
Are the needed changes in management practices compatible with
future agricultural growth and continuing increases in land and labor
productivity?
This paper discusses these challenges in more detail and their
implications for the public policies and investments needed if the
agricultural sector is to continue to play a major role in Indias
economic and social development.
The transition from national food shortages to surpluses
Food problems have haunted India since time immemorial. With
few technological breakthroughs to increase yields, the food needs
of a growing population were historically met by expanding the
cultivated and irrigated area. After Independence, food production
barely kept pace with population growth, leading to a fragile balance
between the nations food needs and supplies, particularly in years
of low rainfall. Food imports averaged about 4-5 million tons per
year, but were much higher in drought years. During the severe
droughts of the mid-1960s, food imports reached 10 million tons per
year and many people faced famine. This crisis proved sufficient to
mobilize the Indian government to launch a national food security
strategy as the heart of its agricultural development strategy. The
result was a package of policy reforms, public investments, and
technology development and extension that launched the Green
20
Revolution. This technological revolution began as a wheat-
rice revolution in the main irrigated areas, but soon spread to rainfed
areas relying on supplementary irrigation from tubewells and tanks,
and later to other food crops in rainfed areas.
The Green Revolution made enormous contributions to national
food security. In the early 1960s, India produced about 70 million
tons of foodgrains in a normal rainfall year. This doubled within 20
years and has about tripled today. Rapid growth in agricultural
production led to sizeable increases in rural incomes and savings,
and this helped launch an economic transformation of the national
economy (Mellor, 1976; Rosegrant and Hazell, 2000). By boosting
rural demand for consumer goods and farm inputs and marketing
services, it powerfully stimulated the rural nonfarm economy, which
generated significant new income and employment of its own (Hazell
and Ramasamy, 1991; Rosegrant and Hazell, 2000). The types of
economic growth generated were also beneficial to the poor. Pro-
poor growth was helped by the facts that many small farmers widely
adopted the new technologies, and because more intensive use of
land increased agricultural employment and wages (e.g. Hazell and
Ramasamy, 1991). Moreover, the additional food production helped
keep food prices low, and this was enormously beneficial to poor
people in urban and rural areas alike.
Despite these impressive gains, the green revolution was not
equitable everywhere. It was most equitable in regions where small
farms were major participants, and that required an equitable
distribution of land as well as equitable access to modern farm inputs,
credit and markets (Hazell and Ramasamy, 1991; Rosegrant and
Hazell, 2000). It also bypassed many areas that lacked access to
sufficient water. Evidence suggests that villagers in these regions
did obtain important indirect benefits through increased employment,
migration opportunities, and cheaper food (David and Otsuka, 1994).
Many poorer regions also benefited later from higher yielding varieties
of coarse grains and pulses. But these benefits rarely prevented the
widening of regional income differentials.
Moreover, despite very significant gains to the poor in general,
including the urban poor, from lower food prices, there are still some
250 million Indians living in poverty who do not get enough to eat.
These people do not have the means to buy all the staple foods
they need despite their ready availability in the market. Food security
is now a distribution problem and that requires a different solution
than simply growing more food. It requires a more focused and
targeted effort to raise the incomes of the poor, most of whom are
rural (75%) and reside in rainfed, often backward areas (Fan, Hazell
and Haque, 2000).
21
India now has large surpluses of rice and wheat and to support
declining farm incomes, the government is procuring and storing
grains to shore up farm gate prices. Per capita demand for cereals
declined during the 1990s (Table 1), and with limited exports and a
slowing of population growth, the total value of cereals produced
also declined during the 1990s (by 1.18% per year, Table 2). Even if
poverty were eliminated through a better distribution of income, it
would not add that much to total food staple demand; perhaps about
8 million tons per year (Bhalla and Hazell, 2003). Any significant
growth in domestic cereal demand is more likely to come from
livestock feed, and that means more maize and coarse grains rather
than rice and wheat (Bhalla, Hazell and Kerr, 1999). While India
could be competitive in world markets as an exporter of rice and
wheat, opportunities are restricted by the continuing distortions in
OECD agricultural markets as well as by government policies (Gulati
and Kelley, 1999; Kalirajan et al., 2001).
Table 1. Average per capita consumption, India
(Rupees, constant 2000 prices)
Commodity 1993/4 2001/2 Annual growth rate:
1993/4 2001/2
Cereals and gram 1197 1139 -0.69
(20.81) (15.70)
Pulses 203 215 0.84
(3.53) (2.97)
Edible oils 255 242 -0.70
(4.42) (3.34)
Fruits & nuts 119 139 1.21
(2.07) (1.79)
Vegetables 336 426 3.46
(5.83) (5.87)
Milk and milk products 553 601 1.22
(9.60) (8.29)
Eggs, meat and fish 193 226 2.24
(3.36) (3.11)
Other foods 604 668
(10.49) (9.23)
Total foods 3,459 3647 0.76
(60.11) (50.30)
Nonfoods 2,296 3,604 6.66
(39.89) (49.70)
Total expenditure 1,201 1,383 3.36
Source: NSS data
Figures in parentheses are percent shares in total budget
22
Table 2. Changes in value of Indian Agricultural Output
(Crores Rupees, constant 2000 prices)
Commodity 1991-93 2000-02 Annual growth rate:

1991 2002
Cereals 134,113 131,488 -1.18
(39.0) (32.1)
Pulses 17,693 20,158 0.47
(5.1) (4.9)
Oil crops 52,275 39,278 -3.82
(15.1) (9.6)
Fruits 32,443 45,645 5.84
(9.4) (11.1)
Vegetables 31,160 56,592 5.65
(9.1) (13.8)
Milk 58,459 92,373 4.94
(17.0) (22.6)
Eggs 2,248 4,272 6.00
(0.7) (1.0)
Meat 15,969 19,601 2.98
(4.6) (4.8)
Total 344,361 409,408 1.57
Source: FAO data base
Figures in parentheses are percent shares
With national surpluses and downward pressure on farm gate

prices, it is getting difficult for many farmers to support their families
through production of food staples. The pressure on land is also
increasing, and small farms are becoming more numerous and
smaller in size (Table 3). India has seemingly not yet reached the
point in her economic transformation where the absolute number of
farms and agricultural workers decline, so there is still need to find
ways of increasing both land and labor productivity in agriculture.
New opportunities
In this context, future growth in agricultural income will be
constrained if the country does not move beyond its concerns with
national food self-sufficiency to better exploit its comparative
advantage. This will also be essential if agriculture is to again become
a major contributor to rural employment and poverty reduction.
Fortunately, new growth opportunities for agriculture are arising from
a number of sources:
23
Table 3. Size Distribution of Operational Holdings, All India
Size Category of Number and Percentagea of Total Operational Holdings

Holding (acres) (millions)
Year
1953/54 1961/62 1971-72 1981-82 1991-92
Sub. Marginal 8.74 8.70 12.13 22.69 35.24
(0.01 - 0.99) (19.7) (17.1) (21.3) (32.3) (37.7)
Marginal(1.0 2.49) 8.62 11.14 13.99 16.31 23.45
(19.4) (21.9) (24.5) (23.2) (25.1)
Small (2.5 4.99) 9.25 11.48 12.77 13.72 16.63

(20.9) (22.6) (22.4) (19.5) (17.8)
Medium (5.0 14.99) 12.19 14.09 13.77 13.85 14.74
(27.5) (22.8) (24.1) (19.7) (15.8)
Large (>15.0) 5.56 5.36 4.41 3.68 3.40
(12.5) (10.6) (7.7) (5.2) (3.6)
Number holdings 44.35 50.77 57.07 70.26 93.45
(millions) (100) (100) (100) (100) (100)
a. Percentages are in parentheses

Source: - National Sample Survey on Land HoldingNSS 8th
round, no.36 1954-55: NSS 17th round no. 144 1961-62; NSS 26th
round no. 215 1971-72, NSS 37th round, nos.330 and 331 1982, 48th
round no.388, 1992.
§ Changes in the national diet. With the accelerated national

economic growth achieved in recent years and the rising
affluence of the middle classes, per capita consumption of
livestock products (especially eggs, milk and milk products),
fish, fruits, vegetables, flowers and vegetable oils) has grown
rapidly in recent years (Table 1). This is creating new growth
opportunities for farmers to diversify (even specialize) in
higher value products, especially those farmers who have
ready access to markets, information, inputs and so forth.
It is also accelerating demand for feed grains, especially
maize, which is providing additional opportunities for some
grain farmers.
§ The ongoing national policy reforms are also slowly opening
up export markets for Indian farmers. This, together with
the removal of restrictions on inter-state trade within India,
should enable more farmers to specialize in those crops in
which they have comparative advantage and can best
compete in the market. These opportunities should also
improve if the Doha Round of the world trade negotiations
24
succeeds in freeing up more agricultural markets around the world,
especially in rich countries. Exports of higher value
agricultural products (fresh and processed fruits and
vegetables, meats, and poultry and dairy products) have
grown rapidly in recent years (Table 4), though they still
remain relatively small in total value. In 2002/03, the export
of these commodities was worth Rs. 3,155 crores in 2000
prices, or about 10% of total agricultural exports. This was
up sharply from Rs. 436 crores in 1990/91, equivalent to
3.3% of total agricultural exports at that time.
Table 4. Changes in Indias Agricultural Exports
(Crores Rupees, constant 2000 prices)
Commodity 1990/91 2001/02 - Annual growth
1991/1992 2002/03 rate,
1990/91 to 2002/03 (%)
Pulses NA 334.6 12.95
Cereals 1,349.5 5,552.2 16.96
Poultry and dairy NA 180.7 10.85
Fruits 150.3 908.8 17.48
Vegetables NA 775.0 6.86
Meat 370.0 1,208.1 12.65
Oils 1,738.3 2,273.4 1.54
Spices 603.0 1471.8 9.56
Traditional export 2,089.7 6,313.3 10.96
crops
Total agricultural 13,887 29,724 7.50
exports
Total national 76,674.2 218,232.9 10.62
exports
Note: NA means not available
§ There are also good opportunities for generating greater value

added in agroprocessing, particularly if agroindustry were
liberated from current protective policies and became more
competitive with imports (World Bank, 1999; Gulati and
Kelley, 2000). Oil seeds processing, for example, is still
protected, making domestically produced vegetable oils non-
competitive with imports. Many producers can compete as
growers of vegetable oils, but they are penalized when
competing in the vegetables oils market because their
products have to be processed by a highly inefficient
domestic industry (Gulati and Kelley, 2000).
25
These trends offer significant and growing opportunities for
Indias farmers to move into higher value products that can increase
their returns to land and labor. Growing opportunities for food
processing and retailing also offer significant possibilities for adding
value and employment in rural areas and market towns.
During the 2-year period 2000-02, the output of high value crops
and livestock averaged Rs. 218,483 crores (53% of the total value
of agricultural output), up from Rs. 140,279 crores in 1991-93 (about
40% of total output) (Table 2). This increase (Rs. 78,204 crores)
was equivalent to about Rs 8,232 for every operational holding in
India, or Rs 4576 per hectare of total crop land. These are large
enough numbers to have significantly affected the average farm
income in India. Nearly all of this output was consumed domestically.
Despite recent impressive growth in high value exports, they still
only account for less than 2% of Indias total high value production2.
Projections to year 2020 using IFPRIs global food model
(IMPACT3) suggest future growth rates for high value commodities
in India will fall in the 2-3% range (Table 5). Although more than
double the projected growth in cereals consumption, it nevertheless
implies a significant slowing from the 5-6% per year growth rates
achieved between 1991/3 and 2000/2 (Table 2)4. These projections
may prove conservative if national GDP grows more rapidly than
the 5.8% assumed in the IMPACT model projections, or if there is a
structural shift in consumers preferences that expands per capita
consumption of high value foods4. But otherwise it seems that the
domestic market will progressively become a break on the speed of
growth for high value production. Increased exports offer some hope
of relieving this market constraint, but with a starting point of less
than 2% of the total value of production, even rapid growth in exports
will not add significantly to total national demand for at least another
decade. If these projections are about right then, despite the real
benefits to be reaped from expanding high value agriculture, there is
little basis for any excessive exuberance about their potential to
solve all of Indias rural income problems.
3
The total value of production of fruits, vegetables, milk, eggs and meat
averaged Rs. 218,483 crores in 2000/01 2001/02 (Table 2) while exports of
these commodities averaged Rs. 3,072.6 crores in 2001/02 2002/03 Table 4).
4
IMPACT is the International Model for Policy Analysis of Agricultural
Commodities and Trade developed by Mark Rosegrant and colleagues at IFPRI.
See for example, Rosegrant et al., (2005).
26
Table 5. Projected changes in value of agricultural output, 1997 to 2020
(US$ billion in constant 1997 prices)

Commodity 1997 2020 Annual growth Annual growth
rate (%) rate (%)
1997 2010 1997 2020
Cereals 28.69 36.88 1.60 1.10
(31.8) (25.2)
Oils 4.00 6.78 2.58 2.32
(4.4) (4.6)
Fruits 1.33 2.18 2.30 2.16
(1.5) (1.5)
Vegetables 26.96 44.42 2.57 2.19
(29.9) (30.4)
Milk 20.02 37.92 3.11 2.82
(22.2) (26.0)
Eggs 1.39 2.91 3.80 3.26
(1.5) (2.0)
Meat 7.71 14.98 3.27 2.93
(8.6) (10.3)
Source: IFPRIs IMPACT model
Agricultural growth that is increasingly led by high value crops
and livestock production should increase the employment elasticity
for the sector. During 1973/74 to 1993/94, the sector wide employment
elasticity was about 0.5, but it had fallen to virtually zero by 1993/94
to 1999/2000, largely as a result of more capital intensive farming
(Bhalla and Hazell, 2003).5 High value farming activities can increase
labor use per hectare by a factor of 2 to 3 (Joshi et al., 2003) and
this will make a useful contribution to employment creation. However,
since high value activities only account for a small share of the total
cropped area (e.g. fruits and vegetables accounted for about 10% of
the cropped area in 2002-04, Table 6), one should not expect any
large increase in the employment elasticity for the agricultural sector
Some question the accuracy of the official estimates of fruit and vegetables
4
production over the past decade, suggesting that they may have resulted from a
change in the way the data were collected (Bhalla and Hazell, 2003, footnote 2).
5
Bhalla and Hazell (1999) have suggested that such a structural shift might
occur as per capita incomes rise and as retailing services and advertising improve,
bringing per capita consumption of livestock products more into line with other
Asian countries. At present India consumes far less livestock products per capita
than almost any other country with her level of per capita income.
27
Table 6. Changes in Crop Areas, India (million Hectares)
Commodity 1990-92 2002-04 Annual growth rate

(%):
1991 - 2002
Cereals 100.7 95.9 -0.47
(58.9) (56.1)
Pulses 23.5 22.2 -0.13
(13.7) (13.0)
Oil crops 33.9 35.1 1.38
(19.8) (20.5)
Fruits 2.8 4.1 3.55
(1.6) (2.4)
Vegetables 4.7 6.7 2.81
(2.7) (3.9)
Other crops 5.4 6.9
(3.2) (4.0)
Total 171.0 170.9
Source: FAO data base
as a whole. Additional jobs will be created in marketing,

processing and distribution, but these will need to be very substantial
if the increases in total employment in agriculture and allied activities
are to achieve the scale needed to absorb the growing rural labor
force.
The Transition to High Value Agriculture; what needs to be done?
Successful growth of high value agriculture will require policy
changes that enhance market competitiveness. This requires
appropriate investments in rural infrastructure and technology (roads,
transport, electricity, improved varieties, disease control, etc.) and
improvements in marketing and distribution systems for higher value,
perishable foods (refrigeration, communications, food processing
and storage, regulation of food quality and safety standards, etc).
Trade barriers that protect inefficient domestic agro-industries also
need to be removed. The government should not attempt to provide
many of these key investments and services itself, but rather create
an enabling environment in which the business sector can take up
many of the needed investments and market functions. This will
require changes in government regulations, tax breaks and subsidies
that favor state and cooperative enterprises at the expense of private
firms. It will also require a fundamental shift in thinking about the
changing roles of the private sector and the state.
28
High value agriculture could make important contributions to
income and employment growth in rural India. But left to market
forces alone, such growth is likely to leave many poorer regions and
small farmers behind. It will take pro-active policy interventions to
ensure an equitable outcome.
Smallholder farmers will need to be organized more effectively
for efficient marketing and input supply. While smallholders are
typically more efficient producers of many labor-intensive livestock
and horticultural products, they are at a major disadvantage in the
market place because of a) poor information and marketing contacts,
and b) their smaller volumes of trade (both inputs and outputs) lead
to less favorable prices than larger-scale farmers. Contracting
arrangements with wholesalers and retailers has proved useful in
some contexts, but for the mass of smallholder farmers in India,
farmer associations probably offer the more realistic option. Operation
Flood is a good example of what can be done. This project uses
dairy cooperatives to collect, treat and market milk collected from
millions of small scale producers, including landless laborers, women
and smallholder farms, many of whom produce only 1 or 2 liters per
day. In 1996, Operation Flood reached 9.3 million farmers yet still
accounted for only for 22 percent of all marketed milk in India (Candler
and Kumar, 1998). The Government assists the program through
technical support (e.g. research and extension, veterinary services
and the regulation of milk quality), but otherwise the program is run
by the cooperatives themselves with no direct financial support from
government.
Less Favored Areas
Spreading the benefits of new growth opportunities to less-
favored areas will also require targeted policies and investments.
While many of these areas do not have comparative advantage in
growing foodgrains for market, they could compete in the production
of many high value products (e.g. milk, eggs, fruits and flowers).
These areas will need greater public investment in research,
infrastructure and human development. Indeed, without such
investments, many less-favored areas will lose out even further as
agricultural markets become more liberalized and competitive. They
will become victims of market liberalization, not beneficiaries, with
worsening poverty and environmental degradation.
Does investing in less-favored areas have to mean less growth
per dollar of investment compared to investing that money in high-
potential areas? Few would dispute the possibility of achieving bigger
direct reductions in poverty by investing in less-favored areas, but
29
are there significant tradeoffs against long-term growth and
poverty reduction? IFPRI research on India suggests not. In fact,
many investments in less-favored areas now offer a win-win strategy
for India, giving more growth and less poverty (Fan, Hazell and Haque,
2000). This is not true for all types of investments in all types of
less-favored areas, but for enough that more serious regional
targeting is justified. This is even true for some types of R&D
investments.
Environmental Issues
The green revolution played a key role in achieving national
food security and in reducing rural poverty. By raising yields, it also
saved having to make large increases in the total cultivated area,
thereby helping to preserve remaining forest and avoiding rapid crop
expansion into other environmentally fragile areas (e.g. hillsides and
drylands). Even so, there is no question that the green revolution
was also environmentally destructive in many of the areas in which
it occurred. The problems include salinization of some of the best
irrigated lands, fertilizer and pesticide contamination of waterways,
pesticide poisoning, and declining water tables. The problems began
in the 1970s and seem to be getting worse. There is mounting
evidence showing that yield growth in many of the intensively farmed
areas has now peaked and in some cases is even declining
(Rosegrant and Hazell, 2000). There are growing voices arguing that
Indian farmers should revert back to the low external-input farming
technologies of pre-green revolution days (e.g. Vandana Shiva, 1991).
This would be disastrous for yields and food supplies, and would
destroy the environment on an even larger scale because of the
need to rapidly expand the cultivated area.
There are realistic prospects for making modern technologies
more environmentally benign and reversing resource degradation
problems on a national scale (Pingali and Rosegrant, 2000). But it
will take significant and determined action by the government. Needed
actions should include:
l Development and dissemination of technologies and natural
resource management practices that are more
environmentally sound than those currently used in many
farmers fields. Some of these technologies already exist
and include precision farming, crop diversification, ecological
approaches to pest management, pest resistant varieties,
and improved water management practices. The challenge
is to get these technologies adopted more widely in farmers
fields. Managed properly, some of these technologies can
30
even increase yields while they reduce environmental damage.
Further agricultural research is needed to create additional
technology options for farmers, and this should include inter-
disciplinary work on pest control, soil management, and
crop diversification, but also use of modern biology to
develop improved crop varieties that are even better suited
to the stresses of intensive farming but with reduced
dependence on chemicals (e.g. varieties that are more
resistant to pest, disease, drought and saline stresses).
l Reform of policies that create inappropriate incentives for
farmers in the choice of technology and natural resource
management practices. The prevailing subsidies for water,
power, fertilizer and pesticides lead farmers to undervalue
the true cost of these inputs and encourage excessive and
wasteful use with dire environmental consequences. Pricing
these inputs at their true cost would save the government
much money whilst also improving their management. This
would reduce environmental degradation and, in the case
of scarce inputs like water, lead to important efficiency gains.
Improvements in land tenancy contracts would also improve
the incentives for many smaller farmers to take a longer
term view in their choice of technologies and management
practices. Strengthening community rights and control over
common property resources like grazing areas, woodlots
and water resources could also improve incentives for their
more careful and sustainable use. Additionally, the farm
credit system needs to offer more medium and long term
loans for investment in the conservation and improvement
of natural resources, especially for smallholders and women
farmers.
l Reform of public institutions that manage water to improve
the timing and amounts of water delivered relative to farmers
needs, and the maintenance of irrigation and drainage
structures. When farmers have little control over the flow of
water through their fields they have reduced capacity to
prevent waterlogging or salinization of their land, or to use
water more efficiently. Forestry departments also need to
work more closely with local communities, devolving
responsibilities where possible, to improve incentives for
the sustainable management of public forest and grazing
areas.
31
l Assist farmers in diversifying their cropping patterns to
relieve the stress of intensive monocultures. Investments
in marketing and information infrastructure, trade
liberalization, more flexible irrigation systems, and so forth,
can increase opportunities for farmers to diversify.
Unfortunately, the kinds of diversification that the market
wants are not always consistent with the kinds of on-farm
diversification that are needed for sound crop rotations, but
they likely offer better prospects than monoculture cereal
systems.
l Resolve widespread externality problems that arise when
all or part of the consequence of environmental degradation
is borne by people other than the ones who cause the
problem (e.g. pollution of waterways and siltation of dams
because of soil erosion in watershed protection areas).
Possible solutions include taxes on polluters and degraders,
regulation, empowerment of local organizations, or
appropriate changes in property rights. Effective
enforcement of rules and regulations is much more difficult
to achieve than the writing of the new laws that create them.
Renewing Productive Public Investment in Agriculture for the
New Agenda
Government spending on agriculture (development expenditure
on agriculture, irrigation, transportation, power and rural development)
has slowed badly in recent years. It grew at 15.1% per annum during
the 1970s, but slowed to 5.1% per annum in the 1980s, and to 1.3%
per annum in the early 1990s (Fan, Hazell and Thorat, 1999). Despite
an increase in private investment in the early 1990s, there is little
evidence to suggest that it is substituting for public investment,
either in its level or composition. To make matters worse, the
government is wasting a good deal of the resources it does spend
on agriculture by paying far too much to provide basic services to
agriculture (power, fertilizers, water, credit, etc). Fan, Thorat and
Rao (2004) estimate that the subsidies for power, irrigation, fertilizer
and credit cost the Government about Rs 27,130 Crores in 2000
(1993 prices), equivalent to about 8% of the value of agricultural
output that year. This is squeezing out the funding of additional
public investments in the kinds of rural infrastructure, technologies
and institutional reforms needed for high value activities.
Conclusions
India has made impressive gains in agricultural growth, food
security and rural poverty reduction since the crisis years of the
32
1960s. Agricultural growth continues to be critical for addressing
the livelihood needs of large numbers of rural people, including most
of the countrys poor. But future growth will need to be different from
the past. It will be less driven by growth in foodgrains production
and more by new growth opportunities for higher value livestock,
fish, horticultural and agroforestry products for the domestic market,
by increased value added opportunities in agro-industry, and by export
opportunities. Moreover, if future agricultural growth is to benefit the
poor, then it will need to be more focused in rainfed areas than in the
past, including many of the less-favored and backward regions that
gained relatively little from the green revolution.
Diversification is already happening, but it needs to move ahead
much more rapidly if the Indian agricultural sector is to continue to
grow and generate sufficient income and employment to meet the
growing needs of the rural population.
Future agricultural growth will also need to be more
environmentally sustainable than in the past, with greater attention
to the problems of intensive farming areas. This will require policy
reforms to change incentives in favor of more sustainable
technologies and natural resource management practices, as well
as appropriate types of agricultural research.
Meeting these challenges will require serious policy and
institutional reforms, including the phasing out of input subsidies,
trade liberalization (including removing trade protection for
agroindustry), reform of public institutions serving agriculture, and
increases in productive investment in agriculture and the rural sector.
India has been flirting with some of these changes for over a decade,
but faces difficult problems with entrenched interests in the farm,
agro-industry, banking and the public sector that are politically very
difficult to resolve at the present time. It may take the same kind of
vision to surmount these problems and to rejuvenate the agricultural
sector as it did to launch the green revolution some 35 years ago.
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34
CHALLENGES TO INDIAN AGRICULTURE IN THE
LIBERALIZED TRADE ECONOMY
IMPLICATIONS FOR CROP DIVERSIFICATION
AND RURAL POVERTY
C.Ramasamy and K.N.Selvaraj
Coimbatore-641 003
The Challenges
(i) Declining Total Factor Productivity Growth
India achieved social and economic gains due to government
policies, scientific discoveries and public and private investments
in rural areas particularly in agricultural research, irrigation, credit
and farm inputs leading to a substantial reduction in poverty and
improved food security. Appreciable growth in agricultural production
was achieved due to technological advancements as a result the
country reached not only self sufficiency in food production but also
becomes a net exporter of agricultural products. Total Factor
Productivity (TFP) growth has contributed roughly 1.1 to 1.3 per
cent per year to the growth of crop production in the country.
Conventional inputs have contributed about 1.1 per cent per year
since 1956. TFP and conventional inputs have thus contributed 2.3
per cent per year to the growth of crop production. Total factor
productivity in India grew at an average rate of 0.69 per cent between
1970 and 1995. In 1970s, total factor productivity grew at 1.37 per
cent per annum. But it grew fast in 1980s, at 1.99 per cent annum.
Since 1990s, total factor productivity in Indian agriculture declined
at the rate of 0.59 per cent annum (Fan, 2002). Growth (or decline)
in total factor productivity (TFP) results predominantly from public
investment (or lack of investment) in infrastructures (irrigation,
electricity, roads) and in agricultural research and extension, and
from efficient use of water and plant nutrients. The observed
decreases in the rate of increase of TFP are in large part a
consequence of a substantial lessening of investments notably public
sector investments in agriculture (Table 1).
Increase in urbanization, increase in marketed surplus on
account of not only increase in output also changes in cropping
pattern in different regions due to comparative advantage, opening
up of trade in agricultural commodities, increase in consumers
income and higher demand for processed, packaged and branded
35
commodities poses various challenges and opportunities. Land
degradation in the form of soil erosion, salinity/alkalinity and water
logging are also posing serious threat to the sustainable agricultural
development. Gains from the green revolution areas have been
plateauing, apparently growth rate in production of many crops has
come to stagnate in recent years and contribution of technological
change to agriculture declined over the period (Ramasamy, 2004).
In the 1970s, agricultural production growth was comparatively low,
growing at an average annual rate of 1.95 per cent. In the 1980s, it
grew at 3.82 per cent per annum. Since 1990, production growth has
slowed, growing at only 2.09 per cent per annum (Fan, 2002).
Table 1. Factor Productivity Growth in Agriculture and Its Contribution to
Economic Growth
Sector 1950-51 1950-51 1965-66 1980-81 1980-81 1992-93

to to to to to to
1979-80 1964-65 1979-80 2003-04 1991-92 2003-04
Total factor productivity growth
GDPfc: Total 0.90% 1.90% 0.10% 3.00% 2.50% 3.60%
Agriculture 0.20% 1.00% -0.50% 2.10% 2.20% 2.10%
Growth rate of NDP per worker
GDPfc: Total 1.10% 1.90% 0.50% 4.10% 3.30% 5.00%
Agriculture 0.00% 0.40% -0.40% 2.50% 2.50% 2.60%
Contribution of sector TFPG to sector growth
GDPfc: Total 0.26 0.41 0.04 0.52 0.46 0.59
Agriculture 0.05 0.21 -0.18 0.36 0.39 0.34
Source : Virmani ( 2004). Source of Indias Economic Growth: Trends in Total
Factor Productivity. Working paper No. 131. http://icrier.res.in/wp131.pdf as on 28.10.2004
(ii) Rainfed Agriculture

Policies, so far, have been focused more towards irrigated
agriculture to increase agricultural production through public
investment. Less-favoured areas in India cover 70 per cent of cropped
area, contributing nearly 40 per cent of the total production and
account for most of the commodities which are in short supply.
About 90 per cent of coarse cereals, 90 per cent of pulses, 81 per
cent of oilseeds and 69 per cent of cotton are grown under rainfed
conditions in India, (Kanwar, 1991; Rao, 1991). Population size
continues to grow in many less favoured areas outstripping
agricultural growth rate despite some migration to agriculturally better
off and urban areas. Large areas of less-favoured regions are
characterized by resource-poor, small and marginal farmers and tend
to be backward in infrastructure, amenities and supporting services
36
for agriculture and particularly suffer low investments on technology
and inputs. Droughts and crop failures are also quite common in dry
areas.
Studies suggest that dry land technologies are still inadequate
to get small and marginal farmers out of poverty trap in dryland
regions. Performance of both the public and private extension agents
(farmers organizations, producers co-operatives, input firms,media
and voluntary organizations) vary widely and their presence is more
skewed towards well endowed regions. Even in those regions where
there is some significant presence, there has not been any integration
of effects by the various agencies. The head count index and per
cent of population below poverty line reveals that incidence of poverty
is higher among the rainfed farmers compared to their counterparts
in the irrigated region due to lack of resource endowments (Table 2).
It is also reported by many studies that incidence, depth and severity
of poverty are substantially lower in the technologically developed
region viz., irrigated ecosystem compared to rainfed region due to
various risks (Janaiah, et al., 2000).
Table 2. Incidence of Poverty and Inequality among Different Household
Groups
Household Gini Head Per cent Per cent

Groups Coefficient Count Distribution Distribution
Index to Rural to Total
Poor Population
All Households 0.302 39.17 100.00 100.00
Land Ownership Groups
Landless Household 0.32 41.92 14.39 13.44
Small Farmers(<1.0 ha) 0.280 45.80 57.48 49.16
Large Farmers (>= 1.0 ha) 0.309 29.47 28.13 37.40

Land Quality Groups
Small Farmers 0.277 45.0 30.22 26.31
(Irrigated Region)
Small Farmers 0.283 46.72 27.25 22.85
(Rainfed Region)
Large Farmers 0.307 23.58 9.63 16.00
(Irrigated Region)
Large Farmers 0.305 33.87 18.50 21.40
(Rainfed Region)
Source: India Development Report (2002)
37
(iii) Marginalization of Land Holdings
There is a marginalization of land holdings and farmers have to
rely on his piece of land for growing crops (Table 3). Due to high
population pressure the per capita land area is alarmingly at the
decreasing rate. A tiny landholder cannot rotate his land to avoid
over-farming. Over farming leads to plateauing of agricultural
productivity and environmental problems. There is also increasing
pressure on land for non-agricultural uses because of the rising level
of urbanization and geographic spread of industries. Preponderance
of small and marginal uneconomical land holdings limits any attempts
to introduce mechanized farming. Raising agricultural productivity
is constrained primarily by the small size of holdings as a results
productivity enhancing technologies and management methods
become unaffordable and uneconomical. Consequently, the
productivity is low and the total production varies substantially.
Table 3. Zone-wise Average Size of Holdings
(ha)
Zone / State 1970-71 1976-77 1980-81 1985-86 1990-91 1995-96
South Zone
Tamil Nadu 1.45 1.25 1.62 1.01 0.93 0.91
(5.31) (6.11) (7.19) (7.71) (8.00) (8.01)
Andhra Pradesh 2.51 2.34 1.91 1.72 1.56 1.36

(5.42) (6.15) (7.37) (8.23) (9.29) (10.60)
Karnataka 3.2 2.98 2.54 0.40 2.13 1.95
(3.55) (3.81) (4.31) (4.40) (5.78) (6.22)
North Zone
Punjab 2.89 2.74 - 3.77 4.74 3.74
(1.38) (1.50) (1.02 ) (1.09) (1.12) (1.09)
Haryana 3.7 3.58 - 2.76 2.43 2.13

(0.91) (1.00) (1.01) (1.35) (1.53) (1.72)
Uttar Pradesh 1.16 1.05 1.75 0.93 0.90 0.86

(15.64) (16.97) (17.82) (18.99) (20.07) (21.52)
East Zone
West Bengal 1.20 0.99 0.88 0.92 0.90 0.85
(4.22) (5.27) (5.88) (6.13) (6.28) (6.55)
West Zone
Madhya Pradesh 4.00 3.58 3.38 2.91 2.63 2.28
(5.30) (6.06) (6.41) (7.60) (8.40) (9.60)
Maharashtra 4.28 3.66 3.14 2.64 2.21 1.87

(4.95) (5.76) (6.86) (8.10) (9.47) (10.65)
India 2.30 2.00 2.43 1.69 1.55 1.41

(70.50) (81.55) (88.88) (97.16) (106.64) (115.58)
(Figures in parentheses denote number of holdings in million)
38
Indias agricultural productivity is amongst the lowest in the
world. Though there is considerable regional variation, Indias best
productivity levels are some 30-40 per cent lower than world best
levels, country wide averages for most crops are some 50-80 per
cent lower than world best levels (Table 4).
Table 4. Productivity of Crops in India and the World
Crops India (kg/ha) World India' s Indias highest
average average yield to worlds
yield yield to average yield
Average Highest (kg/ha) worlds (per cent)
yield yield average
yield
(per cent)
Wheat 2770 4103 4123 67.18 99.51
Rice 1913 3506 3970 48.19 88.31
Maize 1792 2727 4279 41.88 63.73
Cotton 198 408 1027 19.28 39.73
Sugarcane 68200 108480 165532 41.20 65.53
Sunflower 549 1429 1225 44.82 116.65
Soybean 941 1733 2253 41.77 76.92
Groundnut 977 1471 1367 71.47 107.61
Banana 34 53 113 30.19 46.64
(iv) Imbalances in Use of Inputs and Declining Input Use Efficiency

Alleviation of physical and chemical constraints in soils is the
prime concern in todays agriculture since unfavourable side effects
of green revolution are slowly now experienced. Incremental
responses to inputs are declining fast and prices of purchased inputs
increasing, thus reducing the profitability of agriculture. Further,
the law of diminishing returns from the increased use of production
factors has reduced the farmers interest in intensification of
agriculture. However, it is essentially important to dispel any
impression about the overuse of fertilizers in India. A comparison
with other countries reveals that there is much lesser consumption
in India and evidences indicate that economic responses continue
to be obtained even in high fertilizer consuming states like Punjab
and Haryana. Chemical fertilizers, being the sources of high nutrient
content, have obvious uses, but there are possible areas of risk in
the use of chemical fertilizers. According to Sankaran (1990), the
Fertilizer Use Efficiency (FUE) was 17.1 in 1970-71, but decreased
39
to 10.3 in 1980-81 and 8.1 in 1988-89 for the additional food grains
production (base year 1951-52). He further calculated that for
obtaining 240 million tonnes of foodgrains, the estimated quantity of
fertilizer would be 20 million tonnes and its use efficiency would be
only 6.5. This was further reiterated by Kanwar (1991) that dramatic
changes in agricultural productivity had been recorded through the
use of fertilizers, but the overuse and unbalanced use of fertilizers
in the assured areas of irrigation is leading to declining output/input
ratio and increasing micronutrient deficiency. Fertilizer consumption
was 25.75 kg per ha during 1970s and it increased to 78.43 kg per
ha during 1990s registering a growth rate of 3.94 per cent between
1990-91 and 2000-01 (Table 5). There was however notable disparity
in fertilizer use among the States during 1970s and 1980s and
variation has declined marginally during 1990s (Gini ratio is 0.46,
0.49 and 0.43 during 1970s, 1980s and 1990s, respectively)
(Ramasamy, 2004).
Pattern and Trends in Crop Diversification
Cropping pattern is monotonically biased towards few crops
especially rice and wheat in the early green revolution period. Of the
total cultivated area in the country, more than 30 per cent of area
was under rice and wheat. Demand for high value products is on the
rise in the 1990s due to increasing population, high income growth
in rural and urban areas, changing food habits, realization of high
nutritional value and great emphasis on value addition and export.
The forecasts are that by the 2030, the urban population in India will
account for 41 per cent of total population (UN, 2002). To meet the
demand for High value crops in the urban areas, the agriculture is
transforming from food grain based system to high-value agriculture.
Further, economic liberalization policies as well as globalization
process exerted strong pressures on the area allocation decision of
the farmers essentially through the impact on the relative prices of
inputs and outputs. Such transformation in the economy is leading
to changes in production portfolio from cereals- based system to
high- value commodities, such as fruits and vegetables and livestock
products. Diversification of agriculture in favor of more competitive
and high-value enterprises is reckoned as an important strategy to
overcome the emerging challenges of globalization (Joshi et. al.,
2004). Although the objective of diversification may vary depending
on the level of agricultural development, overall diversification is a
strategy for poverty alleviation, employment generation,
environmental conservation, and augmentation of farm income
through better use of available resources (Satyasai and Vishwanath,
1996; Ryan and Spencer, 2001).
40
Table 5. Fertilizer Consumption and Imbalance in Use of Fertilizer - Select States
(Kg/ha)
Zone / State 1970s 1980s 1990s Growth Rate (per cent) (1990-
91 to 2000-01)
N P K Total N P K Total N P K Total N P K Total
South Zone
Tamil Nadu 34.9 9.6 11.3 55.8 37.6 10.9 14.7 63.2 72.82 28.07 35.05 135.94 3.71 3.44 -0.21 2.61
(3.65) (1.00) (1.18) (3.45) (1.00) (1.35) (2.59) (1.00) (1.25)
Andhra 27.9 8.9 2.7 39.4 31.9 10.4 3.6 45.9 90.99 37.69 11.37 140.02 4.38 6.23 9.15 5.24
Pradesh (10.19) (3.24) (1.00) (8.86) (2.89) (1.00) (8.00) (3.31) (1.00)
Karnataka 15.6 5.9 5.2 26.7 17.5 7.4 6.3 31.2 45.94 24.41 14.27 84.62 8.13 6.30 6.00 7.17
(3.01) (1.15) (1.00) (2.78) (1.17) (1.00) (3.22) (1.71) (1.00)
North Zone
Punjab 59.2 19.1 3.9 84.2 81.1 32.3 4.5 117.9 128.13 36.97 2.36 167.46 1.63 -1.90 7.22 0.84
41
(15.11) (4.86) (1.00) (18.02) (7.18) (1.00) (54.27) (15.66) (1.00)

Haryana 27.2 4.5 1.6 33.3 34.5 5.8 2.2 42.5 96.72 27.84 0.78 125.31 6.24 5.32 5.87 6.04
(17.35) (2.88) (1.00) (15.68) (2.64) (1.00) (123.47) (35.54) (1.00)
Uttar 28.7 6.0 2.9 38.0 36.9 9 3.4 49.3 80.94 20.15 3.45 104.55 4.26 6.91 1.70 4.67
Pradesh (10.01) (2.08) (1.00) (10.85) (2.65) (1.00) (23.45) (5.84) (1.00)
East Zone
West Bengal 16.2 5.7 4.2 26.1 21.2 9 5.7 35.9 58.05 28.34 18.74 105.21 3.65 5.04 6.90 4.59
(3.90) (1.36) (1.00) (3.72) (1.58) (1.00) (3.10) (1.51) (1.00)
West Zone
Madhya 4.7 2.2 0.5 7.4 5.7 2.8 0.7 9.2 24.26 13.90 1.84 40.07 1.90 3.90 2.60 2.65
Pradesh (9.47) (4.40) (1.00) (8.14) (4.00) (1.00) (13.20) (7.56) (1.00)
Maharashtra 11.3 3.7 3.1 18.1 13.3 4.6 3.3 21.2 42.43 18.42 8.91 69.76 4.15 5.59 2.42 4.27
(3.66) (1.18) (1.00) (4.03) (1.39) (1.00) (4.76) (2.07) (1.00)
India 17.60 5.18 2.85 25.75 21.4 7 3.6 32.0 52.68 18.79 6.96 78.43 4.22 3.71 2.62 3.94
(6.18) (1.82) (1.00) (5.94) (1.94) (1.00) (7.56) (2.70) (1.00)
There is a substantial area shift form cereals to non-cereals.
Area under cereals declined from 61 per cent to 53 per cent, while
area share of oilseeds increased to 13 per cent from 9 per cent
between the 1970s and 1990s (Table 6). Farmers prefer to grow
oilseeds in rainfed / dry land conditions setting apart irrigated and
better land to rice, sugarcane, cotton, vegetables, etc. Although
expansion of area under oilseeds is at the cost of coarse cereals
and pulses and even rice and wheat in certain areas, the fact remains
that farmers find oilseeds cultivation not an attractive proposition as
evident from their share in the total cropped area. The share of
oilseeds in total cropped area increased very marginally for the last
three decades. Area under fruits and vegetables increased over the
last three decades particularly during the 1990s. Share of area under
fruits and vegetables jumped to 5 per cent in the 1990s from 2 per
cent in the 1970s. Higher income elasticity of demand for these
high value commodities pushed up the demand as a result these
sectors grew faster than the other sectors. Crop sector grew at the
rate of 3 per cent during the 1990s, while livestock and fruits and
Table 6. Compositional Changes in Cropped Area
(Per cent)
Year HI Cereals Pulses Oil seeds Fibres Sugar Fruits & Others
Cane Vegetables
1970-71 0.07 61.3 13.9 8.7 5.5 1.6 2.2 1.1
1980-81 0.08 60.6 13.3 9.0 5.5 1.8 2.8 1.3
1990-91 0.08 56.5 13.0 12.9 4.7 2.0 3.6 1.4
2000-01 0.07 53.3 11.4 12.8 5.2 2.2 5.2 1.5

Source: National Accounts Statistics of India HI Herfindhal Index
vegetable sectors grew faster than the crop sector and recorded 4
and 6 per cent growth respectively during the same period (Tables 7
and 8). During the nineties to meet the growing demand, the livestock
sector grew faster than the crop sector in most south Asian countries.
This is reflected in an increase in the share of livestock sector in the
agricultural sector (Birthal and Rao, 2002; Rao et. al., 2004). The
promotion of Operation Flood to boost milk production and augment
income of rural small holders uniformly promoted dairy sector
irrespective of their proximity to the urban center (NDDB, 2002;
Parthasarathy, 2002).
42
Table 7. Growth Trends in Output Value of Crops Sector
(Per cent)
Year Cereals Pulses Oilseeds Sugars Fibres Drugs & Condiments Fruits & Other Total
narcotics & spices vegetables crops agriculture
1970s 2.4 0.0 -0.1 2.2 2.5 3.7 2.9 2.9 0.7 1.8
1980s 3.0 1.2 5.3 2.2 2.3 1.8 4.8 2.4 -0.5 2.5
1990s 2.3 1.2 2.6 2.7 2.8 3.7 4.6 6.2 0.8 3.1
Source: National Accounts Statistics of India
Table 8. Growth Rates in GDP of the Economy and Agriculture Sub

sectors at 1993-94 prices (Per cent)
Period GDP GDP GDP GDP Value
Total Non- Agri of Output
agric culture Fishing
ulture
Crop Live Fruit/
sector stock Veg
1970/71 to 3.45 4.72 1.94 2.9 1.79 3.92 2.88
1979/80
1980/81 to 5.38 6.78 3.13 5.82 2.47 4.99 2.36
1989/90
1990/91 to 6.19 7.4 3.28 5.46 2.99 3.82 5.97
1999/00
1990/91 to 5.56 6.63 3.16 7.49 2.65 4.25 4.93
1995/96
1996/97 to 5.53 6.85 1.75 2.72 1.28 3.47 4.55
2001/02
1990/91 to 5.56 6.63 3.16 7.49 2.65 4.25 4.93
1995/96
1990/91 to 6.01 7.04 3.69 7.41 3.22 4.12 5.92
1996/97
1990/91 to 6.09 7.26 3.35 6.9 2.92 3.95 5.91
1997/98
1990/91 to 6.16 7.33 3.43 5.9 3.1 3.89 6.14
1998/99
1990/91 to 6.19 7.4 3.28 5.46 2.99 3.82 5.97
1999/00
1990/91 to 6.12 7.38 3.01 5.07 2.66 3.76 5.88
2000/01
1990/91 to 6.06 7.29 2.95 4.96 2.58 3.73 5.78
2001/02
Source: National Accounts Statistics of India
Area under rice, which was 11 per cent of the gross cropped
area in Punjab during 1970s increased to 29 per cent during 1990s.
Similarly, in most of the irrigated areas except Tamil Nadu area
under rice registered positive growth rate. However, in the rainfed
rice ecosystems, the share of rice area in gross cropped area declined
43
during 1990s compared to the 1970s. Herfindhal Index1 for irrigated
environment particularly for Punjab and Haryana was 0.27 and 0.15
respectively during 1990s. This shows that there is a gradual
diversification of crop sector in favour of high value commodities
especially fruits and vegetables (Tables 9 and 10). Punjab plans to
diversify crops in 1.5 million acres in next 4 years through contact
farming. Already 3 lakh acres under contact farming have been
diversified from paddy and wheat to commercial crops like maize,
barley, white mustard, Basmati rice and oil seeds. Wide varieties of
vegetables, gherkins, lime, pomegranate, grapes for resins, pearl
onions, asparagus and mangoes for pulp are already covered under
contact farming in Karnataka. Contact farming in gherkins, cotton,
maize etc. is coming in Tamil Nadu. Rallis formed an alliance with
Hindustan Lever (HLL) for a contract farming project for wheat in
Madhya Pradesh. This is mainly intended to help farmers grow and
sell wheat for making atta and basmati rice for export. Sami Labs
also come in a big way for contract farming in medicinal plants in
Karnataka, Tamil Nadu and Kerala. Estimates of Location Quotient
method of Crop Concentration Index2 imply that crop concentration
is shifting towards maize, sunflower and banana from the traditional
crops in most of the States(Table 11).
Table 9. Crop Diversification in Selected States (Herfindahl Index)
Zone / State 1970s 1980s 1990s

South Zone
Tamil Nadu 0.14 0.12 0.13
Andhra Pradesh 0.10 0.11 0.13
Karnataka 0.03 0.03 0.03
North Zone
Punjab 0.19 0.25 0.27
Haryana 0.07 0.15 0.15
Uttar Pradesh 0.13 0.20 0.18
East Zone
West Bengal 0.46 0.55 0.43
West Zone
Madhya Pradesh 0.07 0.08 0.10
Maharashtra 0.02 0.03 0.03
India 0.07 0.08 0.08
44
Table 10. Crop Diversification in Pre and Post Reform Periods (Herfindahl
Index)
States Pre Reform Period Post Reform Period
South Zone
Tamil Nadu 0.131 0.131
Andhra Pradesh 0.123 0.124
Karnataka 0.032 0.032
North Zone
Punjab 0.268 0.266
Haryana 0.157 0.151
Uttar Pradesh 0.180 0.178
East Zone
West Bengal 0.413 0.410
West Zone
Madhya Pradesh 0.103 0.103
Maharastra 0.031 0.030
Pre Reform Period: 1980-81 to 1990-91

Post Reform Period: 1991-92 to 2002-03
Table 11. Crop Concentration in the Pre and Post Reform Periods
State Rice Groundnut Cotton Maize
Pre Post Pre Post Pre Post Pre Post
Andhra 1.30 1.26 4.26 4.11 1.10 1.77 0.77 4.40

Pradesh
Karnataka 0.42 0.47 0.14 0.14 0.61 1.27 6.01 8.92
West Bengal 2.75 2.66 0.26 0.28 0.20 0.11 1.17 1.52
Maharastra 1.09 1.50 2.42 3.05 1.18 3.09 0.01 0.08
Punjab 1.24 1.22 3.17 2.78 0.91 0.59 1.76 1.63
Uttar 0.90 0.91 2.47 2.36 1.35 1.30 5.98 10.15

Pradesh
Tamil Nadu 1.29 1.40 3.72 4.24 1.48 1.61 3.87 3.08
Haryana 0.50 0.66 2.46 2.40 1.61 2.06 1.01 1.03
45
Diversification of cropping pattern particularly from high water
consuming crops like rice to other lower water consuming crops is
not much reflected as the Herfindhal index found almost same in
the rainfed areas. In rainfed areas cultivation of wide range of
commodities is limited and the farmers have to rely on traditional
and backward crops. Based on the rainfall distribution and availability
of ground water farmers change their cropping pattern and mitigate
the risk of rainfall failure. Among the rainfed environments, West
Bengal and Madhya Pradesh show less diversity as compared to
irrigated states. The decision of the farmers to allocate more
resources would much depend on price expectation and productivity
of the concerned crop in relation to prices and productivity of
substitute crops. Farmers are willing to undertake diversification
only when food production can provide adequate food for their family.
Therefore, it is necessary to increase the productivity of rice and
wheat based production system to successfully promote crop
diversification. However, there are some apprehensions about the
sustainability of small farmers producing high value crops due to
small and scattered production, price risk associated with high value
crops and need to maintain stiff quality standards as the size of
processing units increase to reap economies of scale (Pingali and
Khwaja, 2004). Small farmers are willing to diversify towards fruits
and vegetables after meeting their food security needs provided
suitable technology and marketing outlets at remunerative prices
for high value crops are readily available (Shanmughasundaram,
2003).
Factors Influencing Diversification
Several forces influence the nature and speed of agricultural
diversification from staple food to high value commodities. Earlier
evidences suggest that the process of diversification out of staple
food production is triggered by rapid technological change in
agricultural production, improved rural infrastructure, and
diversification in food demand patterns. These are broadly classified
as demand and supply side forces. The demand side forces that
are hypothesized to influence the diversification include per capita
income and urbanization. On supply side forces, the diversification
is largely influenced by infrastructure (markets and roads), technology
(relative profitability and risk in different commodities), resource
endowments (water and labour) and socio-economic variables
(pressure on land and literacy rate). Several demand and supply
variables were considered to examine their influence on crop
diversification (Joshi et. al., 2004).
46
Studies have indicated that the income elasticity of demand for
high value crops was high not only in urban areas but also in rural
areas (Kumar et. al., 2003). In all South Asian countries the income
elasticity of demand for fruits, vegetables, milk and meat is high
compared to staples like cereals, pulses etc (Paroda and Kumar,
2000). Kumar and Mathur (1996) found that structural shifts
(urbanization) had a positive impact on demand for vegetables, fruits,
meat, fish and eggs. Available estimates reveal that by 2020 the
developing countries of Africa, Asia and Latin America will be home
to some 75 per cent of all urban dwellers (CGIAR, 2002). This
common observation is attributed not only to changing incomes and
prices, but also to structural shifts in demand. Such structural
changes can be explained by a number of factors: a wider choice of
foods available, exposure to a variety of dietary patterns of foreign
cultures, more sedentary occupations, and the move away from
food production for household consumption. These trends are highly
associated with the general pattern of urban migration(Barghouti
et. al., 2003). Decline in cereal consumption during 1990s was much
higher than what was accounted for by dietary diversification
(Chand et.al., 2003). In recent years demand side factors are driving
agricultural diversification in India, as also in most South Asian
countries. Higher economic growth and consequent income growth
in both urban and rural areas are translating into higher demand for
high value commodities (Tables 12 and 13) like fruits, vegetables,
and livestock products like milk, meat and fish (Dorjee et. al., 2002;
Pokharel, 2003; Wickramasinghe, 2003; Joshi et. al., 2004).
Table 12. Food Consumption in India
(cal/person/day)
Item 1979-81 1989-91 1999-01
Total 3142.1 3603.7 3736

TotalAnimal Product 119.7 162.7 195.9
Total vegetable product 3022.4 3440.9 3540.1
Cereals 1367.8 1507.5 1470.2
Pulses 119.5 132.7 109.1
Rice
669.6 778.4 751.4
(Milled Equivalent)
Sugar& sweeteners 192.7 221.3 247
Source: FAOSTAT
47
Table 13. Per capita Consumption Pattern of Foods
(Kg/Person/Annum)
Item 1977 1987 1993 1999
Rural
Rice 86.5 88.1 85.4 81
Wheat 49.4 61.6 53.5 53.9
Coarse cereals 56.7 29.8 24.1 17.7
Total cereals 192.6 179.5 163 152.6
Pulses 8.7 11.5 9.2 10.1
Milk & Milk products 24.6 58 51.4 50.5
Edible oils 2.7 4.3 4.6 6
Vegetables 24.7 50.8 53.2 66
fruits 2.6 10.3 9.8 17
Meat, Eggs, fish 2.7 3.3 4.1 5
Sugar and gur 13.5 11 9.2 10.1
Urban
Rice 67.6 68.1 64.2 62.5
Wheat 64.6 60.4 57.4 55.4
Coarse cereals 14.8 10.6 7.7 7.1
Total cereals 147 139.1 129.3 125
Pulses 11.7 12.2 10.5 12
Milk & Milk products 39.7 64.9 68.3 72.4
Edible oils 4.8 6.8 6.3 8.6
Vegetables 39.7 66.4 63.1 70
fruits 5.9 18.8 20.1 19
Meat, Eggs, fish 4.8 4.9 6.3 6.8
Sugar and gur 17.1 12.3 11.8 12
Source: Kumar (2002)
Econometric results showed that rainfall had a positive effect,
though not significant for many states, on crop acreage diversification
except Maharashtra revealing that good rainfall is expected to
encourage diversification. Irrigation intensity (ratio of gross irrigated
area to net irrigated area) had a positive and significant effect on
48
acreage diversification suggesting that availability of irrigation water
all round the year is expected to promote crop acreage diversification.
Coefficients of whole sale price index and productivity index reveal
that farmers in the irrigated environments except Haryana prefer to
diversify cropping pattern if they fetch higher income either through
increase in productivity or product price. However, realization of
higher level of productivity of crops and better product price
discourage acreage diversification in rainfed environments since
farmers in these fragile environments have limited option to choose
crops for cultivation (Tables 14 and 15). The results further indicate
that if the yield level increases, crop specialization also increases.
Higher the yield level more is the incentive to cultivate the crop.
There is no incentive to diversify when the output from the crop is
increasing. Cropping intensity has negative sign. This shows that
when cropping intensity increases, the value of Herfindahl index
goes down, which means that crop diversification is taking place
(Table 16).
Table 14. Factors Determining Crop Diversification (Auto Correlation

Adjusted Linear Estimates)
Dependent Variable= Herfindahl Index
Size of
Fertilizer Productivity Rainfall
States Intercept GIA/GCA WSPI Holding
(kg/ha) Index (mm)
(ha)
South Zone
Tamil Nadu 5.191 0.0917** -0.0001 0.0070 0.0004 0.0029*** -0.4343
Andhra -2.759 -0.1301 -0.0027 0.0649*** 0.0022*** 0.0060*** -0.7547
Pradesh
Karnataka 0.9534 0.0063 0.0019 0.0007 0.0002 0.0004 0.2554
North Zone
Punjab -1.9668 0.3578** 0.0255 0.0374 0.0032 0.0022 -0.0448
Haryana 4.861 0.1087 0.0247 -0.6719** 0.0027 -0.0014 6.277*
Uttar 9.2183 -0.2602 -0.2252 -0.0168 0.0019 0.0305** 0.1723*
Pradesh
East Zone
West -17.0199 3.9874 -0.2942 0.4112 0.0261 0.0258 0.4416
Bengal
West Zone
Madhya 3.653 0.1919*** -0.0355** -0.0075 0.00004 0.0014 0.7342*
Pradesh
Maharashtra 3.566 0.0547** -0.0047*** -0.0081 0.0002*** 0.0006*** -0.2194***
*** Significant at 1 per cent level, ** significant at 5 per cent level, * significant
at 10 per cent level,GIA/GCA: Ratio of Gross Irrigated Area to GrossCropped
Area expressed in percentage. WSPI: Whole Sale Price Index
49
Table 15. Determinants of Crop Diversification of High Value Crops Log linear Estimates
Ratio of value of Fertilizer

Productivity Rainfall Whole sale Average size of
production to GIA/GCA consumption Intercept Adj R2
Index (mm) Price Index land holding (ha)
AgGDP (kg/ha)
Vegetables 0.10 0.0055 -0.0014* -0.0068 0.0026 0.13** -0.008 0.73

(1.363) (0.826) (-2.202) (-1.142) (1.200) (2.535) (-0.076)
Fruits -0.18 -0.015 0.025 0.0036 0.0026 -0.057 0.28 0.36

(-1.279) (-1.220) (0.198) (0.316) (0.626) (-0.545)
50
(1.291)
Sugar 0.11 0.0008 -0.0036 -0.0011 -0.0037 -0.10 0.38 0.71

(1.361) (0.010) (-0.479) (-1.707) (-1.505) (-1.758) (2.936)
Oilseeds 0.13* -0.0083 -0.030*** -0.0030 -0.0025 0.027 0.53*** 0.98

(1.814) (-1.309) (-4.827) (-0.526) (-1.213) (0.531) (4.878)
Total of High 0.16 -0.018 -0.046*** -0.0017 -0.0010 -0.0018 1.18*** 0.95
Value Crops (1.175) (-1.473) (-3.736) (-1.596) (-0.252) (-0.002) (5.567)
(Figures in parentheses are t values)

*** Significant at 1 per cent level, ** significant at 5 per cent level, * significant at 10 per cent level. GIA/GCA: Ratio of Gross Irrigated Area to Gross Cropped Area
expressed in percentage
Table 16. Determinants of Crop Diversification-Log Linear Estimates
Pre-Liberalization Post-Liberalization
(1980-81 to1990-91) (1991-92 to2002-03)
Constant -17.40* -6.49**

( -1.66) (-2.46)
Cropping Intensity -3.09* -0.05**
(-1.66) (-2.21)
Yield Index 0.12** 0.88*
(2.20) (1.61)
R2 0.69
(Figures in parentheses denote t values)
* Significant at 1 per cent level of probability,
** Significant at 5 per cent level of probability
Trade Reforms and Diversification
With liberalization of trade and providing the market access for
agricultural produce among the different countries throw many
challenges and opportunities. Liberalization of trade in agriculture is
likely to benefit developing countries to the extent of additional $ 60
billion by way of trade. Empirical evidences, however, show that
there has not been much change in the pattern of world agricultural
production and exports and there was a little change in the volume
of exports or diversification of products and destination. Several
researchers felt that as economic reforms focused mainly on price
factor and ignored infrastructure and institutional changes the overall
impact on growth of agricultural sector has not been favourable.
This argument is supported by citing deceleration in output of
agriculture sector (Table 17) after reforms were started in the year
1991 (Chadha, 2002; Mujumdar, 2002; Bhalla, 2002; Kumar 2002).
Evidences show that India had benefited from joining the General
Agreement on Tariffs and Trade (GATT) and its successor, the World
Trade Organization (WTO). Indias exports have almost doubled in
less than a decade with exports going up from $26.33 billion in 1994-
1995, when India joined the WTO, to $51.70 billion in 2002-03. Indias
share in total world exports of goods and commercial services
increased from 0.61 per cent in 1995 to 0.86 per cent in 2001 whereas
its share in total world imports of goods and commercial services
increased from 0.78 per cent to 0.99 per cent during the same period.
Being a WTO member, India also avails of the Most Favoured Nation
(MFN) treatment and National Treatment for its exports to other
WTO members.
51
Table 17. Performance of Crops during Pre and Post Reform Periods
Estimated Compound Growth Rates
(Per cent)
Area Production Yield
Crops
Pre Post Pre Post Pre Post
** * *
Rice 0.62 0.12 3.4 0.98 7.2 2.3***
Wheat 0.7* 0.07 3.5* 0.64 6.1* 2.2**
Pulses -0.4 -1.06 9.6 -0.4 10.1 0.6
Oilseeds 2.33 *** -3.45 *** 4.05 *** -5.12 1.84*** -1.45*
Groundnut 1.65 -1.88 2.97 3.92 1.89 2.45
Rapeseed 6.45 -5.75 8.90 -0.05 1.23 0.08

**
Sunflower 4.07 * -10.60 *** 6.00 ** -12.90 *** 1.63 -1.21***
Soybean 17.78 *** 4.03 *** 27.09 *** 8.08 *** 1.85** 0.94*
Castor 4.43 *** 4.72 *** 16.03 *** 0.25 4.02*** 0.05
Vege
4.5* 3.23* 4.3* 3.31* -0.02 0.6
tables
Fruits -0.7*** 1.14*** 4.2* 2.9* 14.01* 7.9***
Indias export of agricultural commodities has been on the

increase and agricultural exports grew at the rate of 11.58 and 7.16
per cent in rupee and dollar terms respectively at current prices in
the period between 1970-71 and 1990-91. Agricultural export growth
was found higher in the 1990s and export of agricultural commodities
recorded over 17 and 10 per cent respectively at current prices in
rupee and dollar terms. Agricultural exports also grew significantly
in the post reform period and this could be attributed to the trade
liberalisation policies followed in agriculture. There is a rising trend
in export of high value horticultural products (fresh and processed)
during the post liberalization period (Table 18). However, there is no
steady trend in export of other commodities including livestock and
marine products. Steady trends in imports of agricultural commodities
are also noticed in the post liberalization period particularly in the
case of vegetable oils. The increase in export and import raised the
proportion of trade in agricultural GDP from less than 5 percent in
the beginning of reforms to close to nine and a half percent by 1995-
96. After 1996-97, value of export started shrinking as international
prices started falling (Chand and Pal, 2003).
52
Table 18. Production and Export of Select Agricultural Commodities
Production
Export Qty (000 tonnes)
Commodities (lakh tonnes)
1970s 1980s 1990s 2002-03 1970s 1980s 1990s 2002-03
66.86 414.09 2009.41 5053.24
Rice 672.02 897.18 1200.79 1076.00
(0.10) (0.46) (1.67) (4.70)
0.33 2.76 13.40 78.18
Maize 61.72 74.60 99.27 111.66
(0.01) (0.04) (0.13) (0.70)
185.03 87.12 270.16 3671.25
Wheat 266.06 429.58 612.57 727.66
(0.70) (0.20) (0.44) (5.05)
53
277.20 521.86 2511.01 9569.86

Cereals 1219.13 1625.46 2124.13 2064.97
(0.23) (0.32) (1.18) (4.63)
11.33 6.27 75.55 151.92
Pulses 112.85 119.01 135.00 134.38
(0.10) (0.05) (0.56) (1.13)
6.20 8.22 14.25 37.36
Oilseeds 1.26 1.61 1.72 1.70
(4.88) (5.09) (8.27) (21.98)
20.74 29.16 48.18 84.70
Spices 2.69 4.45 8.05 16.00
(7.71) (6.54) (5.98) (5.29)
378.20 127.12 134.70 1469.88
Sugarcane 1407.15 1760.88 2570.33 2972.08
(0.27) (0.07) (0.05) (0.49)
(Figures in parentheses are percentage to production)
Indian exports need to grow at the rate of 18 per cent annually,
if the target of $75 billion in 2004-05 is to be achieved for cornering
one per cent of world trade from the present level of 0.7 per cent.
India exports a wide range of agricultural and allied commodities. Of
the various agricultural and allied items, tea and mate, cashew
kernels, spices and coffee were the dominant exportable items during
1970-71, but their share declined in the later period due to the increase
in the share of non-traditional commodities. These traditional
agricultural commodities constituted about 93 per cent of the total
value of agricultural and allied products exported in 1970-71 and its
share increased to 96 per cent in 1980-81. The share of these
commodities declined during 90s. Diversification of export basket
of agricultural commodities comprising of marine products, oil-cakes,
floriculture products, castor oil, rice, guargum meal etc. increased
substantially during 1990s (Tables 19 and 20).
Table 19. Export Performance of Agricultural and Allied Products
Commodity 1960-61 1970-71 1980-81 1990-91 1999-00 2002-03

Agricultural and 284 487 2057 6317 24576 35119
allied products (100.00) (100.00) (100.00) (100.00) (100.00) (100.00)
Coffee 7 25 214 252 1364 1773
(2.46) (5.13) (10.40) (3.99) (5.55) (5.05)
Tea and mate 124 148 426 1070 1766 2295
(43.66) (30.39) (20.71) (16.94) (7.19) (6.53)
Oil cakes 14 55 125 609 1603 2083
(4.93) (11.29) (6.08) (9.64) (6.52) (5.93)
Tobacco 16 33 141 263 993 1290
(5.63) (6.78) (6.85) (4.16) (4.04) (3.67)
Cashew 19 57 140 447 2451 3186
kernels (6.69) (11.70) (6.81) (7.08) (9.97) (9.07)
Spices 17 39 11 239 1702 2212
(5.99) (8.01) (0.53) (3.78) (6.93) (6.30)
Sugar and 30 29 40 38 38
(0.14)
molasses (10.56) (5.95) (1.94) (0.60) (0.15)
Raw cotton 12 14 165 846 81 105
(4.23) (2.87) (8.02) (13.39) (0.33) (0.30)
Rice - 5 224 462 3105 4036
- (1.03) (10.89) (7.31) (12.63) (11.49)
Fruits, 6 12 80 216 1212 1575
Vegetables (2.11) (2.46) (3.89) (3.42) (4.93) (4.48)
and pulses
Miscellaneous 1 4 36 213 760 988
processed (0.35) (0.82) (1.75) (3.37) (3.09) (2.81)
foods
(Figures in parentheses indicate percentage)
54
Table 20. Trends in Agricultural Exports in the Reform Period
(Per cent)
1990-91 1994-95 1999-2000 2003-04
Cereals and preparations 8 10.3 14.1 19.4

Tobacco 4.5 1.9 4 2.9
Sugar 0.6 0.5 0.1 3.2
Cashew 7.6 9.4 9.8 5.1
Oilseeds 2.5 1.8 3 3.5
Guargum 0 1.1 3.2 1.4
Oil Meals 10.6 13.6 6.5 8.8
Fibres 0 1.1 1.1 3.3
Tea 18.3 7.4 7.1 4.3
Coffee 4.3 8 5.7 2.9
Spices 4 4.6 7 4.1
Fresh fruits and vegetables 3.7 3.5 2.9 4.7
Processed fruits and vegetables 3.6 2.7 3.4 4.8
Floriculture Products - 0.2 0.5 0.6
Meat & Preparations 16.3 3 3.2 4.9
Marine Products 14.6 26.7 20.3 16.4
India has been exporting over 80 per cent of its coffee production
and domestic production is around 60,000 tonnes for the last few
decades. Indias share in the world coffee exports increased from
one per cent in 1970s to 3 per cent during 1990s. Coffee exports
witnessed year-wise fluctuations in the reform period and it
constituted 4 per cent in total value of agricultural exports in 1990-
91, increased to 8 per cent in 1994-95 and declined to 5 per cent
during 2002-03. These fluctuations are mostly attributed to trade
reforms that have been taking place in coffee trade. India has lost a
substantial portion of its market share in world trade of tea and
mate, with a decline from 33.4 per cent in 1970 to 22.1 per cent in
1990. In the post-liberalization period also declining share of Indias
tea exports in the world trade continued and it further declined to
16.4 per cent in 1998. The share of tea exports in Indias agricultural
exports also declined from 30.39 per cent in 1970-71 to 16.94 per
cent in 1990-91. It reached an all time low of 4.28 per cent in 1996-
97 and further improved to 6.53 per cent in 2002-03. The growth
rates revealed that tea exports in quantity and unit value terms in
constant rupees as well as dollar terms have made only very low
growth in the post reform period.
55
Traditionally India exported basmati rice but since 1991-92 export
of non-basmati rice has increased and it dominated the rice trade
since 1995-96. During late eighties, non-basmati export constituted
less than 2 per cent of the total rice export and during the recent
triennium its share has risen to above 80 per cent of total quantity of
rice export. India was net importer of rice whereas since 1990-91
imports have dwindled almost to nil. The big boost to export of non-
basmati rice was witnessed during 1995-96 when export touched
4.5 million tonnes. India exports rice to wide range of countries and
Saudi Arabia is the major export market for Indian basmati rice and
it consumes nearly 60 per cent of Indias basmati rice exports.
Bangladesh, Saudi Arabia, South Africa and Russia are the major
export markets for non-basmati rice and 27 per cent of Indias export
goes to Bangladesh.
India is the largest producer, consumer and exporter of spices.
Pepper, chilli, ginger, and turmeric form major spices exports from
India. Pepper contributed around 18 per cent of spices exports in
quantity and value terms respectively during 2002-03. Spice oils
and oleoresins constituted about 16 per cent of export earnings from
spices. About 75 per cent and 40 per cent of the world requirement
of oleoresin and pepper respectively is met by India. Indias share in
the world spices trade was 20.5 per cent in 1970s, which declined to
7.7 per cent in 1998. Liberalised environment, heavier emphasis on
value added products and supportive trade policies of the government
resulted in remarkable growth in export of spices. Spices recorded a
high growth rate of more than 8 per cent in 90s in quantity term.
Cashew is primarily an important export oriented commodity
and production of raw cashew nut in the country is far below the
requirement of the processing sector (production meets hardly 50
per cent of the demand). Since it is one of the most important
commodities of international trade, many countries are involved in
export of cashew kernels. As the largest producer of cashew kernels,
India has taken the lead in establishing grade specification for cashew
kernels. Availability of raw cashew nuts to traditional processors
and exports in India have shown signs of a decline over the years.
This is mainly because many former raw cashew producing and
exporting countries have turned processors and exporters of cashew
nuts. Depressed demand condition are also said to be main reasons
for the low growth in exports. Performance of India in export of cashew
kernel was impressive during the reform period. Export in quantity
terms recorded over 5 per cent growth which was almost similar to
that of 1980s and in value terms it increased at the rate of over 15
per cent per annum.
56
India is worlds largest producer of sugar with annual production
of 17.4 million tonnes of which 16.6 million tonnes of sugar is
consumed. Due to rise in domestic demand and production volatility,
export of sugar follows a sort of cyclical pattern. Although India is
worlds largest producer of sugar and has freight advantages because
of its geographical proximity to the major importing nations, Indian
exports is less and due to regular cycles of surplus and deficit of
sugar production in India, in certain years India tops the list of
importers. Erratic behavior in domestic production is reflected in
export growth as it is noticed that there was 11 per cent decrease in
exports during 80s and 2 percent decrease in 90s in quantity terms.
In the case of cotton India ranks third in production next to US and
China with an annual production of over 13 million bales. The share
of cotton export to the total agricultural exports declined sharply
over the years from 8 per cent in 1980-81 to less than one percent
currently. Exports of cotton in the reform period declined substantially
at the rate of over 16 per cent per annum.
Among the fruits and vegetables mango, grapes, banana and
onion have high export potential. During 2002-2003, 96,000 tonnes
of mango pulp valued at Rs. 297 crores was exported from India.
India produces more than 500 varieties of mango. Among them 52
varieties are popular among the consumers. The Alphonso variety
of mango is well known in American and European market. In the
recent past, the quantum of grapes exports, has witnessed an annual
growth rate of over 23 per cent. Indian grapes are highly export
competitive and India has been able to achieve a good market
penetration with grapes currently being exported to about 30 markets.
Currently, the Middle East, UK and South Asian Countries are the
main importers of Indian grapes with the UK and Bangladesh markets
growing rapidly. In India, Maharashtra state is the largest banana
producing state followed by Tamil Nadu, Gujarat, Assam, Andhra
Pradesh and others. The Poovan variety has good market potential
in the Middle East and Japan provided it is free from blemishes.
Nigeria is exporting a variety called silk which is similar to the
Rasthali variety. The nendrans have a market potential in the Middle
East where ethnic population form the bulk of the consumers.
Nendran chips will also be a favourite as long as it is packed
scientifically. The Red Banana will also be a success since it is a
Cavendish variety with a different flavour and colour. Among
processed onions, dehydrated onion powder has a good market
potential. The important floricultural crops in the international cut
flower trade are rose, carnation, chrysanthemum, gerbera, gladiolus,
gypsophila, liastris, orchids, archilea, anthurium, tulip, lilies. During
2002-03, India earned about Rs. 165 crores by export of cut flowers
as against Rs. 115 crores in 2001-2002 and Rs. 123 crores in
2000-01.
57
Impediments to growth of international trade of India include
restrictive import policy regimes of the developed countries, unrealistic
standards, testing, labeling and certification including phytosanitary
standards, export subsidies (including agricultural export subsidies,
preferential export financing schemes), barriers on services,
government procurement regimes and other barriers including anti-
dumping and countervailing measures. There is also concern about
the persistence of high rates, escalation, complexity and the gap
between applied and bound rates. India is willing to reduce the
Table 21. Tariffs and Bound Rates on Major Agricultural Commodities
Commodity Basic Customs duty (%) Bound duty (%)

(As on 01.03.2004) (As on 01.03.2004)
Pulses other than peas 10 100
Wheat 50 100
Rice in the husk 80 80
Husked rice, broken rice 80 80
Milk powder 60 60
Tea 100 150
Coffee 100 100
Coconut 70 100
Copra 70 100
Fish 30 Unbound
Sugar 60 150
Apples 50 50
Garlic 100 100
Onions 5 100
Mushrooms 30 100
Potato 30 100
Sweet potato 30 150
Frozen vegetables peas, 30 150
beans, spinach, sweet corn
etc
Edible oils (Refined)
Soyabean oil 45 45
RBD palmolein 70 300
Palm oil 70 300
Groundnut oil 85 300
Sunflower / Safflower 85 300
Coconut oil 85 300
Rapeseed oil 75 75
Mustard oil 75 75
Castor oil 100 100 / 300
58
protection on certain farm goods where there is a substantial
difference between their customs duty and bound duty. By offering
these products, India is hopeful of getting in return more export
opportunities in other countries. The actual custom duty is on an
average less than half of existing bound rate in commodities like
some fruits and vegetables, live animals, nuts, some pulses,
cashewnuts, copra, processed foods, wheat flour, sugar, and cocoa.
The country has to protect all those farm products where the current
duty is already equal to the existing bound rate, or more than 75 per
cent of it. These include meats, poultry products, potato, rice, wheat,
cereal preparations, coarse grains, soyabean oil and rapeseed oil
(Table 21).
Trade Liberalization and Rural Poor
In recent studies, the growth effects of trade were more
systematically analyzed using a large sample of developed and
developing countries. A large body of literature has examined the
effects of trade on growth and many of these studies have found
substantial growth effects of trade. The important question is that
how could increased participation in international trade affect the
economic growth rate, and what implications will this have for the
distribution of income and the incidence of poverty? Experiences
suggest that rapid economic growth translates into sustainable
reductions in poverty because there is a significant association
between trade liberalization and long run improvements in economic
growth. Thus, there is likely to be a positive link between liberalization
and eradication of poverty in the long run. Incidence of poverty fell
by half from 26 per cent to 13 per cent of the population, just five
years after trade was liberalized in the mid 1980s in Morocco. Studies
shows that countries with open economies (those integrated into
the world economy) in developing regions grew, on an average by
2.5 per cent points more than those with closed economies. This, in
turn, would have a positive impact on poverty reduction in the
absence of an anti-poor bias in domestic policies and investment
pattern.
The years of rapid growth in the Indian economy coincided with
reduction in poverty. As average annual increases of more than 3
per cent in GDP in the first half of the 1970s accelerated to rates of
6 per cent in the last of the 1980s (World Bank, 1989) and 7 per cent
in the early1990s, the incidence of poverty recorded notable decline
and there is considerable potential towards reducing poverty in India.
According to Planning Commission (1998), the annual average rate
of decline of the poverty ratio in India during the period 1973-74 to
1993-94 has been 2 per cent in rural areas and on the basis of the
59
growth rate experienced between 1993-94 and 1996-97, the incidence
of poverty has been worked out to 30.55 per cent in 1996-97 and
18.61 per cent in 2001-02. Rural poverty shows a slow decline in the
1970s and a faster decline in the 1980s till 1990-91. There was
reduction in poverty during the post reform period. Percentage
of rural persons below poverty line during 1993-94 was 37.27
and it declined to 27.09 per cent during 1999-2000 in spite of
slow down in the growth rate of agricultural production during 1990s
(Tables 22 and 23).
Table 22. Population below Poverty Line, All India
Year 1983 1993-94 1999-00

Rural
No. of Persons (Lakh) 2519.56 2440.31 1932.43
% of persons 45.65 37.27 27.09
Poverty Line (Rs)* 89.50 205.84 327.56
Urban
% of persons 40.79 32.36 23.62
Poverty Line (Rs) 115.65 281.35 454.11
Combined
% of persons 44.48 35.97 26.10
Source: Agricultural Statistics at a Glance, 2002; * - Percapita per month
International trade has grown twice as fast as income worldwide

during 1990s. In India, per capita GDP growth in agriculture in the
1990s accelerated from 9 percent a year in the early 1990s to 13 per
cent at current prices. This acceleration in growth is even more
remarkable given the inflation rate. At constant prices, per capita
GDP grew at the rate 2.15 per cent in the post reform period, while in
the earlier period the growth was less than one per cent (0.80). There
was a sizable reduction in poverty in the post reform period and it
was estimated that rural population below poverty line declined by 3
per cent in the 1990s, while it was less than one per cent in the early
1990s. Similarly, percentage of population below poverty line also
declined in the reform period, which is almost 2 per cent more than
the earlier period.
Empirical evidences indicate that the trickle down mechanisms
have weakened considerably in the later time periods. In the process
of weakening of trickle down mechanism, growth in agricultural
60
production alone will not bring about a large reduction in the incidence
of rural poverty and there are other important factors that directly
influence the living conditions of the rural poor. Although rural poverty
is found to be inversely associated with agricultural income per capita
of rural population in all the time points, the strength of the relationship
between poverty and agricultural growth are found to have declined
considerably (Ramasamy, 2004). In the context of weakening of
trickle down effect, among the other factors improving trade
orientation is found to be one of the most important in alleviating the
poverty (Table 24). Agriculture still needs to play a key role in
supplying adequate food at affordable prices to ensure that poverty
remain low. Therefore, large-scale production of exportable crops
and identification competitive crops for exports would enhance the
income entitlements of the farmers. Obviously there will be gainers
and losers from liberalization of agricultural trade. There may be
inadequacy of the trickle effect of reforms, which are due to regional
imbalances, profitability of crops and zonification of cropping pattern
and these factors may impede the equalizing effect of distribution of
income.
Table 23. Growth in Poverty, Income and Prices
1970-71 to 1991-92 1970-71
Year 1990-91 to1999-00 to 1999-00
Per capita AgGDP (Current Rs) 1025.38 4648.66 2112.36
(8.89) (12.59) (10.48)
Per capita AgGDP (Constant Rs) 906.64 1100.96 964.94
(0.80) (2.15) (1.16)
Rural Population (000') 534868.38 682198.00 579067.27
(1.77) (1.37) (1.70)
Rural Population (BPL 000') 256484.06 227170.36 247689.95
(-0.63) (-3.01) (-0.81)
Rural Population (BPL %) 48.69 33.43 44.11
(-2.35) (-4.32) (-2.47)
Agrl. Production (Index) 106.41 163.88 123.65
(2.84) (2.37) (2.94)
Food Articles (WPI) 104.01 345.22 176.38
(7.97) (8.39) (8.59)
Agrl. Labour (CPI-General) 74.95 233.10 122.39
(6.84) (8.49) (7.79)
Agrl. Labour (CPI-Food) 76.41 241.03 125.79
(6.97) (7.61) (7.91)
(Figures in parentheses denote compound growth rate in per cent). WPI -

Whole Price Index; CPI - Consumer Price Index Source: Ramasamy (2004)
61
Table 24. Agricultural Growth and Poverty
Year Intercept PCSGDP agri t value R2

1972-73 89.462 -0.090 -5.241 0.696
1977-78 83.113 -0.069 -4.121 0.586
1983-84 68.333 -0.055 -3.809 0.547
1986-87 52.330 -0.031 -3.281 0.473
1999-00 32.286 -0.003 -3.821 0.422
Source: Ramasamy (2004)
Implications
There is a need for expanding agricultural production to meet
growing demand. How to achieve the target when rai sing the
agricultural productivity is constrained by several factors. Income
entitlements of majority of people in India are directly linked to
domestic agricultural production and the ability of the farmers to
respond to market signals by a shift in the cropping pattern or by
reallocating their resources in order to maintain their income
entitlements is very much limited due to various reasons. The internal
constraints, which severely limit the capacity to increase cost
effective domestic production to at least a certain minimum
percentage of their requirement in order to avoid domestic market
distorting imports, need to be addressed on priority basis.
Conglomeration of hundreds of small farms is the key to raising
agricultural productivity? Whether this would be the right direction to
capitalize Indias comparative advantage of agricultural commodities
under open trade? These need further debate and thorough
assessment. Agriculture still needs to play a key role in supplying
adequate food at affordable prices to ensure that poverty remain
low. Therefore, large-scale production of exportable crops and
identification competitive crops for exports would enhance the income
entitlements of the farmers. Obviously there will be gainers and
losers from liberalization of agricultural trade. There may be
inadequacy of the trickle effect of reforms, which are due to regional
imbalances, profitability of crops and zonification of cropping pattern
and these factors may impede the equalizing effect of distribution of
income.
Without discounting post harvest losses total demand of about
130 million tonnes of vegetables has been projected for the country
in the coming years showing sample scope for vegetable farming.
Similarly, the demand for fruits is also expanding in the country
62
apart from export demand. Considering the scope existing in this
sector, it is proposed to launch National Horticulture Mission in April
1, 2005 with the budget allocation of Rs. 630 crores for the year
2005-06. It is proposed to implement Accelerated Irrigation Benefit
Programme (AIBP) with a budget allocation of Rs. 4800 crores for
the year 2005-06, which is 71 per cent higher than the previous year
allocation. These measures will kick start the horticulture industry
to attain a faster growth in the coming years. However, overall
development of the horticulture in the country would require
substantial improvement in productivity and quality of the produce
and reduction of post harvest loss of perishable commodities through
better handling and organized marketing. Since the scope for
expansion of area is limited, further growth of horticulture industry
and its sustainability will largely depend on the new and emerging
technologies. Further, in the era of globalization, produce has to be
of international quality and globally competitive.
Export potential of horticultural products is unlimited. Providing
infrastructure would boost export of these items. Market development
and promotion with an assurance of continuity in supplies of
horticultural products will be a long-term strategy for increasing the
exports of these commodities. The several factors like acidic nature,
strong astringent taste, poor quality, improper post harvest
techniques and poor packaging are the major bottlenecks in export.
Low exportable surplus, protective tariffs, stiff competition in the
global market, poor market intelligence, lack of brand status to the
commodities, lack of publicity and export in the form of raw materials
are the major market related constrains inhibiting exports of fruits.
Technical standards, environmental and social concerns and non
trade barriers like anti dumping duties, countervailing duties, safe
guard measures and sanitary and phyto sanitary measure have
affected market access for export of horticultural commodities like
floricultural produce.
63
Notes
1. Herfindhal Index is defined as:
n
Η = ∑ pi2
i =1
Pi = Proportion of area under ith crop
The value of H-index varies between zero to one. It is one in
case of perfect specialization and zero in case of perfect
diversification.
2. Crop Concentration
Crop concentration means the variation in the density of crops
in an area or region at a given point/period of time. The concentration
of a crop in an area largely depends on its terrain, temperature,
moisture, price and income, social factors, government policy, type
of soils and many others. The most commonly used method to
study crop concentration is the Location Quotient method.Location
Quotient Method of Crop Concentration is algebraically defined as:
Aij
Aj
LQ = n
∑A
i =1
ij
∑A
j
j
Aij= Gross cropped area under i th crop in j th state,

Aj= Gross cropped area in j th state.
∑A
j
j = Gross cropped area in the country
64
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Wickramasinghe P.J., T. Abeysekera, and A. Herath. (2003). Agricultural diversification
in Sri Lanka. Paper presented at the International Workshop on .Agricultural
Diversification and Vertical integration in South Asia,. November 5-7, New
Delhi, India jointly organized by ICRISAT, FICCI and IFPRI.
67
DESIGNING AGRICULTURAL RESEARCH WITH
A HUMAN FACE : CHALLENGE TO
AGRICULTURAL UNIVERSITIES
K. V. Raman
Former Member, Agricultural Scientists Recruitment Board, New Delhi
&Former Director, National Academy of Agricultural Research Manage-
ment, Hyderabad, Currently Chairman, Scientific Advisory Panel,
Irrigated Agro-ecosystem (NATP)
Our country, currently in the threshold of entering an era of
sustained agricultural and industrial development and become a
strong economic power to contend with, is addressing many grass-
root level issues that contribute to the development of the Millennium
Development Goals. In planning such economic and social
development in a holistic manner, especially in the rural sector, the
importance of appropriate agricultural technologies cannot be
overstated. Science and technology have made a remarkable
contribution to increasing production and productivity of not only
agricultural goods but also to products and services in ways difficult
to imagine a few decades ago. Despite various factors like
achievement of self-reliance in food grains production due to Green
Revolution, the problem of rural poverty remained as acute as ever
before. As seen from the various surveys, though on a proportional
basis, there has been a reduction in rural poverty, in absolute
numbers, the number of poor people has increased over the years.
The responsibility of finding solutions to problems in the rural areas
not only results with the planners and progressive thinkers, but also
with public institutional structures like agricultural universities with
mandates to provide food, nutritional and livelihood security to them.
The ultimate goal of research in agriculture and rural
development is to benefit the farmers, helping them to improve their
life by increased production and productivity, enhancement of income,
meaningful reduction in drudgery, improved quality of life and
sustained growth. The main concern should be to indicate the correct
way to environmental protection, conservation and management to
achieve a lasting benefit and sustainable production aimed at
reducing poverty and under-development. Any research that does
not concern itself with social, cultural and ethical issues largely
remains bookish and is not relevant.
68
It has long been believed that economic growth is the specific
remedy for the ills of poverty. Some economists argue that for a
country like India, which is largely agrarian in character, a seven to
eight percent rate of growth per year over a period of 15-20 years
can help in reducing poverty. Economic growth certainly reduces
poverty. But growth alone does not provide sufficient conditions for
reducing poverty. The argument that a good growth rate will have a
trickle down effect, down to the lowest layers of poverty is not
necessarily correct, as evidenced by our own experiences as well
as several other less developed countries coping with the problem.
Again, while agricultural growth is an important factor to alleviate
poverty, it has to be developed as a unified strategy broad-basing
the issue with greater and more meaningful participation of small
and marginal farmers, as well landless resource poor. It is not
sufficient to focus attention on low income alone, but on the entire
marginalization processes that push many to the brink of subsistence.
Fifty years of development experience in our country have
yielded some valuable and critical lessons :
1. Macroeconomic stability is an essential pre-requisite for
achieving growth needed for development.
2. Economic growth should ensure employment generation and
livelihood opportunities.
3. Growth does not trickle down; development should address
human needs directly.
4. The development orientation should be sustainable; it should
be rooted in processes that are socially inclusive and
responsive to changing circumstances and institutional
structures that are locally developed and empowered.
5. A synergy need to be developed between the institutions
and individuals through linkages and partnerships with the
government, NGOs and private sector so that people are
not regarded as beneficiaries but partners in progress.
Lately, I have been working in the rural areas with the perspective
of alleviating poverty through employment generation, and provision
of multiple livelihood opportunities. This meant using scientific
agriculture not only for increasing agricultural production and
productivity, but income enhancement and livelihoods, both on-farm
and off-farm. Despite the enormous success that we have achieved
in food production, and the fact that many new technologies have
been developed, I was disturbed to find how few of these technologies
were really focused on the poor and landless farmers and farm
69
workers, taking into account their resource and social
constraints. Even though the entire production system was
dependent on the basic natural resources of soil and water, not many
resource-neutral technologies were available and even among them,
very few contributed to employment generation, improvement of labour
productivity and reduction of drudgery in work.
The National Policy on Agriculture seeks to actualize the vast
untapped growth potential of agriculture to generate income and
employment opportunities for the rural communities. It recognizes
that agriculture is and will continue to be central to all strategies for
planned socio-economic development in the country and its rapid
growth is essential not only to achieve self-reliance at national level
but also for household food security and to bring about equity in
distribution of income and wealth. Towards this end, it promotes
technically sound, economically viable, environmentally non-
degrading, and socially acceptable use of countrys natural resources
to promote sustainable development of agriculture, ensure food
security, and a fair standard of living of the rural poor and minimizing
inter-regional disparities in development.
Development with a human face, which I am emphasizing as
the theme of this paper, addresses various issues of inter and intra
household food security, nutrition security, equity issues - especially
gender, social concerns and economic disparities - employment
generation and livelihood security. The social responsibilities of
science get recognition as important criteria in planning development
activities.
Phases in the agricultural development of our country
Agricultural development, which has been the mainstay of
economy of our country, had witnessed major ontogenesis in the
latter part of the last century.Broadly speaking, it has gone through
five phases of development.
In Phase 1, when subsistence farming was most common,
farmers essentially relied on their traditional wisdom of growing crops,
handed to them over generations, which was preserved by folklores,
predictions based on vital climatic signs, suitability of crops to
seasons and regions, and by selection procedures based on shrewd
observations and analysis.Domestication of plants was done to suit
varying needs and changes and consumption patterns, and eco-
friendly practices which primarily insisted on returning to the soil
what it got out of it. Native soil fertility was preserved by depending
on the soils resilience and ability to recoup when minimal
disturbances were applied. Since there was no pressure either of
population or on land, the system had a harmony of natural adjustment
with nature and its functions.
70
When pressures on land increased, and agriculture started
developing as an occupation that has to be designed for profit, Phase
2 which could be broadly termed as Exploitative agriculture
developed. There was increased discrimination in the production
processes, as well as in the choice of crops and varieties. More
productive seeds and animals were introduced through careful
selection processes, and external inputs like manures, fertilizers,
and other agricultural chemicals were used to increase productivity.
The first signs of scientific agriculture were evident and several new
technologies were developed; these were still dependent on low inputs
and eco-friendly practices. Since there was pressure on land, there
was an attempt at increasing the land area under cultivation and
marginal lands were also brought under the plough. The adverse
influence of these practices on the natural ecosystem started showing
up by way of loss in native soil fertility, decreased production from
the same land, water use problems leading to drop in water table
levels, and a host of associated limitations. Many regions of the
world were not able to fully meet the food requirements of their own
population, and widespread production constraints were recorded.
There was intense pressure on both scientists and farmers to produce
more, and demand for new technologies grew.
A major change in the production systems, appropriately termed
as Green Revolution marked the beginning of Phase 3 of agricultural
development. Plant breeders developed newer plant varieties with
high yield potential, and with chosen desirable characteristics. High
external input agriculture developed, and careful nutrient and pest
management became critical inputs. Agriculture became a
commercial venture. Globalization facilitated exchange of materials
and technologies and most parts of the globe witnessed dramatic
increase in production levels of food grains, milk and milk products,
meat and meat products etc., which people could never even conceive
of earlier. Developments in many spheres of science influenced
evolution of agricultural technologies. Technology spread was far
and wide, and pockets of intense production, and consequent
affluence developed. This was indeed the golden period of agricultural
development from the point of production and productivity. However,
this was also the period when the true dangers of exploitative
agriculture were noticed. Small and marginal farmers with limited
resource potential could not benefit from the high external input
agriculture. The technologies developed largely depended on high
use of fertilizers, agricultural chemicals for control of weeds, diseases
and pests, mechanized tillage practices and post harvest care. Many
71
of these practices interfered with the natural resilience ability of the
soil while over-exploitation of land caused problems like salinity,
alkalinity, water-logging, fall in water table, decline in Total Factor
Productivity etc. More serious than all these were the wide regional
disparities in production, socio-economic problems and environmental
concerns that fringed on the sustainability of ecosystems.Many social
scientists saw this as a sad phase of development that created
more problems than it sought to solve, though they recognize the
fact that the food needs of the world could never have been met but
for this production revolution.
We are now passing through Phase 4 of this development, which
has to sustain the fruits of this production revolution. Called the
Doubly Green Revolution (Gordon Conway) and Ever Green
Revolution (Swaminathan), the concept underscores environmentally
friendly and equitable agriculture, where the emphasis is on
ecologically friendly and environmentally safe agricultural practices.
The importance of appropriate natural resources management is
recognized and extensive use of Integrated Management of pests
and nutrients is the key. Marker-aided selection procedures, use of
biotechnology and gene manipulation for breeding of crops and
animals with desired characteristics supplements conventional
breeding and selection procedures, are extensively adopted.The
social responsibilities of science are recognized and development
of technology takes into account employment generation and
providing livelihood opportunities. Minimizing regional disparities in
development and social and economic inequities are given greater
attention, and in Amartya Sens words, a balanced set of rules are
developed.This phase attempts to balance between development
for production and productivity with ecologically sound and socially
relevant agriculture.
As we move into Phase 5 of development, the emphasis will be
on socially conscious futuristic agriculture that is compatible with
ecology and environment. The opening up of the worlds borders for
trade will bring a high element of competitiveness in agriculture.
Agriculture will be designed for increased prosperity and expansion
of livelihood opportunities.Consumption patterns will drastically
change in keeping with greater affluence and purchasing power of
people and in deference to food preferences, selective consumption
of articles of food will be noticed. Nutrition and food sanitation will
receive greater attention. In the development of transgenic crops,
breeding will emphasize addition of genes that have little commercial
value, but are nutritionally important. This will include protein
72
enrichment with essential amino acids, incorporation of Vitamin A,
bio-available iron etc. in the grains, so that supplementation through
drugs and chemicals are not needed.The value of the ecosystem
services will be increasingly recognized.Sustainability rather than
profitability will be the primary goal and the importance of eco-
economy will be realized. Future agricultural research will have to
focus to service this phase of development.
Agricultural development challenges of Agricultural Universities
The Acts of the Agricultural Universities specify that one of the
prime objectives of the university is undertaking the extension
education of such sciences and technologies specially for the rural
people of the State. In view of this specific mandate, at one time, it
was even suggested that agricultural universities should be renamed
as rural universities. Under this objective, the Universities have a
mandate of research and training that will help the rural population in
overcoming many of their problems of overall development increasing
agricultural production, income enhancement and drudgery removal.
Besides, these institutions can perform a vital role in planning and
monitoring of several ongoing activities of the rural development
plans, both on the basis of expertise and from penetrating insights
and experiences it has acquired. It is axiomatic that sensitizing the
rural population and evoking their conscience, coupled with their
organization is the basic requirement of any rural development plan
that addresses the techno-economic and socio-cultural problems.
Further, this mandate assumes special significance in view of the
changing social environment and the increased importance that the
Government is paying to rural development activities.
Three important factors that have concerned planners of agricultural
development are:
1. Decline in Total Factor Productivity in most areas, notably
in the Rice-Wheat production system, which is not only the
most fertile and productive systems, but also the most
popular in the region.
2. Increase in cost of production with no concomitant increases
in the prices of primary agricultural commodities.
3. Stagnation or decline in capital formation in agriculture both
in the public and private sector.
These are techno-economic and socio-cultural issues which
will require the attention of multidisciplinary approaches, specially
the involvement of social scientists.
73
Role of agricultural research in developing benign technologies
Research should play both a reactive and proactive role and
should be designed to solve farm problems practically and
pragmatically. The ultimate inputs of agricultural research are to
improve agricultural production brought about in a benign
environment.A comprehensive systems approach to the development
and adoption process is needed. The viability of such technological
innovations depends on the changing circumstances, which critically
covers, need, market trends, input and resource availability and
above all support policies.
Enhancing sustainability of agricultural production systems,
promoting sustaining and equitable use of natural resources,
protecting environment, meeting diversified consumption needs,
achieving regionally balanced growth, alleviation of poverty,
strengthening food and nutritional security shall be major development
concerns. While agriculture will become internationally more
competitive, care has to be taken to ensure that the interests of
small holders, landless labour and the disadvantaged sections of
the community are not bypassed. Deliberate attempts should be
made to protect them by focusing on cost-reducing technological
innovations, creating employment and income generating
opportunities and realizing economies of scale. The strategies for
development will focus on rural technologies that would be resource
neutral, while at the same time, adequate attention will also be paid
to cutting edge technologies that will promote capital formation in
agriculture. Anticipatory and impact-oriented research that transforms
societies towards better health and standards of living will receive
high attention. This may include monitoring changes in climate and
agricultural scenario, developing prediction models and developing
technologies for effective management of such changes. These
may be formidable challenges.
Advances in Information technology is transforming even our
rural areas into knowledge-intensive societies. Many of our programs
will have to be tailored to mainstream IT into our development
programs. The experiences of the M. S. Swaminathan Research
Foundation in establishing knowledge centres and virtual universities
in the rural areas is worth emulating. It is high time that agricultural
universities developing innovative methods and techniques of
knowledge spread which can be used for the dissemination of not
only agricultural extension information, but also work towards social
good.
74
Thrust area for development with a human face
As has been pointed out earlier, sectoral plans of development
have not had the desired effect at rapid development. What is
required is a holistic emphasis on Human Development. This term
is a widely pervasive one that covers improving the quality of life,
removal of drudgery, development of multiple livelihood opportunities
contributing to income enhancement, better health and nutrition
brought about by more favourable environmental sanitation,
empowerment of people leading to evolution of better social structure,
improvement of literacy and education that brings in awareness for
development, encouragement of self-help etc. Reorienting research
programs towards the fulfillment of these goals will require a paradigm
shift and change in outlook on the part of researchers in
understanding and defining problems and in finding suitable and
appropriate solutions. Research programs should be developed on
a participatory mode and development plans need to be meshed
with existing organizational structures and social norms.
The role of the Universities in making significant contribution to the
welfare of the rural poor can be broadly grouped as under:
I. Technological options for increased production:
Increasing agricultural production with stability, sustainability
and environment protection is one of the primary objectives
of research by Universities. The approaches may be in the
development of genetically improved crop varieties suitable
for the region, a more suitable crop rotation, better land use
and soil conservation techniques for more efficient land
management, integrated water management system etc.
Further the effort will be to maintain resource neutrality to
the extent possible. Most of these options will be highly
location specific and need to be site-tested before wider
adoption.
II. Diversification of agriculture: Traditional agriculture needs
to be diversified so as to improve farmers income. Crop-
efficient zones should be identified and their production in
these areas should be intensified by the use of appropriate
technological packages. Where relevant practices such as
cultivation of fruits and vegetable crops, dairying, poultry,
goat rearing, sericulture and mushroom cultivation, either
as additional activity or even replacing existing practices
should be encouraged.Experiences are galore where
farmers income has substantial increase by an appropriate
choice of crops as well as diversification of activities.
75
III. Primary processing and value addition: Most agricultural
commodities require several stages of processing before
they are in the hands of the consumers. Every activity
involved in these processing stages is also a value addition
of the product. It has been estimated that, at the farm gate
level, the price of agricultural produce is only 40% of the
price of the product that the consumer pays. The rest is the
middle mens earnings, the cost of the processing steps,
processing, packaging and marketing expenditure as well
as the costs of storage and a series of losses that occur
from harvest to sale. While there are conscious efforts to
minimize the cost involved in these steps, there will be a
wide difference between the price of the primary commodity
that the farmer gets, and the finished products that the
consumer buys. Some of the storage and processing steps,
specially those that do not require a high degree of
sophistication, can be handled at the farm level itself so
that the benefits of increased income can reach the farmer
himself. Universities can play an active role in making
available these services including the training required to
acquire the specific skills needed.
IV. Increased livelihood opportunities: Enhanced income
from diversification of crop and commodities will be the
main approach to improve the lot of the rural poor. Besides
the primary product a number of by-products from the same
plant or crop can also be produced at the rural level provided
appropriate technologies are available. Numerous examples
can be cited where such diversification of products is
possible for example cashew is mainly grown for its nuts
but the cashew apple which is normally thrown away can
be processed for a delightful and nutritious drink provided it
is made more palatable and packing ensures maintenance
of quality. The juice can also be processed for alcohol. The
department of food processing at the University as well as
the Department of Agriculture can play a significant role in
bringing home such knowledge.
V. Conservation of Biodiversity: Even though rural folk and
villages continue to be the storehouse of wisdom in
biodiversity, there is a grave threat to it because of the lack
of a coordinated mechanism to conserve both the species
and the knowledge about them. A large number of rare
plants with many divergent uses have been identified, but
76
a lot more need to be chronicled and studied. Universities,
in general, have not taken the required initiative to
understand and document indigenous technical knowledge
that seeks to preserve the disappearing information about
the plants and the traditional practices. The scientific
rationale of these practices should be studied so that the
benefits of modern sciences are available in interpreting
them more diligently. The benefits from conservation of
biodiversity and traditional knowledge should be available
to not only individual farmers but also to the communities
which have painstakingly and steadfast preserved them.
Modern technology provides ample scope for such
documentation and quick dissemination. Universities can
play a very significant part in this activity.
VI. Health and Nutrition: Health and nutrition education should
form an essential component of rural development. Protein
and Calorie malnutrition is fairly widespread. The problem
can be solved only by knowledge on appropriate nutrition
needs. Malnutrition, especially micronutrient malnutrition,
also known as the hidden hunger, is also a chronic problem.
Vitamin A, iron, and iodine deficiency are the most serious
problems.
Research-Extension Linkages
The success of Indian agriculture from 1960s to 2000 is the
product of a partnership between the research and extension
systems. However, field level adoption of far-reaching technologies
has not kept pace with rapid advances in technology generation.
The most serious institutional problem impeding the flow of improved
technologies to farmers is Research-Extension linkage and interface.
While the farmer is the key element in the agricultural production
process, research and extension support these activities with
improved technologies and methods. The ultimate adoption decision
is made by the farmers, who assess the technological information
resulting from research, together with a set of other factors that
affect the suitability and profitability of their enterprise such as price
support, input distribution, subsidies credit, taxes and marketing
policies and their own resource base, particularly capital, land and
labour. The sustainability of the technology system in the long run
depends on such critical decisions made by the farmer and this is
not a static measure, but is a scenario that encompasses the entire
system and the changing complexities that go with it.
77
In the light of changes in the rural agricultural scenario, priorities
in research undergo some major changes as outlined earlier in the
paper. Participatory approach gives credence and recognition to all
the parties involved in the development chain, the farmers,
researchers, extension workers and planning functionaries. The
primary emphasis is on the farmer not as a beneficiary of a program,
but as partner in progress. The National Policy on Agriculture seeks
to strengthen research and extension linkages to improve quality
and effectiveness of both the systems. The extension system needs
to be more broad-based .
Epilogue
Human development as an all pervasive purpose would demand
a high degree of social mobilization, participatory involvement at
the grassroots level and location-specific technologies which blend
indigenous knowledge with advances in modern science. This
requires a paradigm shift and attitudinal change. While resources
will always be limiting for such endeavors, commitment of individuals
and groups, innovativeness in action and a visionary zeal for
accomplishment will pave the way for success.
78
EMERGING ISSUES IN MANAGEMENT OF
AGRICULTURAL RESEARCH IN THE CHANGING
GLOBAL PERSPECTIVE
R. K. Samanta1 and Bharat S. Sontakki 2
National Academy of Agricultural Research Management
Rajendranagar, Hyderabad 500 030
Prologue
Food production, hunger, poverty, economic growth, and natural
resource degradation will continue as the major challenges through
out the world especially in the less developed and developing nations.
As the global population climbs to an expected 8,000 million by
2025, these problems are going to be more acute than ever before.
Today at least 800 million people suffer from chronic hunger. Pervasive
poverty remains largely rural.
Ensuring a competitive agricultural economy is critical for
reducing poverty, enabling food security, and managing natural
resources in a sustainable fashion. Agriculture continues to be the
major livelihood option for more than 60 percent of people in
developing country, and in many countries farm families make up
80 percent or more of the population (World Bank, 1990). Agriculture
has already reached the limits of land and water, thus future increases
in food production must exploit biological yields on existing land
(World Bank, 1997). Hence, these challenges put tremendous
pressure on agriculture to change from the way it used to be practiced
earlier and practiced even today. Agriculture of next generation has
to go beyond mere food production to be a propellant of economic
development by being sustainable, environmental friendly and market
oriented. One of the prime movers of agricultural development
agricultural research has to play a crucial role in ushering in such a
transformation in agriculture to meet the challenges and emerging
issues.
Agricultural Research Management Concept and Importance
In the context of this paper agricultural research management
is operationalized as a comprehensive process of planning,
conducting, monitoring and evaluating agricultural research.
Essentially, it refers to how exactly the research is planned and
managed to achieve the objectives set. The reorientation of
agricultural research in management perspective is the outcome of
1-Director and 2-Senior Scientist
79
developments in the area of operations research, which again
evolved as a specialized subject and profession in the post-World
War II years. An assessment of evolution of agricultural research
reveals that what started as curiosity experiments today stands as
a distinct area attracting substantial investments nationally and
globally and contributing in equal measures to ensure food, nutritional
and livelihood security of millions of rural poor and farmers. With
increasing population, there was a necessity to increase food
production, which was the prime accelerator of agricultural research.
Then as more and more investments started pouring in for agricultural
research, there was compulsion on better focusing of research efforts
and also its systematic management.
Today, we are a part of a highly complex and competitive world.
While the challenges to agricultural research are becoming more
complex, the funding has started to decline. This is leading to a
situation where the entire process of agricultural research right from
identifying problem, planning, conducting to the spread of the
outcomes, has to be managed more professionally. Hence
professional management of agricultural research has become both
a necessity as well as order of the day.
The need for professional management of agricultural research
on the basis of scientific theories and principles of management is
aptly highlighted by Arnon (1968) as follows: The management of
the research organization, at all its levels, is, in most cases, in the
hands of veteran agricultural research workers who have risen from
the ranks. This is as it should be. However, here we have people
who, by training and inclination, have usually been conditioned to
averseness to administration in all its manifestations. They are then
made responsible for managerial activities in an extremely complex
field, for which they have had little or no training whatsoever and for
which their only qualifications are their individual character traits
and standing with their research colleagues. Administrative
understanding is usually incidental and rarely present.
Emergence of Management Perspective in Agricultural Research
Agricultural research is probably the first and the most
widespread form of organized research in the world. It is also a
major professional activity in which the entire world including nations
from developed, developing and underdeveloped world are interested
and engaged in for various reasons and objectives. If research is
construed as a human process of constantly improving life and life
processes by innovating then human beings even in the most primitive
civilization qualify as researchers as they were compelled to explore
80
new flora and fauna for the purpose of meeting hunger. Then,
we may say that agriculture research is as old as human civilization
itself. However, with human civilizations settling for a more organized
way of life, agriculture and agricultural research saw drastic changes
insofar as domestication and culture of plants and animals was
considered. Individuals were making conscious and systematic
attempts to apply scientific knowledge to improve agriculture by the
middle of the eighteenth century (Asopa and Beye, 1997).
During the 18th century, agricultural research was characterized
by gifted individuals working on their own initiative, establishing and
recording unrelated findings which had little impact on agriculture. A
management innovation occurred in the nineteenth century, when
learned farmers began to form societies with the objective of defining
and solving their problems. Interacting with interested chemists,
these societies took the initiative in setting up laboratories and field
experiments. Agricultural science began to grow and develop in a
systematic fashion, mirrored by improved farming methods and
practices. By the middle of the 19th century, organized agricultural
research started taking better shape in the mid-19th century with the
establishment of institutions like the Agricultural Chemistry
Association of Scotland, and the Agricultural Experiment Station,
Möckern, Saxony (Asopa and Beye, 1997).
Looking back, the major questions addressed seemed to have
concerned the nature and structure of the new organizations, the
setting of priorities, the proper source of support, the relationship of
research to the farmer, the relative emphasis to be placed on research
and diffusion of research results, the degree of appropriate autonomy
for the research organization, and other issues of management. It
was only through effectively dealing with these management issues
in industrialized economies that agricultural research was able to
grow and lead agricultural development into the last quarter of the
twentieth century.
In India too, organized efforts at agricultural research date back
to early 20 th century when the erstwhile British government
established Imperial Agricultural Research Institute at Pusa in Bihar
in 1905. Subsequently, this pioneering institute became known as
Indian Agricultural Research Institute and was shifted to the national
capital of Delhi. Establishment of Imperial Council of Agricultural
Research, which was subsequently renamed as Indian Council of
Agricultural Research (ICAR) as an apex body to coordinate
agricultural research, is the major landmark event. The real impetus
for regionalizing agricultural research was seen from 1960s onwards
when a series of State Agricultural Universities (SAUs) were
81
established on the pattern of the Land Grant Colleges of USA with
trifunctional responsibilities of agricultural education, research and
extension. Today, the ICAR and SAU systems constitute one of the
largest National Agricultural Research Systems in the world in terms
of both size and diversity of institutes.
Prior to independence, agricultural research in many economies
was largely focused on crops of economic significance for the colonial
powers. The research institutions and experiment stations that
emerged usually focused on plantation crops, and were staffed by
expatriate scientists. Following independence, it was normal for
governments to initiate research on improving agriculture to attain
food self-sufficiency. This transition - from colonial to national
agricultural research systems (NARS) - often started with fairly good
research facilities and equipment, and some technicians. It was
rare, however, to find a national who had been trained and nurtured
to the level of a scientist, and rarer still to find such a person with
managerial experience. Establishment of International Service for
National Agricultural Research (ISNAR) was an effort to bridge this
gap. Meanwhile, in India too a need was being felt of the importance
of human resource development for better management of agricultural
research. Creation of a national level Agricultural Research Service
in 1976 and starting of the National Academy of Agricultural Research
Management (as Central Staff College for Agriculture) were the
manifestations of this need. Since then, agricultural research has
been receiving good deal of management perspective in terms of its
planning, conducting, monitoring and evaluating.
Agricultural Research Continuum Implications for Management
Agricultural research primarily has been applied and adaptive
research. However, with rapid development in science and technology
on the one hand and complexities of the problems confronted in the
farm sector on the other, led to initiation of basic and strategic
research in agriculture. Conceptualized as essentially technology
development process, agricultural research has now come to be
visualized and practiced in a vast continuum with its scope extending
up to technology transfer and adoption. This continuum of research
in agriculture is illustrated in figure 1. It is necessary to note that the
agricultural research is one vast subsystem (extending the main
objective of agricultural research is to solve the farm and farming
related problems of farmers by developing appropriate technologies.
Research management primarily involves perception/identification
and articulation of the research problem, project prioritization,
selection and resource allocation, planning of research activities,
monitoring and review of the project, and utilization of research results.
82
The technology development and transfer processes form a
continuum on which our research and extension activities are carried
out (figure 1).
Stakeholders of Agricultural Research
The primary stakeholders of agricultural research are the
farmers. Besides, a host of other interest groups have their own
stakes in agricultural research. Figure 2 illustrates the possible
stakeholder groups in agricultural research process.
Figure 1. Continuum of agricultural research technology

development, transfer and adoption
M arket
C redit Extension
Institution s Farm ers
R esearch Fun ding

Institutes A gencies
Farm ers Inp ut & S ervice

G overnm en t
A gencies
Storage,
Processing & Industry
Figure 2. Stake holders of agricultural research
83
Changing Global Perspective of Agricultural Research
As mentioned elsewhere, agricultural research has come to ages
in terms of its content, form and nature. Today, it attracts a substantial
international funding as food and nutritional security haunt human
civilization even in this 21 st century characterized by rapid
advancements in science and technology. The real drastic changes
in the nature of agricultural research began to happen in the second
half of the bygone millennium when we had agricultural revolutions
green, white, blue and now rainbow. With advancements in genetic
and cytogenetic research farm scientist began to evolve new strains,
hybrids and varieties of both crops and livestock, which tremendously
helped in at least partially overcoming the challenges of hunger and
poverty. This period also saw the birth of a number of institutions
nationally and internationally specializing on different commodities
and systems of agriculture. Meanwhile, strides made in molecular
biology, biochemistry, biotechnology, informatics and bioinformatics
started to significantly infuse considerable research efforts of basic
nature in agriculture too. There was rapid growth in agricultural
sciences with several new specializations taking root and consequent
developments in human knowledge and skills leading to availability
of qualified and trained manpower in both conventional and emerging
areas of agriculture.
However, all these spectacular developments and achievements
could not help in fully overcoming the challenges of poverty, hunger
and malnutrition. Then slowly but steadily a few question marks
started appearing on the contribution of agricultural research,
especially to those international donors of agricultural research.
Simultaneously, the developments like General Agreements on Trade
and Tariff (GATT) and World Trade Agreements (WTA) added new
dimensions to agricultural research in terms of protection of intellectual
property rights, movement and trade of commodities, subsidies,
etc. posing newer challenges to agricultural research. Growing
concern over environmental implications of agricultural research/
technologies, depletion/degradation of natural resources, rising
regional and socio-economic disparities, sustainability of farm
production together with shrinking resources and fast changing
expectations of stakeholders have started exerting influence in further
alteration of the nature of agricultural research.
Mudahar et al. (1998) have summarized some of the changes
occurring in agricultural research systems around the world in terms
of a) increased emphasis on the cost effectiveness of agricultural
research, often requiring reductions in staff and streamlining of
bureaucracies, b) resource commitments based on anticipated
84
applied research outcomes, c) increased involvement by users in
decision making, d) more access to research resources by those
likely to benefit from its outcomes, including farmers, processing
firms and seed producers, etc. e) responsibility and substantial
autonomy for management of research in main centres, with policy
and funding bodies providing only overall guidelines on programmes
and outcomes and f) shift from basic to applied research while
ensuring public good linkage between basic and applied research.
Based on the above discussion, the points presented in box 1
below emerge as the significant changes that have happened in
agricultural research over the years, which will have a critical impact
on the way we are going to manage agricultural research in the days
to come.
Ø Change in orientation from disciplinary to multidisciplinary
and interdisciplinary research
Ø Availability of specialized manpower to carry out all forms
of research in agriculture
Ø Growth in number of research institutions and research
infrastructure
Ø Change in stakeholders expectations from domestic
consumption to international trade, value addition,
processing, packaging, change in food habits, etc.
Ø Need for accountability of agricultural research
Ø Payoff to agricultural research
Ø Private investments and interests in agricultural research
Ø Evolution of participatory appraisal methods
Ø Changing nature of farm problems
Ø Availability of high-tech knowledge and skills in frontier
areas
Ø Growing concerns on the implications of WTO on agriculture
Box 1. Significant changes in Management of Agricultural Research
Needless to say, todays requirement is to manage agricultural

research in the most professional manner using the principles and
practices of management science. It is in this backdrop that an
attempt is made to both identify and analyze the emerging issues
that need to be addressed by agricultural research of today and
tomorrow.
85
Emerging Issues in Management of Agricultural Research
Stakeholder related issues : Agricultural research of
yesteryears had relatively less number often farmers and state,
stakeholders than it has today. With advances in agricultural sciences
vis-à-vis developments in industry and other sectors, the stakeholder
gamut has changed significantly. Today, agricultural research is seen
as a means to achieve the overall development of human society.
The increasing stakeholder spectrum means wide and varied
expectations from the research system. These expectations are
reflected in the multiple and sometimes conflicting objectives set
for agricultural research, like production and productivity concerns,
sustainability, equity, etc. Hence, agricultural research has to work
under a more dynamic and fast changing environment, which makes
the task of research manager and scientist very challenging. However,
the fast evolving methodologies for stakeholder participation in
agricultural research like the rapid/participatory rural appraisal (R/
PRA), participatory research, participatory technology development
(PTD), etc. offer new and renewed hope and interest to research
community. The emphasis of these alternative approaches is to
recognize stakeholders as equal partners in research process, so
that they own the system, process and outputs of agricultural
research. The recent innovation of Strategic Research Extension
Plan (SREP) tried under NATP acknowledges the importance of
multiple stakeholders for agricultural research and has all the potential
to involve them in voicing their research needs.
Issues related to research funding : Global trends of
investment in agricultural research reveal gradual decline in public
funding. As policy reform continues, concerns are increasing that
the rapid growth in agricultural production is waning. These concerns
are heightened by a perception that the returns to agricultural research
may be declining over time because the easiest gains from the
Green Revolution have already been reaped through the rapid spread
of modern varieties of wheat and rice, leading to high levels of modern
variety adoption and high input use in many regions of India, and by
the failure of domestic and foreign research to generate crop varieties
with higher maximum yields than varieties produced in the 1960s
(Rosegrant and Pingali, 1994). Public investments in agriculture are
declining, and the annual increment to gross capital formation in
agriculture is now lower than in the early 1980s. This decline appears
to be happening in all states, not just the poorer ones. At the same
time, increasing shares of total public expenditures on agriculture
86
have been allocated to input subsidies, rather than to productivity
enhancing investments. The share of input subsidies in public
expenditures in agriculture increased from 44 per cent in the early
1980s to 83 percent by 1990 (Rao, 1994). During this period private
investment in agriculture did not compensate for the decline in public
investment. Because of the apparent high complementarity between
public and private investment, and the adverse terms of trade for
agriculture during the 1980s, private investment also declined through
much of the 1980s before recovering modestly during the early 1990s
(Rao and Gulati, 1994). Based on a thorough analysis of funding
and organization of agricultural research in India, Suresh Pal and
Byerlee (2003) remarked that the efficiency and effectiveness of
public sector agricultural research will depend on critical policy
changes and institutional and management reforms like autonomy,
decentralization, financial flexibility, and accountability.
The implications of decline in public funding for agriculture
research are far too serious. While, there is a dire need to
pragmatically assess our research priorities at both macro and micro
levels, greater financial discipline has to be exercised to ensure
proper utilization of scarce research budgets. Duplication in research
efforts needs to be avoided by more concerted efforts like research
in network and collaborative modes. Signals are also strong towards
cost sharing by the stakeholders so that their participation and
accountability sharing in agricultural research are enhanced.
Environmental issues: While the green revolution and its
aftermaths leading to rainbow revolution in agriculture contributed
substantially to achieve the primary objective of ensuring enough
food reserves, it also brought in high external input use in Indian
agriculture. Consequent indiscriminate use of agri inputs like
fertilizers, plant protection chemicals, growth promoters, herbicides,
etc. have started causing alarms to natural resources like soil, water
and environment. Shift in cropping patterns in favour of cash crops
even though desirable were accompanied by overuse of external
inputs threatening sustainability of natural resources on the one hand
and leading to build up pest resistances on the other. Mishandling of
some of the farm research outcomes have come in for sharp scrutiny
under the environmental concerns. Growing concern for environment
is calling for eco-friendly farming practices. Under these
circumstances, agricultural research has to reorient itself to address
these emerging concerns of natural resource degradation and
environmental safety.
Sustainability issues: Agricultural research during its sojourn
has successfully addressed pressing needs of time. Barely a decade
87
and half after independence, the seeds of green revolution were
sown and we could harvest its benefits in ensuring self sufficiency
in food grain production. What followed green revolution in the form
of white and blue revolution was still more spectacular in earning
valuable foreign exchange through trade of milk, milk products, fish
and marine products. However, the real success of agriculture is
determined by the extent to which it can continue to provide adequate
and reliable food supplies to the growing population (Evans, 1993).
In spite of its growing importance, there seems to be a general lack
of precise conceptual framework for understanding and practising
sustainable agriculture. Such a lacuna arises primarily due to multiple
and hierarchical levels at which agricultural systems can be defined
for example, soil-plant system, cropping system, farming system,
agro-eco system, and so on to higher regional, national and global
systems (Lynam, 1994). It, therefore, follows that any attempt to
fully comprehend sustainability requires the system level to be
specified. For effective formulation and implementation of research
management strategies aimed at sustainable agriculture, various
issues need to be addressed at least at two levels namely farming
system and agro-eco system. Then at these two levels appropriate
linkages can be worked out to strike a balance between the two
contradictory dimensions of sustainability profitability and
environmental/social welfare concerns. Sustainability thus has
physical, ecological, socio-economic, cultural and ethical dimensions
that operate differently at different levels. Based on a critical
examination of the concept of sustainability, Rao et al (2002) offered
the following three components of a sustainability driven research
perspective: i) crop production system perspective to address
production and profitability concerns at the farm level (to
accommodate the biophysical dimension), ii) regional natural resource
management perspective with a relatively short term focus on
regional resources, production, income and their distribution (to
accommodate the social dimension) and iii) regional ecosystem
health perspective with a long term focus to address ecological and
environmental concerns (to accommodate ecological, ethical and
aesthetic dimensions). Therefore, in order to successfully address
the issue of sustainability, we have to change our approach from
commodity to system orientation. This is easier said than done, as
it calls for structural and functional modifications in our institutional
set up.
Gender Issues : The realization of the importance of women in
agriculture vis-à-vis their role and contributions has come a rather
late in to the focus of agricultural research. History has it that women
played key role in domestication of animal and plants and thereby
laid the foundation for settled agriculture. In todays modern
88
technology driven era too women continue to play vital role in many
a farm operation. In fact, several studies have revealed that decisions
on technology use in agriculture are joint-decisions with equal say
by spouses of farmers. There are many specific farm operations,
like sowing/planting, weeding, fertilizer application, harvesting, post-
harvest processing, marketing, etc., which are exclusive domains
of farmwomen. Similarly, in animal husbandry feeding, cleaning,
milking, processing and marketing are done by women. In fisheries
too, women play a major role in marketing. However, agricultural
research, by and large, failed to recognize such contributions of
women and most of the farm technologies emerging from conventional
research have had orientation towards masculine gender. Of late,
however, there has been growing realization of the gender issues.
There are well evolved methodologies to study the role of gender
issues in agriculture like gender-analysis, which can be made use
of to identify technology/information needs of farm women and then
developing appropriate gender-friendly technologies. Hence, the
emerging context of agricultural research requires focusing
considerable attention on ensuring gender equity in agriculture by
suitable research efforts.
Issues related to research-extension-farmer linkages:
Building effective linkage among the research (technology
development) system, extension (technology transfer) system and
client (technology user) system is a strategic issue in management
of agricultural research. If investment in agricultural research has to
be judged in terms of its outcomes impact on the society, there has
to be a strong interface among the three major systems of agricultural
development viz., research, extension and client systems. Further,
the participatory approaches that have seen a lot of evolution over
the past couple of decades aim at increasing the stakeholders
demands on the research agenda of research systems. World wide
a great deal of attention is being given to explore the intricacies
involved in forging strong functional linkages among the various
stakeholders of agricultural research so that research efforts lead to
better technology adoption and thereby achieving goals of agricultural
development. The recently experimented approaches like Institution
Village Linkage Project (IVLP), SREP approach piloted in the NATP
are fairly successful in addressing the issue of R-E-F linkage.
However, given the diversity of conditions and contexts prevailing in
our country linkage issue needs to be looked more as a micro level
issue to foster context specific linkage mechanisms. Acknowledging
and analyzing pluralism in agricultural extension systems, Samanta
and Sontakki (2005) suggested measures like institutional
revitalization, decentralization, fiscal, organization and management
reforms, stakeholder analysis, corporate marketing strategies like
89
segregation, targeting and positioning and corporatization of work
culture to improve performance of extension in the plural context
vis-à-vis its linkage with research and client systems.
Trade and intellectual property related issues: With our
country being a signatory to the WTO and its agreements like
Technical Barriers to Trade (TBT), Trade Related Intellectual Property
Rights (TRIPS) and Agreement on Agriculture (AoA), guarding of
our indigenous knowledge (IK) and management of intellectual
property assume critical importance. Research is essentially an
intellectual pursuit and research outcomes new knowledge, process,
products, etc. become intellectual property and need to be protected
by appropriate means like licensing, copyrighting, patenting, etc. In
the liberalized global trade scenario, agriculture has to be competitive
from the point of both domestic and international markets and trade.
This implies that a great deal of effort has to go into not only
documenting and protecting our IK and quality management in food
and fibre production. All these developments have thrown open a
wide spectrum of areas for research endeavours to generate empirical
data and models on various farming systems. While the government
has initiated action by enacting Plant Variety Protection Bill in 2001,
the scientific fraternity in farm sciences has to be proactive in not
only better focusing of their research efforts but also in protecting
the research outcomes. The first step in this direction would be to
sensitize the National Agricultural Research System (NARS)
scientists to various issues of WTO and their implications for research
and technology transfer. NAARM has initiated efforts in this direction
by conducting policy level deliberations as well as capacity building
programmes. Rao and Sastry (2004) observed that in the past few
years the need for specific policy guidelines for managing intellectual
property is being increasingly felt in the public agricultural research
systems in India and such a policy must be based on a framework
comprising the institutional vision, mission and stakeholder interests
and an assessment of the present global scenario with respect to
the impacts of intellectual property rights on agricultural research
and the overall social mission of public agricultural research systems.
They proposed a set of guiding principles for managing IP in the
premier public agricultural research system of India, the ICAR at
three specific levels namely ICAR, institute and individual scientist.
These guidelines are consistent with the declared vision and mission
of ICAR and keep in view the interests of its different stakeholders.
Issues related to human resource management: Human
resource management forms an integral component of systematic
management of agricultural research. In its broadest sense,
90
HRM means having right type of people to do right kind of jobs at
right times so as to achieve the organizational goal and objectives.
However, this has a low priority area in the whole spectrum of
agricultural research management. But with new recruitments
becoming sparse, there is going to be increased pressure on existing
stock of human resource in agricultural research. It is being argued
that in the next couple of years, NARS is going to be depleted of its
scientific manpower by 30-40%. Measures like outsourcing,
contractual services, manpower retention, etc. are going to be very
critical in the years to come. As a measure of manpower retention,
a strategic approach to capacity building of NARS scientists is
essential. NAARM again initiated a modest beginning in this direction
by developing guidelines for HRD in ICAR institutes.
Issues related to information technology: One of the most
fascinating developments of this century is the information
technology, which pervades all human endeavours. Agricultural
research is no exception to absorb the benefits of IT revolution. The
agricultural scientists of 21st century need to be IT-literates to make
good use of various IT applications in reducing the space and time
barriers in development and dissemination of agricultural
technologies. IT applications like Geographic Information System
(GIS), Remote Sensing (RS), Multimedia, Decision Support Systems,
Modeling, Web, Internet, etc. hold immense potential in enhancing
the research effectiveness and efficiency and therefore need to be
well integrated in to the agricultural research management perspective
of 21st century. NAARM has pioneered in capacity building of NARS
scientists in this area and has identified IT applications in agriculture
as a major priority area to focus research and training efforts in the
years to come.
Organization and management reforms: The National
Agricultural Technology Project (NATP) laid major emphasis on
institutionalizing O&M reforms like Priority Setting, Monitoring and
Evaluation (PME), human resource development for research
management, information systems and management, etc. These
measures need to be augmented by the Indian NARS institutions
with other measures like project based budgeting, accountability
enhancement and nurturing performance oriented work culture.
New Paradigm of Agricultural Research Management
In order to successfully address the above issues and
challenges, ARM needs to be looked in to an altogether new
perspective. This calls for a paradigm shift in both concept and
practice of management of agricultural research. World wide, good
91
Table 1. Shifts in dimensions of agricultural research management new
paradigm
Dimensions of ARM Existing Paradigm New Paradigm
Focus Commodity Farming systems
Orientation Disciplinary Multi/Interdisciplinary
Approach Business as usual Professional
Goal Food and nutritional security Livelihood security including

food, nutrition, employment to
alleviate poverty,
Sustainability and
Environmental Safety
Philosophy Good management in Good governance to
response to global changes anticipate change by
institutional learning and
change management
Emphasis Information management Knowledge management and
sharing
Key processes Research planning and Priority setting, monitoring
management and evaluation, Collaboration
and Networking to achieve
synergy among various
actors, Project based
budgeting
Actors Mostly public institutions Pluralistic with public, private
and non-governmental
institutions
Mode Mostly on-station Integration of client oriented
on-farm participatory research
Critical areas Improvement, production, Biotechnology, Bioinformatics,
protection and processing of Decision support systems,
crops and livestock Genomics, Social audit, Crop-
products livestock interactions, Value
addition, Market intelligence,
Client group processes, etc.
Critical inputs Money and material Human and information
Impetus Supply driven Demand driven
IP management Less concern Systematic and professional
management of IP
Accountability Mostly to donors All the stakeholders
Work culture Individualistic and Team and performance

mechanistic oriented
92
management is giving way to good governance, which emphasizes
performance oriented work culture to achieve the organizational goals
and objectives to meet the stakeholder expectations and thereby
achieve greater accountability.
Earl et.al., (2001) listed the substantive research challenges
as i) addressing access, production and nutritional aspects of
sustainable food security; ii) integrating natural resources, forestry
and fisheries into sustainable food security research; iii) addressing
resource poor agriculture in marginal areas - integrating new areas
of science (e.g. biotechnology, communication and information
technology); iv) addressing household food security in the context
of livelihood and food systems strategies; v) adapting to changing
population demographics - particularly rapid urbanization; vi)
integrating local knowledge and transfer mechanisms; vii) integrating
non-agricultural food security research issues; viii) addressing
sustainable food security in light of trade liberalization,
decentralization, diversification and property rights; and ix)
incorporating nutritional considerations in food and agricultural
research. They also listed research process challenges as
implementing participatory, demand-driven and people-centered
research approaches; integrating agricultural, ecological and social
sciences into an interdisciplinary research paradigm; integrating
gender, age, ethnicity, poverty and other dimensions of exclusion;
enhancing linkages between research and policy-making related to
sustainable food security; changing relationships between research,
education and extension; identifying mechanisms for integration of
various actors, institutions and their roles; developing private sector
research partnerships; seeking mechanisms to improve human and
financial resources for more effective research programmes;
decentralizing research and bringing smaller research units closer
to producers; research planning and priority setting; improving
institutional capacity and management; and informing policy on
research, agriculture and development.
Suresh Pal and Byerlee (2003) called for greater realization at
the policy level of the need for reform in order to keep pace with
global changes. They also recommended that the public research
system itself requires an internal paradigm shift that links funding to
performance of research providers, improves relevance of research
through participatory approaches, and institutes a performance-based
incentives and reward system.
Norton (2004) remarks that in recent years it has been accepted
that traditional ways of carrying out agricultural research and extension
are no longer satisfactory; that in spite of their apparently high returns,
these systems can perform better under new approaches that lead
to different institutional arrangements and that respond to a new
93
operational philosophy. He indicated identification and implementation
of the research agenda, management and institutional structures for
agricultural research, financing of agricultural research, agricultural
research and poverty alleviation and gender approaches in agricultural
research as the new directions in management of agricultural
research.
Based on diagnosis of the emerging issues in the context of
changing global perspective, a new paradigm for conceptualizing
and operating agricultural research is evolved. This new paradigm
indicating shifts in its dimensions is diagrammatically represented
in table 1. Since the suggested changes in the new paradigm of
managing agricultural research are already discussed in some form
or the other elsewhere in this paper, they are not elaborated further.
Moreover, these are only a few indicative changes and are gradually
evolving. Yet, it is important to realize that these changes are
happening. Therefore, by regular debates and discussions these
issues are likely to become practices in the suggested new paradigm.
Epilogue
In the context of the rapidly changing global scenario, agricultural
research must emerge as a major policy instrument to address the
growing challenges of hunger, malnutrition, unemployment and
poverty. Indian NARS has successfully steered the nation in earlier
crisis moments. However, the future is more complex and even
more challenging. It is in this context that the Task Group constituted
by the Planning Commission of India under the chairmanship of Dr.
M. S. Swaminathan, in its report notes that Unfortunately,
agricultural research institutions are yet to work in an integrated
manner to achieve the triple goals of more food, more income
and more jobs, all in an environmentally sustainable and
socially equitable manner. It is, therefore, high time that our
planners, managers and scientific fraternity of Indian NARS gears
up itself to achieve the above triple goals. As is rightly said, there
is a need not to do different things but to do things differently. It is
the change in our approach and thinking that will make us strong
enough to successfully march ahead towards achieving higher glory
and green in the coming years. A cognizance of the suggested
paradigm shift might just be the right starting point in this direction.
94
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into Agricultural Research: Implications for Agricultural Research
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Rosegrant, M. W., and P. L. Pingali. 1994. Sustaining rice productivity growth in Asia:
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95
MEETING CHALLENGES OF FOOD SECURITY
AND SOIL QUALITY
A.Subba Rao1 and D. Damodar Reddy2
Indian Institute of Soil Science
Nabibagh, Berasia Road, Bhopal 462 038 (M.P.)
India with a geographical area spreading over 329 million
hectares is endowed with a complex diversity of climate, soils, flora
and fauna offering both a blessing and a challenge for agricultural
development. In the post-independence era, our agricultural
production saw a radical boost mainly due to the green revolution
triggered by intensive use of high-yielding varieties of crops coupled
with other inputs like chemical fertilizers and irrigation water. The
countrys foodgrain production witnessed a four-fold growth from 52
million tonnes in 1951-52 to the record 212 million tonnes achieved
in 2001-02 (Table 1). It is a vivid demonstration of the nations
greatest achievement, because it has occurred against the onslaught
of rising demographic pressure. This impressive growth in foodgrain
production enabled India to have a sizeable buffer stock of about 60
Mt with some export potential. Against this reality, hunger still persists
in many parts of the country. Today more than 200 million people
are below the poverty line and suffer from the food insecurity as the
economic access to food is a constraint with them.
Table 1. Growth of foodgrain production and human population in India
Year Foodgrains Population

Production (Mt) (million)
1951-52 51.9 361
1961-62 82.7 439
1971-72 105.2 548
1981-82 133.3 683
1991-92 168.4 846
2001-02 212.0 1027
Source: FAI (2003)
Not withstanding the very heartening progress in agricultural

growth, there is hardly any room for complacency because the
unabated surge in population will continue to mount pressure on all
natural resources, and the complex problems of food security and
sustainability of resource base (particularly soil and water) will
continue to be main cause of concern for agriculturists in the years
to come. This complexity is understandable with the recognition of
96
the fact that the additional stress on the resource base is
inevitable as it would be required to enlarge its carrying capacity to
meet the multiple demands of growing population. Achieving food
security while maintaining soil quality/health will, therefore, be a
formidable and continuing challenge before Indian agriculture in future.
In this context, it is pertinent to quote Dr. Norman E. Borlaug (2000),
who in his September 8 speech to the Nobel Institute in Norway
marking the 30th anniversary of his 1970 Nobel Peace Prize said:
(i) Despite the success in implementing Green Revolution
technology to increase grain crop yields, the battle to ensure
food security for millions of miserably poor people is far
from won, especially in South Asia
(ii) Producing sufficient food in environmentally and
economically sustainable ways is a daunting task. Equally
or even more daunting is to distribute food equitably
This paper begins by exploring concepts of food security and
insecurity, and highlights some issues relating to food security
scenario in India. It goes on to examine the threats to food security
and opportunities to alleviate food insecurity. It also provides some
insights into soil quality and its management as a key component
strategy to ensure sustained high productivity and thus food security.
What is Food Security?
Concern with food security can be traced back to the world
food crisis of 1972-74 - and beyond that at least to the Universal
Declaration of Human Rights in 1948, which recognized the right to
food as a core element of an adequate level of living. Food security
as a concept emerged at the United Nations Food and Agriculture
Organisation (FAO) World Food Conference in 1974. It is centred
around two sub-concepts; food availability and food entitlement. The
first, food availability refers to the supply of food available at local,
national or international levels. The second, food entitlement refers
to the capability of individuals and households to obtain food. It
suggests that people do not usually starve because of an insufficient
supply of food but because they have insufficient resources, including
money (entitlements), to acquire it (Sen, 1981). Thus, food security
in a single country, or in the world as a whole, reflects the ability of
food-deficit countries, or food-deficit regions within countries, or food-
deficit households within them, to meet target consumption levels
on a year-to-year basis. The most widely used definition of food
security is that of the World Bank: Access by all people at all times
97
to enough food for an active, healthy life. The term access
here is inclusive of both the supply side (availability) and the demand
side (entitlement).
What is Food Insecurity?
Food insecurity refers to a lack of access to enough food. There
are two kinds of food insecurity: chronic and transitory. Transitory
food insecurity is a temporary decline in a households access to
enough food. Chronic food insecurity is a continuously inadequate
diet caused by the inability to acquire food. It affects households
that persistently lack the ability either to buy enough food or to
produce their own. Hence, poverty is considered the root cause of
chronic food insecurity.
Famines are the worst form of transitory food insecurity. They
can result from several causes: wars, floods, drought, crop failures,
the loss of purchasing power by groups of households, market failures
including sometimes high food prices and grain hoarding, and natural
disasters such as earthquakes and Tsunami. All of these types of
disruptions to food supplies can trigger subsistence crises by
threatening a populations access to food. They are the immediate
causes of famine. The most vulnerable include: small-scale
subsistence farmers, landless agricultural workers, other workers
who are affected by a drop in real income in famine regions,
pastoralists, children, and the elderly.
Measuring Food Security and Insecurity
There are a number of ways, and levels, at which food security
and insecurity can be measured. These levels include: continental,
regional, sub-regional and households levels.
• At the continental and sub-regional levels, food security
can be measured by comparing regional nutritional
requirements with availability of dietary calories per head.
The ultimate goal is to meet the food requirements of the
population at all levels. At the country level, the most widely
used indicators are quantities of available food compared
with needs, as well as import requirements compared with
the countrys capacity to import.
• At the household level, food security is measured by actual
dietary intake of all household members using household
income and expenditure surveys. It is important that
changes in socioeconomic and demographic variables be
monitored continuously over time.
98
Food Security Situation in India
Famines in India are a nightmare of the past. The green
revolution witnessed in late 1960s has contributed immensely over
the years to cereal production in India and hence a substantial
increase in the net per capita availability of foodgrains was registered
(Table 2). This has led to a nationwide sense of complacency that,
in a way, slowed down the growth rate in agricultural production
during 1990s, while the population continued to grow at high rate.
The net result was a decline in the per capita foodgrain
availability in the terminal decade of 20th Century. Even with
present level of production, there is enough food in the country to
meet energy and protein requirements of the current population, if
the food were distributed equitably according to needs. But as we
see, surplus production and widespread hunger coexist at the national
level. At present, India alone accounts for one fourth of all world
hunger. It is particularly ironic that there are 200 million food-insecure
people in a country that currently has buffer stocks of foodgrains in
excess of 60 million metric tonnes.
Table 2. Per capita net availability of foodgrains in India (g day-1)
Year Cereals Pulses Total food grains

1951 334.2 60.7 394.9
1961 399.7 69.0 468.7
1971 417.6 51.2 468.8
1981 417.3 37.5 454.8
1991 468.5 41.6 510.1
2001 385.1 29.1 414.1
Source: FAI (2003)
Inadequate or lack of purchasing power among the poor is the
main cause for food insecurity in rural India. As reported by Rajendra
Prasad (2003), the per capita consumption of most food items in
rural India is far below the recommended dietary allowances (Table
3). Though the per capita intake of cereals in all regions, and sugar
and milk in North and Western regions is closer to or above the
standard requirements, the consumption of all other food items
throughout the country is woefully lower than their respective dietary
requirements as per the ICMR (Indian Council of Medical Research)
norms. A general low intake of pulses, vegetables, fruits, fats and
oils, eggs, meat and fish is responsible for widespread occurrence
of protein energy malnutrition (PEM) and chronic energy deficiency
(CED). It was reported that 23 to 70% of rural population in different
99
parts of the country was suffering from protein energy
malnutrition, while the chronic energy deficiency affected 17 to 54
per cent of people (Table 4). Prevalence of poverty, and low and
fluctuating income levels also limit the access to diversified diet
and thus adversely affect balanced diet. The vegetable products
account for a lion share in the intake of all dietary constituents. A
comparison of share of vegetable products and animal products in
meeting total dietary energy, protein and fat in India, USA and the
World as a whole makes this point clear (Table 5). In India, vegetable
products provide 93% dietary energy, 84% protein and 73% fat,
while the products of animal origin supply remaining small proportions
i.e. 7%, 16% and 27% of energy, protein and Fat, respectively. Thus
the share of animal products in dietary supply is lower in India as
compared to the world average. On the contrary, in a developed
country like USA, the animal products account for 30%, 64% and
51% share in meeting dietary energy, protein and fat supply,
respectively. Child malnutrition rates in India are still very high.
According to the UNDP, 53 percent of children under five in India
were under-weight during the period 1990-97, the highest rate of any
of the 174 developing countries listed.
Table 3. Per capita food consumption in rural India (g day-1)
Food items
Region Vege-
Cereals Sugar Pulses tables Fruits F&Oils Milk Eggs Meat Fish
Northern 424.9 39.7 29.8 62.4 20.7 14.6 308.3 1.0 2.7 0.3
Eastern-Central 483.8 13.4 20.5 57.8 18.5 9.6 52.0 2.8 3.1 9.6
Western 416.0 32.3 21.5 61.2 17.7 13.5 179.8 1.2 2.5 1.5
Southern 402.1 18.9 21.7 57.9 33.3 9.4 76.9 5.6 6.3 14.8
ICMR Norm 420 30 40 125 50 22 150 45 25 25
Source: Adapted from Rajedra Prasad (2003)
Table 4. Extent of PEM and CED in rural IndiaThreats to Future Food

Security in India
Region % of population with

PEM CED
Northern 34.9 36.9 23.0 44.0
Eastern and Central 23.5 58.2 17.1 57.3
Western 30.2 39.8 36.2 53.1
South 31.4 70.3 33.2 53.8
PEM = Protein energy malnutrition; CED = Chronic energy deficiency
Source: Adapted from Rajedra Prasad (2003)
100
Table 5. Average share (%) of vegetable and animal products in meeting
total dietary energy, protein and fat supply in India, USA and the
World (1990-92)
Country Dietary energy Protein Fat

VP AP VP AP VP AP
India 93 7 84 16 73 27
USA 70 30 36 64 49 51
World 84 16 64 36 53 47
Note: VP = Vegetable Products; AP = Animal Products.
Source: Calculated from FAO (1996) Sixth World Food Survey,
Food and Agriculture Organization, Rome.
Growing population: In India, unabated growth in population

has been and will continue to be the single most factor with the
potential to negate all the progress made in agricultural production.
Indias population grew at an annual growth rate of around 2% in
1970s, 80s and 90s to reach 1027 million in 2001 and is estimated
to increase further to 1262 and 1542 million by the year 2011 and
2021, respectively (Sekhon, 1997). Growing population means
mounting more pressure on natural resources to meet increased
food demand. According to a conservative estimate (Kumar 1998),
the foodgrain demand in India for the years 2010 and 2020 is projected
to be 246 and 294Mt, respectively (Table 6). This means that our
foodgrain production has to increase from 212 Mt (highest production
ever achieved in 2001-02) to 246 Mt in 2010 and then to 294 Mt in
2020. It is by all means a daunting task and our ability to accomplish
this task determines the future food security in the country.
Table 6 . The current production and future demands of foodgrains in
India
Food item Current Estimated demand (M t)

(2001-02) 2010 2020
production
(Mt)
Rice 93.1 103.6 122.1

Wheat 71.8 85.8 102.8
Total cereals 198.8 224.4 265.8
Pulses 13.2 21.4 27.8
Total foodgrains 212.0 245.8 293.6
Source: FAI (2003) and Kumar (1998)
101
Declining land to man ratio and size of farm holdings: With
continued rise in population, the arable land to man ratio has
decreased from 0.5 ha (1951) to 0.14 ha at present and is expected
to decline further to 0.08 ha by 2020 AD. The average number of
land holdings has also increased simultaneously from 77 million
(1976-77) to over 115 million at present due to population growth and
law of inheritance of land property. The average size of operational
farm holding is only 1.57 ha. Further, about 78% of the 115 million
farm holders in the country come under small and marginal category
with the size of farm being less than 2 ha. The small size and
scattered nature of the holdings will adversely affect the farm
efficiency and result in high cost of production, low productivity and
thus, reduced agricultural sustainability and food security.
Soil degradation: It has been estimated that of the total 328.73
M ha geographical area, nearly 188 M ha of land in the country is
potentially exposed to various degradation forces (Sehgal and Abrol,
1994) (Table 7). The land area subjected to degradation by way of
soil displacement through erosion by water and wind is estimated at
148.9 and 13.5 M ha, respectively (nearly half the total area). About
13.8 M ha is under chemical deterioration due to loss of nutrients
and organic matter, salinization and sodification. Water logging also
represents a serious soil physical deterioration and has rendered
11.6 M ha of land degraded. Problem of developing saline and alkali
soils is a common feature of canal-irrigated areas with poorly
developed drainage facility. In this situation, indiscriminate use of
water results in upward movement of soluble salts from lower layers
to upper cultivable layer. In addition to these, indiscriminate use of
pesticides and heavy metal containing urban wastes is also gradually
polluting our soil resources in various parts of the country. Widespread
deterioration of soil resource quality/health is a serious threat to
agricultural production and food security.
Table 7. Extent of soil degradation in India
Degradation type Area % of total

(M ha) area
A. Water erosion 148.9 45.3
B. Wind erosion 13.5 4.1
C. Chemical deterioration 13.8 4.2
(loss of nutrients & Salinization)
D. Physical deterioration 11.6 3.5
(water-logging)
Total 187.7 57.1
Source: Sehgal and Abrol, 1994
102
Decreasing total factor productivity : The total factor
productivity (TFP) is used as an important measure to evaluate the
performance of a production system and sustainability of its growth
pattern. As stated earlier, adoption of green revolution technology
comprising three critical inputs Viz., HYVs of crops, chemical
fertilizers and irrigation water led to a phenomenal growth in
agricultural production during 1970s and 1980s. But, of late there
are signs of fatigue in agricultural growth process. In spite of continued
growth in the above inputs, there has been no matching growth in
agricultural production during 1990s, indicating a decrease in TFP.
The declining trends of annual growth rate of productivity in respect
of all major crops (Table 8) are also suggestive of decreasing TFP
in Indian agriculture. In fact, all the crops except wheat registered a
negative annual growth rate in their productivity during the recent
past (2000-01 to 2002-03). If this alarming trend is allowed to continue
and no corrective measures taken urgently, it will spell doom for the
countrys future food security prospects.
Table 8. Productivity growth rate of important crops in India
Crop Annual growth rate in productivity (%)

1980-81 to 1990-91 to 2000-01 to
1989-90 1999-2000 2002-03
Rice 3.19 1.27 - 0.72
Wheat 3.10 2.11 0.73
Pulses 1.61 0.96 - 1.84
Total foodgrains 2.74 1.52 - 0.69
Oilseeds 2.43 1.25 - 3.83
Non-foodgrains 2.31 1.04 - 1.02
All principal 2.56 1.31 - 0.87
crops
Source: Chhonkar and Dwivedi (2004)
Approaches to Sustainable Food Security

Food security of a nation depends on self-production of food
grains in sufficient quantities and ability to distribute grains on a
large scale, commensurate with population size. An efficient food
security system should withstand challenges posed by calamitous
weather and other natural disasters unfavourable for agricultural
production over successive seasons. Effective food security system
requires food grains production at a somewhat higher level than that
which meets the immediate needs, safe storage of extra food grains
103
to overcome any seasonal or prolonged deficiencies in
production levels. Besides adequate food availability at national level,
ensuring the access to balanced diet at household is of paramount
importance in elimination of malnutrition and ensuring nutritional
security in the country. Since poor people lack access to alternative
sources of livelihood, there is tendency for them to exert more
pressure on the little resources that are available to them. The
intensified pressure on natural resources is a vicious cycle in which
resource degradation lead to reduced household assets and reduced
household assets in turn affect resource degradation. Thus,
considering the present situation marked by deteriorating natural
resources, decreasing factor productivity and stagnant technologies,
rising population densities, low public investments and inadequate
policy initiatives, India needs to address the following key issues in
order to meet the challenges of future food security.
1. Increasing agricultural production
2. Agricultural diversification
3. Policy initiatives for nutrition security
4. Management of soil quality
Increasing agricultural production through productivity enhancement
and bridging yield gaps
The massive gains in Indias foodgrain production during the
post-green revolution period were because of intensive agriculture
driven primarily by the productivity improvement oriented HYV-
fertilizer-irrigation technology. This is clear from the fact that the
area under foodgrains (around 120 M ha) and net cultivated area
(around 140 M ha) remained more or less unchanged during 1980s
and 90s. The productivity enhancement technologies have had a
very positive impact on land use in terms of sparing of land
requirement for increased foodgrain production. Had the Indian grain
productivity levels of 1950 still prevailed in 2001 we would have
needed nearly 180 million ha of additional land of the same quality,
instead of 120 mllion ha that was used, to equal the foodgrain
production of 212 M t achieved in 2001-02 (Figure 1). Obviously,
such a surplus of land was not available. Since there are no future
opportunities to bring in additional area under plough, the future
increases in agricultural production to meet the projected demands
must come from the area already under cultivation i.e. by way of
productivity enhancement and bridging yield gaps.
104
Foodgrain production
Area used under increasing productivity scenario
Area requirement at 1960's productivity level
320 600
550
280
500
240 450
400
200
Foodgrain production (M t)
350
Area (M ha)
160 300
250
120
200
80 150
100
40
50
0 0
1961-62 1971-72 1981-82 1991-92 2001-02
Years
Figure 1. Area spared under foodgrain crops by the use of productivity

enhancing HYV-Fertilizer-Irrigation technolgy in India
The average yield levels of paddy and wheat (the most important
crops that triggered green revolution) are still woefully low as
compared to the average yield in many other developed and
developing countries (Table 9). The vast difference in yield levels of
paddy and wheat between India and other countries suggests that
there is room for future productivity improvement. In fact, in India
there exists a wide gap between potential yields and the yields that
are actually obtained in respect of several crops, bridging of which
again offers real opportunities for future growth in grain production
For example, Aggarwal et al. (2000) have analyzed potential yields
of rice, wheat, and rice-wheat systems in various districts/states of
the Indo-Gangetic Plain using validated crop growth simulation
models, spatial weather data, landuse patterns, agronomic-
management details, and GIS. The simulated potential grain yield in
rice-wheat system varied between 13.4 and 18.3 t ha-1 (Table 10),
higher in the northern compared to the eastern region of IGP.
Temperature and solar radiation during crop season had high impact,
suggesting the need for matching the genetic potential, phenology,
and ecological features. Such models can be used to calculate yield
gaps in different regions, and to identify pathways for bridging those
gaps. Breaking the yield barriers, and development and large-scale
adoption of integrated crop and soil management package should
receive greater attention in future in order to meet the foodgrain
production targets in India.
105
Table 9: A comparison of average productivity of paddy and wheat in
selected countries of the World (2001)
Paddy Wheat
Country Yield level Country Yield level
(t ha-1) (t ha-1)
Egypt 8.77 UK 7.08
USA 7.21 France 6.63
Japan 6.66 Egypt 6.34
China 6.36 China 3.83
Indonesia 4.25 Italy 2.82
Vietnam 4.26 USA 2.71
World Average 3.91 World Average 2.73
India 2.96 India 2.74
Source: FAI (2003)
Table 10: Yield potential of rice-wheat systems in the Indo-Gangetic plains
State Average potential yield, t ha-1

Rice-wheat Rice Wheat
Punjab 18.29 10.60 7.69
Haryana 17.87 10.53 7.34
UP 17.48 10.34 7.14
Bihar 16.43 9.73 6.70
W.Bengal 13.37 8.07 5.30
I-G 16.70 9.88 6.82
Plains
Note: Current (2001-02) national average yields of rice and wheat are
2.09 and 2.74 t ha-1, respectively Source: Aggarwal et al. (2000)
Agricultural diversification
The issue of food security is closely linked with poverty and
purchasing power of the people. Agricultural diversification as an
instrument of poverty alleviation is an important approach to ensure
food security. Agricultural diversification can be attempted at both
crops and enterprise levels i.e. Crop diversification and enterprise
diversification. Crop diversification involves inclusion of leguminous
pulse and oilseed crops and trees to evolve more remunerative and
resource conserving cropping systems. On the other hand the
enterprise diversification refers to having a variety of interrelated
on- and off-farm enterprises (across crops, livestock, aquaculture,
106
horticulture, agro-forestry, mushrooms cultivation, food
processing and value addition) best suited to the specific resource
base, socio-economic setup and market opportunities. In general
terms, the goal of agricultural diversification is to increase and
stabilize farm production and farm income. Having diverse
enterprises creates opportunities for recycling, so that pollution is
minimized because a waste in one enterprise becomes an input for
another. The risk minimization, employment generation and
sustained/ increased household income are the benefits associated
with multienterprise farming systems. At global level the agricultural
diversification is generally considered as an important strategy
because of the following reasons:
• Responsive to market changes and to socio-economic and
agro-ecological settings;
• Increases employment/income-generation opportunities and
judicious use of land, water, labour, biodiversity and other
resources;
• Reduction of the incidence and damage caused by pests
and diseases and risk diffusion leading to higher and more
stable production and income; and
• Promotes resource conservation through the adoption of
integrated farming systems, (incorporating integrated pest
management and integrated plant nutrient management),
thereby exploiting synergism and lessening the requirements
for increasingly-scarce water, land, and other resources.
Agricultural diversification holds special significance for Indian
agriculture because of prevalence (78%) of small and marginal farms
(i.e. size of land holding being <2 ha/farm). The very size of small
farms, coupled with a growing problem of land fragmentation, presents
considerable problems for their development. Low crop and animal
productivity, inefficient use and often deterioration of resource base,
cost/price squeeze, high risk and, low and uncertain farm income
leading to perpetual poverty, and under- and malnutrition are some
of the idiosyncratic consequences of small farms. In such situation,
diversified farming has been shown to be a boon to small and marginal
farmers. As highlighted by Sharma et al., (2002), diversification in
Indian context offers several opportunities to: increase farm income,
withstand price fluctuations, ensure constant flow of in come,
generate year round employment, mitigate adverse impact of aberrant
weather, effective recycling of farm wastes, diversify food basket,
alleviate hunger and malnutrition, and meet future food demand.
107
To realize the fore-listed possibilities, appropriate and situation
specific farm diversification models shall need to be developed and
diffused. Efforts are underway in different locations to develop farm
diversification models involving judicious enterprise mix that may
provide attractive income besides meeting household demands from
a given piece of farmland. One such model put-forth by Behera and
Mahapatra (1999) suggests an optimum integration of farm enterprises
for a small land holding of 1.25 ha for Bhubaneshwar conditions
(Table 11). In this particular model land was allocated for different
enterprises in proportion to their significance in household needs
and demand in local market. It was shown that with the adoption of
this diversification model a net income of Rs. 58,360/- per year was
accrued from 1.25 ha farm land. This kind of models are worth
emulating in parts of the country as well in our search for
comprehensive food and nutritional security.
Table 11: A farm enterprise diversification model for 1.25 ha farmland at
Bhubaneshwar and its economics.
Employment Total Net Return/Rupee
Components generation expenditure return invested (Rs.)
(man days) (Rs.) (Rs.)
Field crops 98.2 3315 5638 2.70
Multistoried 87.0 3831 9089 3.37
cropping
Pomology 18.4 900 1466 2.63
Olericulture 96.4 3812 8302 3.18
Floriculture 4.0 125 100 1.80
Pisciculture 31.0 3722 16603 5.46
Poultry 23.0 9240 981 1.10
Duckery 23.0 5387 713 1.13
Mushroom 180.0 18184 12856 1.70
cultivation
Apiary 1.0 170 1180 7.94
Biogas 11.0 600 1431 3.38
Total 573.0 49,286 58,360 2.18
Source: Behera and Mahapatra (1999)
Policy initiatives for nutrition security

Over the years in past, the government policy was primarily
focused to attain self-sufficiency in foodgrain production as seen in
terms of the per capita availability of foodgrains at national level.
However, with the recognition of the importance of nutrition security
in the broader context of food security, the Tenth Plan calls for a
108
paradigm shift in planning and implementation from the concept
of macro-level food security at the National level (i.e., the per capita
availability of food) to nutrition security at the level of each individual
household (more particularly individual child, woman and man). As
envisioned by M.S. Swaminathan, the nutrition security encompasses
physical, economic, social and environmental access to balanced
diet and clean drinking water. The major cause of food insecurity in
our country is the lack of the minimum purchasing power essential
for economic access to balanced diet. Swaminathan (2005) has
suggested a 7-point Action Plan for accelerated advance in achieving
the goal of nutrition security at the level of every child, woman and
man. The components of the 7-point Action Plan are as follows:
a. Restructure the delivery of nutrition support programmes
on a life cycle basis, starting with pregnant women and
extending upto old and infirm persons; fill the gaps in the
ongoing support programmes, particularly with reference to
adolescent girls, pregnant and nursing women and infants
in the 0-2 age group. Also, extend nutrition support to
persons affected by HIV/ AIDS, Tuberculosis, etc. since a
drug based approach alone will not be effective in the case
of the poor.
b. Introduce a well planned programme for elimination of hidden
hunger caused by the deficiencies of micronutrients in the
diet, like Iron, Zinc, Iodine and Vitamin - A.
c. Promote in areas characterized by chronic under- and
malnutrition, the establishment of Community Food Banks
by local self-help groups, for the purpose of enlarging the
food basket with locally grown grains like ragi, various
millets, pulses and tubers.
d. Ensure the availability of clean drinking water, environmental
hygiene, primary health care and primary education.
e. Undertake a nutrition literacy programme and provide every
household an Entitlements Card, indicating their
entitlements to nutrition safetynet programmes.
f. Enlarge and engender the on-going Food for Work and
Employment Guarantee Programmes by including in the
case of women, activities like provision of day care services
for children, operating the school meal programmes and
undertaking immunization programmes, within the scope
of work.
109
g. Enhance the productivity of smallholdings, as well as dairy
and livestock enterprises. A Livestock Food Corporation
may be established to stimulate and support the growth of
SHGs (Self Help Groups) devoted to the production of fodder
and feed and for establishing Fodder and Feed Banks.
Ultimately, success in achieving a sustainable end to hunger
will depend upon our ability to generate skilled off-farm livelihood/
job opportunities for rural women and men who have no assets like
land or livestock or fish pond. A paradigm shift for unskilled to skilled
work is essential to add economic value to the time and labour of
assetless.
Management of soil quality (health)
Soil being the Soul Of Infinite Life, the continued maintenance
of good soil quality is critical for agricultural production and food
security in a predominantly agrarian country like India. Soil quality
integrates the biological, chemical, and physical components and
processes of the soil interconnected with its surroundings in the
landscape. Soil quality is the capacity of soil to perform a range of
productive, environmental and habitat functions, and is defined in
various ways depending upon the objectives of its specific use.
Doran and Parkin (1994) defined soil quality as capacity of soil to
function within ecosystem boundaries to sustain biological
productivity, maintain environment quality, and promote plant and
animal health. The quality of soil encompasses two distinct but
interconnected parts:
♣ Inherent quality: It results from innate properties (qualities)
of soils; as determined by the factors of soil formation
climate, topography, biota, parent material, and time. The
inherent quality of soils is often used to compare the abilities
of one soil against another, and to evaluate the worth or
suitability of soils for specific uses.
♣ Dynamic quality: It results from the changing nature (health
or condition) of soil properties that are influenced by human
use and management decisions. Collectively, these effects
of management will either result in a net positive or negative
impact on the health of the soil. This dynamic aspect of
soil quality is the focal point of the concern for assessing
and maintaining healthy soil resources.
For the purpose of assessment and management of soil quality,
it is necessary to identify soil quality indicators as surrogates of the
110
soil functions (Doran and Parkin, 1994). Several minimum data
sets of indicators have been proposed by the researchers. An
example minimum data set is presented in Figure 2 along with an
illustration of how indicators are related to soil function. In most
cases one or two indicators can sufficiently represent each function,
however, indicators may be related to more than one soil function
Soil Functions Indicators
- Texture Depth of soil

1. Biological - Root restructing layers
Productivity - Plant available water
- Erosion / sedimentation
- Infiltration
S 2. Regulating - Bulk density
O Water flow - Aggregate Stability
- Water-holding capacity
I
L
- Texture
Q - Soil organic matter
3. Filtering and
U Buffering - pH
- CEC
L
I
T - CEC
4. Storing and - Extractable N, P & K
Y cyling materials - Microbial biomass C, N & P
- Potentially mineralizable
nitrogen
- Soil structure
5. Supporting - Stability
structures - Mineralogy
- Landscape position
(Figure 2).
Figure 2. Illustration of the conceptual linkages between soil functions
and soil quality indicators. (Modified from Karlen et al. (2001)
111
We have no national inventories of these dynamic properties
and their threshold (critical) values for important soil types for
assessment of soil quality. Concerted research attention is, therefore,
required in direction and should specifically focus on:
• Inventory the soil resources and characterize them for
behaviour prediction under various land uses and
management regimens.
• Develop indicators of soil quality that can be used to
determine present soil health, assess degree of soil
deterioration, and predict threshold soil condition (a boundary
between healthy soil and degraded/problem soil). The soil
quality indicators must be in the form of measurable soil
parameters because of the truism that what gets measured
can get managed.
• Since SOM is basic to optimum physical, chemical and
biological functioning of soils, the ways and means of its
build-up and maintenance in soils need to be explored.
• Assess the vast reservoir of existing protective and
productive technologies that are available but unused, and
refine them into an appropriate location specific best-bet
and least-cost TECHNOLOGY MIX for improvement of soil
quality.
• Long-term efforts to develop and use the soil management
systems that cooperate more and interfere less with the
natural functioning of soils.
Soil quality maintenance
From the agricultural productivity enhancement point of view,

soil quality management requires identification and understanding
of soil related production constraints and evolving suitable remedial
measures to overcome them as summarized in Table 12.
112
Table 12. Major soil-related problems, causes, impact and suggested
remedial measures
Problem Causes Impact Suggested remedial

measures
Soil erosion Upland Soil and Watershed approach,
cultivation on nutrient loss, afforestation, policy
sloppy lands, siltation of measures to arrest soil
light soils, reservoirs erosion, making water
removal of and river Development Boards
vegetation courses functional
during rainy and
windy seasons,
deforestation
Soil Arid and semi- Decreased Judicious irrigation,
salinization arid areas, productivity gypsum application,
coastal zones, proper cropping
areas of limited practices
water availability,
water with high
salt content
Soil Torrential rains, Decreased Liming, afforestation,
acidification deforestation. productivity balanced fertilisation,
Improper proper cropping
fertilisation practices
Decline in Overgrazing Nutrient Arrest of over-grazing
grassland desertification, imbalances, beyond carrying
productivity urbanisation low capacity, policy
productivity measures to restraining
of animal desertification and
based urbanization
systems
Gaseous Emission of Climate Appropriate tillage,
emissions gases such as changes and irrigation, manurial and
from soils methane, threat to fertilisation practices
nitrous oxide, ecological
oxides of safety
sulphur from
agro-
ecosystems due
to human
interference
113
Agro- Indiscriminate Pollution of INM, IPM, Integrated
chemicals and excessive soils, air, weed management
pollution use of ground including use of
pesticides and water, river biofertilisers, organic
fertilisers and water manures,
use of unsafe resulting in vermicompost,
pesticides health biofertilisers etc.,
hazards agrochemical
registrations and
restrictions on use
Deterioration Improper soil Nutrient Proper soil health care
of soil fertility health care deficiencies including monitoring
in crops changes in soil
leading to properties, IPM, Organic
yield losses farming, proper crop mix
and endemic and crop rotations
malnutrition
in humans
and animals
Source : Subba Rao (1999)
Building Soil Organic Matter a key soil quality determinant :

The soil organic matter is the key component that regulates the
available nutrient status and reflects the overall state of soil fertility
and health. This dependence stems from the fact that: (i) organic
matter is a basic resource of several elements essential for plant
growth, and (ii) it buffers the effect of pH dependent changes in
nutrient availability. Normally, 95% of the N and S is tied-up in soil
organic matter. The proportion of P that resides in soil organic matter
varies between 20 and 80% in different soils. Thus, a fall in organic
matter level multiplies nutrient deficiencies, and adversely affects
the soil health and production sustainability.
Indian soils, in general, are poor in organic matter status (i.e.
OC is less than 0.5% in most soils). This may be ascribed to one or
more of the following: 1. Continued cropping with inadequate and
imbalanced use of inputs of organic and inorganic sources of
nutrients, 2.Complete removal from fields of above ground portion
of crops for various reasons, 3.Erosion induced loss of topsoil rich
in organic matter and 4.Natural loss of soil organic matter through
degradation/ decomposition mediated by soil microbes and high
temperatures particularly in arid and semi-arid regions.
114
Building organic matter status of soils and maintaining it at or
near maximum possible levels dictated by the prevailing climatic
condition of the region. In this context, it is important to look for low
cost means of building soil organic matter. Katyal and Reddy (1997)
suggested the following strategies to generate organic matter in non-
competitive ways:
• In-situ production and incorporation into soil of short duration
legume crop without interfering with cultivation of the main
crop. Long-term analysis of rainfall patterns indicates
positive availability of 20-25% of the total rainfall during the
pre- or post-monsoon periods. This off-season rainfall,
which otherwise goes waste, can be gainfully utilized for
resurrecting a fast-growing high biomass producing, drought-
tolerant legume. The biomass can be incorporated in the
soil either at flowering or after harvesting of grain. A classic
example of this is from CRIDA, Hyderabad, where the
successful production of horse gram with off-season rains
was demonstrated. This practice was reported to add about
1.0-1.5 t dry biomass ha-1 (with N equivalence ranging
between 20 and 30 kg ha-1) into soil.
• Another approach for generating organic matter could be to
raise fast-growing leguminous trees or shrubs on wasteland
part of a holding or in the form of rows in an alley cropping
system. In alley cropping, the height of the tree should be
regularly pruned to about 30 cm from the ground to avoid
shading of the arable crops.
• A third strategy to generate organic matter in a non-
competitive way is to plant fast-growing N-fixing trees or
bushes on either side of bunds. In India, because of
dominance (>75%) of small and marginal holdings (<2 ha),
boundary bunds occupy between 5 and 10% of the area.
Bunded area which otherwise remains unutilized can be
covered with green leaf generating species. For example,
Gliricidia, a drought-tolerant non-browsable legume can be
planted on either side of the bunds to generate additional
green leaf material for incorporation into soil.
Soil Fertility and Fertilizer Use: Soils of India are generally
poor in fertility as these are low in organic matter and have
consistently been depleted of their finite nutrient reserves due to
soil degradation (losses of nutrients by soil erosion and runoff) and
continuous cultivation for many centuries. Production under intensive
115
cropping system has resulted in large-scale removal of nutrients
from the soil resulting in a negative balance of these nutrients.
Although India with an annual fertilizer consumption of 17.4 Mt (2001-
02) ranks third among the countries, the per hectare nutrient
(N+P2O5+K2O) consumption continues to be very low at 91 kg ha-1.
This becomes clear when we compare the per hectare nutrient
(N+P2O5+K2O) consumption of India (91 kg ha-1) with that of even
other Asian countries such as Japan (282), China (225), Korea Rep.
(379), Bangladesh (160) and Pakistan (132). Estimates suggest that
at national level there exists a net nutrient gap of about 8-10 M
tonnes annually between nutrient removal by crops and additions
through fertilizers. This wide gap in nutrient additions and removals
can be minimized to some extent through i) tapping nutrients from
hitherto underutilized organic and inorganic nutrient resources and
ii) increasing use efficiency of applied fertilizers.
Balanced Fertilizer Use
The underlying philosophy of balanced fertilization envisages
the application of plant nutrients in adequate amounts to match their
removals by crops and in appropriate proportion to reap the benefits
from positive interactions among nutrients and with other production
factors. The need for considering balanced fertilization in soil fertility
management for sustainability in agriculture is borne out by the
results of several long-term fertilizer experiments carried out in India
and elsewhere. The long-term fertilizer experiments being conducted
at different locations of the country have clearly demonstrated the
following (Swarup et al., 1998):
• A declining trend in productivity even with application of
NPK fertilizers due to emergence of deficiencies of
secondary and micronutrients and depletion of soil organic
matter stocks.
• Accentuation of decline in yield, often the yield levels falling
below the control plots, with continuous N-alone application
in red, lateritic, foot-hill and mountainous soils characterized
by low to medium status of other nutrients. Accelerated
appearances of P, S and Zn deficiencies associated with
more fertilizer-N induced dry matter production are the prime
reasons for such a malady.
• Deterioration in factor productivity of the cropping systems
is associated with the emerging deficiencies of S, Zn etc.
116
• Decline in soil organic matter (SOM) associated with
continuous application of nitrogenous fertilizers is arrested
with balanced application of NPK in association with annual
application of 10-15 t FYM/ha/annum, with effects being
more pronounced on laterite and black cotton soils.
The continued efforts to increase food production through
intensification would inadvertently result in heavy removal of not
only major nutrients (N, P and K) but also secondary (S, Ca and Mg)
and micronutrients (Zn, Fe, Mn, Cu, B, Mo etc.). This creates
imbalance in plant nutrient supply owing to the emergence of micro
and secondary nutrient deficiencies. It has been demonstrated in
the past that application of micro-nutrients together with NPK could
make substantial contribution in increasing crop yields (Table 13).
Effectiveness of any balanced fertilization can be judged from the
extent to which it is able to harness the benefits that accrue from
positive interactions between nutrients and other production inputs.
Some examples on benefits of positive interactions between nutrients
and other inputs are presented in Table 14. The appropriate
combination of nutrients for balanced fertilization will depend on the
nature of soil and its nutrient status, and cropping systems followed
in a given location. Some component nutrients of balanced fertilizer
strategy suitable for different situations are illustrated in Table 15.
Table 13. Average yield increases due to micro-nutrient application over
optimum NPK levels
Crop Increase in crop yield (kg ha-1) due to

Zn Fe Mn Cu B Mo
Wheat 380 780 560 380 520 440
Rice 510 1880 360 340 340 -
Source: Takkar and Nayyar (1984)
Table 14 . Contribution of positive interactions between the inputs to the
total increase in crop yields
Interacting inputs Crop Response attributed to interaction
(% of total response)
N x P Wheat 30
N x P Sorghum 50
N x K Pineapple 46
N x K Rice 38
N x Water Rice 34
P x Plant stand Pigeonpea 26
K x Boron Blackgram 41
Source: Tandon and Narayan (1990)
117
Table 15. Components of balanced fertilization under different situations
Situation Component of balanced fertilization

(nutrients whose application needed )
Newly reclaimed alkali soils N & Zn
Many areas in alluvial soils; N ,P, K, Zn, & S or N, P, Zn, & S or N, P & Zn
wheat belt or N, P,K & Zn
Many areas under oilseeds N, P, K, & S or N, P, & S or N, P,Zn & S
or N, P, S & B
Legumes in acid soils N, P, K, Ca &Mo
High yielding tea plantation N, P, K, Mg, S & Zn
Source: Tandon and Narayan (1990)
Organic Inputs in Soil Fertility Management

The organic inputs to soil (animal manure and composts, crop
residues, green manures, urban wastes etc.) are known to have
favourable effects on soil physical, chemical and biological processes
and its overall health. Organic materials generally improve the soil
organic matter (SOM), a basic indicator of soil health and resilience,
in addition to supply of substantial quantities of plant nutrients to
enrich soil fertility. Though abundant quantities of organics are
generated annually, the entire quantity is not available for returning
to soils because of several competing alternate uses in rural India.
Animal dung is either not properly collected or frequently used as
fire cakes in rural hearths. Crop residues are either used as cattle
feed, domestic fuel, thatching material or burnt on the field itself.
Situation with respect to urban waste (night-soil, municipal waste,
sewage-sludge etc) utilization is also no better. Recognizing that
the use of organic resources for non-agricultural purposes is
unavoidable and that only 80% of human excreta, 30% of livestock
dung and 33% of crop residues are trappable for returning to soil,
Tandon (1997) estimated organic resources availability to be 246
and 307 Mt in 2010 and 2025 AD, respectively (Table 16). If used
properly, these quantities of organic resources can supply plant
nutrients (N+P2O5+K2O) to the tune of 6.24 and 7.75 million tonnes
in 2010 and 2025 AD, respectively and certainly help minimize the
negative nutrient balances.
118
Table 16. Some projections on the tappable* organic resources and their
nutrient supply (N+P2O5+K2O) for agriculture in India during 2010
and 2025AD.
2010 AD 2025 AD
Resource Tappable Nutrient Tappable Nutrient
quantity Supply quantity Supply
(m t) (m t) (m t) (m t)
Human excreta 15 1.80 17 2.10
Livestock dung 119 2.10 128 2.26
Crop residues 112 2.34 162 3.39
Total 246 6.24 307 7.75
*
Tappable = 80% of excreta, 30% of dung and 33% of crop residues.
Source: Tandon (1997)
Integrated Plant Nutrient Supply (IPNS) System
Integrated plant nutrient supply refers to the maintenance or
adjustment of soil fertility and of plant nutrient supply at an optimum
level for sustaining the desired productivity through optimization of
the benefits from all possible sources of plant nutrients in an
integrated manner (Roy, 1995). Conceptually, the IPNS as depicted
in Fig. 3 strives to achieve: (a) regulated nutrients supply for optimum
crop growth and productivity, (b) maintenance or some times an
improvement in soil fertility, and (c) minimum adverse impact on
agro-ecosystem quality by means of striking a balance among various
nutrient sources Viz., soil fertilizers, organic manures and
bio-inoculants. The IPNS approach, as one of the prescriptions for
sustainable agricultural production, is a most efficient way of
managing soil fertility because it
• Enhances the availability of applied as well as native soil
nutrients during the growing season of the crops.
• Synchronizes the nutrient demand of the crops with nutrient
supply from native soil and applied sources.
• Provides complete (balanced) nutrition to crops and
minimizes the antagonistic effects resulting from hidden
deficiencies and nutrient imbalance.
• Improves and sustains the physical, chemical and biological
functioning of soil, and
• Minimizes the deterioration of soil, water and ecosystem
quality by promoting carbon sequestration, reducing nutrient
losses/leakage to ground and surface water bodies and to
atmosphere.
119
In practice it is, however, important to recognize that it is neither
practically possible nor economically feasible to combine all nutrient
sources into a single package that is adaptable across all agro-
ecoregions. As a corollary, the appropriate combination of mineral
fertilizers, organic manures, crop residues, compost or N-fixing
legumes varies according to location specific system of land use,
and socio-economic and ecological conditions. The most important
determinants of an IPNS in a given agro-ecosystem include:
• Nutrient demand/requirement of cropping system as a whole
• Soil fertility status and special management needs to
overcome soil sickness, if any
• Local availability of nutrient resources (Organic, inorganic
and biological nature)
• Economic conditions of farmers and profitability of proposed
IPNS option
• Social acceptability
• Ecological considerations
Whether judged by sustained yield gains or improvement in soil
quality, the integrated nutrient management system scores over the
individual applications of either manures or fertilizers. This fact has
120
been amply demonstrated by quite a large number of reports
covering different soil types and cropping systems across
agroecological regions. Few examples of classical nature are
presented below.
Hegde et al., (1988) reported that the mean yield of finger millet
over a period of nine years was similar with optimum NPK application
or with 50% NPK through fertilizers combined with 10 t farm-yard
manure (FYM) ha-1 (Table 17). A further yield gain of 630 kg ha-1 was
obtained when recommended dose of NPK was capped with 10 t
FYM ha-1. With this treatment, it became possible to harvest >3t
grain ha-1 during eight out of nine years. Field studies with soybean-
wheat system on a Vertisol at IISS, Bhopal (Damodar Reddy et al.,
1999) have clearly demonstrated that the crop yield response obtained
with integrated supply of P through FYM and fertilizer-P was of the
higher magnitude than that with either FYM or fertilizer-P separately.
Integrated use of FYM and fertilizer-P not only increased productivity
and P use efficiency but also enhanced the sustainability of the
soybean-wheat system. In a recent review of the Indian work, Subba
Rao et al., (2002) have brought out most effective IPNS modules
suitable for different cropping systems and soil types at different
locations of the country. Some of these are presented in Table 18.
The long-term fertilizer experiments in India have presented a large
body of evidence on the beneficial of integrated nutrient management
for not only increasing and sustaining the crop productivity but also
for improving soil organic carbon at many locations (Table 19) (Swarup,
2001). Recycling of crop residues as a component of IPNS was
shown to be effective for soil fertility improvement. From a recent
study, Bellakki and Badanur (2000) reported that sorghum stubble
co-incorporated with subabul loppings (50:50) at the rate of 5 t ha-1
or sorghum stubble @ 5 t ha-1 + 20 kg N ha -1 not only helped
increasecrop yields but also improved soil nutrient status as well as
organic carbon content in soil (Table 20).
Table 17. Effect of application of NPK and FYM on the productivity and
stability
Annual of rainfed finger
treatment Meanmillet
yieldover a period
No. ofofyears
ninewith
years
(kg ha-1) yield (t ha-1)
FYM N-P2O5-K2O <2 2-3 >3
(t ha-1)
0 0-0-0 1510 9 0 0
10 0-0-0 2550 1 6 2
0 50-50-25 2940 0 5 4
10 25-25-12.5 2900 0 6 3
10 50-50-25 3570 0 1 8
Source : Hegde et al. (1988)
121
Table 18. Most effective IPNS modules suitable for different cropping
systems in India.
Location Cropping system Soil IPNS module

Modipuram Sorghum-Gram Sandy clay 6 t FYM ha-1 + 50%
fertilizers
Junagadh Chickpea Medium 20 kg N + 40 kg P2O5
black ha-1 + Rhizobium
inoculation
Indore Soybean-Wheat Vertisols Substitute 50% N
through FYM
Hyderabad Rice-Gram+G.nut Sandy 1 00% NPK + 2 kg- h
1
loam each of Rhizobium
and Phosphobacteria
Maruteru Blackgram Vertisols VAM + 50 kg P2O5 ha-1
Coimbatore Blackgram Black soil 75% P2O5 as RP + 2 t
ha-1 vermicompost + 2
kg ha-1 Phosphobacteria
Coimbatore Pigeonpea, Sandy clay 75% recommended N +
Sunflower, Cowpea, biofertilizers
Onion, Soybean,
Cabbage
Paiyur Sorghum- Loamy Recommended NPK +
horsegram sand 1 0 t FYM-1 ha or 75%
RDF + biofertilizers.
Varanasi Rice-Lentil Sandy clay 50% N as FYM + 50% N

loam as Urea to rice (residual
benefit for lentil)
Sehore Pigeonpea- Vertisol FYM and Sugar
Blackgram pressmud @ 5 t ha-1 +
Rhizobium
Udhamsingh Soybean Clay loam 25 kg N + 5 t FYM or 1 t
nagar Neem cake ha-1.
Bapatla Soybean Sandy 15 t ha-1 Biogas slurry +
loam 50 kg N as Urea
Source: Subba Rao et al. (2002)
122
Table 19. Long-term effect of integrated use of fertilizers and FYM on
SOC (g kg -1) at some locations of India.
Location Control NPK NPK + Period
FYM
Bangalore 4.8 5.9 8.4 10
Bhubaneshwar 3.7 5.7 8.1 21
Delhi 4.4 5.5 6.7 25
Hyderabad 4.6 5.3 8.0 23
Jabalpur 5.3 6.0 9.8 25
Palampur 7.3 10.0 12.0 22
Pantnagar 5.0 8.3 15.0 24

Source : Swarup (2001)
Table 20. Effect of organics and inorganics on rabi sorghum and chickpea
yields and soil properties
Treatment Sorghum Chickpea Soil Properties

yield kg ha-1 yield kg ha-1
(3 yrs, ave.) (Residual
effect) OC Available Nutrient
(g kg-1) (kg/ha)
OC N P K
Sorghum stubbles 841 672 5.4 200 1 0 533
@ 5 t ha-1
Sorghum stubbles + 1 098 788 6.0 21 1 1 566
Subabul loppings
(50:50) @ 5 t ha-1
Sorghum stabbles @ 1 060 670 5.3 208 1 0 570
5 t ha-1 + 20 kg N ha-1
Recom. dose of 1 1 0 637 4.8 1 9 1 1 428
fertilizer, (50-25-0)
Control 825 452 4.1 1 5 7.1 456
Source: Bellakki and Badanur (2000)
Some suggestions to make IPNS effective : Since IPNS has a

commitment to: a) sustain soil and crop productivity, b) improve
health of soil resource base of the farmers, and c) maintaining or
enhancing environmental quality, following few suggestions may be
useful in making it effective tool in soil fertility management.
123
• Ameliorate soil sickness in its varied forms before venturing
on evolving a realistic IPNS technology by which all the
locally available nutrient resources could be utilized more
efficiently.
• Use most appropriate soil, water and crop management
practices, which are congenial for most efficient nutrient
utilization.
• Maximize crop productivity with minimum use of chemical
fertilizer, with highest achievable use efficiency and lowest
avoidable losses of the latter. Harness the synergistic
interactions between water x nutrients, FYM x nutrients,
crop cultivars x nutrients and other beneficial interactions
of technology with nutrients.
• Exploit the potential of FYM, on-and off-farm generated
organic materials, biofertilizers and legumes as nutrient
supplements and as improvers of soil organic matter and
overall soil health and quality.
• Earthworm induced transformation and mobilization of the
nutrients and mycorrhizal fungi-induced transport and
mobilization of the immobile nutrients are the natural
processes enhancing the efficiency of the native soil
nutrients. These need to be considered in evolving
appropriate IPNS modules for different agro-eco systems.
• Time the application of the fertilizer nutrients to synchronize
with the physiological stage at which demand for them is
maximum. Also tune the application of FYM in such a way
that the maximum mineralization of the organic nutrients
also occurs at the peak of their demand set by the plants.
In summary, our approach to soil quality maintenance/
improvement for sustainable agriculture should essentially be an
integrated one with due focus on: (i) removal of various kinds of
limitations inherent to soil, (ii) building carbon stocks in soils, (iii)
harnessing benefits of positive interactions between nutrients and
other inputs such as soil moisture, and (iv) economizing the fertilizer
use through balanced fertilization and integrated plant nutrient supply
from organic and inorganic nutrient sources.
124
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system in the Indo-Gangetic plains of India. Rice-Wheat Consortium Paper
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Behera, U.K and.Mahapatra, I.C. (1999) Indian J. Agron. 44:431-39.
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Bellakki, M.A. and Badanur, V.P. (2000) J. Indian Soc. Soil Sci. 48 : 393-395.
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delivered to Nobel Institute, Oslo, Norway, September 8, 2000.
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Damodar Reddy, D., Subba Rao, A., Reddy, K.S. and Takkar P.N. (1999) Field Crops
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eds.), SSSA Spl. Pub. No. 35, Soil Sci. Soc. Am., Am. Soc. Argon., Madison,
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in dryland agriculture, Part 2., Somani, L.L. (ed.), Scientific Publishers,
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Karlen, D.L., Andrews, S.S. and Doran, J.W. (2001) Adv. Agron. 74: 1-41.
Katyal, J.C. and Reddy, K.C.K. (1997) In: Plant Nutrient Needs, Supply, Efficiency
and Policy Issues : 2000-2025, NAAS, New Delhi, pp 91-113.
Kumar, P. (1998) Food demand and supply position for India. Agric. Econ. Policy
Paper 98-01, IARI, New Delhi.
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Nutrition Bulletin, pp 3-22.
Sehgal, J.L. and Abrol, I.P. (1994) Land Degradation in India: Status and Impact.
Oxford & IBH Publishing Co. Pvt. Ltd., New Delhi.
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2025 (J.S. Kanwar and J.C. Katyal eds.), NAAS, New Delhi, pp 78-90.
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Subba Rao, A., Chandra, S. and Srivastava, S. (2002) Ferti. News 47(12): 75-90.
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on Long-term Soil Fertility Management through Integrated Plant Nutrient
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126
EMERGING TRENDS IN AGRICULTURAL
EXTENSION
B.S.Hansra1, Prevlata Singh2 and Jogender Singh3
Assistant Director General (AE). Division of Agricultural Extension.
1
ICAR. Krishi AnusandhanBhavan-I. Pusa, New Delhi.

2
Senior Scientist (AE). Division of Agricultural Extension.
ARI. Pusa. New Delhi-.
3
Research Associate, Division of Agricultural Extension,
CAR. Krishi Anusandhan Bhavan-I. Pusa, New Delhi.
In order to survive in this era of economic liberalization and
globalization, attaining excellence in agricultural extension is
inevitable. This century has thrown open new challenges for extension
due to a paradigm shift in sustainable agriculture and agi-business.
In the current changing scenario extension needs to be more relevant
and effective keeping in view the goal of sustainable development
and livelihoods. Some of the future area of agricultural growth are
nutritional security, agricultural productivity, sustainability and
environment concerns, implications of WTO, public and private roles
in agricultural development and human resource development. It is
important to improve the economic efficiency of young and adult
farmers. Extension needs to be demand driven, participatory and
problem solving in the process of agricultural development. A
relationship needs to be forged between agricultural extension and
vocational agricultural education for sustenance of both.
With an increase in per capita income there are going to be
increasing demands for high value agricultural products such as
vegetables, flowers and animal products, domestically and abroad.
This requires a high value of competence in order to compete and
farmers need to become more specialized. Income aspirations of
farmers are also bound to be increase and hence more enterprises
in agriculture are expected to earn good income from agri-business.
As rightly said by Van Den Ban (2004) agricultural extension
has to change because:
1. There is an increase in the demand for agricultural products
with a high value with the growing per capita income in
many countries in access to world markets.
2. Knowledge about production technologies for these products
and markets become crucial for the ability of farmers to
complete.
127
3. This results in an increased productivity in agriculture, and
in many countries,in a decrease in price of farm products.
Farmers who increase theirproductivity less than their
competitors will either decrease in income or will have to
find a non-farm source of income.
4. Productivity in agriculture does not only depend on the
decision of individual farmers, but also on the support they
get of input supply, marketing and credit companies and
cooperatives.
5. Farm income does also depend on government policies and
hence, on the power of farmers organizations to influence
these policies.
6. The role of agricultural extension is not only to
transfer technologies developed at research institutes but
also
technologies developed by commercial companies
technologies and farming systems developed through
experimentation by farmers.
finding non farm sources of income
increasing the managerial abilities of farmers.
7. Only experience can teach us which extension approach
and system will be most successful in a given situation.
Commercialization in agriculture, equity in agricultural
development (small and marginal farmers and landless labour and
women), environment concerns, disaster management etc. have
added new dimensions to extension systems at all levels. Now,
extension is viewed in the contest of livelihood for the rural poor.
Marketing extension, participatory technology development and
extension and cyber extension are some of the new dimensions of
extension.
Public Sector Extension Services have come under increasing
pressure to reform in the phase of some times dramatic changes.
Listed below are some of the changes that have affected public
sector extension services: (Collin 2004)
The State financial crises that lead to a sharp decrease
in overall public investments, leading to pressure to
downsize and consider more cost efficient extension
methods away from the labour intensive, training and visit
(T&V) management type approach.
128
The increasing criticism of poor performance of public
services Extension such as a) their lack of accountability
to clients; b) the lack of relevance and quality of their
programmes and due to poorly trained extension agents; c)
Their limited coverage, in-terms of area and type of clients
as they insufficiently addresses the needs of the poor,
women farmers and farmers in this advantaged area; and
d) the lack of sustainability.
The emergence of other agencies and service providers
that can disseminate agricultural knowledge and information;
in particular producers organization,NGOs and private sector.
The political forces linked to democratization, liberalization
and decentralization which in conjunction with financial
constraints and emerging new actors, leads to redefining
the role of public services and re-thinking extension methods
away from top down, supply driven approaches.
The revolution in information and communication
technologies which provides new vehicle for supplying
information.
The changes in agriculture and, therefore, in the information
needs of the farmers.
Extension has to embrace a broadened mandate such as
information on marketing.There is also growing public concern
about environmental conservation and poverty reduction which adds
to the extension mandate.
The public sector services can respond to these pressure by :
(Collion 2004)
Partnership with other agencies and service providers ;
Changing public sector service extension methods-
departure from the traditional T&V extension methods
(technology transfer, supply driven, top/down) towards
extension methods that are bottom up, participatory and
demand driven.
Decentralization : Another major aspects of extension
reform is decentralization of the services and linkages
established with local governments.
Role in policy making - though public sector agencies are
less involved in the actual delivery of extension, they have
a major role to play in providing a national vision and strategy
as high lighted.
129
Main features of the policy framework for agricultural extension
(MOA, GOI, 2000)
The Policy Framework for Agricultural Extension (2001)
proposes path-breaking changes to agricultural extension in India
so that it is better able to respond to the diverse agro-climatic regions
and the varied categories of farmers and farming systems approach
to extension, increased use of media and information technology,
improving research-extension linkages and a multi agency extension
system with a far greater role for private extension services.
At the policy level- a move towards a farming systems approach
and partnership with private and other public agencies in extension
provision
Institutional restructuring
Financial reforms
Strengthening research-extension linkages
Capacity building and skill upgrading
Mainstreaming women in agriculture
Use of media and information technology
Financial sustainability
Changing role of government
Government of Indias support to State Extension in X Plan
To operationalize the reforms as conceived in the Policy
Framework for Agricultural Extension during the 2002-2007 phase a
restructured centrally sponsored scheme to support extension
progarmmes of the states has been proposed. The salient features
of this are:
Each state prepare a state extension work plan (SEWP),
comprising a mix of on going extension programmes from
the IX plan and a set of new initiatives.
SEWP is an annual proposal of extension strategies,
activities and investments prepared by the state centering
around reforms envisaged in the PFAE.
The expenditure for implementing the programme in SEWP
would be shared between the centre and the state in the
ratio of 90:10.
130
No funds would be provided for the vehicle, major civil works
and staff salary.
Funding for the core establishment and infrastructure (for ATMA
like model) has to be borne by the States.
SEWPs to have three important aspects
Public sector reforms
Promotion of private sector initiatives
Promotion of media and IT applications
Public extension system would be re-organized in a new
structure (ATMA model) which facilitates a participatory
mode of extension delivery, which is farmers driven and
fanners accountable.
25% of the total SEWP allocation must reflect direct support
to women farmers.
Farmers organizations
With globalization there is a major change in the trade in
agricultural products. Selling to multinational companies needs larger
quantities of products of a standardized quality. This can be done
by contract fanning and by farmers organizations. According to
Koopmans (2004) with the increasing power of multinational
companies in the markets, it becomes more important that farmers
do not deal with them as individuals, but through their own
organizations. The success of these organizations depends on
motivated and educated farmers with leadership qualities.
Furthermore Lans et al. (2004) also emphasized the role of
farmers organization in educating fellow farmers. The competence
of the members can be built up through education and exchange of
experience in the matters like production technologies, farm
management and marketing. These organizations may run agricultural
schools where youngsters are prepared to become competent
farmers and offer courses which support life long learning. These
schools and courses do not only teach production technologies, but
increasingly also entrepreneurship. Along with this informal training
is also important in order to better adjust their farming systems to
developments trends in the markets. Similarly, discussion groups
can play an important role in farm management extension, so as to
help in better problem solving and decision-making (Faure and Kleen,
2004).
131
The mushrooming of self-help groups across the country are
evidence of the effectiveness of this self-help movement for
empowerment of farmers, especially rural women. Extension has to
play a catalytic role in mobilization and organization of various groups
like special target groups, users groups, fanners interest groups,
growers associations, young farmers/ youth clubs and special
interest groups etc depending upon the local need and nature of
enterprise.
Vocational Agricultural Education
The Krishi Vigyan Kendras, numbering at present 461, and
planned for every district in the country, can play a crucial role in
imparting need based and relevant vocational education to our
farmers. Experience suggest that the quality of these short courses
need to be upgraded in order to build the capacity of farmers to
compete in the market.
ICT in Agricultural Extension
As highlighted by the World Food Summit (Rome, 1996)
information is one of the priorities for achieving food security . FAO
has established World Agricultural Information System (WAI CENT)
for use in farm priority areas- human recourses, information content
system and community development. One of the conceptual models
is the Rural Information Network (Farm Network). The Department
of Agriculture and Co-operation, MOA, has launhed a project called
DACNET for strengthening of information technology infrastructures.
Under the NATP, Farmers Information and Advisory Centres (FAIC)
have been set up for establishing linkages.
Major challenge for agricultural extension is to develop strong
e-linkages through Krishi Vigyan Kendras. E-extension through KVKs
has been initiated but we still have a long way to go.
ICT to be used in the broadest possible sense, consisting of a
range of tools that build human networks, increase public awareness
and provide access to information and knowledge for the use of the
people. ICTs need to integrate the concept of multi-source, multi-
disciplinary, multi-media and multi-users.
Decision-making support system for farmers :
In todays era of competition the farmers have to be well
informed in order to make fanning more profitable Extension services
should use all available information sources about new technologies.
These technologies are not only developed in government research
institutions, but increasingly also in commercial companies selling
inputs to farmers on marketing their products and by innovative
farmers. (Sulaiman and Hall, 2004).
132
Information and communication technologies offer new and wider
opportunities to provide farmers and extension professionals with
information for good decisions. Market information for high value
products can also be sought through ICTs.
A paradigm shift in different components of extension has to
take place :
Transfer of technology to Capacity enhancement
From general to precise recommendations
Distribution of information to facilitation of access for
information
Dissemination model to fanner-driven needs model
(Vijayraghvan 2004)
Key reform measures (Hassanullah, 2004)
Working with all categories of farmers.
Decentralisation
Demand-driven extension
Working with all kind of groups - all types of available groups
of farmers
operating in an area.
Extension-research linkages to be strengthened
Multiple extension methods
Reform initiatives must fit with national goals and strategies,
the reform package must evolve to match the socio-technical context
of the existing extension and support systems, the reform measures
need to be developed collaboratively by appropriate representatives
of government, extension professionals and clientele, the policy
advocacy role for the extension system be strong enough to ensure
government commitment and continued support for a long enough
time to institutionalize the changes. The success of these reforms
depends on the economic benefits that accrue to fanners and
motivated, and devoted staff.
Private Extension Services:
Even though there is increasing interest in privatizing the
extension services, the Government has a major role in establishing
policies and programmes to facilitate the operation of private
extension services, along with continued sustenance in some cases,
133
and extension systems need to be designed with the understanding
that they will be cost effective only if the public role is defined so as
to complement what the private sector can and will fund and deliver.
(Beynon, 1998. Anderson and Feder, 2003) Private Extension
generally addresses commercial farmers. Conflicts may arise in
contracting schemes which need public regulation and monitoring.
Learning for sustainable agriculture involves a transformation
in fundamental objectives, strategies, skill and professionalism of
farming. The key element in their learning path are: (Roling and
Pretty 1997).
i) Extension has to be responsive to the changing
circumstances and farmers needs through encouraging
farmers to invest in observation, record keeping and
monitoring,
ii) Extension has to go beyond dissemination of
broad based recommendations and concentrate on a
complete range of management practices, skills and
knowledge related to adoption of sustainable farming
methods,
iii) Extension has to involve farmers in the whole process of
extension. This involves use of participating approaches
in overall planning and implementation of programmes.
iv) Extension has to demonstrate the feasibility of sustainable
practices.
v) The use of location specific farmers knowledge and
promotion of indigenous knowledge and practices will be
an important component of extension services to promote
sustainable farming methods.
Broad agenda for Extension: With changing farmers needs
regarding agricultural information as well as increased concerns for
poverty reduction and environmental conservation, the focus is
changing from narrow agricultural mandate to a broad rural
development one, recognizing that agriculture alone may not be the
best or only way to improve rural peoples livelihood. There is a call
for broader services, aimed at more marketing and group formation
efforts.
§ Capacity building-especially of extension staff to master
new extension methodologies.
§ New information and communication technologies-These
have the power to revolutionize extension systems and the
way public extension service work.
§ Sustainability-Extension service can partners with rural
producer organizations to disseminate information.
134
According to Sulaiman and Hall (2004) Worldwide, it is now
widely recognized that agricultural extension needs to reform in ways
that allow it to fulfill a diverse set of objectives. The emerging paradigm
of extension-plus ranges from better linking of fanners to input and
output markets, to reducing the vulnerability and enhancing voice of
the rural poor, development of micro-enterprises, poverty reduction
and environmental conservation and strengthening and support of
fanners organizations. Extension is being forced to embrace a
broadened mandate as fanners find themselves in an even more
complex production and market environment, with an expanding need
for information and services. There is a need for:
♣ Development of forward and backward linkages.
♣ Need to coordinate the efforts of multiple agencies involved
in technology development and dissemination.
♣ Contract farming-a strategy of integrating major actors.
♣ Integration of efforts of government, fund facilitators, R&D,
input providers, NGOs and farmers.
♣ Peoples participation
♣ Diversified input system-public, private and local
entrepreneurs
REFERENCES
Anderson, J.R. & Feder. G. (2003). Agricultural Extension: Good intensions and hard
realities. ARD, World Bank.
Beynon, J. et.al (1998). Financing the future: Options for agricultural research &
extension in Sub-Saharan Africa. Oxford Policy Management, Oxford.
Collion, M.H. (2004). Introduction to revitalization within public sector services In:
Rivera William & Alex Gray (Eds.) (2004). Revitalization within public sector
services. Vol. 4. ARD Discussion Paper II. Extension reform for rural
development.
Ellis, F. (2000). Rural livelihoods and diversity in developing countries. Oxford University
Press. Oxford.
Farington, J. et. al. (2002). Can extension contribute to rural poverty reduction?
Synthesis of a six country study, AgREN network paper No. 123. London,
ODI
Faure,G and P. Kleene (2004). Lessons from new experiences in extension in West
Africa; Management advice for family, farms and fanners governance.
Journal of Agricultural Education and Extension. 10; 37-49
Hoffmann,V. and Thomas, A. (2003). Advisory work as assistance in problem solving:
problem solving model as basic concepts for advisory work. The Journal of
Agricultural Education and Extension.9:61-73
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Hossanullah, M. (2004). Bangladesh: Agricultural extension reform initiatives. In:
Rivera & Gray (2004)
Koopmans, R. (2004).Farmer- controlled economic initiatives: Starting a cooperative,
No.38, Wageningen, Agvomisa.
Lan, T. et. al. (2004). Work-related lifelong learning for entrepreneurs in the agri-food
sector. International Journal of Training and Development, 8: 72-88
Mathur, P.N. (2004). Extension system in transition. Some policy issues. Asian J. Ext.
Edu.23:l:73-88
Roling, N & Pretty, J.N.(1997). Extensions role in sustainable agricultural development.
In Swanson, B.E. et.al (Ed.). Improving agricultural extension- A reference
manual, FAO, Rome.
Sulaiman, R.V. (2003).Innovations in agricultural extension in India. SD,FAO.
Sulaiman, R.V. and Hall.Andy (2004). Towards extension-plus: Opportunities and
challenges. Policy Brief 17, NCAP, ICAR, New Delhi.
Van Den Ban, A.W. and Hawkins, H.S. (1996). Agricultural Extension. Oxford, Blackwell
Science.
Van Den Ban, A.W. (2004). Changes in society require changes in agricultural
extension: some observations. Asian J. Ext. Edu.23:l :1-17
Vijayraghvan. K. (2004). Reforming agricultural extension: needed shift and strategies.
Asian J. Ext. Edu.23:l :89-103
William Rivera & Alex Gray (Eds.) (2004). Revitalization within public sector services.
Vol. 4. ARD Discussion Paper II. Extension reform for rural development.
Woolcock, M. (1998). Social capital and economic development: Towards a theoretical
synthesis and policy framework .Theory and Society 27:151-208.
136
PERFORMANCE ORIENTED EVALUATION
SYSTEM FOR PUBLIC SECTOR RESEARCH
ORGANIZATIONS IN AGRICULTURE
T.Balaguru
National Academy of Agricultural Research management
Rajendranagar, Hyderabad 500 030
INTRODUCTION
Indian agriculture has undergone a major transformation in the
last four decades. Through extensive application of science and
technology, the country has made great strides in agricultural
production and productivity. The massive network of agricultural
research organizations, particularly in the public sector, has made it
possible for the National Agricultural Research System (NARS) to
enable the country move forward from food deficit to surplus status.
In the light of rapidly changing national and global agricultural
scenario, coupled with increasingly scarce research resources, the
public sector research organizations are now frequently being asked
to show results that are acceptable to the end users, improve their
performance (in terms of output and impact) and enhance their
accountability to varied groups of stakeholders and beneficiaries.
Besides, the trend towards privatization of research and re-
examination of the role of public research organizations has
necessitated the policy-makers and research planners to focus on
the impact of public sector research as well as on their accountability
to the society.
The public funded research organizations are now confronted
with the urgent need to demonstrate performance and accountability
to ensure the support and funding from planners and policy-makers
on a sustainable basis.This calls for a more realistic performance-
oriented evaluation system, particularly at the organizational level.
Such system, if internalized, can assist the research managers to
assess the level of performance of their organizations, in terms of
output and outcome; identify the management constraints, both
internal and external; and evolve appropriate strategies to improve
their performance.
Conceptual Framework
There has been growing internal as well as external demands
for improved performance and accountability of public funded
agricultural research organizations in the country. They need to be
productive by showing research results that are relevant to the needs
137
of their clients and various stakeholders. In essence, productivity
and relevance are the two major dimensions of performance. The
performance is closely linked to accountability. While the
measurement of organizational performance is a precondition for
accountability, the accountability mechanisms are instrumental to
improve their performance.
Concepts
Performance assessment and accountability enhancement of
agricultural research organizations are vital issues to be considered
in the good governance of NARS. Though simple in intent, they are
complex in nature and have different aspects.
Accountability :
It refers to the research organizations ability to justify to its
varied stakeholders (farmers, government, policy-planners, funding
agencies, etc.) and beneficiaries (consumers, NGOs, etc.) the
relevance and quality of its research programmes, and the use of
resources to achieve its goals and objectives.
Accountability has both internal and external aspects. Inter-
nally, all aspects of research management process (planning, prior-
ity setting, monitoring, and evaluation) can be improved when the
goals and objectives of the research organization are clear and well
integrated with the national goals set for the agricultural sector. Ex-
ternally, funding support can be maintained when it provides timely,
accurate and objective reporting on its output and outcome.
Performance :
It is the ability of a research organization to use its resources
efficiently and consistent with its objectives, for the production of
outputs that are relevant for its users.
The ability to define, measure and assess (evaluate)
performance is an essential condition for its improvement.
Accountable management implies that public research organizations
are responsible for specified levels of performance.
Approach
Performance evaluation function is generally weak in many
public sector research organizations in the NARS. It is mostly carried
out to meet the external requirements and not targeted at the crucial
internal management issues. It often remains as an isolated activity
(mid-term review, quinquennial review, etc.) to satisfy external
demands, instead of integrating them as a part of the internal
138
management process in the organization. Inadequacy of systematic
information flow supporting the management decisions makes it
difficult to identify structural, organizational and management
problems, or to bring about improvements in outputs and outcomes.
In this context, it becomes necessary to critically look at the
characteristics of agricultural research organizations in order to build
performance orientation into the public sector.
Characteristics of Agricultural Research Organizations
Resources& Research Outputs Users Outcomes
Planning Operations Knowledge Farmers Increased
Personnel Research Technology Extension production
Funds Testing/ Procedures NGOs Cost reduction
Infrastructure adaptation Publications Academia Profit
Research Reporting Services Consumers Achievement
Strategy, Goals Dissemination of objectives
Operations Monitoring & Feedback
Output Assessment & Feedback
Outcome Assessment & Feedback
Source: Warran Peterson, Discussion Paper, ISNAR, July 1998.

If viewed as a production system, agricultural research
organizations have certain basic features. With differing structures
and organizational processes, they use resources as inputs
(personnel, funds and infrastructure) in research operations (research,
testing, reporting, and disseminating results) that generate various
types of outputs (knowledge, technology, procedures, and
publications). Users attempt to transform the outputs into positive
outcomes (increased production, cost reduction and profits). In this
sequence of events, performance assessment and feedback
mechanisms are required at different levels to ensure that public
research organizations use their resources efficiently and produce
relevant and useful outputs:
Assessment Procedures
Performance of public sector research organizations are
influenced by certain special characteristics, as under:
§ As partner in the overall development efforts, re
flect the national goals and objectives.
§ Have multiple social and economic objectives.
§ Operate in a dynamic policy and funding environment.
139
§ Due to the existence of civil service rules, have very little
flexibility either to suitably reward better performance or to
punish non-performance.
§ Difficulty in attributing positive outcomes to organizational
efforts due to the activities of multiple institutional actors.
§ Have more diverse accountability requirements.
Because of these complexities, it becomes imperative to
consider organizational processes (efficiency) along with output/
outcome (effectiveness) factors while evaluating their performance.
In other words, information on output/outcome need to be evaluated
in conjunction with the management factors that produce them. Both
types of assessment are an integral part of performance-oriented
management. On this premise, the performance-oriented evaluation
procedure encompasses three basic components, as under:
§ Research outputs (productivity)
§ Research outcomes (impact)
§ Management processes/domains/functions (performance)
The suggested procedure attempts to integrate research out-
put and outcome evaluation with the assessment of key manage-
ment processes that affect the performance. The performance -
oriented evaluation system contemplates to essentially focus on
the following critical areas of assessment.
§ Identification of suitable indicators pertaining to research
output, outcome and management processes.
§ Measurement of the selected indicators by assigning
appropriate weights as per their relative importance, for
every year over a selected period, and expressing them in
quantitative terms.
§ Critical analysis of the level of performance, and integrating
the results into internal decision-making to evolve relevant
strategies for improved performance.
Output Assessment
Through a step-wise procedure, research output (productivity)
can be assessed by a productivity index or ratio composed of a
weighted sum of the key goals. The output assessment essentially
focus on the following three components:
§ Output indicators identification (categories and types under
each category).
140
§ Output measurement (in terms of productivity index/ratio).
§ Output analysis (trend analysis and cumulative
performance).
Define Output
Output Indicators Categories
Identification
Identify Output Types under
each Category
Define Output Scales
Assign Weights
Output
Measurement Collect Basic Data
Compute Productivity Ratios
Analyze Output Trends and

Patterns
Output Analysis Examine the Results
Prepare Action Plan for

Improvement
Output indicators identification

In any agricultural research organization, one of the most
important and commonly used performance assessment parameters
relates to various categories and types of research outputs. They
include the following:
141
Output Category Output Type
Improved Crop Varieties/Animal • Improved crop varieties

Breeds/Tree Species • Improved animal breeds
In any agricultural research • Improved tree species
organization, one of the most
important outputs is the number of
crop varieties and hybrids/animal
breeds/tree species released.
(It also includes their success rate, in
terms of actual adoption by the clients)
Improved Management Practices Plant Sciences:

Sustainable crop production is also • Agronomic practices (tillage,
based on timely adoption of seed rate, spacing, etc.)
appropriate plant/animal management • Soil and water management,
practices. • Integrated management of
(It also includes their success rate, in pests, weeds, water and
terms of actual adoption by the clients) nutrients
• Integrated farming systems,
including eco-sustainable
practices
• Horticultural practices (tissue
culture, propagation, etc.)
• Farm management
• Farm mechanization
• Post-harvest technology
• Biotechnology
• Green house technology
• Others
Animal Sciences:
• Animal nutrition
• Vaccination
• Shed maintenance
• Rapid diagnosis and treatment
of injuries and diseases
• Biotechnology
• Others
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Publications and Reports • Papers in referred national /
One of the most commonly used international journals
performance measurement indicators • Papers presented in
of research organizations is the conference / symposia /
number of publications and reports workshop
published in a year. • Conference / symposium /
workshop proceedings
• Policy papers
• Concept / occasional papers
• Discussion papers
• Books / reviews / chapters
• Abstracts
• Research highlights / bulletins
/ brochures
• Bibliography / monographs
• Technical reports
• Training manuals
• Training materials for students
/ trainees
• Posters / newsletters / leaflets
• Farmers / extension material
• Audio-visual materials (radio /
TV / videotapes)
• Electronic database
• GIS Mapping
• Case studies
• Others
Training Events • Training of national and

Various types of training programmes international researchers
organized for different client groups • Training of farmers and
are also a valuable indicator in order to farmers organizations
measure the performance of • Training of women farmers
agricultural research organizations. • Training of extension officers
• Training of students
• Training of private / public input
agencies
• Training of NGOs
• Others
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Dissemination Events • On-farm research trials
Dissemination of research results • Field visits / field days
through a variety of programmes • Demonstrations
for different categories of stakeholders • Farmer programmes in mass
and beneficiaries. media (radio, TV, newspapers,
magazines, etc.)
• Farmer fairs
• Exhibitions
• Campaigns
• Gram Sabhas
• Press release
• Through contact farmers / NGOs
• Agriculture Technical Information
Centre (ATIC) DAAT (District
Agriculture Advisory Technology
Transfer) Centres / ZARS (Zonal
Agricultural Research Station)
• Collaborative links with other
institutions
• Others
Public Services • Seed production activities

Public services provide to a variety of • Advisory services (field visits and
end users is also an additional office calls)
indicator for performance assessment • Pest and disease surveillance /
of research organization crop protection management /
eradication
• Biological control labs
• Soil and water testing
• Pesticide testing
• Fertilizer testing
• Seed testing
• Gene / germplasm banks
• Germplasm enhancement
• Screening technique
• Testing for quarantine
• Land use mapping and planning
• Biotech services
• Taxonomic services
• Farm / veterinary clinics
• Others
144
Professional Recognition • Awards
Awards received in recognition of the • Resource generation
research work undertaken by the • Membership in Professional
faculties, resources generated, Societies / Committees
scientists invited to be the members of • Consultancy service
the professional societies/Committees
and the financial resources generated
from the consultancy service are
considered as indicators to assess the
professional recognition of the
organization.
Product Development • Patents

Includes patents/copy right for the • Implements
innovations made by the scientists, • Software
software developed, agricultural • Processed food items
machinery developed for improving (plants / animals)
the work efficiency of the end users
and processed food items, both plant
or animal origin.
Output measurement
Once suitable indicators (output categories and types) are
identified, measurement matrices for each year during the
assessment period (say, five years) are to be constructed. This can
include simple quality elements (number vs. adoption rate) and
weighting factors, i.e. assigning relative weights to different types
of output to correct imbalances. Multiplying the number and / or
adoption rate with the weights assigned, scores for each output
type can be obtained. The scores of all the output types in that
particular category are to be summed up to arrive at the total index
score of that category. Dividing the total index score by the input
(researcher time/man-months considered as a proxy to achieve scale
neutral measurement) would result in a productivity ratio for that
particular category. All the outputs can be finally assessed in terms
of productivity (output/input) that result in productivity ratios.
Outcome Assessment
It is necessary to properly evaluate the impact of research. It
can only be accomplished by tracking specific outputs to establish
a causal relationship between the research output and benefits to
producers. Since periodic tracking of specific research outputs to
their targets is necessary, outcome assessment is more difficult
145
requiring more resources and expertise. Moreover, multiple agencies
are involved in realizing the impact of technologies developed by
the research organizations. Careful planning is, therefore, needed to
combine simplicity in design, reasonable levels of resource
requirement and appropriate assessment targets. Because of the
inherent difficulties associated with the outcome / impact
assessment, most organizations tend to keep this type of assessment
outside the purview of performance assessment exercise.
Outcome indicators identification:
Not withstanding the difficulties associated with impact
assessment, which constitutes a vital component of performance
assessment, it is worthwhile to consider a few of the selected
indicators so that the evaluation is complete in all aspects. As per
the level of difficulty associated with outcome assessment, some
indicators can be considered as simple and some others as very
complex.
Simple:
v Area expansion (crops) / increase in number (animals)
v Increase in production
v Reduction in production cost
v Profitability to the producer
v Achievement of objectives- Adoption rate (reach)
v Sustainability of adoption
Complex:
v Internal rate of return (IRR)
v Benefit- cost analysis (BCA)
v Total factor productivity (TFP)
v Environmental impact assessment (EIA)
While it is relatively easy to measure the simple indicators,
reliable database and expertise are essential to measure the complex
indicators. As per the availability of database and expertise, relevant
indicators may be considered for impact assessment. In this context,
it is desirable to develop the required database as well as the expertise
to ensure more realistic assessment of the impact of technologies
developed by the research organization. Careful planning is,
therefore, required to combine simplicity in design, reasonable levels
of resource requirement and appropriate assessment targets.
146
Management Process Assessment
Effective management has a greater influence on the
performance of research organizations. Assuming a direct relationship
between management and performance, it is considered as yet
another major component of performance assessment methodology.
Various steps involved under this component are presented below.
Select key management

domain/areas/functions
Identification of Key Design analytical questions

Management under each management
Domains domain
Identify management
constraints under each domain
Score the management domain

questions and constraint
Measurement of
Performance and
Management
Constraints Compute performance and
constraint ratios
Analyze management
performance
Analysis and .
Follow-up
Prepare action plan for
improvement
147
Management process indicators identification :
Critical management processes or elements that drive the
performance of research organizations need to be identified first.
They include:
§ Assessment of context and organizational

responsiveness: It is vital for the research organization to
properly understand the opportunities and threats prevailing
in its environment (in terms of farmers conditions and
aspirations, national policies and goals, markets, prices,
funding levels, partners, and competitors) in order to plan
relevant research and produce outputs that are useful for
its varied groups of stakeholders and beneficiaries.
§ Planning strategy and goals for the organization: In order
to effectively respond to the rapidly changing environment,
it becomes pertinent for the organization to periodically
review and adjust its directions and goals. Strategic planning
can be a better option available for repositioning itself in its
environment.
§ Selecting research objectives and outputs: At the
operational level, the development goals and client needs
are to be reflected in the organizations research objectives
and priorities for making them more relevant.
§ Research project management: The organizational
objectives and strategies are to be translated into relevant
projects that need to be well planned and managed in terms
of inputs, activities and expected outputs.
§ Maintaining the quality of operational research: To ensure
effective research operations and quality of output, improved
research management practices need to be followed by
creating conducive working environment in the organization.
§ Human resource management: It is important that
adequate numbers of qualified staff, in different category,
are in position to ensure expected level of organizational
performance. Proper human resource management
practices, in terms of planning, recruitment, development,
and evaluation, are to be implemented for realizing improved
performance.
148
§ Coordination and integration of internal functions, units
and activities: For the smooth and efficient running of
research operations, activities of various functional units
within the organization are to be well integrated through a
proper coordination mechanism. Suitable organizational
structure that is facilitative for good governance, effective
co-operation and internal communication need to be ensured.
§ Transfer of technology: For effective dissemination of
research results, in the form of new knowledge and
technology, to the end users, it becomes necessary to
establish strong linkages and working relationships with
various agencies such as farmer organizations, extension,
development agencies including NGOs, universities, private
sector, and other agencies (both national and international).
This will not only help to put into practice the developed
technologies but will also provide the necessary feedback
to the organization for developing relevant research agenda.
§ Protecting organizational assets: In the best interest of
the organization, due attention needs to be paid to protect
its assets such as staff, funds, infrastructure facilities, and
intellectual property.
§ Ensuring the flow and use of information for monitoring,
evaluation and reporting: Proper monitoring, evaluation
and reporting of research through systematically designed
and managed information system will immensely benefit
the organization by providing useful information for sound
decision-making as well as for ensuring accountability.
§ Governance: Provision of inspirational leadership through
participatory decision-making as a team, empowering people
with operational freedom and rights due for them, existence
of personnel policies conducive for improved performance,
proper motivation to get the best out of the individual, and
devolution of power resulting in decentralized decision-
making will lead to good governance of the research
organization.
Management process measurement:
As per the specific characteristics of the organization concerned,
a set of analytical questions needs to be first raised for each of the
critical management functions/domains. The degree to which these
questions are answered is then scored, on a point scale, for individual
domains. By summing up all the scores under each domain, the
149
total score can be obtained. Dividing the total score by the possible/
potential score would result in a performance ratio for that particular
management domain. Measurement matrix with performance ratios
for all the domains can then be constructed for that particular year.
Due to varying nature of decision-making as well as the
prevalence of bureaucratic norms and procedures, constraints to
effective management often exist in the public sector research
organizations of NARS. For each management domain, specific
management constraints (both internal and external) need to be
identified and scored, on a point scale, as per their relative
importance. Summing up all the scores in that particular management
domain can then arrive at the total score. Dividing the total score by
the possible/potential score would yield a constraint ratio for that
particular management domain. Similar to the performance ratios,
measurement matrix for the constraint ratios can also be constructed
for that particular year.
Analysis of Performance Assessment Results
Trend Analysis
Year-wise comparison of productivity/performance/constraint
ratios can be made during a selected period, the length of which will
vary with the availability of quality information and the nature of
commodity (annual / perennial) handled by the research organization,
to examine the changes in performance over time. It is also possible
to work out a benchmark threshold value (average ratios over a
selected period), which can serve as useful indicator for identifying
the years of over, normal and under-performance of the research
organization.
Relative Contribution
In accordance with the mandate of the research organization,
contribution of the individual category to the cumulative performance
can be assessed (separately for output, outcome and management
process) for each year by assigning weights as per their relative
importance. The trend in overall performance, in terms of productivity
/ performance / constraint ratios, can then be arrive at during the
period of assessment.
Development of Strategy
By critically examining the reasons for under-performance, as
reflected in lower productivity/performance ratios coupled with higher
constraint ratios in comparison with the benchmark/threshold values,
150
appropriate action plans need to be developed to overcome the
problems towards improving the performance level.
As a strategy, the performance assessment results need to be
integrated into the internal decision-making process, so that the
potential of the methodology as an effective tool for improved
performance can be fully realized.
Future Scope and Strategy
At the present juncture, nobody can venture to doubt the utility
and value of performance-oriented evaluation system. However, the
following conditions are to be satisfied in order for the public funded
research organizations to fully realize its potential.
§ Performance-oriented culture to be inculcated among the
agricultural research organizations.
§ An internal organization management perspective, rather
than an external donor perspective, to be developed.
§ Awareness on performance assessment approaches
suitable for public sector research organizations to be
created through sensitization programmes.
§ Interest of management (or external pressure!) to initiate
performance-oriented evaluation system, and effective
participation, commitment and guidance of managers to its
development and use to be ensured.
§ Ready availability of information and provision of adequate
resources (staff, funds and time) to be assured.
§ Integration of the evaluation system into management
processes and decision-making to be considered as the
hallmark for improved performance.
CONCLUSION
Agricultural research organizations in the public sector are
currently facing the onerous task of meeting the greater demands of
varied stakeholders and beneficiaries with the limited resources at
their disposal. Not only the quantity and quality of various forms of
outputs / outcomes, but also the efficiency with which they are
generated reflects their performance. The performance-oriented
evaluation system described here attempts to integrate output and
outcome evaluation with the assessment of key management
processes that affect the performance.
151
The evaluation system primarily aims at efficient and effective
management towards improved performance within the research
organization. It basically assumes that internal assessment is more
useful than external evaluation for the effective management of
research organizations and the improvement of their performance.
Internal research managers have far more knowledge of their own
organizations than do outsiders; and the information from internal
assessment are more likely to be used if they are directly involved
in the design and management of the performance-oriented evaluation
system.
Although the described evaluation system is essentially meant
for self-assessment of research organizations, it can serve as a
critical input (in quantitative terms) to external evaluation bodies
like QRT in the NARS. Most importantly, the full potential of this
comprehensive evaluation system can be realized only when a
performance-oriented culture is inculcated and the results emanating
from the assessment are integrated into the decision-making process
in the research organization. Any effort to enhance the efficiency
and effectiveness of public research organizations in the NARS
necessitates the institutionalization of a performance - oriented
evaluation system in order to make them accountable to increasingly
varied groups of stakeholders and beneficiaries.
152
GLOBALISATION, NEW TECHNOLOGIES AND
RICE LIVELIHOOD : WHAT ABOUT
RURAL WOMEN?1
Ms Revathi Balakrishnan, Ph.D.2
INTRODUCTION
The theme of the International Year of Rice, Rice is Life, sums
up the reality of rural Asia. India is no exception. Across India,
farming systems and agricultural production systems are most often
centred on rice crop cultivation or rural enterprises associated with
rice crops and rice by-products. Hence, in most Indian rural
communities, rice based or rice integrated livelihood systems define
economic opportunities and the rhythm of life. From the dual
perspectives of global trade and household economy, the rice crop
holds a significant position in India. Developing countries account
for 95 percent of the total global production of rice; China and India
alone contribute 50 percent of this production (FAO, 2003). In India,
about 43 percent of the food grain production in 2001 came from
rice. Seventeen states accounted for 97.7 percent of the total rice
area in the country in the triennium ending 1999-2000. About 40
percent of the crop is consumed on farm; the remainder is marketed
(Vepa, 2004). Fluctuations in rice prices and natural phenomena
threaten rice farmers livelihood and food security. Within households
seasonal activities of production, demand for productive resources
including labour and social events are marked by the production
cycles of the rice crop. In the cultural perspective, Tamil Nadu
celebrates the January rice harvest festival.
Crop production intensity and diversity in production constraints
are illustrated by various rice production practices adopted within
the country. In some systems three crops of rice are common while
in other areas only a single crop in a year is planted depending on
the abundance or scarcity of agriculture inputs, primarily water. The
rice centred farming systems and rice integrated farming systems
1
The paper is not cleared by FAO and is an unedited version. Thus the ideas
and arguments presented do not represent the official position of FAO/UN. The
author is solely responsible for its contents. The paper or sections of the paper
can be used only with prior permission of the author.
2
The author is the Senior Officer, Gender and Development, Sustainable
Development Department, FAO Regional Office for Asia and the Pacific, Bangkok,
Thailand.
153
should be recognised for the diversity of livelihood strategies and
the complex production calendar affected by seasonal demands
and resource constraints. When the expected water fails the farmers,
such as in droughts or when floods drown the paddy fields, rice
farmers experience economic vulnerability and the threat to food
security. The livelihood strategies of rural populations are
characterised by integrated systems of resource management such
as rice-fish, rice-livestock, rice-agro forestry, rice-vegetable, rice-
homestead and rice-homestead-wage labour. Such integrated
resource management strategies are responses to local agro-
ecological resource situations and production constraints. It could
be easily affirmed that the rice livelihood system integrates crop
production, livestock, rural industry and rural employment in India.
In such multifaceted rice livelihood systems, gender roles vary
ranging from transplanting to processing, and provisioning through
supplementary income generation activities. Invariably, women make
critical contributions to the rice livelihood system marked by multi-
tasking work-loads. The changing global and natural resource
conditions place demands on farm households work demands and
resource allocations. The labour patterns in the households are
determined by gender defined roles, responsibilities and knowledge
base. These gender dimensions have yet to be well documented to
guide polices for the advancement of rural women in rice based
economies such as India and within India the states that produce
rice crops.
Women in the rice livelihood system: Redefining research
significance
In rice bowl countries such as India, gender roles in rice
livelihood systems are characterised by diversity- beginning with
agricultural practices such as seed selection, planting and weeding,
and extending to processing for household consumption and
marketing. The multitasking of rural women in the rice livelihood
system was a primary focus of study in the late 1970s and early
1980s. Since that time, the study of rural womens situation in rice
livelihood systems has declined. It is important to refocus attention
on rural women in rice livelihood systems as the economic and the
technological milieu of India changes with considerable impact on
rice livelihood systems. In todays India, rice has become an
important export commodity as well as the basic food. In rural India,
however, rice producing households may not enjoy the amenities
that new technologies can provide or the advantages of the global
economy. Within rural households there persists gender asymmetry
that adds to the inequality in access to resources including
technology, information and training.
154
The decline in the study of women in rice farming systems
occurred as new areas of focus emerged within the agriculture sector
and in gender/women in development programmes. In particular,
within the agriculture sector the focus shifted from mono-crop, such
as rice, to crop diversification and sustainable natural resource
management. Green Revolution interventions were criticised and
the search for alternatives was promoted. Research efforts were
redirected to develop alternative crop management practices including
integrated pest management and crop diversification such as
horticulture. New modes of technology transfer and training of farmers
emerged in the form of Farmer Field Schools (FFS) and farmer to
farmer information exchanges. With the technology development
paradigm shifting toward crop management and natural resource
sustainability, the social research focus on women in rice systems
was relegated to a lower status. Perhaps the assumption was that
women would adapt to the changing times and their division of labour
at the household level would not be impacted. This assumption is
untenable when the facts of labour force participation in rice farming
systems are reviewed.
In the global development arena, the debate over gender
mainstreaming paradigms versus women in development approaches
contributed to a decreased emphasis on the study of rural women
by research institutions. Additionally, the overt acknowledgement
and increasing advocacy of social evils in the Asian region, (and
India is no exception), paved the way to emergence of academic
and development interests on issues related to domestic violence
and trafficking of women. In India, the social concerns of persisting
gender based discrimination became a central focus of advocacy
and academics. It is seldom overtly acknowledged that the economic
ill of rural poverty is a contributing factor to such social disharmony.
It is also true that such social issues have a rural dimension where
discrimination and poverty are widely prevalent and poorly studied;
the analytical focus moved away from research related to rural
womens access to land, capital, technology and agricultural
services. In India, women centred development projects for income
generation through credit and self-help groups became a centre piece
of strategies for womens advancement. Yet, the agriculture research
service could have taken on the role of monitoring these interventions
through objective assessment of the household level resource gains
and impediments for economic, welfare and equality gains with
gender, class and ethnicity dimensions.
155
Paradoxically, while the interest and importance of studying
rural women in rice livelihood systems was on the decline, in many
countries of the region the phenomenon termed as feminisation of
agriculture was on the rise. Feminisation of agriculture, simply stated,
is a rural situation where due to various social and economic reasons,
men are absent from the farms and fields and women have become
the farmers and agricultural labourers. Along with feminisation,
marginalisation of womens role in agriculture also should be
recognised. A demographic change in agriculture labour such as
feminisation of agriculture in the milieu of changing technologies
and economic transformations creates new divisions of labour at
the household level. Social researchers in agriculture research
systems have not studied this phenomenon in the rural centres of
India that are dependent on rice based production systems.
Indian census data show that over the past ten years the
percentage of women engaged in agriculture has risen. As per the
1991 census, 48.40 percent of the total rural workers were cultivators
and 31.65 percent were engaged as agricultural labour. The 2001
census reports 40.14 percent were cultivators and 33.20 were engaged
as agricultural labour. An overall situation is 40 percent of all
cultivators, and 47 percent of all agricultural labour are women. In
the state of Tamil Nadu, more than 50 percent of agriculture labour
is women, and the percentage of cultivators is also high, though
relatively less than agriculture labourers. Women are moving from
being cultivators to the roles of agricultural wage labourers. The
roles of women in agriculture are being incrementally marginalised
(Vepa, 2004) .
Within Indian states it appears that agriculture in more backward
districts attracts a larger percentage of women than men, while more
prosperous districts have fewer women than men. In the case of
Tamil Nadus prosperous irrigated district of Tanjavur, the percentage
of women in agriculture labour is only 44 percent, while backward
districts like Ramanathapuram have as high as 58 percent of
agricultural labour as women. In districts such as Namakkal,
Pudukkotai, Tiruvannamali and Perambalur, a large percentage
ranging from 55 to 60 percent of agricultural labour is women. The
reason for higher employment of women as labour appears to be the
lower wages paid to women. Thus, women seem to be pushed to
the poorest areas of the state where wages are low compared to
prosperous districts, and there again they get lower wages than
men (Vepa, 2004). The price advantage for the rice commodity seems
to arise from the labour wage advantages of employing women at
lower wages.
156
Women and smallholder farmers play an important role in rice
production and in post-harvest activities, yet they often do not receive
proportionate social and economic benefits when improvements in
rice cultivation are initiated at the field level. In order to enhance the
productivity of rice-based production systems, especially for
smallholder farmers, it is essential to make a careful assessment of
gender and labour roles (FAO, 2003). Social variables such as caste,
class and traditions determine the gender roles in the rice livelihood
systems of India.
In a study completed by Paris et al (2000) in India, upper caste
households in the rainfed lowland rice environment of Eastern Uttar
Pradesh used a relatively high percentage of hired female labour
(87.4 %) compared to middle and lower caste households (83.6 %
and 65.3 % respectively). Lower caste households, on the other
hand, used the highest percentage of female family labour in rice
production (54.2 %), compared to upper caste households that used
the lowest level of female family labour (0. 2 %). But in every category
of household, the female labour far exceeded that of male labour
(upper caste 87.5 %; middle caste 83.7 % and lower caste 82.6 %).
In Jeypore, India, the primary centre of the origin of cultivated
rice, Oryza sativa, women have the major responsibility for selection
and storage of seed for the next season (Sharma, Tripathy and
Gurung, 1997). On the other hand in the Malayali culture (Vedavalli,
1997) and in the Kurichiyas community, Kerala (Vedavalli and
Sharma, 1997) the decision to grow certain paddy varieties, based
on various factors such as nutritive value, tastiness and size of the
grain, are reached by both men and women farmers. Religious
concepts of purity and pollution prevent women from participating in
selecting and storing paddy seeds in the Kurichiyas community.
Only occasionally, older women may become involved in seed
selection. In Arunachal Pradesh, India, older women identify varieties
of paddy suited to differing soil conditions and also select pure
seed. Men do not have this skill and neither do younger men and
women, especially if they have had some education (Krishna, 1998).
Though women play key roles in rice livelihood systems, the
prevailing situation presents aspects of vulnerability for women in
agriculture due to sex differentials in wages and uncertain access to
the agriculture wage labour market as well as no access to drudgery
reducing technologies and technical information in rice production.
There also could be migration related impacts of the economic
3
Labour input is measured in person days per hectare.
157
vulnerability of wage contracts, and the social marginalisation of
women agriculture labourers who lack assets. An important asset
issue is the land rights for women. Under Indias secular law, women
have equal rights to land, however the customary law and local
traditions undermine womens land rights. Women agriculture
labourers also face the issue of technology training and access to
technical information beyond the farmer-cultivator households in Tamil
Nadu as well as across India.
Generally, rural and scientific communities are reluctant to
accept and accommodate the changing gender realities with their
implications for the advancement of rural women. Such persisting
traditional perceptions that refuse to recognise changing gender
realities contribute to additional constraints on womens access to
technology, productive assets and resources in rice livelihood
systems. Yet there is no significant effort evident to capture the
changing realities of gender specific household division of labour or
to address persisting gender specific constraints that might alter
the situation of rural women in rice livelihood systems. The research
agenda for the rural economic dynamics in changing India should
expand the scope of studies to authenticate the changing realities
of rural households with a gender perspective.
The United Nations Millennium Development Goals promote
eradication of poverty and hunger through gender equality,
empowerment of women and environmental sustainability (UN). These
goals are relevant to organisational objectives promoted by FAO
such as poverty reduction for food security, gender equality in rural
agriculture and rural development and sustainability (FAO, 2000).
India is home to the largest population living in poverty that also has
rural dimension; small rice farmers are highly represented in the
poverty population. India records greater gender equality gains in
the urban sector compared to rural areas. In many countries of the
region, as in India, rural women still lack access to basic services
such as health, education and information. Such resource barriers
undermine the advancement of rural women. Hence the timely focus
of the Indian National Commission for Women: to reach rural women
under the Common Minimum Programme. Indian agricultural
institutions should address visible and explicit policy agenda and
programme strategies for the advancement of rural women in the
country that dominates the global rice trade. The rally for rural
womens advancement should be supported by reliable field research
to provide facts for advocacy and policy formulation.
158
A General Typology of Technologies Relevant to Rice Based Systems: Implications for Rural Women
Mainstream Agriculture Alternative Agriculture
Rural Women Working in Traditional Rice Variety: Household

Hybrid Rice Variety: Purchased Seed Rice Based Livelihood Seed Management
Green Revolution Technology Package: System Location Specific Production
Intensive External Inputs
Technologies: Local Low Inputs
Integrated Pest Management: Division of Labour
Household Drudgery Traditional Management of Pests and
Variations Diseases
159
New Rice Farming Systems: Access to Technology Mixed Farming systems: Homestead
Rice Vegetable Access to Training Production Systems
Access to Information
Biotechnology: Miracle Yellow Rice Organic Production
Farm Mechanization Basic Farm Tools
Modern Post-harvest Technology: Traditional Post Harvest
Rice Processing Technology Goal:
Research Focus Sustainability
Goal: Productivity
Figure 1
Technological changes relevant to rice based livelihood systems
picture gains and constraints. Rural women as workers in the

and the impact of technology on rural women presents a mixed
crop that thus ushered in cultivated rice technology to the world
subsistence rice based systems depend on their physical labour,

time at their disposal and rudimentary technologies that are passed
food systems. But it is a demonstrated fact that access to technology
Many confer on women the credit for domestication of the rice
from generation to generation of women. It is of interest to review
the changing modes of technologies that have impacted rice systems
in the Asian region with implications for womens work and access
to technologies. The regional synthesis has implications for India.
The typology of technologies used here is a general description
providing an overview, rather than systematic research on
technologies and impacts (Figure1).
The technologies are grouped into two broad categories,
mainstream agriculture and alternative agriculture. Mainstream
agriculture is defined here as those technologies promoted by the
agriculture research, education and extension organisations to
improve productivity and that depend on high external inputs.
Alternative agriculture is defined as technologies promoted by those
opposed to technologies that they believe are destructive to local
production systems, local communities and environment and that
promote low external inputs (Savant, no date). The ideological
foundations among these groups vary between productivity and
sustainability. The proponents of mainstream agriculture promote
productivity. The promoters of alternative agriculture emphasise
sustainability. It is obligatory for those working to improve rural
womens situation to assess current and potential impacts of
competing technology paradigms for rural women in the rice livelihood
systems.
A few essential facets of gender realities and womens situation
should be considered in assisting rural women to take advantage of
changing technologies in the agriculture sector. As mainstream
agriculture technologies and crop management systems become
increasingly sophisticated and complex, they require a basic level
of formal education for absorption and adoption. As the feminisation
of agriculture becomes increasingly common in Asia, it will be women
farmers who will adopt these technologies. Most often the rural Indian
women who are becoming farmers are deprived of formal education,
particularly those working in small subsistence rice farming systems.
It also could be true for certain aspects of alternative agriculture
technologies that labour centred production approaches would
increase the work load of women. All technologies are not labour
saving; some increase rural womens workload such as the case of
biological pest control that requires labour in addition to the traditional
method of pounding the paddy. There also is an inherent danger of
farm women not moving away from the traditional methods of
production that are passed on from generation to generation. For
example, changing realities of the agro-ecological resource base
will create new production constraints and increase demand on family
labour.
160
The costs and benefits of such competing technology paradigms
must be evaluated critically from the perspective of women farmers,
yet very few systematic analyses address the impact of these
technologies on rural womens work load, the drudgery of work,
womens ability and capacity to adopt the technologies effectively
or gender-equal access to these technologies. Technology
assessments that have been driven by the ideological energy of the
competing paradigm promoters focus on productivity or sustainability
outcomes. Among proponents of both groups, the prevailing
perception in technology assessment is that womens time lacks
opportunity cost, meaning that womens time has no market
exchange value in these subsistence production systems. Rural
women generally use limited technology, not mechanised farming
practices. Such differences in technology based task options that
are available to women may help explain their wage differences.
Hence, the need to develop an information base on rural women and
technology to address the paucity of research based data and to
provide a realistic assessment of differential impacts of promoted
technology packages. The dearth of documentation on technology
for rural women continues to undermine the effectiveness of policy
advocacy and programme planning for gender responsive livelihood
strategies in rice production systems.
Furthermore, innovations to use information and communication
technologies (ICTs) to improve rural womens access to technical
information are very few and still in the pilot phase. Among the
barriers to apply ICTs for improving rural womens access to technical
knowledge are the poor rural infrastructure and the lack of relevant
content. India holds the potential to be a leader in breaking the
information barriers to rural communities, including women in rice
systems, by applying information technology expertise in the country.
The Asian region has set the trend for innovative technology
transfer modality, such as Farmer Field School (FFS) for Integrated
Pest Management in rice systems. Though women are equal partners
in rice system management, the modality of FFS did not encourage
the participation of women. Simply, rural womens role in rice
livelihood systems varied from that of men and required different
knowledge; this difference was not recognised in the FFS curriculum.
Additionally, given womens multitasking work-load and their
responsibilities in both on-farm and off-farm household production,
the single technical focus or mono-crop oriented training may not be
of interest to them. Thus, the current modality of Farmer Life Schools
(FLS) for covering wide ranging topics may have greater potential
attraction to women in rice based systems. The FLS helps farmers
to develop their critical thinking (Vuthang, 2003). Yet the social
161
restrictions and demands on womens time should be recognised
and addressed in the technology package development and transfer
approaches. It is important to research the ICT-based technology
transfer approaches to reach rural communities with specific attention
to content areas that assist rural women to use farm and home
production technologies effectively.
Globalisation impact on women in rice based livelihood systems: A
regional scenario
Globalisation in its current complexity is marked by intricate
economic linkages, intensified liberalisation of trade and the
accelerated pace of economic integration. Globalisation can be
viewed as a multifaceted phenomenon inclusive of economic
integration, social transformation, population mobility and information
exchange. In recent times the social, economic and information
environments for agriculture production and rural development have
constantly been affected by multifaceted processes referred to as
globalisation. All these aspects can impact the livelihood strategies
adopted by women in agriculture and rural communities and their
access to economic alternatives that may improve their living levels.
In many instances the implications of these aspects to rural
household resource allocation and the livelihood strategies adopted
by rural women, though obvious, have yet to be approached
analytically and quantified objectively. Although the rationale behind
opening domestic markets was to create an efficient resource
allocation and to enhance growth, the impacts in terms of gender
differentiated benefits and losses at the individual level and the
household level remains poorly understood.
Since globalisation involves many diverse aspects, a few
components with identifiable links to the rice livelihood system and
thus to rural womens livelihood strategies are selected here for
discussion. The three scenarios presented (Figure 2) illustrate the
impact of globalisation on women in rice based livelihood systems
by drawing upon the realities of Asian rice economies. The general
inferences from existing regional information have implications for
India as well. To date, the analysis of linkages from global economic
integration and consequent impacts on rural women in the rice based
livelihood system is not extensive. Hence, the discussion depends
on informed suggestions rather than systematic research on resource
flow and rural livelihood assessments. An area of future research
could focus on rural household dynamics to identify the external
and internal forces that influence resource flow and thus the
implications for poverty alleviation. Such research can be developed
with the informed suggestive causal linkages identified in Figure 2.
162
diversification. The trend is driven by commercial purposes first to
with a focus on economies of production for certain crops as well as
the trend is toward agricultural transformation to serve a global market
revolution achieved the objective of food grain sufficiency; but today
for the global market. In many countries, including India, the green
on production for self-sufficiency and investing instead in production
Agricultural transformation and global market

G lo ba lizatio n an d Rice Bas ed L iv elih o od S ys te ms : Imp licatio n s fo r H o us eh o ld E co no my ;
Poten tial Res ea rch A reas
Agriculture transformation is marked by placing less importance

V aga ries o f
C ommodit y Pric es; P oor R et urns for Rice
A gric ultura l Tra nsformat ion : Supp ly E xc eeds Low Ric e Produc tion F or House holds
P ro ductio n for G lobal Market D ema nd in Globa l Price De pe nde nt o n Rice B ase d
Marke t Livelihood Syste ms
C hang ing Consume r
Ta ste s and De ma nds
Farm leve l
La bor
Invest me nt
Migrat ion of Me n and Shorta ge
G loba l Migrat ion Trends
163
Wome n for Wa ge W ork R ice Fa rm

R em itta nc e
O verse as
A lterna t ive Inco me
Re source
Ge nera tion Opt io ns
Inc re a se
Spa tia l
Mobil ity for
M igra tio n of w ome n W ome n Investme nt R ice Fa rm
G arme nt Industry -Int ernal
Migra tion Wa ge Work O pportuniti es Fa rm La bor S hift s: Exte rna l
Shorta ge Invest me nt Garme nt
in Urban a nd Se mi -U rban
Industry : F uture S ocia l
C ente rs Rem itta nc e a nd Econom ic
Re source Impli ca tions U nc ertain
Inc re a se
So urc e: R. Ba lakris hnan F igure .2.
meet the demands of the national urban markets followed by
international agro-product markets. The agriculture sector increasingly
depends on the global market for inputs such as fertilisers and
pesticides to achieve high productivity, as well as for global consumer
markets for selling the agriculture commodities. The global economic
and technological linkages have become progressively more complex
and present high risks to small farmers and marginal producers in
the rural economies.
Developing countries are the main players in the world rice trade,
with 83 percent of total exports and 85 percent of total imports. In
the context of trade, in many exporting countries government
intervention is aimed at supporting domestic producers. Trade
measures are widely used to protect domestic rice markets.
International prices for rice have been under strong downward
pressure since 1997-1998, reflecting sustained growth in production
combined with weak overall demand (FAO, 2003). This is reflected
in the reality that most small Asian rice farmers are not in a position
to build wealth from global trade, but adopt strategies to maintain
their livelihood dependent on rice. In India, rice production is the
way of life known for generations and as such farmers would continue
rice cultivation, particularly since the production depends on unpaid
family labour provided by women and children. This aspect of
emerging global markets and rural poverty and female unpaid labour
in rice livelihood systems should be an interesting area of research.
Population mobility : Global migration trends
Globalisation may accelerate population movement within the
country and across country boundaries due to some economic
benefits of globalisation that nonetheless pose risks and costs to
individuals and rural communities. Due to the migration of younger
people from rural to urban areas, ageing is often manifested earlier
in rural areas than in urban areas. This process impacts the
composition of the agricultural labour force by age and sex with
implications for the division of labour in agricultural systems. In
Asia the ageing of the population, combined with migration of youth,
results in the greying of the farming population and feminisation of
agriculture. In some Asian countries where the rural population
depends on the rice based livelihood system, rural men and women
migrate to other countries to serve in the labour markets. This
phenomenon of female migration is common in Indonesia, Philippines
and Sri Lanka. In such situations the impact on the local production
system and household economy, most often centred on the rice
farming system, can be anticipated. First, the remittance income
164
from the migrant household member can contribute to maintaining a
rice-based production system with hired labour and external inputs.
Second, alternative investment diversification such as in transport
industry (cycle rickshaw or auto rickshaw or small transport vehicles)
will create livelihood alternatives in rural communities. It would be
important to explore whether changes in the resource base for the
rice farming rural households are dependent on migrants contributions
to the production process or to development of alternative livelihood
strategies.
Garment industry and internal migration
There has been a high level of foreign interest and investment
in the garment industry of Asian countries that are traditionally
dependent on rice based livelihood in rural areas. Examples are
Bangladesh, Cambodia, China, India, Sri Lanka and Vietnam. The
interest stems from the economic advantage of low labour costs.
The low labour costs have created employment opportunities for
young rural women. Subsequently, the process has created a new
generation of mobile female population moving away from the rural
areas to semi-urban areas with aspirations of secure wage labour.
These womens remittance incomes could provide additional
resources to rural households while depriving the family of labour for
rice based production systems. Looking ahead, as these countries
would lose favoured trading partner status they could face rural social
and economic disruptions. The generation of women would lose
economic opportunities in the garment sector due to relocation of
the industries to other countries on the rationale of comparative
cost advantages. These women thus may need to return to their
rural base with uncertain economic and social prospects. The study
of social and economic dynamics of female labour returning to rural
areas is important to guide economic planning in rural areas.
CONCLUSION
The rice livelihood systems observed in India demonstrate wide
variation in resource management strategies and small rice farms
that are mixed farming systems. In such multifaceted rice livelihood
systems gender roles vary ranging from transplanting to processing
and provisioning through supplementary income generation activities,
but invariably women make critical contributions to the rice livelihood
systems marked by their multi-tasking work-load. The cropping
practices determined by agro-ecological factors, market demand
and socio-cultural factors influence the demand and supply of female
labour as family labour as well as cultivators and waged agricultural
labour. Access to technology and the impact of technology on rural
165
women present a mixed picture. It is obligatory for those working to
improve rural womens situation to assess the current and potential
impacts of competing technology paradigms for rural women in the
rice livelihood systems. In recent times the social, economic and
information environments of agricultural production and rural
development have continually been affected by multifaceted
processes referred to as globalisation. All these aspects can impact
the livelihood strategies adopted by women in agriculture and rural
communities and their access to economic alternatives to improve
their living levels. Yet to date, the analysis of global economic
integration and consequent impacts on rice based livelihood systems
and on rural women is not extensive. Asian rural womens multitasking
activities in rice livelihood systems, though a primary research focus
in late 1970s and early 1980s, have since then experienced declining
attention. It is important to refocus attention on rural women in rice
livelihood systems as changes in the Indian economic and the
technological milieu bring considerable impact on rice livelihood
systems. The agriculture research services should undertake
quantitative analysis and qualitative case studies to document the
situation of women in rice based livelihood systems. The research
interests relevant to rural womens situation in changing India set in
the milieu of globalization and emerging technologies should be
identified and pursued.
166
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FAO. 2004. International Year of Rice: Economics and the International Year of Rice
(available at http://www.fao.org/rice2004/en/f-sheet/factsheet4.pdf)
FAO. 2003. FAO Fact Sheet. Gender in rice farming systems. International Year of
Rice 2004 (available at http://www.fao.org/rice2004/en/rice7.htm).
FAO. No date. Statistics Division. FAOs role on MDGs Basic information (available
at http://www.fao.org/es/ess/mdg_kit/default.asp).
Krishna, Sumi. 1998. Arunachal Pradesh. In Gender Dimensions in Biodiversity
Management. 148-181 pp. M.S. Swaminathan, ed. Delhi: Konark
Publishers.
Paris, T. et al. 2000. In Tuong et al. Characterising and understanding rainfed
environment. International Rice Research Institute. Cited in FAO, Gender
and Rice. International Year of Rice 2004.
Savant, Narayan K. No date. Increased rice production with less fertiliser. Newsletter
Vol. 11. No.1, p. 24. Centre for Research and Information on Low-External-
Input and Sustainable Agriculture (also available at http://
www.oneworld.org/ileia/newsletters/11-1/11-1-24.htm).
Sharma, S. D., Tripathy, S. & Gurung, P. 1997. Jeypore tract, Orissa. In Gender
Dimensions in Biodiversity Management: India, p. 107-120. Report submitted
to FAORAP, by, M.S. Swaminathan Research Foundation, Chennai, India.
Vedavalli, L. 1997. Kolli Hills, Tamil Nadu. In Gender dimensions in biodiversity
management: India. Report submitted to FAO RAP, p. 95-106, Chennai,
India, M.S. Swaminathan Research Foundation.
Vepa, Swarna Sadasivam. 2004. Gender concerns in rice based livelihood systems in
India. Paper presented at the FAO regional consultation, Gender Dimensions
in Asian Rice Based Livelihood Systems in the Changing Milieu of
Technologies and Economy. Bangkok: FAO Regional Office for Asia and
the Pacific.
Vuthang, Yim. 2003. Farmer empowerment through farmer life school, Adapted from
The farmer field school approach. CIP-UPWARD. Farmer Field Schools.
From IPM to Platforms for Learning and Empowerment. International Potato
Centre-Users Perspectives with Agricultural Research and Development.
Los Banos, Philippines.
167
AGRICULTURAL EDUCATION : HISTORICAL
PERSPECTIVE
J. C. Katyal and H. S. Nainawatee
Education Division, ICAR, New Delhi
INTRODUCTION
Language profile of the people of a country in a given era is a
true manifestation of the level of development of its education.
Indians, since ancient times, speak in as many as 380 languages;
today 18 are officially recognized. Sanskrit, the mother of almost all
Indian languages, is one of the oldest and eminent languages of the
World. Apparently, education was well embedded into Indian culture
and way of life since time immemorial. Gurukal system of education,
which emphasized a kind of day-in and day-out interaction between
teachers and taught as the method of teaching and learning existed
much before the 5000 year-old Harrappan and Mohenjodaro
civilizations.
Agriculture continues to be the primary source of employment
and economic activity for the continuance and sustenance of man
and his animal support system. Our Vedic scriptures and pristine
texts are replete with mention of a systematic and scientific methods
of agriculture. This points to existence of a well-developed agricultural
knowledge system based on experience and education. So much
importance was accorded to spread of scientific agriculture, that as
early as 660 BC, agriculture was included in the curricula of Nalanda
and Takshila Universities as one of the 18 arts. In fact, it was Kautlya
(~ 0 BC) who was engaged seriously to replace primitive agriculture
with more scientific farming. Menon (1987) believes that it was during
the British period (1770-1947) when birth of systematic enquiry for
the development of agriculture took place.
Early History of Agricultural Education in India
In 1839, the East India Company brought in 12 American cotton
growers to teach their Indian counterparts how that crop should be
raised. In order to infuse good cultivation practices, the then Madras
Government imported steam ploughs and a battery of implements
in order to demonstrate how the soil should be cultivated. The great
Famine of 1876-78 led the British Government to appoint a Famine
Commission in 1880. Specifically, the recommendations contained
in the Report of Dr. J.A. Voelcker, Consulting Chemist to the Royal
Agricultural Society premiered the thesis that without promotion of
scientific enquiry and development of appropriate human resource
168
to pursue that endeavor, permanent stability to agriculture would
not be possible. Launch of Famine Relief measures in 1881, setting
up of a battery of agricultural farms and an Agricultural School at
Saidapet in 1876, near the present-day Chennai city, marked the
beginning of planned agricultural enquiry and education in India.
Agricultural education system in India distinctly evolved during
pre independence era on British system of education and post-
independence era on US Land Grant Colleges pattern. Some
important landmarks of establishment of institutions and starting of
programmes are mentioned in the Table 1. The available records
show that the first school for organized teaching of agriculture was
established at Cawnpore (now Kanpur) around 1880, which was
followed by setting up of the first Veterinary College in undivided
India at Lahore (now in Pakistan) in 1882. It was in 1889, when real
beginning of research started with the setting up of an Imperial
Bacteriological College at Poona (present day Pune). A three-year
Veterinary Science course was started in 1884 at Parel, Bombay
(now Mumbai). In fact, Veterinary Colleges were the first to be
established. Besides those mentioned above, more Veterinary
Colleges were set up at Calcutta (1893) and Madras (1903). Also as
an outcome of severe famine, Lord Curzon, the then Viceroy of
India (1898-1905), realized that the Government of India must pay
priority and urgent attention to the development of agriculture. Thus
in the beginning of 20th century, an Agricultural Research Institute
each at Pusa in the Darbhanga district of Bihar (subsequently named
Imperial and now Indian Agricultural Research Institute) and
Coimbatore in present-day Tamil Nadu were established in 1905.
Coinciding with these, Agricultural Colleges were also established
at Kanpur, Lyalpur (now in Pakistan) and Nagpur in 1906, Pune in
1907 and Sabour (Bihar) in 1908. Like IARI, Agricultural College at
Coimbatore has the proud privilege of 100 years of establishment
and contribution to the development of Indian Agriculture.
Agricultural Education in Schools
Agricultural education in schools started with Punjab during 1923
when elementary agriculture was introduced as an optional subject
in the curriculum of vernacular middle schools. Pedagogy included
both classroom theory and field practicals. Either an agricultural
farm or a garden were used for practical training. United and Bombay
Provinces later adopted Punjab Model of school education. In 1937,
Mahatama Gandhi advocated concept of basic education. His
innovative concept dwelt around the concept an educational system
that combined work and dignity of labour. Students were involved in
practical training through practice sessions in various village crafts,
169
primarily agriculture. By 1944, there were 269 basic schools in
the country. Along side development of agricultural education, fishery
was also introduced as a vocational subject in school curriculum
typically in the State of Kerala. It was the Department of Fisheries
that since the beginning of 20th Century operated 54 schools having
vocational fisheries as one of the subjects in the curriculum. Also,
as part of the formal school curriculum, agriculture was included as
a technical subject in Gujarat, Maharashtra, Rajasthan, and UP.
Table 1. Historical landmarks of agriculture allied sciences education in
India up to the set up of first SAU at Pant Nagar
1882 Lahore Veterinary College

1884 Degree awarded as Graduate of Veterinary College
1886 Bombay Veterinary College
1877 Agriculture college, Saidapet Tamil Nadu
1889 Imperial Veterinary Research Institute, Poona
1923 Two year diploma (associateship) equivalent to PG at Imperial
agricultural research institute (IARI)
1924 Associateship of Indian Dairy Institute equivalent to PG, started
1930s Masters and doctoral degree programmes in agriculture
1936 B.V.Sc. started at Madras Veterinary College
1905 Imperial Agricultural Research Institute, Pusa, shifted to New Delhi
in 1936
1905- Six Agricultural Colleges-Layalpur (now Pakistan), Kanpur,
1908 Nagpur, Coimbatore, Poona and sabour.
1923 Imperial Institute of Animal Husbandry & Dairying, Bangalore
1929 Imperial Council of Agricultural Research (now Indian Council of
Agricultural Research)
1958 Grant of Deemed to be University status to IARI
1960 UP Agricultural University, Pantnagar-the first state agricultural
university
In the independent India, only in the States of Madhya Pradesh
and Uttar Pradesh, agricultural education is offered at 10+2 level
(secondary education). Otherwise, it focuses primarily on graduate
and postgraduate degree programmes (higher education).
Higher Agricultural Education
Following the launch of degree level programmes by the
agricultural research institutes beginning 1905, a two-year
postgraduate diploma also known as IARI Associatship was initiated
at the then Imperial Research Institute at Pusa in 1923.On the
recommendations of the Royal Commission on Agriculture (1928),
170
Imperial (now Indian) Council of Agricultural Research was set
up in 1929 to provide further encouragement and support to the
already existing agricultural research institutes. In the early 1930s,
postgraduate programmes leading to M.Sc. and Ph.D. degrees in
agriculture were started. The Madras Veterinary College with affiliation
from the University of Madras in 1936 launched a 4-year B.V.Sc.
course. Further impetuous to veterinary education was given with
the establishment of five more veterinary colleges between 1946
and 1948 at Mathura (1946), Rajendra Nagar (1946), Jabalpur (1948),
Jorhat (1948) and Hisar (1948). Earlier than the establishment of
these veterinary colleges, a degree courses in agricultural engineering
began in early 1940s at the Allahabad Agricultural Institute (currently
this institute enjoys a deemed to be university ststus).
By 1947, the year of independence, there were 17 agricultural
colleges affiliated to general universities. Research and extension
functions at that time remained the responsibility of the State
Departments of Agriculture. In order to remove this distortion and to
provide a holistic scientific base to Indian agriculture, Government
in 1948 appointed the University Education Commission under the
chairmanship of Dr. Radha Krishnan. One of the important terms of
reference for this Commission was to review the state of higher
agricultural education and to suggest measures that could lead the
country to self-sufficiency in food grains and other food items. The
Commission in its Report recommended that agricultural education
be recognized as a major national priority so that country is able to
feed itself. The commission recommended establishment of rural
universities.
In order to further pursue the recommendations of the Education
Commission, Government of India set up an Indo American Joint
Team in 1955. After making a thorough study of the agricultural
research and education system in the USA and India, the joint team
recommended strengthening and reorientation of agricultural
education including veterinary education. The recommendation of
the team regarding improvement of Agricultural Education on the
pattern of Land Grant Colleges of USA had far reaching impact,
which resulted into the establishment of State Agricultural
Universities. Government of India and Indo-US Technical Cooperation
Mission in 1955 authorized five US land grant universities to
strengthen agricultural institution in India. The five US universities
were: Tennessee, Ohio, Kansas, Illinois, Pennsylvamia and
Missouri.. In 1958 the second joint Indo-American Team on
Agricultural education, research and extension was appointed to
frame specific action plan for the Third Five Year Plan. The Team
emphasized that there should be complete integration of research,
171
teaching and extension at the college level. The Joint Team
rechristened the Rural Universities. Their suggestion gave birth to
State Agricultural Universities. Modeled on the pattern of the Land
Grant Colleges of the USA, each State of the Indian Union was
envisaged to set up one SAU each. With that arrangement, States
provided large tracts of land, which was seen to subsequently become
asset of the university both for the purpose research and
demonstration and a source of internal resource generation. First
SAU namely Gobind Ballabh Pant University of Agriculture and
Technology was set up at Pant Nagar. Today, there are 210 constituent
colleges of 38 SAUs, five DUs (four of the DUs are National Level
Institutions of the ICAR), one CAU, and four CUs having distinct
agricultural faculties (Table 2). In addition, some 100 private colleges
affiliated to several General and some Agricultural Universities also
provide agricultural education. The Indian Institute of Technology
a Deemed to be University imparts education in the field of
Agricultural Engineering.
Of the 38 State Agricultural Universities, one exclusively devotes
to Horticulture and Forestry Education; another five concern with
education in Veterinary, Fishery, Dairying and Animal Sciences.
Education in agriculture and allied subjects has been patterned on
the Land Grant College Model of the United States. With that
influence, except private colleges, Agricultural Education
establishments in India have embraced education, research and
extension as integral to their functioning.
Table 2. Agricultural Education System in India
University Number of Number of Colleges

Universities
State Agricultural Universities 38 210*
Central Agricultural University 01 06
Deemed-to-be Universities 05 10
Central Universities 04 04
Indian Institute of Technology 01 01
State General Universities 16 ~ 100
Total 65 331
Includes nine affiliated colleges
Several states have more than one state agricultural university
(five each in Maharashtra and UP, four in Gujarat, three each in
Karnataka, West Bengal, two each in Rajasthan, Tamil Nadu,
Himachal Pradesh, and Jammu & Kashmir. In addition to these
universities there are large number of agricultural colleges affiliated
to general universities and state agricultural universities. In
172
Maharashtra alone there are about 50 colleges affiliated to the
state agricultural universities. The original recommendation of R.W.
Commings committee for establishing one agricultural university has
not been adhered to by several states and multiple and even sectoral
universities have been established without considering manpower
needs and financial, human resources and infrastructure availability.
The Indian Council of Agricultural Research through Education
Division coordinates, supports guides and facilitates higher
agricultural education in the country. However ICAR due to lack of
statutory powers is unable to play a decisive role in expansion and
proliferature of institutions. Yet ICAR has succeeded in initiating
and implementing several reforms in all state agricultural universities
addressing quality and relevance of agricultural education.
Higher agricultural education is a state subject. As a
consequence of that ICAR - the national apex body to support and
promote research and education in the country it is not able to
institutionalize system-wide reforms. Since halting adhoc expansion
of agricultural universities and colleges and sustaining quality of
agricultural education imparted by them are the first ranking reforms,
it is time to consider grant of legal authority to Accreditation Board
of ICAR to adhere to prescribed academic norms and standards.
The Accreditation Board was constituted within the framework of
ICAR Society laws and by-laws and SAUs have accepted
accreditation by it. So that more universities are opened after need
analysis and recommendations on improving quality of agricultural
education are complied with, grant of statutory status to Accreditation
Board of ICAR by an Act of Parliament is need of the hour.
173
EXPERIENCE OF TEACHING SUSTAINABLE
DEVELOPMENT TO BUSINESS AND
ENGINEERING STUDENTS IN MEXICO
Mario Carranza and Ilangovan Kupusamy
Research Center for Environmental Quality, State of Mexico Campus,
Monterrey Tech, MexicoCarr. Lago de Gpe. Km. 3.5, Atizapan, Edo. de
MéxicoPhone (52 55) 58645656, Fax (52 55) 58645691
INTRODUCTION
Leadership for sustainable development (LSD) course in ITESM-
CEM is one of the consistent educational courses for postgraduates
in different disciplines of Engineering, Administration and Science.
Leadership and Sustainable Development is a common course to
create a way for postgraduate students to contribute to have thought,
care, insight, commitment and energy to perform assigned task
(Barron & Goldman 1994, Allington, 2002). Great pools of prospective
principals of interdisciplinary will continue in this program to enhance
professional and Leadership development in the environmental,
social and economic dimensions.
ITESM-CEM recognizes importance of teaching interdisciplinary
themes of sustainable development course to post graduate students
of Engineering and Science discipline and the students to develop
Leadership and sustainable development through quality work.
Consistent mission of this course program is to train students on
knowledge base and practice to teach Leadership and Sustainable
development. The teachers at ITESM-CEM know-how to construct
and develop motivation for post graduate students to learn the
Leadership and sustainable development through contextual,
coherent professional experience with enthusiasm and academic
excellence.
The aim of the present comprehensive study was to analyze
the teaching materials of Leadership for Sustainable development
to postgraduate students at ITESM-CEM, Course evaluation by
students self assessment, teaching the interdisciplinary themes
perspectives and academic challenges, Advantages and
disadvantages and future improvement in design of course material
for different discipline in postgraduate study.
Perspective
Leadership for Sustainable development contributes the spirit
of partnership. In ITESM-CEM we believe the spirit of partnership
174
as an essential to institutional health and performance. If the
Leadership for Sustainable development is our purpose we consider
that inter-institutional, interdisciplinary collaboration will be our style
for teaching the course for postgraduate students. Besides academic
institution we also believe firmly in building partnership with private
and public sector. Our efforts on trade, technology, environment,
international protocol, climate change and leadership through skills
obtained students with higher level of proficiency in Sustainable
development and Leadership.
Challenge
Through teaching of an interdisciplinary knowledge base
educational communication we bring global messages into our class
room audience to launch the experience locally through our advanced
course material in Leadership development program to post graduate
students with great interest, enthusiasm and greater level of
institutional performance for quality in education.
Objective of the study
The over all purpose of the study is to analyze the critical interest
and acceptability of Leadership for sustainable development course
material for different discipline of Engineering and Science post
graduates. The study investigates the following key premises: Course
content, Students interaction, Professional development and
Environment, Opinion of students on the Course material based
according to their discipline and Course materials for Professional
and Personal development.
Course Content
The course is mainly designed following Monterrey Tech
innovative teaching techniques, project oriented learning and problem
based learning, encouraging students self learning and collaborative
work.
The course contents have been agreed upon students area of
specialty and the three dimensions of Sustainable Development. A
common introduction is given about Sustainable Development and
the main documents that precede the concept of sustainability and
the SD sustainable agreements are read, reviewed and discussed,
such as the 1980 World Conservation strategy, the 1992 Rio de
Janeiro, Agenda 21 and the Johannesburg 2002 resolutions.
Following the introduction, there is an overview and analysis of
Mexico and the world from the perspective of each sustainable
development dimension. The main objective is to make the students
175
aware of the social, environmental and economical problems
and show them that there is still a solution to most of them. Some
very successful activities are the ecological footprint calculations,
carrying capacity, population growth models and case studies such
as Curitiba in Brazil. Rural and urban sustainability exercises have
been designed so as to let the students experience applications in
nearby communities.
The next step in the course is to approach the specific topics
of tools for Sustainable Development according to the type of Masters
Course. For engineers a more technical content is offered whereas,
for administration students sustainable business is the main theme
of LSD.
For the engineering students, in the environmental dimension,
cleaner production, life cycle analysis and ecodesign are studied. In
the economic dimension cost-benefit analysis and economic input-
output assessment are introduced from the point of view of the
Mexican technical environmental standards and pollution prevention
strategies. Case studies from the Mexican Cleaner Production Center
and Mexican ecodesigned products are analyzed. The ecodesign
strategies for material selection, and reduction, product structure
and manufacturing process eco-efficiency, distribution system
optimization, reduction of environmental impact during the use stage,
reliable and durable design, and end of life sustainable options. In
the social dimension, risk assessment and corporate social
responsibility are studied. The conceptual map of the course is
presented in Figure 1. The engineering course project topics are
mainly related to cleaner production, life cycle analysis or ecodesign
applications in a Mexican company.
Cleaner production
applies
Environmental Life School
Use of Dimension assessment Eco
resources impacts
Design
Part of
Local and Global
Nature and Society Economy
population
impacts
Sustainable
impacts Development Part of Economic
dimension
Social Part of
Dimension applies
applies
Cost benefit analysis
Rural and Urban I/O assessment
Sustainable Sustainable
Development Management
Corporate Social Project
Responsibility
Risk Assessment
Fig.1. Leadership for sustainable development (M.Sc Students)

ITESM- CEM
176
The administration students study mainly topics that are relevant
to businesses seeking for sustainability. The Mexican environmental
and social regulatory framework is presented and analyzed. The
concept of a sustainable enterprise is introduced with different case
studies from companies and the analysis of: Sustainable
Development: the next generation of business opportunity (Hedstrom,
d. Little), A road map for natural capitalism (Hawken) and Walking
the talk from the World Business Council of Sustainable
Development. (Holiday). Other topics studied are: environmental
management systems ( the ISO 14001 certification and the National
Environmental Auditing Program from the Environmental Protection
Attorney), green marketing, corporate social responsibility and life
cycle assessment for benchmarking and ecolabelling. The conceptual
map of the course is presented in Figure 2. The administration
course project topics are mainly related to green marketing, life cycle
costing and environmental management systems.
Environmental
applies
Environmental Management
Use of Dimension Systems Life
resources impacts
cycle assessment
Part of
Local and Global
Nature and Society Economy
population growth
impacts
Sustainable
impacts Development Economic
Part of dimension
Social
Part of
Dimension applies
applies
Green Marketing Green
consumptionEcolabeling
Rural and Urban
Sustainable Sustainable
Development Management
Corporate Social Project
Responsibility
Figure 2. Leadership for sustainable development administration students

at itesm-cem
The course material designed for Leadership and sustainable

development is innovative to create a virtual space for collective
knowledge on innovation and complex adaptive environment for post
graduate students at ITESM-CEM. We are confident that our
investment in staff development will lead this course for greater
level of institutional performance and academic excellence.
Methodology & evaluation procedure
As a part of our research on teaching sustainable development
and Leadership to master students we made a survey in 2004.
177
Students were given with questions to obtain open ended
response. Types of responses were not specified in advance, we
freely proposed following selected critical categories questions such
as;
1. Why do they want to study LSD
2. Interest, leadership and commitment
3. Do they interact with environment as a specific interest
4. Are they making special effort to relate experience in
environmental themes with their professional development
5. What is the most important themes from the syllabus that
could be related to their professional career development
6. Do they think that LSD can help I their personal and
professional development
7. What is the most interested themes in the LSD syllabus
8. What is their opinion of the themes of the syllabus
The questions helped to make an excellent survey to obtain
the final result. In the survey we have given importance to evaluate
the themes and sub themes of the proposed syllabus of LSD.
ITESM-CEM has always been committed to provide faculty
and students with access to resource of reading, collection of
research papers and we aware of wonderful collection of resources
for the students in ITESM-CEM. Institutional commitment,
infrastructure and technical support was not included as part of our
survey because Students aware of the existing excellent
infrastructure of the Institution.
RESULTS AND DISCUSSION
Since 2003, Leadership and Sustainable Development (LSD),
has been given as a compulsory course to groups of the master
degree courses in the ITESM-CEM system for post graduates of
different Engineering & Science career and administration. We
believe that all post-graduate students regardless of their career
should take a beginning class in LSD. The themes can help in
developing Sustainability Leadership and preparation for future.
Comparing proficiency levels across the subjects within the
syllabus
Students come to ITESM-CEM campus with proficiency in most
of the themes of the syllabus and staff and faculty provide assistance
to resource of learning materials. Students have adequate access
178
to our network as well. However, we have identified that the
students from Finance, Business Administration and Computational
sciences are lacking knowledge in basic environmental sciences
for leadership. Students from Industrial engineering, Chemical
engineering, Sanitary and Environmental engineering, Biotechnology,
Architecture and Mechanical engineering had less informative on
leadership development.
We consider developing interdisciplinary professional
development and leadership by teaching the following themes to all
the Science and engineering students such as;
1. Introduction to sustainable development (SD)
2. Natural resources, indicators of SD
3. Environmental management systems
4. Life cycle analysis
5. Society, population and corporate social responsibility
6. Risk analysis, green consumption and marketing
7. Environmental costing
8. Environmental Management simulation
Assessment from the survey

When we asked respondents why they have chosen LSD and
the result (Fig.3) tended to mirror 84% of engineering students and
66% of administration students described as noteworthy mainly due
to plan of study whereas, 16% of Engineering students, 26% of
Administration students and 99% of students from Masters in
Sustainable development (SDSC) responded due to their exemplary
personal interest.
120
100
Because it is in the
Percentage
80 syllabus
Pers onal Interest
60
40 No answer
20
0
Engineering. % Administration SDSC %
%
Figure 3. Students Assessment on Sustainable Development and

Leadership Course (Why have you taken LSD?)
179
How is your own relationship with the environment?
Our tentative recommendation was that all the students to have
basic knowledge in environment in LSD course. When we asked
their relationship with environment to the respondents, almost 90%
of the students are certain the importance of relationship with
environment whereas, 7% have no idea of relationship with the
environment at work or in daily life.
Table 1. Post-Graduate Students proficiency in syllabus themes of LSD
Syllabus Theme in SDL Engineering Administration MSD

Course (%) (%) (%)
Environmental Impact 26 0 0
Environmental Management 0 8 0
Green Market 0 8 0
Life Cycle of Products 26 10 0
Sustainable Development 0 8 0
Social Responsability 11 8 0
Energy 11 5 0
Pollution Control and Prevention 0 0 75
Environmental Global treaty 0 0 50
MSD = Masters in Sustainable Development
SDL = Sustainable development & Leadership
Table 1 shows the results of the survey of students career related

to the themes of the syllabus of LSD. The data are presented in
table 1 clearly indicate that administration students proficiency in
several environmental themes is relatively less consistent than
engineering students.
Table 2. Themes of major interest showed by the post graduate students
from different discipline in Engineering and Administration
Theme of LSD syllabus Engineering Administration MSD

% % %
Legislation and Norms 58 8 0
Environmental Impact 26 0 25
Water treatment 21 0 25
Life Cycle of Products 10 13 0
Environmental Leadership 0 2 100
Social Responsability 10 28 50
Soils 10 5 25
MSD= Masters in Sustainable Development
SDL=Sustainable development & Leadership
180
Table 2 indicates the results of the students interest in different
themes of the LSD course. The respondents from administration did
not show any interest in environmental leadership. 28% of
Administration students showed interest in social responsibility
whereas, 50% of post graduate students from sustainable
development showed contextual interest in social responsibility
besides environmental leadership. From our survey it is evident that
postgraduate students should have LSD as an obligatory subject
CONCLUSION
The course material designed for Leadership and sustainable
development is innovative to create a virtual space for collective
knowledge on innovation and complex adaptive environment for post
graduate students at ITESM-CEM. We are confident that our
investment in staff development will lead this course for greater
level of institutional performance and academic excellence.
REFERENCES
Allington R.L. (2002) You can learn much from books you can¨t read. Educational
Leadership 60 (3): 16-19
Barron L.C & Goldman E.S.(1994) Integrating technology with teacher preparation.
In B.Means (Ed.) Technology and Education Reform 81-110 Jossey
press, USA.
181
PLANTBREEDING:TRANSLATION,
TRANSGRESSION OR TRANSFORMATION?
V. Arunachalam
M.S. Swaminathan Research FoundationThird Cross Street, Taramani
Institutional Area, Chennai 600 113, India
Agriculture dates back to more than tens of thousand years
and Plant breeding has evolved as a natural process. For example,
farmers were selecting plants for their favoured traits from crops
generation after generation in their own native environments. Thus
mass selection, an important concept in plant breeding was in vogue
in ancient days. Even now, traits preferred for taste and cooking
quality are selected by tribal farmers in traditional landraces grown
in tribal habitats and natural ecologies under their traditional practices
of cultivation. As a result, such tribal habitats continue to be home
to rich biodiversity though their custodians continue to be poor
economically.
In India, Plant Breeding is known for its role in the development
of high yielding varieties (HYVs) that steered a hunger-stricken India
from poverty to plenty. The Green Revolution brought in by HYVs
of food crops, mainly wheat and rice, recorded high productivity
increase. Over the 0time, however, its impact has receded creating
special concern to scientists and administrators alike. But parallel
improvements in molecular biology, in the recent past, have built a
new vision. This vision despite involving significant costs has come
for preferential promotion to reset the path of time-tested plant
breeding.
But there are at least three seemingly divergent ground situations.
The first is the spread of HYVs. They were sustaining Indias food
needs admirably so far. Requiring high chemical and agronomic inputs,
they could spread more among endowed and large farmers leaving
behind the poor and marginal farmers. To that extent, the spread
was lopsided. Further the economic viability of HYVs held farmers
to adopt the same crop rotation like rice-wheat year after year.
Application of chemical fertilizers, and in addition a wide spectrum
of pesticides, herbicides and fungicides to protect from increasing
intensity and range of pests and diseases debilitated soil structure
and hastened soil degradation. HYVs were given irrigation adequately
and more, that led to mining of water and pushed water table deep
down. Thus resulted stagnating and unsustained productivity, being
described as the fatigue of green revolution.
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The second concerns the farmers left out of the HYV technology
and benefit. A large proportion of such farmers live in remote areas
with a fertile ecology and environment. Tribal farmers are important
among them. They grow traditional farm varieties and landraces
that represent valuable agrobiodiversity. Tribal farming community
has extreme regard for tradition. They possess valuable indigenous
technical knowledge (ITK). They were conserving biodiversity as a
routine tradition. Their ancestral cultivation methods were tuned to
systematic weather that was in order years ago. Over time, changes
in weather, causing temperature and rainfall fluctuations became
hostile to good crop yield. This led to weaning of cultivation of
landraces that led to genetic erosion. Poor yields of food crops
accelerated poverty. Thus conservers of crop diversity continued
to suffer poverty in silence.
The third stemmed from the hypothesis that HYV farmers who
helped to stem hunger in the green revolution era need to be helped
with varieties countering pests and diseases improving the realized
productivity substantially. The new group of molecular breeders
felt that developments in molecular biology would meet the demand.
They desired to cross the barriers of sexual hybridization and attempt
transfer of desired genes even from across species, basically for
stress resistance. Importantly they were clear that development of
novel varieties needs to occur fast and quick and the time normally
needed by classical breeding process has to be reduced substantially.
But then what is the reality in each situation?
Increased efforts to produce a new spectrum of HYVs did not
produce the impact of green revolution period in the first situation.
Efforts to introduce HYVs among poor farmers in remote habitats
and tribal areas were not greatly successful in the second instance
since traditional community does not prefer HYVs deficient in their
preferred traits. Despite the great importance and large support given
to molecular breeding in the third situation, products preferred by
farming community remain either to be developed or those developed
are yet to produce visible positive impact.
Yet the complex realities of the three situations generated
adverse impact and testing time for the time-tested plant breeding.
They provided evidence for radical change.
Plant Breeding is thus at cross roads. Many avenues in many
directions are open. Molecular avenues beckon with indicative
success. Globalisation of agriculture and the need to stand up to
global competition are stepping up. Pressure on classical Plant
Breeding to perform more and beyond is increasing. Do we see any
solution loud and clear? An analysis is attempted in this chapter.
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Translation
Translation is an important phenomenon in cell function in which
mRNA sequence is translated into the amino acid sequence of a
polypeptide. In a literal sense, translation can be said to be a process
of adapting theoretical logic to a line of action.
The classical Experiments in plant hybridization of Mendel
published in 1866 provided an unprecedented breakthrough in the
now-familiar subject of quantitative genetics. They led to formulation
of the celebrated Mendels laws of heredity. Those laws helped to
relate a phenotype (characterized by a QT) with the underlying
genotype (characterized by a single gene with two alleles) and in
turn, provided a fundamental logic to the science of plant breeding.
In the early days of plant breeding, a single (diallelic) gene was
generally used to approximate genetic control of QTs including yield.
It was generally conceived that a dominant homozygote would have
high yield and recessive homozygote low yield. In other words, yield
phenotypes (~ the QT, yield) were directly correlated to genotypes.
The assumed perfect correlation between the phenotype and genotype
implied that a plant selected for high yield would be a dominant
homozygote. In breeders population therefore, selection was made
for high yield. If, in the process, heterozygotes were selected due to
dominance, successive generations obtained by selfing would
increase the frequency of selectable homozygotes. This genetic
logic was translated as the concept of single plant selection in
practice.
In course of time with the emergence of the subject of
quantitative genetics, the assumption of single gene control was
used only to draw firm fundamentals as a first approximation. In
turn they helped to extend the theory from a simple to a complex
situation. But compared to 3 possible genotypes in the case of a
single diallelic gene, there would be 10 genotypes including the
coupling and repulsion heterozygotes in the case of two diallelic
genes. In addition there would be added complexities due to linkage
and linkage disequilibrium when dealing with even simple selection.
At this point, quantitative schools of thought diverged. The British
school led by Mather, Jinks and others worked on theoretical
extension of various results from single gene. Their work (Mather
and Jinks, 1982) was directed more at a clear understanding of the
theoretical framework in two- and multi-genic situations than on
practical decisions for plant breeding. Though based on examples
from animal breeding, Falconer (1981) dealt with principles of
Quantitative Genetics of application value to breeding. The American
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and Australian schools led by Comstock, Robinson, Griffing
and others directed their theoretical research to exploring newer
methods of plant breeding. Development of mating systems, the
consequent changes in the genetic structure of breeding population
and various options in breeding for improvement and the like received
special attention over time.
But Fishers school of thought of working with variation instead
of means proved to be uniquely powerful. Starting with a simple
model relating phenotype (P) and genotype (G), namely, P = G + E
in which E refers to environmental component, the relation s2p = s2G
+s2E where s2( ) refer to the variances was derived under an assumption
of independence of G and E. An analysis of variance of field data on
a QT would help to estimate s2E ; s2G could then be estimated from
the value of s2p using the above equation.
Further partitioning of the genetic value, G into its components
like A, additive value and D, the dominance deviation, laid the
foundation for predictive plant breeding. The variances of G, A and
D gave rise to concepts of heritability and genetic advance and the
base for the theory of selection. All the theoretical developments
have well been documented in excellent detail in many books (see,
for e.g. Kempthorne, 1957; Arunachalam and Owen, 1971; Falconer
and Mackay, 1996; Mather and Jinks, 1971).
Further advancements of the subject modified the basic
equation, P = G + E by adding components of genotype X
environment interaction (popularly known as G X E interaction).
However the assumption of independence of components in addition
to a linear model (that is only an easy option not confirmed by any a
priori logic) continue to be restraints. On a keen introspection, we
need to agree that the fundamental equation and its extension do
suffer by such indefensible assumptions.
Those situations came to the fore when geneticists and breeders
had specific problems of plant/animal breeding to tackle. This led to
more theoretical developments. For instance, random mating and
selfing populations were examined for changes in gene and genotypic
frequencies in successive generations. The theory of inbreeding
was set in firm perspective and correlation between relatives was
worked out. In particular, the covariance between half-sibs was
derived as Cov (HS) = ¼ s2A and the covariance between full sibs as
Cov (FS) = ½ s2A + ¼ s2D where s2A refers to additive genetic variance
and s2D to dominance variance. They also highlighted mating between
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relatives in efficient estimation of additive and dominance
variances and hence narrow sense heritability leading the way to
analogous designs of mating such as North Carolina designs (NCDs,
Comstock and Robinson, 1948, 1952). Yet inference and test
statistics were rooted on restrictive single gene theory or its notional
extension (for example, the average degree of dominance estimated
using NCDs).
In due course of time, improved experimental plant breeding
led to exploring the underlying genetic logic based on generalised
assumptions instead of specific genetic control for traits. A specific
case is the general treatment of diallel crosses by Griffing (1956a,b)
compared to the treatment by Mather and Jinks (1982) based
essentially on a single gene control (Arunachalam, 1984). Breeders
started using Griffings methods of analysis that gave a new fillip to
the concepts of general (gca) and specific combining ability (sca)
given by Sprague and Tatum (1952). Theoretical relationship between
covariance of relatives and variance of gca and sca, particularly,
Cov (HS) = Var (gca); and Cov (FS) - 2 Cov (HS) = Var (sca) easily
admitted extension to many genes and thus were relevant to the
practical breeding methods (Kempthorne, 1957; Arunachalam, 1995;
Falconer and Mackay, 1996). Analysis of variance of combining
ability helped to test the gca effects of parents and sca effects of
related and unrelated crosses. Breeders were able to order parents
on their gca effects and make desired crosses. Similar analysis of
sca effects gave them clues either to select crosses that would
have high chances to be bred as hybrids or to select those that
could provide productive segregants to be further bred as productive
pure lines. However, inconsonant results across traits and lack of
simple methods to collate them still remained as major bugs. In this
context, the problem of aggregating information across traits was
given due consideration and efficient methods developed
(Arunachalam and Bandyopdhyay, 1984; Arunachalam, 1993).
We thus see that the subjects of plant breeding and quantitative
genetics were developed in synergy to relate practical breeding carried
out in field with the theoretical basis behind. In this way, the logic
behind obtained results was better understood. Under the built-in
restrictions, it was possible to judge, with a probability, the efficiency
of the breeding method. For example, high gca variance implies
predominant additive effects and the possibility of some crosses
doing better than their better parent on the strength of parental gca
effects alone. Such crosses would provide prospective initiating
points for deriving productive pure lines.
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Space restricts exposition of such predictive logic behind every
intervention of plant breeding. But the few examples given above do
suggest that genetic theory is important to interpret a plant breeding
action. They further illustrate that translation of an inherent genetic
logic into plant breeding action was a milestone in purposive plant
breeding.
Transgression
In Genetics, transgression refers to transgressing or
outperforming a standard. Usually it refers to plants in segregating
generations that transcend the performance of the parents.
Performance is usually measured in terms of QTs of interest like
yield, flowering time, maturity and the like. In the literal sense, it can
be roughly referred to as significant improvement over an existing
process or plan of action.
Transgression was a signal phenomenon that produced rich
dividends in Plant Breeding. Development of hybrids is a classical
example. Initial theory hinged on the fact that heterozygote could be
superior to either homozygote due to a phenomenon known as
overdominance. Such a superiority known also as heterosis provided
a valid reason for preferential breeding of heterozygotes. The
overdominance hypothesis emanating from the single gene theory
was extended to more than one gene too. After a time, it was realized
that overdominance per se was not a necessary condition when
various types of genic interactions also govern the trait. It was shown
that additive X additive interactions alone could provide heterosis
under some conditions (Arunachalam, 1977). In general, significant
sca variance governed by epistatic interaction would be a fair
indicator for breeding of hybrids.
Falconer (1960; and in later editions of his book, Falconer and
McKay, 1996) propounded that heterosis (betterment over the mid-
parental value) was a function of dominance deviation and the square
of deviation of gene frequencies of parents. This theory was based
on random mating of two populations from which the parents were
drawn. In practical breeding, hybrids are not always developed by
such a process. But this hypothesis led to selecting for genetic
divergence of parents to increase the chances of heterosis. Advances
in hybrid breeding further suggested that moderate, and not extreme,
levels of divergence are optimal for realizing heterosis (Cress, 1966;
Arunachalam and Bandyopadhyay, 1984; Arunachalam et al., 1984).
Thus entered the problem of measuring genetic divergence in
plant breeding. Several measures were in practice but we found that
multivariate distance (Mahalanobis distance) statistic extensively
187
used in various types of problems (Rao, 1952) was quite efficient
in measuring genetic divergence too (Murty et al. 1965;
Chandrasekhariah et al., 1969; Arunachalam, 1981; Arunachalam
et al. 1998). The distance statistic, popularly known as D2, was
commonly used later to classify and group varieties probable to be
selected as parents in hybridization.
In theory, phenotypic expression of a QT is not only a function
of the genes governing it but also those that influence it from
background. For instance, several physiological traits like seedling
vigour, leaf area and biomass in the pre-flowering stage influence
traits at flowering, like days to flower and primary branches and
post-flowering stages like grain number and grain weight. There could
also be several other lurking genes constituting the genetic
background that govern traits that are of no direct concern to breeders
and others that are not even expressed. Such genes influencing QT
expression constitute genetic background (GB) and it is as important
as the expressed trait.
Langham (1963) proposed a hypothesis of high acumen to plant
breeding. He defined a high (H) genotype as one that has a high
frequency of genes enhancing expression but under a retarding GB.
If, on the other hand, an augmenting GB were invoked, H would
already serve the purpose of an improved variety. Similarly, a low
(L) genotype was conceived as one that has a high frequency of
genes impeding expression but under an augmenting GB. If a retarding
GB were associated, L would have been out of existence under
pressure of low genes in a retarding GB. Mating of the type H X L
would then generate in the F2 generation a spectrum of recombinants.
It is then possible to recover a trangressive segregant governed by
H genes under H background. Though the formulation could seem
to be imperfectly simple, its credence remains above question.
This logic is inherent in a number of success stories in plant
breeding. For example, in almost all the hybrid varieties in crops like
sorghum, pearl millet, maize and others, one parent has always been
low and the other high in the sense explained above (for example, all
the male sterile parents used in hybrids are L in yield). In addition,
genetically distant parents that produce heterosis over better parent
reflect the High-Low concept effectively (See Arunachalam, 1980). In
breeding for disease resistance, lines carrying resistance are usually
low in productivity while those that are productive carry low resistance.
Methods employed to derive productive and resistant lines, like
repeated backcrossing or convergent crossing, are essentially High
X Low crosses. In advocating the H - L concept, methods have also
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been devised to characterize an entity as H or L, for instance,
based on the gca effects across a number of traits (Arunachalam and
Bandyopadhyay, 1976). Breeders have been using these methods in
various crops successfully.
It is known that QTs sustaining constant expression over time,
say for earliness and low yield, would have the controlling genes
and their GB in a flux known as coadapted gene complex. A
population may have plants carrying various types of coadapted
gene complexes like for example, relatively late but fairly productive.
This implies that coadapted gene complexes formed a tightly linked
combination in the particular environment. A breeding programme
that needs to combine earliness with high yield would propose inter
se crosses within population. Such crosses would promote
recombination gradually and as linkage is broken, successive
intermating would increase recombination to the desired end. The
rate of success would improve only if a large number of crosses are
made in each cycle. In the process, high recombinants would get a
fair chance of mating with low ones producing successively
improving population. Depending on the crop and the initial genetic
status, a few cycles of intermating is expected to result in a
productive population. This process is given various terminologies
like biparental mating in an F2 population and intermating in other
cases.
The few instances explained in detail above demonstrate how
simple single gene theory could transgress its restrictive frame and
catalyze logical paradigms of practical breeding for QT improvement.
Transformation
Gene transformation is the process of introducing genes into
plants by methods which bypass the sexual seed production process.
Essentially, in this process genes (the parts of a cell that provide
blueprints for inherited traits) are cut from the cells of one organism
and pasted and integrated into the cells of another organism
including plants. Once the cells are transformed, they are grown
into new plants capable of expressing a desired characteristic.
The panacea of this process is the possibility of transfer of a desired
gene from any species to any other cutting across sexual barriers of
hybridization. In a literal sense, transformation refers to the heritable
modification of the properties of a plant.
In this sense, normal biotechnological processes including plant
breeding are also examples of transformation. In a different context
however, it is projected that regular plant breeding needs to be
augmented by molecular technology assisted options. Molecular
189
polymorphism as the path to generate a variety of molecular
markers (MMs) some of which can be closely associated with QTs,
has opened a new dimension of breeding. MMs showing inheritance
pattern as single diallelic genes have generated a new class of
perceptible genes. They are credited with environment independence
unlike Mendelian genes. It is claimed that MM-assisted plant
breeding would be more precise as genetic performance can be
assessed direct without being clouded by environment as inherent
in phenotype-based assessment in classical (Mendelian) breeding.
Those aspects will not be expatiated further here except to underline
the crucial fundamental differences. The visual presentation below
(Fig 1) depicts those differences vividly.
G EB 24 CO 18 Peta D gW g Tsa i Yu a n C h o u
IR 8 B as
TKM 6 TN 1
1966 370
Im p rov e d
P u s a 2 -2 1 Sa b arm at i
1973 19 70 5
BC
81B 25 P us a 7 0 Tad u k an
P us a 6 1 5 Pu sa 140 IR 22
1981 1975 1 969
P u sa Pu sa 150 K arn al
B a s m a ti 1 1976 L oca l
1989
Fig 1. Molecular marker and Mendelian gene
The following points need to be recognized :

Though MM and Mendelian gene have genotypes, MM does
not have a phenotype and hence no QT can be associated with it.
Even if a very close association is conceived between MM and the
Mendelian gene, the moment the QT value (of the phenotype) is
associated with MM genotype, environmental component associated
with QT automatically gains entry nullifying the claim that MMs are
independent of environment. Application of known quantitative
genetics theory then equates MM with the QT nullifying the advantage
claimed.
190
• Only conventional plant breeding, particularly the mode of
F2 segregation, is used to study the inheritance pattern of MM and
the desired trait; but realized QT improvement has to be evaluated
through the progeny performance in F3 and F4. Therefore other than
the theoretical possibility (see below) of marking the presence of a
QT through an MM, there seems to be nothing independent of
classical breeding process and hence saving in the generation time
needed for QT improvement does not automatically follow the process
behind identification of an MM.
• In the published literature, papers enumerating a number of
markers for various QTs in various organisms including crops are
frequent. But papers establishing the sustainability of such markers
to identify plants, say from a germplasm, that carry the marked trait
are rare.
• MMs can at the most be analogous to single diallelic genes.
Different MMs may mark different genes. But MMs are independent
and there is no way by which they exist linked. Estimation of linkage,
even if attempted, would be based on QT values of various
phenotypic classes that would negate environment independence.
A detailed published analysis of the deficiencies in MM based
breeding (Arunachalam and Chandrasekharan, 1993) provides details.
• Further most of the MM-assisted breeding studies use
recombinant inbred lines, backcross or F2 selection lines as material
to work with, admittedly at a high cost. But modern high yielding
varieties with established performance have very complex pedigree
involving years of complex breeding (see, for example, the pedigree
of the Indian scented rice variety, Pusa Basmati 1 that fetched a
creditable export market, Fig 2). Majority of MM-assisted breeding
has targeted stress resistance and most of them used a few crops
like soybean and maize across the globe.
Referring to transformation of fruit trees, Petri and Burgos (2005)
observed that transformation and regeneration of commercial cultivars
were not routine and generally limited to a few genotypes or seedlings.
They further highlighted the need for development of methods that
avoid the use of antibiotic-dependent selection or allow elimination
of marker genes from the transformed plant as research priorities.
The applicability of the import of those observations merit general
consideration in plant breeding too.
But there are some innovative leads to pursue in the area of
transformation breeding. Two examples will amplify the point.
Zidenga (2004) has reported switchable expression systems
as a powerful biotechnological tool to regulate gene expression. A
191
G EB 24 CO 18 P e ta DgW g Tsai Yuan C hou
IR 8 Bas
TKM 6 TN 1
1966 370
Im p r o v e d
P u s a 2 -2 1 S a b a r m a ti
1973 1970 5
BC
81B 25 Pusa 70 Tadukan
Pusa 615 Pusa 140 IR 2 2

1981 1975 1969
Pusa Pusa 150 K a rn a l

B a s m a ti 1 1976 Local
1989
Donor strains of scent

Fig 2. Pedigree chart of the rice variety, Pusa Basmati 1
case in point is the green revolution wheat varieties. They were

dwarf because they responded abnormally to the plant growth
hormone, gibberellin (GA). A group of DELLA proteins found in plants
including Arabidopsis was shown to mediate GA-responses in all
plants that contained them. GAI (Arabidopsis Gibberellin Insensitive)
gene was shown to encode a member of the DELLA protein family.
The gai gene encoding a mutant protein, gai, lacked DELLA domain
and produced dwarf rice due to low GA response. But such transgenic
expression could negatively affect yield. Further research showed
that ethanol, an environment-friendly green inducer, could act as a
switch to induce dose-responsive repression of growth. It is then
possible to programme whether a plant needs to dwarf or not, or
even when to dwarf and by how much. Such a system should become
versatile to tailor the growth properties of different crops and increase
harvest index.
Correlated response of yield-related traits concomitant to
incorporating dwarfing genes in wheat and rice varieties were
highlighted earlier. Likewise it is recently reported that the floral
homeotic gene, APETALA2 (AP2) determines seed size, seed weight
and the accumulation of seed oil and seed protein in Arabidopsis
thaliana. Several ap2 mutants could be recovered showing many of
those traits (Jofuku et al., 2005). The question whether it would not
then be possible to incorporate AP2 to improve the QTs like seed
size, seed weight etc. remains appetizing.
192
Such leads using physiological, genetical and biochemical
approaches would make sense only if committed efforts are made
to translate transformation path into reality.
During 1960s plant breeding was specifically targeted for
improving yields of food crops to solve the enormous deficit of
foodgrains and consequent hunger in India. High yielding varieties
developed in wheat and rice based on Mendelian breeding stood the
test of time, mitigated the deficit and made India more than self-
sufficient. Yet poverty still remains in remote areas and with people
owning small areas of unproductive land. Not only people in such
areas need exposure to science of agriculture and breeding but also
they need training through demonstration of scientific agriculture.
More than lateral transfer of high yielding varieties that may not also
suit the areas and their consumption needs, the native local strains
need to be conserved and bred for productivity increases. Several
among the poor farmers are highly tradition-bound with high
indigenous traditional knowledge. Their site-specific agro-biodiversity
needs to be converted as their valuable assets using their intense
desire to learn and adopt, despite their negligible knowledge on
modern cultivation. The strong preferences for native varieties and
the fact that perceived benefits would only persuade participation
should be respected. In this light, there is hardly any scope for high
end breeding options. This would need working with farmers hand in
hand in their own lands, demonstrate not only high yields but also
their economic value and benefit through necessary marketing
avenues. In short, the need is for ensuring livelihood in its entirety
using cultivable land as the base. This new approach to breeding
that is fast growing is known by the popular name, participatory
plant breeding.
Therefore recalling the fundamental equation, P = G + E we
can observe the following:
1. Classical breeding progresses on P and E, inferring G through
analysis of variation.
2. Molecular breeding aims to work directly with G alone that
seems to be too ambitious a goal.
3. Participatory breeding deals essentially with the component,
P of small, poor but biodiversity-rich farmers, visualizes their varieties,
ecology and environment as a unified whole and aims to work for an
integrated participatory technology.
193
We thus come back to the question we started with Plant
Breeding: Translation, Transgression or Transformation? We
projected translation as a force and advanced transgression as a
need in dynamic breeding, and rated transformation as a cutting
edge, modern and innovative tool. All said, the current scenario
demands a special pathway for poverty alleviation doable options
of the farmer, for the farmer and by the farmer. At the same time, we
know conservation of biodiversity is urgent; cultivation,
commercialization and conservation need to be mutually reinforcing.
Preferably then the target varieties and the target traits for upgradation
would be those desired by the farmer. Such varieties when developed
would be owned by farmers. Their benefit and continuum would be
automatically sustained. The challenge does not therefore remain in
engineered HYVs and their horizontal transfer demanding heavy
inputs, physical, chemical and economical, into farmers rich habitat
and ecology. The challenge should then be how we could design the
phenomenal yield potential (we talk about in other contexts) into
those farmer landraces and varieties. Abundance of such designer
varieties permeating fertile ecologies of the poor farming community
would challenge poverty effectively. Our technology developments
must fit to this frame. Breeding varieties in numbers, transforming
varieties as a major option disregarding or ignoring alternatives and
expecting the new products and technology to make forward inroads
among the poor would be a tantalizing overexpressed anticipation at
a great cost. Nevertheless discovering and exploring new avenues
for plant improvement are forward developments; but providing scope
for them to extenuate old and proven avenues would be a dangerously
retrograde finale.
Therefore a thoughtful and well-balanced integration of the
processes of translation and transgression with needed
transformation would only be the path for successful plant breeding.
194
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196
PARA-NODULATION OF NON-NITROGEN
FIXING PLANTS
C.T. Wheeler1, G.L. Mark2, J. Milne1 and J.E. Hooker3
1. Plant Sciences, Bower Building, University of Glasgow, Glasgow
G12 8QQ, U.K. 2. Biomerit Research Centre, Department of
Microbiology, National University of Ireland, University College Cork,
Cork, Ireland.3. Department of Environmental and Geographical
Sciences, Manchester Metropolitan University, John Dalton Building,
Chester treet, Manchester M1 5GD. U.K.
INTRODUCTION
Searches to discover new species of plants that form nitrogen
fixing root nodules have a long history. These have been successful
in identifying many new genera of legumes or families of actinorhizal
plants that bear nodules induced by rhizobia or Frankia, respectively.
One of the most fascinating of such discoveries was the identification
of Rhizobium-induced nodules on the roots of Parasponia, a member
of the Ulmaceae (Akkermans et al., 1978). However, a significant
number of observations of nitrogen fixing nodules on the roots of
genera that are not legumes, members of the genus Parasponia or
species of the eight families of actinorhizal plants that form
symbioses with the actinomycete Frankia, have not been confirmed.
For example, Steyaert (1932) noted the occurrence of root nodules
on Coffea klainii and C. robusta growing in the Congo basin, from
which bacteria were isolated with a morphology remarkable similar
to Rhizobium. Nodules were observed on roots of Tribulus terrestris
in 1913 by Issatschenko and subsequently there have been reports
of nodulation on other members of the Zygophyllaceae (Sabet,1946).
The nitrogen-fixing status of these structures, reputed to be the
result of infection by rhizobia, was not obtained and later research
casts doubt on the veracity of the findings (Allen and Allen, 1950;
Bond, 1983). Similarly, reports of nodulation of Arctostaphylos and
of Rubus by Frankia have been discounted subsequently (Bond and
Wheeler, 1980; Becking, 1977; Stowers, 1985). The structures
reported as being caused by diazotrophic micro-organisms are often
rather small and may be starch storage structures or caused by
mycorrhizal fungi, by species of Penicillium (Capellano et. al., 1987)
or by pathogenic bacteria such as Agrobacterium tumefaciens.
Nevertheless, discoveries such that of diazotrophic, rhizobium-
induced nodules on Parasponia, a member of the Ulmaceae
(Akkermans et al., 1978) and of Frankia-induced actinorhizal nodules
on Datisca, the only herbaceous genus of actinorhizal plants
197
(Chaudhary, 1979), have been partly responsible for encouraging
continued searches for new nodulating genera in the field and also
for stimulating attempts to induce nitrogen-fixing nodules on the
roots of non-nitrogen fixing species, especially crop species. These
approaches have been encouraged in the past by consideration of
morphological and floristics data which indicated that many of the
families of plants forming root nodule symbioses were distantly related
taxonomically, suggesting that these symbioses evolved
independently many times. Consequently, the view was held that
Rhizobium and Frankia can adapt to a wide range of genetic
backgrounds of the host plant and that the physiology and genetics
of non-nodulating plants might be modified to form symbioses with
diazotrophic organisms. However, the hypothetical foundations for
such an approach were undermined by phylogenetic analysis of
chloroplast gene sequence data, which showed that species of all
ten families with diazotrophic nodules occur in a single, nitrogen-
fixing clade (Soltis et al., 1995). It seems, therefore, that only one
lineage of closely related taxa evolved the genetics necessary for
root-nodule symbiosis. Nine other families lacking this association
were also placed in this clade, however, and there are many
nonnodulating genera within families with nitrogen-fixing species.
Further molecular data indicates the occurrence of multiple origins
of symbiosis within this group (Swensen and Mullin, 1997) . Soltis
et al. (1995) suggest that efforts to unravel the process and evolution
of nitrogen-fixing symbioses, and the transfer of this capacity to
nonnodulating species, should first focus on taxa from the nitrogen
fixing clade that possess and lack symbiotic nitrogen-fixing ability.
Paranodules induced with Rhizobium.
Several studies with the above objectives in mind have
demonstrated that it is possible to induce the formation of nodule-
like structures, para-nodules, on a variety of both monocotyledonous
and dicotyledonous plants in culture by relatively simple manipulation
of growth conditions (Christiansen-Weniger, 1998; Kovalskaya et
al., 2001; Cocking, 2003). The critical variable in such studies has
been the levels of growth hormones, particularly auxins, in the culture
media. Intracellular infection of such structures by symbiotic and
associative nitrogen fixing bacteria such as Rhizobium (Spencer et
al., 1994), Azorhizobium (Christiansen-Wegener (1996); Azospirillum
(Yu et al., 1993) have been observed. While significant levels of
nitrogen fixation have been detected in intracellular infections with
associative bacteria (Christiansen-Weniger, 1998), nitrogen fixation
with Azorhizobium was insignificant except under conditions of
198
reduced oxgen pressure (Christiansen-Wegener, 1996) and
insignificant or absent from associations with Rhizobium
(Ridge et al., 1993; Francisco and Akao, 1993; Spencer et al., 1994).
Such studies continue to have a role to play in identifying critical
steps in the formation of symbiotic associations that may be modified
or missing in non-nodulating plants.
Paranodules with Frankia
The actinomycetous, symbiotic nitrogen fixer Frankia has rarely
been considered for inclusion in such experiments despite the
obvious attractions of this organism, such as its ability to nodulate
genera in eight different plant families, high rates of nitrogen fixation
in culture and the differentiation of specialised structures, the
vesicles, that provide a protective environment for the synthesis
and functioning of nitrogenase (Schwintzer and Tjepkema, 1990).
Pseudonodulation of actinorhizal species by cytokinins has been
described (Bermudez de Castro et al., 1977) but intracellular infection
by Frankia of these tissues and of callus derived from roots or nodules
of Alnus (Becking, 1977) and Ceanothus (Ellmore et al., 1983) was
not observed.
The absence of published information concerning the induction
and the functioning of paranodules on actinorhizal plants led us to
attempt to induce such structures on a non-nodulating member of a
family with known, nodulating genera. Nodulation in the Rosaceae
by Frankia has been confirmed for Cercocarpus, Chamaebatia,
Cowania, Dryas and Purshia (Schwintzer and Tjepkema, 1990).
These genera are grouped in the tribe Dryadeae of the sub-family
Rosoideae. Fragaria (strawberry) is also a member of this sub-
family but assigned to the Potentilleae (Morgan et al., 1994) and
was chosen for study because of its economic importance. In
addition, methods for the genetic transformation of strawberry are
well established (James et al., 1990). Because symbiotic
relationships with arbuscular mycorrhizal fungi have been
demonstrated to enhance nodulation (Patterson et al., 1990),
particularly under conditions where the plant is well supplied with
assimilates (Sempavalan et al., 1995), experiments were included
in which plants were inoculated with Glomus mosseae.
The roots of axenic plants, grown on Murashige and Skoog
media with potassium nitrate as the nitrogen source and
supplemented with 2,4 dichlorophenoxyacetic acid (2,4-D) showed
considerable deformation, in particular reduction in root length,
deformation of the root tips, swelling, thickening and induction of
hypertrophic growths with some of the larger hypertrophies
199
developing vascularisation provided that cytokinin (benzyl amino
purine, BAP) was also included in the growth medium (Figure 1).
Intracellular infection of larger hypertrophies by Frankia was observed
but only on plants grown on media with 2,4-D (0.5mg l-1), BAP and
pyruvate and then only in plants inoculated with both Frankia and
Glomus (Figure 1).
However, penetration of the outgrowths (para-nodules) by hyphae
of Glomus was not detected, although the roots of strawberry are
readily infected by this AMF (Mark et al., 1999). The role of this
organism in the colonisation process is unknown at present. However,
it is widely accepted that signal exchange and recognition between
host plants and AMF, possibly involving host flavonoids, are initiated
prior to infection (Gianinazzi-Pearson, 1996).
Figure 1. Light microscopy of section through a hormone induced

para-nodule on strawberry roots inoculated with Frankia UGL020605s
and Glomus mosseae, showing vascularisation and areas of Frankia
infected cells (I). Plants were grown on M&S half strength medium
supplemented with pyruvate (1.0 g l-1), 2,4-dichlorophenoxyacetic
acid (0.5 mg l-1) and benzylaminopurine (0.5 mg l-1).Bar = 100ìm
200
Figure 2. Frankia infected cells of strawberry para-nodules, showing
Frankia mycelium and differentiation of vesicles.
Development of vesicles with septa was observed in some cells

(Figure 2), a defining characteristic of Frankia in some conditions of
culture and growth in vivo (Tjepkema et al., 1981). These structures,
with oxygen diffusion restricted by their specialised hopanoid-rich
walls, are the primary site of nitrogen fixation in Frankia in vitro and
in symbiosis with most host species. However, nitrogenase activity
was not detected by acetylene reduction assay in any treatment.
Vesicles may continue to be formed when cultures are supplied with
mineral nitrogen at levels that suppress nitrogen fixation (Tjepkema
et al., 1981; Murry et al., 1984) and this may explain why vesicles
were present in para-nodules of strawberry plants grown with KNO3
in the culture medium even though no nitrogenase activity was
detected by acetylene reduction.
These experiments are the first demonstration of intracellular
colonisation by Frankia of hypertrophic growths, induced by hormone
treatment on the roots of a non-nodulating non-legume. However,
as reported earlier for nodulation of other non-legumes by Rhizobium
(Ridge et al., 1993) the frequency of occurrence of such infections
was low and when observed, was confined to larger, branched
201
structures that had developed vascular bundles. Again, this
observation is similar to that of Ridge et al. (1993) in their studies of
para-nodulation of rice and wheat. It is of interest that auxin alone
(2.4-dichlorophenoxyacetic acid) stimulated the formation of
hypertrophic growths on strawberry but the formation of outgrowths
that developed a vascular system was seen principally on the roots
of plants with both auxin and cytokinin (benzylaminopurine) in the
growth media.
CONCLUSION
Providing the proper balance of auxins and cytokinin is a critical
factor for achieving the formation of root outgrowths with an organised
structure, whether the nitrogen fixing organism is present or not.
The actual route of penetration of the micro-organism into the
outgrowth is not known, however, although it is possible that changes
in the wall structure of epidermal cells, induced by auxin, may render
them susceptible to penetration, followed by intracellular colonisation
of the cells of the outgrowth and its conversion into a paranodule.
Both Frankia and Rhizobium secrete auxins and cytokinin and the
occurrence of high levels of auxin and cytokinin in the root nodules
of legumes and actinorhizal plants have long been recognised.
While it is conceivable that infection of the root outgrowths may
involve stimulation of the release of inducing compounds by the
roots, a process in which the presence of Glomus conceivably may
play a role (Gianinazzi-Pearson, 1996), it is notable that Spencer
et al. (1994) did not obtain evidence for the production of known
nod-inducing factors by potato root cells susceptible to infection by
rhizobia.
Finally, it should be noted that irregularity of infection of
outgrowths is a feature not only of the study of infection of strawberry
root outgrowths by Frankia but also of earlier studies of the formation
of infected para-nodules by Rhizobium or associative bacteria on
non-legumes (Ridge et al., 1993). Further refinement of the
experimental conditions for the induction of paranodules will increase
further the value of these systems as experimental tool for
investigation of the processes of nodule induction and infection.
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204
DYNAMICS AND REMEDIATION OF HEAVY
METALS IN CONTAMINATED SOILS
N.S. Bolan1, S. Mahimairaja2, D.C. Adriano3
Institute of Natural Resources, Massey University, Palmerston North,
1
New Zealand; 2Department of Environmental Sciences, Tamil Nadu

Agricultural University, Coimbatore, India; 3Savannah River Ecology
Laboratory, The University of Georgia, Aiken, SC29802, USA;
INTRODUCTION
The term 'heavy metal' in general includes elements (both metals
and metalloids) with an atomic density greater than 6 g/cm3 [with
the exception of arsenic (As), boron (B) and selenium (Se)]. This
group includes both biologically essential [e.g. cobalt (Co), copper
(Cu), chromium (Cr), manganese (Mn) and zinc (Zn)] and
non-essential [e.g. cadmium (Cd), lead (Pb) and mercury (Hg)]
elements. The essential elements (for plant, animal or human
nutrition) are required in low concentrations and hence are known as
'trace elements' or 'micro nutrients'. The non-essential metals are
phytotoxic and/or zootoxic and are widely known as 'toxic elements'.
Both groups are toxic to plants, animals and/or humans at high
concentrations, and are refereed to as metal(loids) in this chapter.
Recently, literatures on heavy metals appear to have been
dominated by their role as environmental contaminants. Indeed, six
out of eleven most common contaminants at the U.S. National Priority
List sites are metals, i.e., Pb, As, Cr, Cd, Ni and Zn, in decreasing
order of frequency of occurrence (U.S.EPA, 1995). With increasing
demand for safe disposal of wastes generated from agricultural and
industrial activities, soil is not only considered as a source of nutrients
for plant growth, but also used as a sink for the removal of
contaminants from these waste materials. As land treatment becomes
an important strategy in waste management, soil is increasingly
being seen as a major source of heavy metals reaching the food
chain, mainly through plant uptake and animal transfer. Such waste
disposals have led to significant build up in soils of a wide range of
metals, such as Cd, Cr, Cu, Hg, Pb and Zn, and metalloids, such as
As, and Se. Entry of soil-borne metals into the food chain depends
on the amount and source of metal input, the properties of the soil,
the rate and magnitude of uptake by plants, and the extent of
redistribution by grazing animals. The sequestration of metals by
soils is controlled largely by the physico-chemical reactions of metals
with soil components carrying surface charge and the biochemical
transformations involving soil microorganisms.
205
Health authorities in many parts of the world are becoming
increasingly concerned about the effects of heavy metals on
environmental and human health. Historically, heavy metal toxicity
to human health received attention primarily as a result of 2 series
of widespread poisoning. First, the many cases of "Gasio-gas'
poisoning, in which arsenic trioxide in wallpaper glue was converted
into volatile poisonous trimethyl arsine or "Gasio-gas" [(CH3)3As].
Second, the hundreds of tragic cases of human poisoning of
Minamatas Bay and Niigata in Japan (Minamata disease) in the late
1950s, believed to have occurred from the ingestion of fish containing
methylmercuric compounds. Recently, high concentrations of heavy
metals, such as As, Cd, Cu, Pb and Zn in soils, have often been
reported in number of countries. For example, significant adverse
impacts of As on human health have been recorded in Bangladesh,
India and China and it is claimed that millions of people are potentially
at risk from As poisoning. Similarly, Cd accumulation in the offal of
grazing animals in New Zealand and Australia made it unsuitable for
human consumption and affected access of meat products to
overseas markets. Furthermore, bioaccumulation of Cd in potato,
wheat, and rice crops has serious implications to local and
international commodity marketing. Recently there has been concern
about urban development of horticultural sites which contained toxic
levels of Cu in soils resulting from excessive use of Cu containing
fungicides. Similarly, Se toxicity in grazing animals and Pb
accumulation resulting from the use of leaded fuel are widespread in
many countries including India.
Unlike organic contaminants, most metals do not undergo
microbial or chemical degradation and the total concentration of these
metals in soils persists for a long time after their introduction. With
greater public awareness of the implications of contaminated soils
on human and animal health there has been increasing interest
amongst the scientific community in the development of technologies
to remediate contaminated sites. For diffuse distribution of metals
(e.g. fertilizer-derived Cd input in pasture soils), remediation options
generally include amelioration of soils to minimise the metal
bioavailability. Bioavailability can be minimised through chemical
and biological immobilisation of metals using a range of inorganic
compounds, such as lime and phosphate (P) compounds, and organic
compounds, such as 'exceptional quality' biosolid. The more localised
metal contamination found in urban environments (e.g. Cr
contamination in timber treatment plants) is remediated by metal
mobilization processes that include bioremediation (including
phytoremediation) and chemical washing. Removal of metals through
phytoremediation techniques and the subsequent recovery of the
206
metals or their safe disposal are attracting research and commercial
interests. However, when it is not possible to remove the metals
from the contaminated sites by phytoremediation, other viable
options, such as in-situ immobilisation should be considered as an
integral part of risk management.
In this article, we attempted to identify the major sources of
heavy metals inputs to soils and then to discuss the key
biogeochemical processes involved in controlling the dynamics of
metals in soils. Various physical, chemical and biological techniques
available for remediation of metals-contaminated sites are synthesized
with an aim to develop integrated practical strategies at multi-scalar
levels to manage contaminated soils. Future research needs,
especially in the area of metal bioavailability and long-term
remediation strategies are identified.
SOURCES OF HEAVY METALS INPUT TO SOILS
In terrestrial ecosystems, the soil is the main repository of
contaminant chemicals. Heavy metals reach the soil environment
through both pedogenic (or geogenic) and anthropogenic processes.
Most metals occur naturally in soil parent materials, chiefly in forms
that are not readily available for plant uptake. Often the concentrations
of metals released into the soil system by the natural pedogenic (or
weathering) processes are largely related to the origin and nature of
the parent material. Apart from As (Mahimairaja et al., 2005), Cd
(Singh et al., 1995) and Se (Dhillon and Dhillon, 2003), other elements
(e.g. Cr, Ni, Pb) derived via geogenic processes have limited impact
on soil. Unlike pedogenic inputs, metals added through anthropogenic
activities typically have high bioavailability. Anthropogenic activities,
primarily associated with industrial processes, manufacturing and
the disposal of domestic and industrial waste materials are the major
source of metal enrichment in soils (Table 1). Atmospheric pollution
from Pb-based petrol is a major issue in many developing countries
where there is no constraint on the usage of leaded gasoline.
Geogenic contamination of As in soils and water has been
reported in many parts of the world (Mahimairaja et al., 2005). One
typical example is the extensive As-contamination of ground waters
in Bangladesh and West Bengal in India.
Based on As geochemistry, three probable mechanisms have
been offered for As mobility in ground waters of West Bengal and
Bangladesh (Bose and Sharma, 2002):
(i) Mobilization of As due to the oxidation of As-bearing pyrite
minerals. Insoluble As-bearing minerals such as
207
arsenopyrite (FeAsS) are rapidly oxidized [Eq. (1)] when
exposed to atmosphere, releasing soluble arsenite [As(III)],
sulfate (SO42- ) and ferrous iron [Fe(II)] (Mandal et al., 1996).
The dissolution of these As-containing minerals is highly
dependent on the availability of oxygen and the rate of
oxidation of sulfide (Loeppert, 1997). The released As(III)
is partially oxidized to arsenate [As(V)] by microbially
mediated reactions (Wilkie and Hering, 1996).
FeAsS + 13Fe3+ + 8H2O → 14 Fe2+ + SO42- + 13H+ + H3AsO4 (aq) (1)
(ii) Dissolution of As-rich iron oxy-hydroxides (FeOOH) due to

onset of reducing conditions in the subsurface. Under
oxidizing conditions, and in the presence of Fe, inorganic
species of As are predominantly retained in the solid phase
through interaction with FeOOH coatings on soil particles.
Onset of reducing conditions in such environments can lead
to the dissolution of FeOOH coatings. Fermentation of peat
in the subsurface releases organic molecules (e.g., acetate)
to drive reductive dissolution of FeOOH, resulting in the
release of Fe(II), As(III) and As(V) present on such coatings
[Eq. (2)] (Nickson et al., 2000).
8FeOOH-As(s) + CH3COOH + 14H2CO3 → 8Fe2+ + As(d) +
16HCO3- + 12H2O (2)
(where As(s) = sorbed As and As(d) = dissolved As).
(iii) Release of As sorbed to aquifer minerals by competitive
exchange with phosphate (H2PO4-) ions that migrate into
aquifers from the application of fertilizers to surface soil
(Acharya et al., 1999).
However, the second mechanism involving dissolution of FeOOH
under reducing conditions is considered to be the most probable
reason for excessive As accumulation in groundwater (Smedley and
Kinniburgh, 2002).
While sewage sludge is the major source of metal inputs in
Europe, North America and a number of developing countries
including India, P fertilizers are considered to be the major source of
heavy metal input, especially Cd, in countries that use excessive
amounts of P fertilizers such as Australia and New Zealand.
Phosphate compounds contain a range of metals as shown in
Table 2. According to Nriagu (1984) "virtually every known element
has been found, at least in trace amounts, in a phosphate mineral".
Addition of P compounds to soils not only helps to overcome the
208
deficiency of some of the metals, such as Mo, but also introduces
toxic metals, such as Cd and F (McLaughlin et al., 1996; Bolan et
al., 2005). In this regard Cd contamination of agricultural soils is of
particular concern because this metal reaches the food chain through
regular use of Cd-containing P fertilizers. This is one of the main
reasons why this element has been studied extensively in relation
to soil and plant factors affecting its bioavailability.
Table 1. Sources of heavy metals in soils and their expected ionic species
in soil solution.
Metal Density Ionic species Contaminant Toxicitya
(g cm-3) in soil solution sources
Arsenic (As) 5.73 As(III): As(OH)3, Timber treatment, Toxic to plants,
AsO33-; As(V): H2As4-, paints, pesticides, humans and
HAsO42- geothermal animals
Cadmium (Cd) 8.64 Cd2+, CdOH+, CdCl-, Electroplating, Toxic to plants,
CdHCO3+, CdSO4o batteries, fertilizers humans and
animals
Chromium(Cr) 7.81 Cr(III): Cr3+, CrO2-, Timber treatment, Cr (VI) toxic to
CrOH2+,Cr(OH)4-; leather tanning, plants, humans
Cr(VI): Cr2O72-, CrO42- pesticides, dyes and animalsb
Copper (Cu) 8.96 Cu2+ (II), Cu2+ (III) Fungicides, electrical, Toxic to plants,
paints, pigments, humans and
Timber treatment, animals
fertilizers, mine tailings
Lead (Pb) 11.35 Pb2+, PbOH+, PbCl-, Batteries, metal Toxic to plants,
PbHCO3+, PbSO4o products, human and
preservatives, petrol animal
additives
Manganese(Mn) 7.21 Mn2+, MnOH+, MnCl-, Fertilizer Toxic to plants
MnCO3o, MnHCO3+,
MnSO4o
Mercury (Hg) 13.55 Hg2+, HgOH+, HgCl2o, Instruments, Toxic to humans
CH3Hg+, Hg(OH)2o fumigants, geothermal and animals
Molybdenum(Mo) 10.2 MoO42-, HMoO4-, Fertilizer Toxic to animals
H2MoO4o
Nickel (Ni) 8.90 Ni2+, NiSO4o, NiHCO3+ Alloys, batteries, mine Toxic to plants,
NiCO3o tailings humans and
animals
Zinc (Zn) 7.13 Zn2+, ZnSO4o, ZnCl+, Galvanizing, dyes, Toxic to plants
ZnHCO3+, ZnCO3o paints, timber
treatment, fertilizers,
mine tailings
a
most likely to observe at elevated concentrations in soils and water. bwhile Cr(VI) is very
mobile and highly toxic, Cr(III) is essential in animal and human nutrition and generally immobile in the
environment
Accumulation of Cd in soils through regular fertilizer use has
been observed in many countries. For example, in New Zealand and
Australia, most of the Cd accumulation in pasture soils has been
derived from the use of P fertilizers containing high Cd concentration
(Roberts et al., 1994). The Cd in most P fertilizers originates mainly
from the PRs used for manufacturing P fertilizers. It is important to
stress that PRs deposits vary in their Cd content, leading to the
variation in Cd contents of manufactured P fertilizers.
209
Table 2. Metal concentration in phosphate compounds from various sources
(Adriano 2001; McLaughlin et al., 1996; Syers et al., 1986)
Phosphate Concentration (mg kg-1)
compounda
As Cd Co Cu Zn Mn Ni Pb Hg
GPR 4 38 3 15 393 7
NFPR 7 3 5 4 57 212
JPR 12 4 <1 8 235 5
NCPR 23 48 2 9 400 7 9-51 <1 0.4
51 2.1
SPR 5 11 3 6 178 91
MPR 3 8 6 4 90 151
NIPR 3 100 6 8 1010 122
APR 7 12 4 12 560 2
MIPR 2 10 <1 6 220 2
CRP 2 4 5 95 100
IRP 109 32 187 975 962
SSP 77 15 165 890 488
TSP 47 49 418 75 238
DAP 16 7.2 112 307 195
a
Phosphate rocks: GPR - Gafsa phosphate rock, NFPR - North Florida
phosphate rock, JPR - Jordan phosphate rock, NCPR - North Carolina phosphate
rock, SPR -Sechura phosphate rock, MPR- Mexican phosphate rock, NIPR - Nauru
Island phosphate rock, ARP - Arad phosphate rock, MIPR - Makatea Island phosphate
rock, CRP, Chatham Rise phosphorite, IPR - Indian phosphate rock; Phosphate
fertilizers: SSP - Single super phosphate, TSP - Triple superphosphate, DAP -
Diammonium phosphate.
The Cd in superphosphates is water soluble and high analysis

P fertilizers, such as TSP, PAPR and ammonium phosphates
generally contain lower Cd content relative to P. Although many
countries have formulated threshold levels for Cd and other heavy
metal accumulation in soils due to the use of municipal sewage
sludge, such limits have not been established from fertilizer use.
Based on the threshold level for sewage application (3 mg Cd kg-1
soil), the number of years required that would exceed the threshold
level in soil through addition of various sources of P fertilizer is
presented in Table 3. This indicates that although fertilizer addition
represents the major source of Cd input to soils, at the normal annual
rate of fertilizer input (40 kg P ha-1) to pasture soils the rate of Cd
accumulation appears to be very slow.
210
There have been increasing efforts in reducing the accumulation
of Cd in soils through the use of low Cd-containing P fertilizers. This
is achieved by either selective use of PRs with low Cd or treating
the PRs during processing to remove Cd. Superphosphate fertilizer
manufacturers in many countries are introducing voluntary controls
on the Cd content of P fertilizers. For example, the fertilizer industry
in New Zealand has achieved its objective of lowering the Cd content
in P fertilizers from 340 mg Cd kg-1 P in the 1990s to 280 mg
Cd kg-1 P by the year 2000. A number of PRs with low Cd contents
are available which can be used for the manufacture of P fertilizers,
but sources with higher Cd contents cotinue to be used in many
countries for practical and economic reasons. Alternatively, since
Cd has a low boiling point (BP = 789oC) it can be removed by calcining
the PRs. Phosphoric acid used in the food industry is manufactured
mostly only after the removal of Cd through calcination of the PRs.
Calcination of PRs may not become a likely option in the fertilizer
industry because it is expensive and calcination decreases the
reactivity of PRs, making them less suitable for direct application
as a source of P.
Table 3. Phosphorus (P) and cadmium (Cd) concentrations in various
phosphate fertilizers and the calculated number of years
required to exceed the threshold concentration of Cd (3 mg Cd
kg -1) in soils due to fertilizer application
Phosphate fertilizer Concentration Years required to

P (g kg-1)Cd (mg kg-1) exceed the
threshold limita
Single superphosphate 98 32 166
Triple superphosphate 190 70 152
Diammonium phosphate 200 10 1125
North Carolina phosphate rock 132 54 135
Sechura phosphate rock 131 12 614
Egyptian phosphate rock 130 10 732
Gafsa phosphate rock 134 70 107
a
At an annual fertilizer application rate of 40 kg P ha-1
Large quantities of Cu are used in agriculture, horticulture and

animal industries as a trace element nutrient, in many formulations
of Cu containing fungicides, such as copper oxichloride and
'Bordeaux' mixture, and as a growth promoter in piggery and poultry
units. Copper containing fungicides are quite effective in controlling
many fungal diseases and are also permitted in 'organic' farming.
211
With increasing interest in 'organic' farming the widespread use
of Cu fungicides is likely to continue in vineyards and citrus orchards.
Accumulation of Cu in agricultural soils resulting from continuous
use of Cu fungicides and sludge application has been reported in
many countries.
Chromium is used as Cr(III) in the tannery industry and as Cr(VI)
in the timber treatment industry. Cr(VI) is highly toxic and carcinogenic
even when present in very low concentrations in water. Large-scale
use of tannelised timber (treated with copper chromium arsenate,
CCA) as fence post and in vineyards can also result in the release
of Cu, Cr and As to soil environment. Of all the agri-based industries
in India the leather industry appears to be the major source of
pollution. Indiscriminate disposal of Cr-rich tannery wastes has led
to extensive contamination of soils in many parts of India. In Tamil
Nadu, where more than 60% of the tanneries operate, it has been
estimated that more than 50000 ha of productive agricultural lands
have already been contaminated with Cr and salts exceeding the
maximum permissible concentrations (Ramasamy and Naidu, 2000).
Soil sampled in the vicinity of tanneries in Vellore area has Cr
concentrations of > 70000 mg kg-1 (Table 4). A number of highly
contaminated sites also exist in Tamil Nadu.(Fig 1) The amount of
Cr in the soils is particularly high around the closed (old) tanneries
relative to the existing tanneries (Mahimairaja et al., 2000c).
Table 4. Range in pH, EC, Cr and Na content of contaminated soils in

Tamil Nadu (Mahimairaja et al., 2000c)
pH EC Cr Na
Location
-1 -1
(1:5 H2O) (dSm ) (mg kg ) (mg kg-1)
Ambur 8.11 - 8.57 0.15 - 12.3 924 - 16731 14216 -77711
Vaniambadi 7.68 - 8.87 0.43 - 20.6 569 - 79865 2405 - 74398
Uncontaminated soil 7.96 - 8.23 0.32 - 0.59 5.2 - 8.6 1022 - 2697
In the majority of the groundwater samples collected from

contaminated areas the Cr concentration exceeded the WHO's
maximum permissible limit (50µg l-1). Of greater concern was the
finding that more than 85% of the Cr in most of the groundwater was
in toxic Cr(VI) (Mahimairaja et al., 2000a).
212
Figure 1. Chromium contaminated soil in Vaniambadi, Vellore district
Manure addition is increasingly being recognized as a major

source of metal input to soils, with repeated applications having
resulted in elevated concentrations of metals in soil. For example,
the annual metal inputs to agricultural lands in England and Wales
from animal manures amounted to 5247, 1821 and 225 Mg of Zn, Cu
and Ni, respectively, which represent 25 - 40 % of the total inputs
(Nicholson et al., 1999). In New Zealand, an annual application rate
of 2 - 5 kg Cu ha-1 through dairy shed effluent irrigation is sufficient
to meet the Cu requirement for most pasture soils (Bolan et al.,
2002). However, repetitive applications of such effluent are likely to
result in the buildup of excessive Cu in soils. Martinez and Peu
(2000) estimated that 183 and 266 kg Cu and Zn, respectively, were
added through 8 years of swine manure application, most of which
accumulated in the surface layer.
Land application of sewage sludge is a major source of heavy
metals accumulation in many countries including India. Land
application of sewage sludge is a common method of disposal that
is both economical and solves the disposal problem in a beneficial
way, because the organic matter and nutrients are recycled back to
the land. For example, 56% of approximately 6.9 m tons (dry weight)
of sludge is land applied in US. Similarly in UK, 42% of the estimated
1.1 m tons of sludge produced annually is applied to agricultural
land (Kirkham, 2004). Besides nutrients addition, the land application
of sewage sludge also results metal(loid)s accumulation in soils,
because it contains an abundance of As, Cd, Cr, Co, Cu, Fe, Hg,
Mn, Ni, Pb, Se and Zn etc., Although all sludges contain a wide
range of metal(loid)s in varying proportions, those from industrial
areas generally have higher metal(loid)s concentrations than those
mainly from domestic areas. However, domestic inputs of metals to
213
the sewerage system are still significant. Owing to the relatively
high concentrations of these metal(loid)s in sludges, they are usually
the major source of metal(loid)s in the soils to which they are applied.
The subsequent entry of these metal(loid)s into the food chain,
through the crops grown on soils amended with sewage sludge may
cause serious health hazards in animals and humans. Continuous
application of untreated sewage effluent and sludge on agricultural
fields is shown to cause heavy metal accumulation in soils of India
(Kuhad et al., 1990).
DYNAMICS OF HEAVY METALS IN SOILS
The dynamics of metals in soils depends not only on their
physico-chemical interactions with inorganic and organic soil
constituents but also on biological interaction associated, to a large
part, with the microbial activity of the soil-plant system (Adriano,
2001). Traditionally most research has focused on the physico-
chemical interactions of metals with soil components. Only in recent
times the importance of microorganism-metal interaction in relation
to environmental health and ecotoxicology has been realized
(Alexander, 1999).
A. Physico-Chemical Processes
Metal ions can be retained in the soil largely by (ad)sorption,
precipitation, and complexation reactions (Fig. 2). Sorption is defined
as the accumulation of matter at the interface between the aqueous
solution phase and a solid adsorbent (Sposito, 1984). This can include
ion exchange, formation of surface complexes, precipitation, and
diffusion into the solid. In many situations adsorption is believed to
be the precursor for subsequent precipitation and it is difficult to
separate the boundary between adsorption and precipitation
processes.
Adsorption : Charged solute species (ions) are attracted to
the charged soil surface by electrostatic attraction and/or through
the formation of specific bonds (Barrow, 1985). Retention of charged
solutes by charged surfaces is broadly grouped into specific and
non-specific retention (Sposito,1984; Bolan et al., 1999a). In general
terms, non-specific adsorption is a process in which the charge on
the ions balances the charge on the soil particles through electrostatic
attraction. Whereas, specific adsorption involves chemical bond
formation between the ions and the sorption sites on the soil surface
(Sposito, 1984). If non-specific adsorption process solely controls
metal adsorption then the adsorption capacity of the soil is dictated
by its cation/anion exchange capacity. However, in many soils the
amount of metal sorbed exceeds the cation/anion exchange capacity
214
of the soils (Bolan et al., 1999a). This infers that in addition to non-
specific adsorption other processes, such as specific adsorption,
precipitation and complex formation also contribute to metal retention
in soils.
Both soil properties and soil solution composition determine
the dynamic equilibrium between metals in solution and the soil
solid phase. The concentration of metals in soil solution is influenced
by the pH (Adriano 2001), and the nature of both organic and inorganic
ligands (Bolan et al., 1999b; Naidu et al., 1994; Shuman, 1986). The
effect of pH values > 6 in lowering free metal ion activities in soils
has been attributed to the increase in pH-dependent surface charge
on oxides of Fe, Al, and Mn, chelation by organic matter, or
precipitation of metal hydroxides (Adriano, 2001). The effect of pH
on the activity of metals in solution in naturally acidic soils is found
to decrease with increasing pH. The gradual decrease in heavy metal
activity with increasing pH especially in variable charge soils is
attributed to increasing negative charge as measured by cation
exchange capacity (CEC) (Shuman, 1986). In general, both the CEC
and the total amount of metal removed from soil solution increase
with increasing soil pH (Adriano, 2001).
Figure 2. An overview of heavy metals dynamics in soil
215
Three reasons have been given for the effect of inorganic and
organic anions on the adsorption of metals (Naidu et al., 1994; Bolan
et al., 2004). Firstly, anions form complexes with metals, thereby
reducing their adsorption onto soil particles. Secondly, the specific
adsorption of ligand anions is likely to increase the negative charge
on soil particles, thereby increasing the adsorption of heavy metal
cations. And thirdly, specifically sorbed anions, such as phosphate
(H2PO4-) strongly compete with heavy metal anions, such as arsenate
and selenate, resulting in their desorption. Phosphate-induced metal
adsorption/desorption reactions in relation to (im)mobilization of heavy
metals are discussed later in this chapter.
Complexation : Metals form both inorganic and organic
complexes with a range of solutes in soils. A number of studies
have examined the effect of inorganic anionic complex formation on
the adsorption of Cd2+ by soils (Bolan et al., 1999b; Naidu et al.,
1994). Most of these studies have indicated that chloride has often
been found to form a complex with Cd2+ as CdCl+, thereby decreasing
the adsorption of Cd 2+ onto soil particles (Naidu et al., 1994).
O'Connor et al., (1984) showed that while the presence of Cl- ions
decreased adsorption of Cd2+, sulfate (SO42-) ions increased Cd2+
adsorption relative to comparable concentrations of chlorate (ClO4-)
in three calcareous soils. Cadmium-chloro complexation was
identified as the active process reducing Cd2+ retention. They
attributed the increased retention in the presence of SO42- to the low
Ca 2+ ion activity available for competition with Cd2+ due to the
formation of the soluble CaSO4o complex.
In contrast to inorganic ligand ions, Haas and Horowitz (1986)
found that Cd2+ adsorption by kaolinite, a variable charge mineral,
was enhanced by the presence of organic matter which was attributed
to the formation of an adsorbed organic layer on the clay surface.
As might be expected, the organic component of soil constituents
has a high affinity for metal cations because of the presence of
ligands or groups that can form chelates with metals. With increasing
pH, the carboxyl, phenolic, alcoholic and carbonyl functional groups
in soil organic matter dissociate, thereby increasing the affinity of
ligand ions for metal cations. The general order of affinity for metal
cations complexed by organic matter is as follows (Adriano 2001):
Cu2+ > Cd2+ > Fe2+ > Pb2+ > Ni2+ > Co2+ > Mn2+ > Zn2+
The extent of metal-organic complex formation however, varies
with a number of factors including solution pH and ionic strength,
nature of the metal species, dominant cation, and inorganic and
organic ligands present in the soil solution. The formation of aqueous
complexes of Cd with low-molecular-weight organic acids (LMWOA)
216
from root exudates is expected to dominate the solution chemistry
of Cd in rhizosphere. Based on differential pulse anode stripping
voltametric and cation exchange resin extraction data, the dissolved
Cd in soil solutions was found to be almost completely complexed
with organic matter (Sauve et al., 2000). Krishnamurti et al. (1997)
observed significant solubilization of Cd from neutral to slightly acidic
soils when extracted with acetic, succinic, oxalic and citric acids,
suggesting that Cd release is related to the stability constant of the
Cd-LMWOA complex.
Precipitation : Precipitation appears to be the predominant
process of metal immobilization in high pH soils in the presence of
anions, such as SO42-, carbonate (CO32-), hydroxide (OH-) and H2PO4,
especially when the concentration of heavy metal ion is high (Adriano
2001). Metalloids, such as Cr and As that form anionic species at
field soil pH have been reported to form precipitates with cations,
such as Ca2+ (Avudainayagam et al., 2001). Co-precipitation of metals
especially in the presence of iron (Fe) and aluminum (Al)
oxyhydroxides has also been reported and often such interactions
lead to significant changes in the surface chemical properties of the
substrate. Precipitation as metal phosphates is considered to be
one of the primary mechanisms for the P-induced immobilization of
metals, especially in substrates containing high concentration of
metals. This will be discussed later in this chapter.
Liming is often found to increase the retention of metals. For
example, Bolan and Thiyagarajan (2001) have observed an increase
in the retention of Cr(III) with an increase in pH due to liming, which
they attributed to the formation of Cr(OH)3. The increase in pH due
to liming is also likely to increase the negative charge of these
variable charge soils which may have enhanced Cr(III) adsorption.
Solid Phase Speciation : Irrespective of the nature of
interaction between the metals and soil colloidal particles, following
adsorption, metal ions redistribute amongst organic and mineral soil
constituents. Fractionation studies suggest that the majority of the
metals are associated with organic matter, Fe and Al oxides, and
silicate clay minerals in soils. Factors affecting the distribution of
metal among different forms include pH, ionic strength of the soil
solution, the solid and solution components and their relative
concentration and affinities for the metal, and aging. A large number
of sequential extraction schemes have been used for soils, generally
attempting to identify metals held in any of the fractions that include:
soluble, adsorbed/exchangeable, carbonate-bound, organic-bound,
amorphous ferromanganese hydrous oxide-bound, crystalline
ferromanganese hydrous oxide-bound, and residual or lattice mineral-
bound.
217
Metal fractionations using the sequential extraction techniques
have primarily been used to identify the fate of the metals applied in
sewage sludges and in soils contaminated with smelters and mine
drainage wastes (Dudka and Chlopecka 1990). These studies suggest
that treating the soils with sludges or wastes shifts the solid phases
of the metals away from immobile fractions to forms that are
potentially more mobile, labile and bioavailable. For example, Dudka
and Chlopecka (1990) found that with sewage sludge application the
residual forms of Cd2+, Cu2+, and Zn2+ in soil decreased from 34 -
43% to 6 - 34%, with a corresponding increases in the readily
bioavailable forms. Whereas the treatment of metal contaminated
soils with P compounds tends to cause the opposite effect in relation
to solid phase metal fractions (Basta et al., 2001; Bolan et al., 2004).
A logical approach to minimize plant uptake and subsequent
contamination of the food chain is to render the metals in the soil
immobile. The phytoavailability of the different forms of the solid
phase species generally decreases in the order: soluble >
exchangeable/adsorbed > organic-bound > carbonate-bound >
ferromanganese hydrous oxide-bound > residual or refractory (i.e.,
fixed in mineral lattice). Immobilization of metals, such as Pb, Zn
and Cd could be achieved by additives, such as zeolites (Chlopecka
and Adriano 1997), apatite (Basta et al., 2001), Mn oxides
(Hettiarachchi et al., 2000) and clay-hydroxy Al polymers (Mench
et al., 1994) that may not produce any detrimental by-product nor
alter the physicochemical environment of the soils to affect plant
growth.
Elaborate sequential extraction schemes have frequently been
used to identify the distribution of different species of the metal
amongst the various fractions (Krishnamurti, 2000). However, very
few attempts have been made to identify the particular species of
the metal that contributes to bioavailability (Krishnamurti and Naidu,
2000). Physiologically-based in vitro chemical fractionation schemes
are increasingly being used to examine the biovailability of metals.
These schemes include Physiologically Based Extraction Test
(PBET), Potentially BioAvailable Sequential Extraction (PBASE) and
Gastrointestinal (GI) Test. These improved tests are capable of
predicting the bioavailability of metals for both plant uptake and
certain soil organisms.
Leaching and Runoff : Soils receiving organic byproducts such
as sewage sludge and livestock/poultry manures for many years
have been shown to contain high concentration of a range of metals
including As, Cd, Cu, Pb and Zn, particularly near the soil surface
218
(Bolan et al., 2004). These studies indicate a potential for manure-
treated soils to serve as non-point (i.e., diffused) source of metal
pollution through leaching and runoff.
The metal(loid)s in sewage sludge can runoff and contaminate
surface waters or move to ground water through cracks or holes left
by roots and worms. Under field conditions, a substantial portion of
less-strongly adsorbed metals, like Cd, can leach out of the zone of
incorporation of sludge. McBride et al. (1999) observed an elevated
concentration of Cu, Zn, Mo, Cd, As, Cr, Ni, Sb, Ag, Hg and Sn in
the ground water collected at a field site that had been heavily loaded
with sewage sludge. For most of the heavy metals, the increased
leaching was in response to the high metal loadings.
In a multi-location trial conducted in Haryana, India, Wiger
et al. (2004) observed a marked increase in the total Zn (from 370
to 1000 mg kg-1) and Cu (from 118 to 220 mg kg-1) concentration, in
soils due to the application of sewage sludge. However, the increase
in Pb and Cd concentration was below the detection limit. They also
observed high metal concentration throughout the soil profile due to
extensive leaching. This leaching was probably enhanced by the
coarse-textured sandy loam soil. High mobile concentration of Zn
and Ni in the 60 - 90 cm layer indicates a significant risk of ground
water contamination. However, the impact of sewage sludge on metal
accumulation and on physico-chemical properties of soils are highly
variable as determined by other edaphic and environmental factors.
Similarly, Jeevan Rao and Shantaram (2004) examined the effect of
long term disposal of urban solid waste (sewage sludge) on soils
and found that substantial increase in the total and DTPA-extractable
metal content, particularly Pb, Ni and Cr. Therefore, sewage borne
metal(loid)s in soil could contaminate the ground water due to
constant and continuous leaching.
L'Herroux et al. (1997) observed that repeated applications of
swine manure slurry increased the concentrations of Mn from 0.05
to 14 mg L-1, Co from 0.8 to 50 mg L-1, and Zn from 17.3 to 100
mg L-1 in the drainage water. Similarly, Moore et al. (1998) observed
increases in soluble As, Cu and Zn in runoff with increasing metal
loading through poultry manure application, obtaining a good
relationship between DOC and soluble Cu concentration in the runoff.
However, treating the manure with Al2(SO4)3 decreased the runoff
losses of these metals, which was attributed to sorption of metals
onto Al(OH)3 formed upon hydrolysis of Al2(SO4)3.
219
Studies on migration of metals in soils after sewage sludge and
manure slurry applications have linked metal mobility with DOC
(Japenga et al., 1992). Although soluble organic metal fraction is
not readily bioavailable to plants it is relatively mobile and the
application of metal-rich biosolid and animal manure has been shown
to enhance the leaching of metals in soils. For example, del Castilho
et al. (1993) observed a positive relationship between soluble metal
concentration and DOC in soils treated with cattle manure slurry. Li
and Shuman (1997) observed that leaching metal-contaminated soils
with poultry litter extract increased the water-soluble fractions of Cu
and Zn, with a corresponding decrease in exchangeable fractions,
indicating that poultry manure application enhances the solubilization
and mobilization of metals. Acidification caused by manure application
due to nitrification also results in the release of soil metals (Japenga
et al., 1992; del Castilho et al., 1993). Hyun et al. (1998) obtained
linear relationship between organic carbon and soluble Cd in solution
for sludge-treated soils indicating that majority of the Cd remained
as metal-organic complexes. Thus while organic matter in biosolids
and manure byproducts provides some buffer against metal
bioavailability, it does not prevent the metal from being more mobile.
B. Biological Processes
The dynamics of metals in soils depends not only on their
physico-chemical interactions with inorganic and organic soil
constituents but also on biological interaction associated, to a large
part, with the microbial activity of the soil-plant system (Adriano,
2001). Traditionally most research has focused on the physico-
chemical interactions of metals with soil components. Only in recent
times the importance of microorganism-metal interaction in relation
to environmental health and ecotoxicology has been realized
(Alexander, 1999).
Two approaches have been used to examine the interaction
between microbes and metals in soils: (i) the influence of metals on
microbial population and functions (e.g., biological nitrogen fixation);
and (ii) the influence and the role of microbes on the transformation
of elements (e.g., bioaccumulation) (Alexander, 1999). A large number
of studies have examined the toxic effects of metals on microbial
population and functions, the environmental factors affecting the
toxicity, and the mechanisms involved in the development of metal-
resistance in microorganisms. Microorganisms control transformation
of metals by various mechanisms that include bioaccumulation,
oxidation/reduction and methylation/demethylation (Alexander, 1999).
Such transformation plays a key role in the behaviour of certain
metals such as As, Cr, Hg and Se in soils/sediments.
220
Bioaccumulation: Micro organisms exhibit a strong ability to
sequester metals from substrate containing very low concentration.
Both bacteria and fungi are involved in bioaccumulation of metals,
which is mediated by two processes: (i) sorption (i.e., biosorption)
by microbial biomass and its byproducts; and (ii) physiological uptake
through metabolically active and passive processes.
Gram-positive bacteria posses cell walls with strong chelating
properties. Metal-loaded bacterial cells have been shown to act as
nuclei for the precipitation of crystalline metal deposits when they
are incorporated with contaminated sediments (Alexander, 1999).
The metabolically independent sorption may account for the most
significant portion of total uptake. For example, Surowitz et al.
(1984) found up to 90 % of total Cd uptake by Bacillus subtilis was
located in the cell wall, 3-4 % on the cell membrane, and the reminder
in the soluble fraction of the cell.
A wide range of binding groups, such as carboxyl, amine,
hydroxyl, phosphate, sulfhdryl have been implicated in the biosorption
of metals. Living or dead biomass can act as biosorptive agent; the
magnitude of the phenomenon is directly related to biomass density.
Bacteria are capable of producing large quantities of extracellular
polymers that can form either capsules or loose aggregates around
individual cells. In many cases, these are of a polysaccharide nature
with anionic properties and are implicated in the removal of soluble
metal ions from solution by ion-exchange process (Alexander, 1999).
For example, macrofungi, such as Agaricus can bioaccumulate Cd
and Hg from soils/compost containing low concentration of these
elements. Many fungal products, such as glucans, mannans,
melanins, chitins, and chitosans can act as efficient biosorption
agents.
Microbial oxidation/reduction : Arsenic, Cr, Fe, Hg, Mn and
Se are some of the metals that are most commonly subjected to
microbial oxidation/reduction (redox) reactions. In general, metals
are less soluble in their higher oxidation state, whereas in the case
of non-metal and metalloids, the solubility and mobility depend on
both the oxidation state and the ionic form (cation vs anion)
(Adriano, 2001).
The redox reactions are grouped into two categories,
assimilatory and dissimilatory.In assimilatory reactions,
microorganisms assimilate only those elements which they need to
make protein and body tissue. The substrate will serve a role in the
physiology of the organism by acting as terminal electron acceptor
and permitting growth, such as O2 for aerobes, simple organic
221
molecules for fermentative microbes. In the dissimilatory reactions
the elemental substrate has no known role in the physiology of the
species responsible for the reaction, and represent merely casual
reductions coupled to enzymatic or microbial oxidations of some
other substrates.
Selenium occurs in organic forms, and therefore is subject to
microbial redox reactions. Although Fe and Mn do not occur in organic
forms in soils, microorganisms mediate their transformation through
redox reactions. Redox reactions involving Fe and Mn in particular
have generally been attributed to indirect action of microorganisms
(e.g., electron donors are thought to be reduced fermentation
products), although there has been some evidence suggesting the
use of these metals as electron acceptors. For example, oxidation
of Fe and Mn occur spontaneously in the absence of microbial
activity when reduced environments are exposed to oxygen
(Alexander, 1999).
In living systems Se tends to be reduced rather than oxidized.
Selenium is reduced under both aerobic and anaerobic conditions.
Dissimilatory selenate reduction to Se o is the major biological
transformation for remediation of Se oxyanions in anoxic sediments.
Selenate [Se(VI)] is more mobile than selenite [Se(IV)] because the
former is strongly adsorbed onto soil minerals and organic matter
under near neutral pH conditions. When Se(IV) and Se(VI) are
introduced into moderately reducing conditions they are quickly
transformed through microbial processes to Seo and/or organic Se
compounds. Selenite is readily reduced to the elemental state by
chemical reductants, such as sulfide and hydroxylamine, or
biochemically by systems, such as gluthione reductase. Hence
precipitation of Se in its elemental form, which has been associated
with bacterial dissimilatory selenate reduction, has great
environmental significance. Since both selenate and nitrate can be
used as terminal electron acceptors by many microorganisms,
presence of nitrate in the system inhibits the reduction of Se
(Frankenberger and Losi, 1995).
Arsenic in soils and sediments can be oxidized to arsenate
[As(V)] by bacteria. Since [As(V)] is strongly retained by inorganic
soil components, microbial oxidation results in the immobilization of
As. Under well-drained conditions As would be present as H2AsO4-
in acidic soil and as HAsO 42- in alkaline soils. Under reducing
conditions, arsenite [As(III)] dominates in soils, but elemental arsenic
(Aso) and arsine (H2As) can also be present. Arsenite is much more
toxic and mobile than As(V). The distribution and mobilization of As
species in the sediments is controlled by both microbially mediated
transformation of the As species and by adsorption.
222
While Cr(III) is strongly retained onto soil particles, Cr(VI) is
very weakly adsorbed and is readily available for plant uptake and
leaching to groundwater (James and Bartlett, 1983). Cr(VI) can be
reduced to Cr(III) in the environments where a ready source of
electrons is available (Eq. 4). Suitable conditions for Cr(VI) reduction
occur where organic matter is present to act as an electron donor,
and Cr(VI) reduction is enhanced in acid rather than alkaline soils
(Bartlett and Kimble 1976; Bolan et al., 2003g).
2Cr2O7 + 3Co + 16H+ Ô 4Cr3+ + 3CO2 + 8H2O (4)
A number of studies have shown that addition of organic matter-
rich soil amendments enhances the reduction or transformation of
certain metals, such as Cr and Se (Frankenberger and Losi, 1995;
Alexander, 1999). For example, Ajwa et al. (1998) noticed greater
loss of Se from inorganic fertilizer-borne Se than from manure-borne
Se, which they attributed to manure-facilitated volatilization due to
the reduction of Se. Similarly, Losi et al. (1994) have noticed that
the addition of cattle manure resulted in the reduction of Cr(VI) to
less toxic and less mobile Cr(III). Various reasons could be attributed
to the enhanced reduction (i.e., lowering in valency) of Cr(VI) in the
presence of the organic manure compost, including the supply of
carbon and protons and the stimulation of microorganisms that
mediate and facilitate the reduction of Cr(VI) to Cr(III) (Losi et al.,
1994). At the same level of total organic carbon addition, Bolan et
al. (2002) observed significant difference in the extent of Cr(VI)
reduction between various organic manure composts. The extent of
Cr(VI) reduction increased with increasing level of DOC added through
manure addition, which has been identified to facilitate the reduction
of Cr(VI ) to Cr(III) in soils. For example, the hydroquinone groups in
organic matter have been identified as the major source of electron
donor for the reduction of Cr(VI) to Cr(III) in soils (Elovitz and Fish,
1995). The increase in Cr(VI) reduction in the presence of organic
manure addition may also result from enhanced microbial activity.
Losi et al. (1994) have shown that the addition of manure compost
caused a larger increase in the biological reduction than chemical
reduction of Cr(VI), indicating that the supply of microorganisms is
more important than the supply of organic carbon in enhancing the
reduction of Cr(VI) when compost is added.
The biochemistry of microbial redox reactions of metals elements
has not been completely characterized. In some systems (e.g., Se),
metal transformation is coupled with the cytochrome system. Also
specific metal-active enzymes may play a role in metal reduction.
For example, the Se reducing organism Thauera selenatis reduces
selenate to selenite using a selenate reductase and selenite reduction
223
to Seo appears to be catalyzed by periplasmic nitrite reductase.
However, Se reduction in a Pseudomonas sp is part of the anaerobic
respiration process (Rech and Macy, 1992).
Methylation/demethylation : The redox reactions of metals
such as As, Se and Hg also include methylation/demethylation
reactions. Methylation is considered to be the major process of
volatilization of As, Hg and Se in soils and sediments, resulting in
the release of poisonous methyl gas. Though methylation of metals
occurs through both chemical (abiotic) and biological processes,
biological methylation (biomethylation) is considered to be the
dominant process in soils and aquatic environments. Thayer and
Brinckman (1982) grouped methylation into two categories: trans-
methylation and fission-methylation. Trans-methylation refers to the
transfer of an intact methyl group from one compound (methyl donor)
to another compound (methyl acceptor). Fission-methylation refers
to the fission of a compound (methyl source), not necessarily
containing a methyl group. This is then captured by another compound
and the resulting molecule is reduced to a methyl group.
At present there is substantial evidence for the biomethylation
of Se in soils and aquatic systems (Frankenberger and Losi, 1995).
Microorganisms in soils and sediments act as biologically active
methylators. Organic matter provides the source of methyl donor for
both biomethylation and abiotic methylation in soils and sediments.
Selenium biomethylation is of interest because it represents a
potential mechanism for the removal of Se from contaminated
environments, and it is believed that methylated compounds, such
as dimethyl selenide (DMSe) is less toxic than dissolved Se
oxyanions. Fungi predominate among the Se methylating microbes
in soils although some bacterial isolates have also been identified.
Hydrogen oxidizing methanogens such as Methanobacterium
omelianskii are involved in the reductive methylation, while
methylotrophic bacteria carry out demethylation. Dimethylselenide
can be demethylated in anoxic sediments as well as anaerobically
by an obligate methylotroph similar to Methanococcides methylutens.
Five different volatile forms of reduced Se have been detected:
hydrogen selenide (H2Se), methaneselenol (CH3SeH), dimethyl
selenide (CH3SeCH3), dimethyl selenyl sulfide (CH3SeSCH3), and
dimethyl diselenide (CH 3SeSeCH3). The relatively high vapour
pressure of these compounds enhances the transformation of Se
from soils and sediments to aqueous and vapour phases. However,
the rapid oxidation of the first two in this list and lower vapour pressure
of the last two leave CH3SeCH3 as the most significant contributor
to atmospheric Se input (Frankenberger and Losi, 1995). Anaerobic
224
demethylation reaction may result in the formation of toxic and
reactive H2Se from less toxic DMSe. Although H2Se undergoes rapid
chemical (possibly bacterial) oxidation under oxic conditions, it can
exist for long periods in an aerobic environment. Aerobic
demethylation of DMSe will yield selenate, thereby retaining Se in
the system.
Arsenic in soil is also subject to biological transformation
resulting in the formation of organo-arsenicals and other compounds.
Inorganic As can undergo microbially mediated biochemical
transformation, i.e., the hydroxyl group of arsenic acid [AsO(OH)3]
is replaced by the CH3 group to form MMA, DMA and TMA. The
pathway of As(V) methylation initially involves the reduction of As(V)
to As(III), with the subsequent methylation of As(III) to dimethylarsine
by coenzyme S-adenosylmethionine (Frankenberger and Losi, 1995).
Methylation is often enhanced by sulfate-reducing bacteria.The
driving force for the reduction and methylation reactions of As in
sediments is normally the degradation of organic matter by bacteria
(such as Desulfovibrio sp) coupled with reduction and use of sulfur
in sulfate as the terminal electron acceptor. In addition to bacteria,
several fungal species also have shown their ability to reduce As.
Inorganic As is incorporated by autotrophic organisms such as algae,
and then transported through the food chain. Arsenic becomes
progressively methylated during this transfer. Therefore, methylation
of As is considered a major detoxifying processes for these
microorganisms (Adriano, 2001). The methylated As species is also
subject to volatilization and photochemical reactions that may
eliminate As from soil.
Demethylation of methylarsenicals can occur both under aerobic
and anaerobic conditions. Anaerobic demethylation reactions may
result in the formation of toxic and reactive AsH3 from less toxic
DMA, whereas aerobic demethylation of DMA is likely to yield As(V),
thereby retaining As in the system. Although AsH3 undergoes rapid
chemical oxidation under oxic conditions, it can exist for long periods
in an aerobic environment. Because demethylation process often
produces CO 2 in addition to CH 4, it is preceded by oxidative
assimilatory pathways used in substrate metabolism rather than by
dissimilatory lyses.
Methylation of Hg occurs both under aerobic and anaerobic
conditions (Eq. 5). Under anaerobic conditions Hg2+ ions can be
biologically methylated to form either monomethyl or dimethyl
mercury. Methylated Hg species are highly toxic and more biologically
225
mobile than the other forms. Methylation occurs both enzymatically
and non-enzymatically; inorganic Hg2+ ions are required before
biological methylation reaction to produce methylmercury could
proceed.
Hg2+ + 2 R-CH3 Ô CH3HgCH3 Ô CH3Hg+ (5)
REMEDIATION OF HEAVY METAL CONTAMINATED SOILS
Remediation of metal-contaminated soil involves physical,
chemical and biological approaches that may achieve either the
partial/complete removal of metal from soil or reduction of its
bioavailability in order to minimize toxicity. A large variety of methods
has been developed to remediate metal(loid)s-contaminated sites
and are grouped into physical, chemical and biological methods.
The selection and adoption of these technologies depend on the
extent and nature of metal-contamination, type of soil, characteristics
of the contaminated site, cost of operation, availability of materials
and relevant regulations.
A. Physical remediation
Major physical in situ treatment technologies to remediate
metal(loid)s-contaminated sites include capping, soil mixing, soil
washing and solidification. The simplest technique for reducing the
toxic concentration of metal in soils is mixing the contaminated soil
with uncontaminated soil. This results in the dilution of metal to
acceptable levels. This can be achieved by importing clean soil and
mixing it with metal-contaminated soil or redistributing clean materials
already available in the contaminated site. Another dilution technique,
especially in cultivated soils relies on deep ploughing, during which
the vertical mixing of the contaminated surface soil with less
contaminated subsoil reduces the surface contamination, thereby
minimizing the potential for metal uptake by plants and ingestion of
metal by grazing animals. However, in this method the total
concentration of metal in soil will remain the same.
Soil washing or extraction has also been widely used for the
remediation of metal(loid)-contaminated soils in Europe. For example,
Tokunaga and Hakuta (2002) evaluated an acid-washing process to
extract the bulk of As(V) from a highly contaminated (2830 mg As
kg-1 soil) Kuroboku soil (Andosol) so as to minimize the risk of As to
human health and the environment. Amongst the acid extractants,
the phosphoric acid (9.4%) was proved to be the most promising as
an extractant, achieving 99.9% As extraction. Recently, chelating
compounds are also used to enhance the solubilization of metals
and subsequent removal either by washing or plant uptake. This is
further discussed under chemical remediation section.
226
The success of soil washing largely depends on speciation of
metals present in the contaminated soils, since it is based on the
desorption or dissolution of metals from the soil inorganic and organic
matrix during washing with acids and chelating agents. Although
soil washing is suitable for off-site treatment of soil, it can also be
used for on-site remediation using mobile equipment. The high cost
of chelating agents and choice of extractant may restrict their usage
to only small-scale operations.
Metal-contaminated soil may be bound into a solid mass by
using materials such as cement, gypsum, or asphalt. However, there
are issues associated with the long-term stability of the solidified
material. Capping the contaminated sites with clean soil is used to
isolate contaminated sites as it is cheaper than other remedial options
(Kookana and Naidu, 2000). Such covers should obviously prevent
upward migration of contaminants through capillary movement of
soil water. The depth of such cover or 'cap' required for contaminated
sites should be carefully assessed. Using a simulated experiment,
Kookana and Naidu (2000) have demonstrated that when the water
table is deeper than 2 m from the surface of cap, the upward migration
of As through the cap is likely to be less than 0.5 m in 5 years.
Where the water table is shallow enough to supply water to the
surface (i.e., 1.5 to 2 m in most soils), dissolved As could take <10
years to reach the surface. They have also indicated that when the
cap is of a different soil type than the underlying contaminated soil,
coarse textured cap is very effective in reducing the capillary rise
and therefore, the cap should always be designed to include a coarser
layer to break the capillary continuity.
B. Chemical remediation
Remediation, based on chemical reactions, is becoming
increasingly popular largely because of high rate of success. A
number of methods have been developed mainly involving
adsorption, immobilization, precipitation and complexation reactions.
However, such methods are often expensive for remediation of large
areas. Two approaches are often used in chemical remediation of
metal(loid)s-contaminated soils: (i) immobilization of metal(loid)s
using inorganic and organic soil amendments in order to reduce
their bioavailability; (ii) mobilization of metal(loid)s and their
subsequent removal through plant uptake (phytoremediation) or soil
washing. In this section the immobilization techniques used for
remediation of metal-contaminated soil is discussed. The second
approach is discussed under phytoremediation.
227
Chemical immobilization is achieved mainly through adsorption/
precipitation of metals in contaminated sites through the addition of
soil amendments. The mobilization of metal(loid)s in soils for plant
uptake and leaching to groundwater can be minimized by reducing
their bioavailability through chemical and biological immobilization
(Bolan et al., 2004). Recently there has been interest in the
immobilization of metal(loid)s using a range of inorganic compounds
such as lime, P fertilizers (e.g., phosphate rocks) and alkaline waste
materials, and organic compounds such as biosolids (Knox et al.,
2000; Basta et al., 2001).
Phosphate compounds: A large number of studies have
provided conclusive evidence for the mitigative value of both water-
soluble (e.g., diammonium phosphate, DAP) and water-insoluble
(e.g., apatite, also known as PR) P compounds to immobilize metals
in soils, thereby reducing their bioavailability for plant uptake and
mobility for transport (Bolan et al., 2003a, 2003c, 2003f). Phosphate
compounds enhance the immobilization of metals in soils through
various processes including: direct metal adsorption by P
compounds, phosphate anion-induced metal adsorption, direct
precipitation of metals with solution P as metal phosphates, and
precipitation and/or occlusion through the liming action of P
compounds, such as PR.
Depending on the source, soil application of P compounds can
cause direct adsorption of metals onto these compounds through
increased surface charge and enhanced anion-induced metal
adsorption. Adsorption of metals onto hydroxyapatite surfaces has
been observed for a number of metals including Cd, Cu, Ni, Sr and
Zn (Bolan and Duraisamy, 2003; Bolan et al., 2003a). Metal
adsorption onto apatite is facilitated through the exchange of Ca2+
from the apatite particle with the metal cations in soil solution.
However, in the case of Zn and Cd, surface complexation and co-
precipitation are the most important mechanisms, with ion exchange
and solid state diffusion also possibly contributing to the overall
adsorption process by hydroxyapatite.
Ca10(PO4)6(OH)2 + xCd2+ Ô (Cd ,Ca
x
)(PO4)6(OH)2 + xCa2+ (6)
10-x
Anion-induced metal adsorption has been reported for a number

of cations. It has been shown that Zn2+, Cd2+ or Cu2+ adsorption by
variable charge components in soils, such as Al and Fe oxides can
be enhanced by low or moderate enrichment of oxides with P (Bolan
et al., 1999a). Several mechanisms can be advanced for phosphate-
induced metal adsorption by soils, including: (i) increase in negative
charge; (ii) co-sorption of phosphate and metal cation as an ion pair;
and (iii) surface complex formation of metal on the P compound. A
228
number of studies have shown that specific adsorption of anions
increases the net negative charge of variable charge surfaces in
soils. The amount of surface charge acquired through specific
adsorption depends on the nature of anion adsorbed, pH and
electrolyte concentration of the solute. While enhanced sorption of
a number of metals via increased surface charge especially in the
presence of phosphate ions has been demonstrated (Bolan et al.,
1999a), much work is still needed to provide conclusive evidence
for mechanisms (ii) and (iii).
Precipitation as metal phosphates has been proved to be one
of the main mechanisms for the immobilization of metals, such as
Pb and Zn in soils (Bolan et al., 2003a). These fairly stable metal-
phosphate compounds have extremely low solubility over a wide pH
range, which makes P application an attractive technology for
managing metal-contaminated soils. The formation of the new solid
phase (i.e., precipitates) occurs when the ionic product in the solution
exceeds the solubility product of that phase. Recent studies using
X-ray absorption fine structure spectroscopy (XFAS) indicate that
formation of surface precipitates may occur even when solution
concentration is undersaturated with respect to homogeneous
precipitation of pure metal precipitate phase. In typical arable soils,
precipitation of metals is unlikely, but in highly metal-contaminated
soils, this process can play a major role in the immobilization of
such metals.
The ability of apatite to immobilize Pb in solution or Pb in
contaminated soils through precipitation as Pb phosphates has been
well documented (Bolan et al., 2003a). Such precipitates are more
commonly manifested as hydroxypyromorphite or as
chloropyromorphite. Two processes for the reaction of dissolved Pb
with apatite have been proposed. First, Pb2+ can react with apatite
through hydroxyapatite (HA, Ca10(PO4)6(OH)2) dissolution (Eq. 7),
followed by precipitation (Eq. 8) of pure hydroxypyromorphite
(Pb10(PO4)6(OH)2). Second, Pb2+ can substitute for Ca2+ in apatite
(Eq. 9).Thus (Ca,Pb) apatite could be potentially formed by adsorption
of Pb or by dissolution of HA followed by coprecipitation of mixed
apatites.
Ô 10Ca (aq) + 6H PO (aq) + 2H O (7)
Ca10(PO4)6(OH)2(s) + 14H+(aq) 2+
2
4-
2
10Pb (aq) + 6H PO (aq) + 2H O Ô Pb (PO ) (OH)2(s) (8)

2+
2 4
-
2 10 4 6
Ca (PO ) (OH) (s) + xPb Ô (Ca ) Pbx) (PO ) (OH) (s) + xCa (9)
10 4 6 2
2+
10-x 4 6 2
2+
229
Two important implications of Pb-phosphate interactions deserve
to be noted: (i) the immobilization of Pb2+ as insoluble phosphates in
soils regulates the quantity of Pb that annually cycles in ecosystems.
Formation of Pb phosphates may be one of the buffer mechanisms
regulating the concentration of Pb in natural waters; and (ii) Pb bound
to phosphate is unavailable to plants. This interaction has the
beneficial effect of reducing potential consequences from dietary
intake of Pb by humans and herbivorous animals, as demonstrated
by physiologically-based extraction techniques.
Recent studies have indicated that application of high levels of
water-soluble P compounds, such as DAP (2300 mg P kg-1) was
very effective in immobilizing Cd, Pb and Zn in contaminated soil
(McGowen et al., 2001). Activity-ratio diagrams indicated that the
DAP decreased solution concentrations of these metals by forming
metal-phosphate precipitates having low solubility products.
In addition to the formation of new solid phases discussed above,
metal immobilization may also ensure from the formation of metal
oxyhydroxides due to the buffering capacity (or liming action) of
hydroxyapatite. Unlike soluble P fertilizers, PRs neutralize acidity
during the dissolution reactions in soils and thus can also have
some liming effect. The potential value of PRs as a liming material
in mitigating acid mine drainage has been documented both under
laboratory and field conditions (Evangelou and Zhang, 1995). Treating
acid mine drainage with PRs not only neutralizes the acidity through
their buffering action but also reduces the solution concentration of
metals through precipitation and ion exchange reactions.
Liming materials : Liming has been considered as an
important management tool in reducing the toxicity of metals in soils.
In addition to the traditional agricultural lime, studies have examined
the potential value of other liming materials as immobilizing agent in
reducing the bioavailability of a range of metals in soils. In this
regard Cd contamination of agricultural soils is of particular concern
because this particular metal reaches the food chain through the
regular use of Cd-containing fertilizer materials, such as single
superphosphates. Also it remains mobile even at about neutral pH.
Low soil pH and soils of low CEC favour a greater uptake of
soluble Cd by plants. The Cd in soils can be immobilized by
increasing the soil pH through the addition of liming materials. One
benefit arises from the antagonistic effect from Ca2+ added through
liming, which may serve to depress Cd2+ uptake by competing for
exchange sites at the root surface. Limited Cd uptake may also
230
arise from increases in Cd adsorption caused by increases in pH
that induce increases in negative charge. However, adsorption may
decrease with an increase in Ca2+ concentration due to a decrease in
activity coefficient, increase of inorganic complexation and increase
in Ca2+ competition. The resultant effect of liming on Cd adsorption
and uptake largely depends on the relative change in pH and Ca2+
concentration in soil solution.
Liming, as part of the normal cultural practices, has often been
shown to reduce the concentration of Cd and other metals in edible
parts of crops. Addition of other alkaline materials such as coal fly
ash has also been shown to decrease the Cd contents of plants
(Adriano et al., 1982). In these cases, the effect of liming materials
in decreasing Cd uptake by plants has been attributed to both
decreased mobility of Cd in soils and to the competition between
Ca2+ and Cd2+ ions on the root surface. It is also possible that above
pH 7, solubility and uptake of Cd can be enhanced due to facilitated
complexation of Cd with humic or organic acids (Bolan et al., 2003d).
The uptake of Pb by plants is often found to decrease with
liming, which is attributed to increased adsorption/precipitation at
high pH, and competition between Pb and other cations for uptake.
Basta and Tabatabai (1992) observed positive correlation between
Pb sorption by soils and soil pH. Once again, Ca2+ addition through
liming causes an inhibition of the translocation of Pb from root to
shoot.
For metallic oxyanions liming (pH) effect may vary. For example,
Se is quite bioavailable in well-aerated, alkaline soils where it occurs
primarily as selenates [Se(VI)]. In acid soils, selenites [Se(IV)] are
formed which are sparingly soluble and generally unavailable to plants.
In general, liming the soil could enhance the uptake of Se by plants
(Adriano, 2001).
Removal of Cr(III) from industrial effluent is achieved using lime
or magnesium oxide to precipitate as chromic hydroxide. Precipitation
is reported to be most effective at pH 8.5-9.5 due to the low solubility
of chromic hydroxide in that range. This method can decrease Cr
concentrations to very low levels and hence precipitation systems
are very widely accepted by major tanneries. Recently, Bolan and
Thiyagarajan (2001) examined the effect of liming materials on the
adsorption and plant availability of Cr(V) and Cr(III) species. Addition
of liming materials to soils increased the retention of Cr(III) but had
the opposite effect on the retention of Cr(VI). The liming materials
were found to be effective in reducing the phytotoxicity of Cr(III) but
not Cr(VI). Addition of the liming materials decreased the
concentrations of the soluble Cr(III), a main reason for the decrease
in the phytotoxicity of Cr(III).
231
Organic amendments : The major sources of organic composts
include biosolid and animal manures. Traditionally biosolid is viewed
as one of major sources of metal accumulation in soils. Advances
in the treatment of sewage water and isolation of industrial wastewater
in the sewage treatment plants have resulted in a steady decline in
the metal content of biosolid. Furthermore, stabilisation using alkaline
materials has resulted in the immobilisation of metals in biosolid.
Most manure products contain low levels of heavy metals
(except Cu and Zn in swine manure and As in poultry manure).
Furthermore, recent advances in the treatment of manure byproducts
have resulted in reduced bioavailability of metals. For example, 87%
reduction in Cu and Zn in the waste water from swine houses was
obtained after treatment with lime slurry, ferric chloride or polymer.
Similarly treatment of poultry manure with alum [Al2(SO4)3] decreased
the concentration of water-soluble Zn, Cu and Cd. Hence, unlike,
sewage sludge application, where land application is limited based
on allowable metal loadings, regulations governing livestock and
poultry manure byproducts are generally based on total N and P
loading. Manure byproducts that are low in metal content can be
used to immobilise metal contaminants in soils.
Although a number of studies have examined the role of biosolid
as a source of metal contamination in soil, only limited work has
been reported on the beneficial effect of organic amendments as a
sink for the immobilisation of metals in soils. Recent studies have
shown that alkaline-stabilized biosolid that are low in total and/or
bioavailable metal content (known as 'exception quality' biosolid or
'designer sludge') can be used as an effective sink for reducing the
bioavailability of metals in contaminated soils and sediments.
Immobilization of metals by such amendments is achieved through
adsorption, complexation and redox reactions.
Addition of organic amendments has often been shown to
increase the cation exchange capacity of soils, thereby resulting in
increased metal adsorption. Bolan et al. (2003b) observed that Cd
adsorption increased with increasing level of biosolid addition in a
soil containing low level of organic matter, whereas in the case of
the soil having high organic matter, adsorption decreased at the
highest level of biosolid addition. Unlike in the case of inorganic
amendments, such as phosphate or lime addition, the increase in
surface charge due to biosolid addition was not reflected in the
adsorption of Cd2+.
The presence of phosphates, aluminium compounds and other
inorganic minerals in some organic amendments, such as typical
municipal sewage sludge, is also believed to be responsible for the
232
retention of metals, thereby inducing the 'plateau effect' in metal
uptake by crops and preventing the increased metal availability
suggested in the 'time bomb' hypothesis (Kuo, 1986). Such
observations imply that the sequestration capacity of biosolids of
municipal-type sludge origin might be indefinite even after oxidation/
mineralization of the organic matter component due to the residual
effects of the mentioned components.
Metals form both soluble and insoluble complexes with organic
constituents in soils which apparently depends on the nature of the
organic matter. For example, Zhou and Wong (2001) observed that
Cu2+ adsorption by an acidic soil and a calcareous soil decreased
with the addition of sewage sludge, which they attributed to the
formation of soluble Cu-organic complexes. Similarly, Bolan et al.
(2003e) observed that while the adsorption of Cu2+, as indicated by
the difference in the total Cu concentration in soil solution, was not
affected by biosolid addition, the complexation of Cu, as indicated
by the change in free Cu2+concentration, increased with increasing
level of biosolid.
A number of studies have shown that addition of organic matter-
rich soil amendments enhances the reduction of metals/metalloids
such as Cr and Se. For example, the addition of cattle manure has
resulted in the reduction of Cr(VI) to less toxic and less mobile
Cr(III) (Losi et al., 1994).
In a Cr-contaminated soil, Mahimairaja et al. (2000b) showed
that coir pith and poultry manure markedly reduced the concentration
of soluble plus exchangeable-Cr which represent toxic forms of Cr
in soils (Fig. 3). While 61 (clay loam) to 75 (silt clay loam) per cent
reduction in the concentration of soluble plus exchangeable-Cr was
observed with the application of coir pith, a reduction of 62.3 (clay
loam) to 68 (silt clay loam) per cent was achieved due to poultry
manure addition.
8
Clay loam Silt clay loam

Soluble + Exchangeable-Cr (mg/kg)
LSD (0.05)
4
0
Soil alone Soil + Coirpith Soil + Poultry manure
Figure 3. Effect of biological wastes on soluble and exchangeable - Cr in

soils
233
Through multi-location field trials Singaram et al. (1992)
evaluated the potential of different amendments for remediating the
Cr-contaminated soil in Tamil Nadu. Their field experiment with maize
has shown that the application of composted coirpith at a rate of 10
t ha-1 performed better than pressmud, FYM and gypsum in reducing
the bioavailability of Cr. Biosolids can be combined with other
materials that have a high calcium carbonate equivalent to restore
metal-affected ecosystems, despite the presence of metals in them.
Biosolids can be combined with alkaline materials such as limestone
and cyclonic ashes as a means of increasing the pH of the soil and
reducing metal availability and thereby reducing risk.
Metallic oxides and cyclonic ashes: Iron, Al and Mn oxides
commonly occur in soils and react with heavy metals (Knox et al.,
2001). The OH-OH distance in Fe, Mn, and Al oxides matches well
with the coordination polyhedra of many metals. Such hydroxyl
groups form an ideal template for bridging metals. Reactions with
metals can be promoted when these (hydrous)oxides are combined
with alkaline materials (Mench et al., 1998).
Naidu et al.(2003) adopted a risk reduction strategy with the
aim to reduce the mobility of As through chemical immobilization.
Ferrous salt was used to generate in situ mineral phases to
immobilize As. This reaction requires oxygen to be available to the
soil and also generates considerable amounts of acid, which may
be counter productive to As immobilization in poorly buffered soils.
The increased acidity could be neutralized by the amendment with
lime. The redox conditions of the soil also influence the speciation
of As. Following initial detailed laboratory studies, a mixture of Fe/
Mn/gypsum was used as the stabilizing chemical, and the application
of the mixed chemical led to significant decline in mobile As.
Subsequent studies involving aging of the treated soil showed
complete elimination of risk posed by As.
The results of a field experiment conducted by Xie and Huang
(1998) on an As-polluted soil (Typentiaqualf) in China have shown
that the application of Fe (as FeCl3 @ 25 mg Fe kg-1 soil) or Mn (as
MnO2 @ 25 mg Mn kg-1 soil) had markedly lowered the total water
soluble As [As(III) + As(V)] (24-26%) and As(III) (17-82%) in the soil
and made the rice plants grow better than the control treatment,
resulting in higher rice grain yield and lesser As content in rice husk.
This was attributed to the oxidation of As(III) to As(V) by MnO2 and
the subsequent strong adsorption of As(V) by Fe and Mn oxides.
Cyclonic ash by-products originate from the fluidized bed burning
of coal refuse (mine pile material) from the former coal mine in
Beringen (North East of Belgium). The burnt material contains only
234
about 30% coal; the remaining fraction is inorganic and mainly
consists of schists. The schists are burned by heating in an
electronically guided fluidized bed oven at ca. 800 0C. During
combustion, the schists undergo partial breakdown and
recrystallization. Changes in minerals are summarized by
Vangronsveld et al. (1999). By use of air suction (air current) most
of the particles with a median diameter of less than 0.2 mm (clay
fraction) are separated in a cyclone, thus the term cyclonic ashes
(about 25 % of the total ash fraction). The cyclonic ashes (mainly
the modified clay fraction) were shown to be very reactive in
sequestering metals. The pH of the product is strongly alkaline. The
high pH arise from the presence of MgO and CaO which are formed
during the heating of CaCO3 and (Ca, Mg)CO3 minerals present in
the schists, which upon hydrolysis form the hydroxides Ca(OH)2
and Mg(OH) 2. These hydroxides also have high capacity for
sequestration of metals.
Chelating compounds : When a metal ion combines with an
electron donor, the resulting substance is called complex or
coordination compound. If the substance which combines with the
metal contains two or more donor groups so that one or more rings
are formed, the resulting structure is called metal chelate, and the
donor is called chelating agent. The term chelate' is derived from
the Greek word chela' which means claw' and it is so named because
these species can coordinate at several or all positions around a
central metal ions by literally wrapping themselves around the metal
ion. Chelating agents which have high affinity for metal ions can be
used to enhance the solubilization of metals in soils through the
formation of soluble metal chelates. A number of synthetic chelating
agents are available which include EDTA, EDHA, DTPA and EHPG.
The value of chelating agents in enhancing the availability of
metals such as Fe, Cu and Zn has been well recognised in plant
nutrition and various chelated compounds are available as nutrient
sources. Recently the potential value of chelating agents in the
remediation of contaminated soils through mobilization of metals
has been explored. These compounds have been found to be very
effective in the solubilization of metals such as Cu and Pb, thereby
enhancing their subsequent uptake by plants. However, a number of
issues need to taken into consideration while using chelates to
accelerate the remediation of metal contaminated sites. The addition
of these chelating agents is likely to induce the solubilization of
other than the target metals which may be phytotoxic (eg. Al and
Mn). The increased solubilization of metals can result in their
increased leaching to groundwater, especially in the absence of active
235
plant growth. Alkaline hydrolysis of metals with the chelating
compounds induces the formation of metal hydroxy precipitates.
Some of the chelating compounds are subjected to microbial
degradation, thereby affecting their long-term effectiveness.
C. Biological remediation
Biological remediation techniques are broadly grouped into two
categories - bioremediation(using microorganims) and
phytoremediation (using higher plants).
Bioremediation : Bioremediation of soils contaminated with
organic compounds such as pesticides and hydrocarbons is widely
accepted in which native or introduced microorganisms and/or
biological materials such as compost and animal manures are used
to detoxify or transform contaminants. There have been increasing
interests in the application of this technology for the remediation of
metal(loid)s-contaminated soils, especially for those metal(loid)s
which undergo biological transformation. Though it has several
limitations, this technology holds continuing interest because of its
cost-effectiveness. The unique aspect in the bioremediation is that
it relies mainly on natural process and does not necessarily require
the addition of any chemical amendments other than microbial
cultures and biological wastes. Existing and developing in situ
bioremediation technologies may be grouped into the following two
broad categories (NRC, 1997).
i. Intrinsic bioremediation - where the essential materials
required to sustain microbial activity exist in sufficient concentrations
that naturally occurring microbial communities are able to degrade
the target contaminants without the need for human intervention.
This technique is better suited for remediation of soils with low levels
of metals over an extensive area.
ii. Engineered bioremediation - relies on various approaches
to accelerate in situ microbial degradation rates. This is accomplished
by optimizing the environmental conditions by adding nutrients and/
or electron donor/acceptor, thus promoting the proliferation and
activity of existing microbial consortia. It is favoured for highly
contaminated localized sites.
Three approaches could be used in the bioremediation of metal-
contaminated soils: (i) metals could be immobilized into microbial
cells through bioaccumulation; (ii) toxic metal forms [eg., As(III)
and Cr(VI)] could be transformed to less toxic forms [As(V) and
Cr(III)] and (iii) metal compounds could be removed from the soil by
volatilization.
236
The mechanisms involved in these approaches have been
discussed under metal dynamics in soils. Briefly, microorganisms
exhibit a strong ability to accumulate (bioaccumulation) metals from
substrate containing very low concentrations of this element.
Bioaccumulation is activated by two processes, viz., biosorption of
metals by microbial biomass and its by-products; and physiological
uptake of metals by microorganisms through metabolically active
and passive processes. For example, heterotrophic bacteria have
been found to oxidize toxic As(III) in soils and sediments to less
toxic As(V) and thus could play an important role in remediation of
contaminated environment (Wakao et al., 1988). A variety of microbes
could transform inorganic metal forms into its metallic hydride or
methylated forms. Due to their low boiling point and/or high vapour
pressure these compounds are susceptible for volatilization and could
easily be lost to the atmosphere. Methylation is considered as a
major biological transformation through which As, Se and Hg are
volatilized and lost.
Phytoremediation : Phytoremediation employs plants and their
associated root-bound microbial community to remove, contain,
degrade or render harmless environmental contaminants (Raskin
et al., 1997; Robinson et al., 2003). This terminology applies to all
plant-influenced biological, chemical, and physical processes that
aid in remediation of contaminated medium (Cunningham and Lee,
1995). It involves soil-plant system in which metal(loid)s-accumulating
plants are grown in contaminated sites. It is considered as an
economically feasible and environmentally viable technology for
remediating metal(loid)s-contaminated systems. The effectiveness
of this technology is however, variable and highly site-dependent.
In phytoremediation, plants are exploited as a bio-pump that
use sun's energy to remove water and contaminants from the soil to
the above ground portion, and return of some of the products of
photosynthesis back into the root-zone in the form of root exudates
that are involved in the im(mobilization) of contaminants. Transpiration
is the driving force for phytoremediation. By removing water from
the medium, plants help to reduce erosion, runoff and leaching, thereby
limiting the movement of contaminants off-site. Some contaminants
are taken up in the transpiration stream, where they may be
metabolized, and may be eventually volatilized. By removing the
excess water from the soil profile, plant roots may also create an
aerobic environment where metal(loid)S mobility is reduced and
biological activity is enhanced. Plants stimulate microbiological
activity in the root-zone by providing a carbon source from root
exudates and decaying root materials (Robinson et al., 2003).
237
Phytoremediation technologies have been grouped into various
categories that include phytostabilization, rhizofiltration/
phytoextraction and phytovolatilization (Cunningham et al., 1995).
In phytostabilization, transpiration and root growth are used to
immobilize metal contaminants by reducing leaching, controlling
erosion, creating an aerobic environment in the root-zone, and adding
organic matter to the substrate that binds metals. It involves the
establishment of metal(loid)-tolerant vegetation on the contaminated
site that is left in perpetuity. The stabilization of metals in the root-
zone could be achieved through the addition of organic matter as
well as soil amendments. An example is the precipitation of Pb-P
compounds in roots and the rhizosphere of Agrostis capillaris (Cotter-
Howells et al., 1999). In rhizofiltration, the roots can be used to
adsorb or absorb metal(loid)s, which are subsequently removed by
harvesting the whole plant. In this case metal(loid)s tolerance and
translocation of the metal(loid)s to aerial parts are largely irrelevant.
In phytoextraction, plants can be grown on contaminated soil and
the aerial parts enriched with metal(loid)s harvested. In this case,
plants need to be tolerant only if the soil metal(loid)s content is very
high, but they need to accumulate very high concentrations in their
aerial parts. Phytoextraction involves repeated cropping of plant until
the metal(loid)s concentration in the soil has reached the acceptable
(targeted) level.
The success of phytoextraction technology may also depend
on a shift from our current paradigm of remedial targets based on
total metal concentrations towards the concept of "bioavailable
contaminant stripping (BCS)" (Hamon and McLaughlin, 1999). In
most cases even under optimal conditions, phytoextraction could
take a long time to cleanup metal-polluted soils to accepted target
values. BCS offers a viable alternative by targeting to extract only
the most labile metal pools that serve as a short-term source of
potential risk to the environment via leaching or uptake in organisms.
However, before BCS can be integrated in regulatory policy methods
are required to establish the long-term fate of the remaining non-
labile metal fractions. Elucidating the dissolution kinetics of metal-
bearing phases (e.g. Fe oxides, layer silicates, phosphates, etc.) in
the soil will be crucial to understanding/predicting the potential of
metal remobilization after termination of phytoextraction strategy.
Certain plants, termed hyperaccumulators ' (Brooks et al., 1977)
accumulate inordinate concentration of metal(loid)s in their above
ground biomass. These plants may even accumulate metal(loid)s
that are non-essential and often toxic to plants. The minimum
concentration of metals required for a plant to be classified as
hyperaccumulator was set at 1000 mg kg-1 (0.1%) on a dry weight
238
basis (Ma et al., 2001). The hyperaccumulation of metal(loid)s
involves uptake of the soluble metal(loid) species by the root system,
translocation to the aerial parts, and storage in a non-toxic form in
the aerial portions. This process necessarily requires tolerance to
high concentrations of metal(loid)s.
At present there are about 400 species of known terrestrial plants
that hyperaccumulate one or more of several metal(loid)s (Robinson
et al., 1995). For example, recently, Ma et al. (2001) discovered an
As-hyperaccumulating plant, ladder brake (Pteris vittata L.), a
terrestrial fern, which accumulates large amounts (23 000 mg kg-1 -
dry weight basis) of As from soils. The unique property of As
hyperaccumulation by Chinese brake fern is of great significance in
the phytoremediation of As-contaminated soils. Therefore, the
potential of this fern for phytoremediation of As-contaminated soil
was assessed by Tu et al. (2002) in a glasshouse experiment using
soils from an abandoned wood preservation site. The results have
shown that the Chinese brake accumulated huge amounts of As
from soil, and its As concentration increased with growth period
reaching as high as 13800 mg As kg -1. Another silver fern
[Pityrogramma calomelanos (L.) Link] has also been reported to
hyperaccumulate As up to 8350 mg kg-1 dry mass from soil containing
135 mg kg-1 (Francesconi et al., 2002). The plant occurs in tropical
and subtropical regions of the world and is widely distributed in
Thailand where it favours open, high rainfall areas. Some selected
hyper accumulators of metal(loid)s reported in the literatures are
presented in Table 5.
Table 5. Hyperaccumulators of metal(loid)s
Metal(loid)s Plants
As Chinese brake fern (Pteris vittata), Fern (Pteris cretica),

Bent grass (Agrostis tenuis), Silver fern (Pityrogramma
calomelanos), Watercress (Lepidium sativum).
Cd Alpine pennycrest (Thlaspi caerulescens), Cardaminopsis
halleri,Eel grass (Vallisneria spiralis), Water hyssop (Bacopa
monnieri)Water hyacinth (Eichhornia crassipes)
Hydrilla(Hydrilla verticillata),Duck weed (Lemna minor), Giant
duckweed (Spirodela polyrhiza).
Co Eel grass of Africa (Haumaniastrum robertii).
239
Cr Duck weed (Lemna minor ), Ceratophyllum demersum, Giant
reed (Arundo donax), Cattail (Typha angustifolia), Alfalfa
(Medicago sativa), Water hyssop (Bacopa monnieri),Pistia
stratiotes,Water fern (Salvinia molesta), Spirodela polyrhiza.
Cu Aeolanthus biformifollus, Lemna minor, Vigna
radiata,Creosote bush (Larrea tridentate), Water hyssop
(Bacopa monnieri),Indian mustard (Brassica juncea).
Hg Lemna minor, Water lettuce (Pistia stratiotes), Water hyacinth
(Eichhornia crassipes), Hydrilla (Hydrilla verticillata).
Mn Alyxia rubricaulis, Macademia neurophylla
Ni Phyllanthus serpentines, Lemna minor, Salvinia molesta,
Brassica juncea,Spirodela polyrhiza.
Pb Brassica juncea, Water hyacinth (Eichhornia
crassipes),Hydrilla (Hydrilla verticillata),Sunflower (Helianthus
annuus)Lemna minor, Salvinia molesta, Spirodela polyrhiza
Se Astragalus sp., Lemna minor
Zn Alpine pennycrest (Thlaspi caerulescens), Brassica juncea
Studies conducted at Tamil Nadu Agricultural University, India
showed that the following crops and varieties are tolerant to Cr and
rendered reasonable yields in Cr-contaminated soils (Ramasamy
et al., 2000).
Rice (Oryza sativa) : TRY-1, CO43, Paiyur-1 and ASD-16
Maize (Zea mays) : CO1
Finger millet (Eleusine coracana) : CO12, CO13
Fodder grass : BN-2
Desmanthus (Desmanthus vergatus)
Sugarcane (Saccharam officinalis) : COG-94076, COG-88132 AND COC-771
Korai grass (Cyperus corymbosus)
Flower plants and plantation trees offer another avenue for the
remediation of metal(loid)s contaminated soils. In a field experiment,
for example, flower crops viz., gundumalli (Jasminum sambac),
jathimalli (Jasminum grandiflorum), tuberose (Polianthus tuberosa)
and nerium (Nerium oleander) were found to accumulate large amounts
of Cr, besides showing tolerance to high soil-Cr (Mahimairaja et al.,
1999). With regard to plantation trees the tolerance towards Cr was
in the order: Casuarina > Acacia > Eucalyptus (Sakthivel et al.,
2000).
240
Phytoremediation of boron contaminated site in New Zealand
using Willow, Poplar and Eucalyptus trees is depicted in Figure 4.
The figure demonstrates clearly how phytoremediation helps the
contaminated site becomes part of the landscape by transforming
the bare pile into an actively growing 'green' cover. The major
advantage using flower crops and plantation trees is the avoidance
of heavy metals-entry into the food chain. Therefore, the potential of
non-edible commercial crops should be further exploited for
remediation of the metal contaminated soils.
Figure 4. On-going phytoremediation (using Willow, Poplar and

Eucalyptus) of boron contaminated site in New Zealand. A)
Before remediation, B) After Remediation
241
An immediate strategy is to improve pollutant accumulation by
plants by manipulating biochemical/physiological mechanisms
relevant to this process. A possible approach is to employ transgenic
techniques to impart into the host plant desirable features from a
hyperaccumulator species. Research efforts have been
concentrating on Cd, Zn, Pb, Ni, Hg and Se but may be extended to
other contaminants (e.g. As, Cu, Cs, Sr, V, and organics).
Breeding of hyperaccumulator species to improve their biomass
and other features relevant to crop culture has been considered as
an alternative strategy, but is probably less effective in relation to
the phytoextraction strategy that can be achieved with this approach
within a reasonable time. In particular, challenges include improving
the ease by which contaminants are mobilized in the soil, taken up
by the roots and translocated to other plant parts. To enhance
contaminant mobilization, transgenic plants may be developed that
exude ligands into the rhizosphere that are more selective for specific
metals (Ma and Nomoto, 1996). The identification of an increasing
number of genes encoding for metal transporters in hyperaccumulator
plants may provide the genetic resource to increase the
phytoextraction potential of certain plants.
Phytovolatilization is an inherent process in the
phytoremediation of organically-contaminated soils. However,
phytovolatilization as applied to inorganic contaminants is still in its
infancy. Phytovolatilization has some potential for remediating soils
contaminated with Hg, Se, B, and possibly other elements. Recent
efforts have concentrated on developing transgenic species with
increased potential for volatilizing Hg (Meagher and Rugh, 1996)
and Se (Terry, 1996). Future work will focus on generating libraries
of mutant merA genes involved in volatilization of Hg, and identifying
mutants that reduce toxic metal ions such as Pb2+, Cu2+, and Cd2+
(Meagher and Rugh, 1996). For Se, recent efforts include screening
and testing of hypervolatilizing species and genetic engineering of
these plants. Previous results indicate that the conversion of selenate
to volatile Se species may be rate-limited by several enzymes in
the Se volatilization pathway. Using Brassica juncea, genetic
engineering is being employed to develop transgenic plants to
promote activities of potentially rate-limiting enzymes (Terry, 1996).
Phytoremediation has several advantages over other remediation
and metal(loid)s extraction technologies. The cost involved in
phytoremediation is much lower than other technologies such as
soil removal, capping and ex-situ cleansing, etc. Other advantages
242
include the ultimate fertility of the cleaned site, the high public appeal
of 'green' technology, and the possibility of producing secondary
products that offset the cost of the operation or even produce a
small profit. However, some of the basic plant physiological
processes such as low biomass production and shallow root growth,
nonetheless, limit the scope of phytoremediation. Only surface
contamination can be removed or degraded and the cleanup is
restricted to areas that are amenable to plant growth. Most
importantly, it may take a long time for site remediation to be effective.
Phytoremediation can only be used if it meets environmental
regulation during the operation as well as its end point.
D. Natural Remediation
Traditionally, the use of unenhanced (or non-invasive) natural
processes as part of a site remediation strategy is called natural
attenuation (NRC, 2000). Thus the U.S. EPA coined the term
monitored natural attenuation (MNA) when NA is employed within
the context of a carefully controlled and monitored site cleanup
strategy to be able to achieve site-specific remediation objectives
within a time frame that is more reasonable than that offered by
other more invasive methods (U.S. EPA, 1999). We propose a new
twist in the definition by arguing that adding to the soil inexpensive
amendments that is cost effective and minimally invasive can
accelerate natural processes. These materials can be incorporated
into contaminated soils to speedup and optimize, in the case of
metals, their immobilization as mediated by key processes such as
(adsorption, precipitation, complexation and redox reactions.
Natural remediation (NR) is well established as a remedial
strategy for a few organic chemicals, primarily BTEX (Benzene,
Toulene, Ethylene, Xylene) (NRC, 2000). However, these processes
cannot destroy metals but in some cases can immobilize them.
Natural remediation can be managed for both organic and inorganic
contaminants. The kinetics of NR can vary widely between the
organics and metals. The important parameters to gauge NR also
vary between these two groups of contaminants. For organics (e.g.,
BTEX), the commonly used parameter is the total concentration (or
mass) in the affected plume and NA, even if accelerated, may take
months to years depending on site and contaminant properties. Also
certain organics may degrade into daughter by-products that are
more toxic and recalcitrant (e.g., TCE, trichloroethylene degrading
to vinyl chloride). Whereas with metals, they are generally persistent
and immutable, so the "bioavailable" fraction in the soil could be the
most relevant parameter for NR. Unlike common organics, the kinetics
of NR for metals can be relatively much shorter, i.e., in a matter of
days (Adriano et al., 2004).
243
For widespread contamination by metals (e.g., fertilizer-derived
Cd input in pasture soils), remediation options generally include
amelioration of soils to minimize metal solubility and eventual
bioavailability. Bioavailability can be minimised through
immobilization of metals using a range of inorganic compounds,
such as lime and phosphate (P) compounds (e.g., apatite rocks),
and organic compounds, such as 'exceptional quality' biosolid (Knox
et al., 2000; Basta et al., 2001). These amendment materials are
fairly abundant and inexpensive and therefore such technology could
be economically feasible.
CONCLUSIONS AND FUTRUE RESEARCH NEEDS
Two approaches can be used to successfully remediate metal
contaminated soils. One involves the immobilization of metals,
thereby reducing their bioavailability. The other involves the
mobilization of metals, thereby increasing their bioavailability and
subsequent removal by microorganisms (bioremediation) and/or
higher plants (phytoremediation). Since one of the primary objectives
of remediating contaminated sites is to reduce the bioavailability of
metals, in-situ immobilization using some of the soil amendments
that are low in heavy metal content may offer a promising option.
However, a major inherent problem associated with immobilisation
techniques is that although the heavy metals become less
bioavailable, their total concentration in soils remains unchanged.
The immobilised heavy metal may become plant available with time
through natural weathering process or through breakdown of high
molecular weight organic-metal complexes. Whereas in the case of
mobilization of metals using soil amendments, the solubilized metals
are subject to leaching losses and subsequent groundwater
contamination unless they are actively taken up by higher plants.
Metal biotoxicity in soils is determined by the fraction of the
metal that is bioavailable. This has implications to our current
regulatory policies that are generally based on total metal content. It
is important to emphasise that there is a dynamic equilibrium
amongst various fractions in soils and any depletion of the available
pool due to immobilisation, plant uptake or leaching losses will result
in the continuous release from other fractions to replenish the
available pool. This is one of the main reasons why there is some
reluctance towards using bioavailable pool in soils for regulatory
purposes by environmental agencies in monitoring contaminated
sites. In addition the bioavailable pool is sensitive to edaphic and
environmental conditions as solubilisation of metals from sparingly
soluble compounds responds to soil pH, redox potential, temperature,
etc.
244
Numerous heavy metal contaminated sites have been reported
in many countries. Long-term field experiments are needed to
examine the potential value of compost and other soil amendments
in sequestering and mitigating the phytotoxic effect of these toxic
heavy metals so that more diverse land use can be facilitated.
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252
APPLICATION OF WEATHER FORECAST FOR
DIFFERENT SECTORS
L.S. Rathore
National Centre for Medium Range Weather Forecasting
Department of Science & Technology
A-50, Institutional Area, Phase-II,
Sector-62, NOIDA 201301.
Weather and climate forecasts are being increasingly used to
benefit decision making in more and more weather sensitive sectors
of the economy including agriculture. The underlying source of
climate variability induced fluctuations in Indian economy is variation
in agricultural production related to rainfall. Though precipitation and
temperature determine type and performance of any crop at a given
location, role of other meteorological elements in crops growth,
development and yield can not be undermined. Short-term episodes
of dryness may be of little consequence to crops but its continuance
at sensitive pheno-phases may drastically reduce the yield potential
or even ruin the crop. Identifying the onset and cessation of rainfall,
in different temporal ranges, is very important to determine onset
and cessation of crop growing period as well as plan irrigation in a
manner to reap maximum harvest. Hence, prediction of precipitation
in medium and extended ranges is very crucial in farm management
as well as for assessing damage potential of soil moisture stress to
crops growth, development and yield. No aviation activity is possible
without meteorological support and there is growing application of
weather and climate information in important sectors such as water
management, disaster management, defense, power, health etc. in
India in the recent past.
Predicting weather
A forecast of a forthcoming sequence of weather events is
nothing but a statement of the probability of occurrence of such
events. Its reliability decreases with increasing interval of time. The
atmospheric processes are very complex, and weather exhibits
continuous changes even over short intervals. In case of a forecast
the uncertainty or the reliability factor also enters. The deterministic
weather forecasting remains to be the most challenging task despite
the rapid advancements. This is all the more difficult to accomplish
over the tropical Asian monsoon region due to its unique geographical
location and lack of conventional meteorological observations in the
surrounding oceanic sectors.
253
Forecasting weather is initial value problem. One needs to define
the initial state of the atmosphere, through current meteorological
observations, to prognosticate its future trends using numerical
weather prediction (NWP) models. The current global weather
observing system is composed of a complex array of surface and
space based measurement devices. To describe the initial state of
the atmosphere, it is necessary to run the NWP model in a data
assimilation mode. In this procedure, the data from a diverse global
observing system are continuously/intermittently assimilated every
six hours.The data types include: surface and upper air measurements
of wind, temperature, pressure, geo-potential height of pressure
surface, humidity and rain rate and clouds as observed from below
or estimated from satellites/radars. Major amount of wind data is
derived from tracking the motion of tropical stratocumulus and cirrus
clouds from global geostationary satellites. In addition, polar orbiting
satellites provide global temperature / moisture soundings from
radiation measurements, cloud liquid water estimates, rainfall rates
etc. A vast array of marine surface observations from ships provides
global coverage. Also, arrays of floating buoys that carry surface
meteorological instruments provide very useful surface weather
observations over data sparse oceanic regions.Global
communication satellites transmit these data sets by collecting from
land based communication networks spread over several countries
transmit the global observational data in real-time to the global weather
centres and this service is known as the global telecommunication
system(GTS).
Forecast Model
T-80L18 Global forecast model is a Spectral Model with a
triangular truncation at 80 waves in the horizontal and has 18 layers
in the vertical (T80L18). The forecast model is an adapted version
of the NCEPs (National Centers for Environmental Prediction, USA)
forecast model. The model is run once a day with 00 UTC initial
conditions and generates forecasts up to 7 days. A higher resolution
global model T-170L28 (75x75 km resolution in the horizontal and 28
layers in the vertical) has recently been installed. The model uses a
simple land-surface scheme which includes: (i) exchange coefficients
computations based on Monin Obukov similarity theory, (ii) Penman
Monteith method of evapo-transpiration over land which includes
vegetation effects (Pan, 1990), (iii) prognostic surface temperature
equation of Arakawa (1972), (iv) 3 layer of surface and soil
temperature prediction based on Bhumralkar (1975), (v) interactive
bucket hydrology, (vi) evaporation by bulk method over ocean and
(vii) Charnocks roughness length computation of ocean.
254
The input fields at 18 levels in the vertical are generated on
terrain following sigma surfaces by the GDAFS for the production of
120hr global scale forecasts on real-time basis. They include
divergence, vorticity, virtual temperature, specific humidity, log of
surface pressure and orography.
Model Output
The model output from the Global Data Assimilation-Forecast
System (GDAFS) include the following important fields besides many
other parameters. The following parameters are produced at 12
standard pressure levels viz. 1000, 850, 700, 500, 400, 300, 250,
200, 150, 100, 70 and -50hPa, for synoptic assessment of the
forecasts at 24hourly interval.
i) Wind Field (Flow Pattern)
ii) Geopotential Height
iii) Temperature
iv) Specific Humidity
v) Vertical Velocity
In addition, Mean Sea Level Pressure(MSLP) and its 24hrly
changes from the initial time distribution; Rainfall(accumulated for
24hrs) in quantitative terms; Weekly cumulative rainfall; Weekly Sub-
Divisional Rainfall Distribution; Location specific surface weather
elements viz. Rainfall, MSLP, Maximum and Minimum Temperatures
and Surface Wind (speed and direction) and Humidity etc., are also
produced for issuing forecast.
Meso-scale Models
Meso-scale modeling for real time forecasting is evolving in
India. At National Centre for Medium Range Weather Forecasting
(NCMRWF), high resolution meso-scale models such as MM5 and
ETA are run on real time basis for forecasting meso-scale weather
systems such as western disturbance, tropical cyclones,
thunderstorms, heavy rainfall episodes etc. Using the initial conditions
from T-80 global circulation model of NCMRWF, the MM5 model is
run at 90, 30 and 10 km resolution and ETA model is run for 32 km
resolution, for different regions of the country. The location specific
weather forecast is prepared using inputs from global circulation
model, meso-scale model, statistical interpretation of these numerical
models and synoptic interpretation of graphical outputs of these
model as well as experience of synoptic meteorologist. The real
challenge lies in preparation of skillful forecast for smaller spatial
domain. Indian meteorologists are striving hard to generate this at
district level at least three to four days in advance of the weather
event.
255
Extended/Seasonal range Prediction
Seasonal prediction of monsoon rainfall can be done using
statistical, empirical and dynamical methods. Precipitation prediction,
for a particular day, for specified locations, for months or season in
advance has no notable skill. However, there is some skill in
predicting anomalies in the weather at this scale. The predictability
of seasonal climate anomalies, which results primarily from the
influence of slowly evolving boundary conditions and most notably
sea surface temperature (SST) (e.g. El Nino and La Nina) hinges on
our understanding of the impacts of variation in ocean temperature
on the atmospheric circulation.The inherent variability of the
atmosphere and lack of understanding of major components of the
climate system require seasonal climate forecast to be expressed
in probabilistic terms. The forecasts are made for three equi-probable
categories of below-normal (dry conditions), near-normal (around the
average), and above-normal (wet-conditions). A probability is assigned
to each category, indicating the chance of the particular category to
occur during the target season.
Statistical method employed for predicting seasonal mean
prediction of large homogenous regions of the country has serious
limitations, underlying the need for development of dynamical or
dynamical-statistical techniques for predicting precipitation &
temperature in the extended range. Observational evidences and
modeling results indicate that ocean thermal response, snow/ice
conditions (polar and mountains) and soil wetness has bearing on
internal variability of atmospheric circulation and precipitation in
tropics through their impact on location and intensity of diabatic
heat sources. Anomalous boundary conditions can be more effective
in producing circulation anomalies in tropics, because tropical
circulation is dominated by the planetary scale Hadley, Walker and
monsoon circulations and changes in the boundary conditions can
alter the locations and intensity of these systems. They can also
influence the amplitude and phase of planetary waves in mid-latitudes
that in turn can influence the tracks and intensity of cyclone scale
disturbances. The boundary forcing determines the rather complex
physical mechanisms for anomalies in the circulation patterns. The
Asiatic Monsoon is a dynamically stable circulation system and its
inter annual variability is largely determined by the slowly varying
boundary conditions.
Efforts are ongoing to search good predictors having strong
relationship with atmospheric anomalies and precipitation during
monsoon season. Sea Surface Temperature (SST), especially over
the Arabian Sea has been found to have strong bearing on the health
256
of monsoon. The SST anomalies for the excess rain years are
relatively warmer than deficient rain years during pre-monsoon and
are colder during post monsoon. The warmer SST anomalies over
equatorial pacific has been found to cause a shift in heavy
precipitation regime from the extreme western pacific to central pacific
near the international data line. There are large number of other
factors such as synoptic scale disturbance (lows, depressions, and
storms), the monsoon tough, quasi-periodic oscillations and their
interaction with extra-tropical circulation which causes intra-seasonal
variability in the precipitation.
Considerable progress has been made in the recent past towards
prediction of seasonal rain forecast. The difficulties in making
successful predictions arise because the inter-annual variability of
the monsoon partly stems from planetary scale variations of the
atmosphere ocean Land System and partly arises from the
regional scale inherent dynamical variability of the sub seasonal
and synoptic scales transients whereas the planetary scale
component is predictable through boundary forcing, the regional
component being chaotic in nature, is less predictable. The precise
contribution of the internally generated dynamical variability to the
total variability of the modeled monsoon is very difficult to assess
and may be itself variable on year to year basis.
The numerical (dynamical) modeling can provide medium range
(3-10) days forecast with reasonable accuracy. But beyond this,
i.e. in the extended range forecast, the skill of these dynamical
models is still not satisfactory. To avoid uncertainties associated
with single dynamical model forecast, the focus is now on multi-
model ensemble/super ensemble forecast.Some attempts are already
made and some are in progress in this direction in Europe and
America to provide seasonal scale forecast.Global coupled/
atmospheric modeling at coarse resolution could not provide the
detailed climatic features at regional scale and thus it is important
to downscale the global model products to regional scale. Further,
improvement in forecast skill in extended range prediction is expected
using statistical-dynamical model with outputs from regional climate
model.
Dynamical long range forecast or statistical-dynamical hybrid
models have not been developed over India so far, though in USA
and Europe, the emphasis is on development of long range forecast
techniques through coupled ocean-atmosphere numerical model
outputs. At National Centre for Medium Range Weather Forecasting
(NCMRWF), an experimental extended range (monthly) prediction
system is being developed. The model chosen for the purpose is
257
the operational global T80L18 spectral model with comprehensive
model physics. Model climatology has been prepared for each month
by integrating the model for several past years. The model climate
is reasonably good and essential climatological features are well
represented.
Real-time tests of the monthly prediction system were carried
out in the monsoon seasons of last four years. For real-time runs,
10-member ensemble runs ( five initial conditions and two SST
prediction for each initial data) are made and persistent SST
anomalies and SST predictions from Space Application Centre (SAC)
were used during monsoon months. Probability of occurrence of
Excess, normal, or deficient rainfall (anomalies computed based on
model climate) for six homogenous regions of the country are
computed. Performance of the monthly prediction system for
monsoon months, so far, has been mixed. Several improvements
have been planned to improve the skill of the prediction system.
Several seasonal integrations and sensitivity studies have been
carried out to understand the monsoon intra-seasonal variability.
Real-time Experimental Seasonal Prediction runs for the Monsoon
seasons of 2003 and 2004 were carried out in the month of May.
Persistent SST anomalies and Climatological SST values were used
for the ensemble integration of the T80 Global Model. The NCMRWF
model analysis has been studied to understand the propagation of
Madden-Julian Oscillation (MJO) over the South Asian region and is
compared with model simulations. Several more real-time and hind
cast runs need to be carried out to evaluate the skill of seasonal
prediction at NCMRWF.
Applying forecast for farm management
Despite the wave of technological advances in the agricultural
sector the weather remains a major risk. From sowing through harvest;
sunshine hours, temperature, precipitation and wind can all affect
the quality and quantity of a crop. The relationship between weather
and crop yield is often complex. For example, drought badly affects
water-dependent crops, but also, excessive precipitation can flood
the soil, leading to a restricted oxygen supply to the roots and a
higher incidence of disease. Pesticides are vital in guarding against
damage to crops, and for the agrochemical industry, wet years result
in higher revenues as spores find it easier to survive in wet or humid
conditions.
Adequate technological tools have been developed to achieve
the task of translating weather information into profitable agro-
management decisions. Crop model based decision support system
258
can be made use of for developing information to aid in weather
based crop and irrigation management. As crop-soil simulation
models are designed to predict crop-level responses, a large
proportion of the work described in the literature in which such models
are used, is in relation to various management options of a single
crop. Much of this modeling work has focused on understanding the
interaction between the various factors influencing the crop growth
and development, such as water and nutrient supply, biotic stresses
and the time of planting and harvesting of the crop in relation to the
prevailing environment. This has led on to using the models to find
optimum management practices for these factors in particular
environment, generally with the purpose of maximizing yields.
CERES-Rice model incorporated in DSSAT is attempted for its use
in crop and irrigation management in some of the agro-climatic zones.
Crop management needs detailed level of interaction between
crop genotype, the soil, the aerial environment including weather
forecast, and crop management practices. The information generated
on the various components of the production system and their
interactions is being used for the development of crop simulation
models along with specific information generated for the purpose.
Through crop growth simulation modeling it became possible to
simulate a living plant through mathematical and conceptual
relationships that govern its growth in the soil atmosphere continuum.
In recent years, attempts have been made to integrate crop simulation
models into decision support systems to provide users a better
understanding of the possible outcomes of their decisions and assist
them in developing viable management strategy. This stresses the
need for making a distinction between strategic and tactical models
for farm level decisions.
At a decision making level, the tactic may be defined as a
series of short term decisions made on the basis of knowledge or
forecast of soil moisture, of the plant and of climate conditions. In
such a case, it is important that the farmer is able to anticipate the
evolution of the function indicators of the soil and the plant in order
to simulate their effects on plant development and yield. The strategic
decisions are based on weather forecasts in extended and seasonal
ranges and pertains to selection of cultivar, its planting/harvesting
periods, contingency planning etc.
Decision Support System For Agrotechnology
Adequate technological tools need to be available to achieve
the task of translation of the weather information into advisories for
profitable management decisions. The crop model based approach
to decision making is already being accepted by agricultural scientists
259
as a viable tool for developing information for weather and climate
dependent crop and irrigation management on farm level. Crop
simulation model based expert system/decision support system can
help in timely and knowledgeable decision making in preparation of
farm advisories. A well validated crop simulation model can simulate
crop growth, development and yield with reasonable accuracy so as
to enable it as a high potential viable tool for optimal crop cultivation.
The usability of such models in making tactical decisions for different
cultural operations for a given crop at a given vegetative stage with
inputs of weather forecasts for different temporal ranges in
conjunction with information on soil, water and other production
management details is now well established. Realizing these facts,
NCMRWF is making an initiative in exploring the opportunity to use
the crop growth models and Decision Support System for
Agrotechnology Transfer (DSSAT) to help in farm management.
The crop growth models developed can be useful in crop
management, if phenological stages are accurately simulated in
necessary detail needed for practical applications and management
strategies and the scheduling of management actions must be linked
with the details of the phenological and morphological development
of the plant. The management decisions that can be directly linked
to crop phenology are: (1) irrigation application that should be made
at strategic phenophases to achieve maximum water use efficiency,
(2) fertilizer application that can be based on tissue analysis at early,
mid, and maximum tillering and at panicle initiation, (3) herbicide
application, which can be based on the leaf stage of the crop and
also the target weeds, (4) invertebrate pest control, which must
take place before a given leaf stage, and (5) harvest.
The DSSAT, developed by International Benchmark Sites
Network for Agro-technology Transfer contains crop-soil simulation
models, databases for weather, soil and crops and strategy evaluation
programs integrated with a user friendly interface on microcomputers.
Validation of DSSAT and its crop models was accomplished through
a global network of benchmark sites involving systems users
operating in diverse biophysical and socio-economic environments.
Standard procedures to describe sites and soils and to record
observations of weather and crops for validation were established
with the minimum data set. A schematic of DSSAT components is
presented below;
260
DATABASE MODELS APPLICATIONS
VALIDATION,
WEATHER SENSITIVITY
ANALYSIS
SOIL CROP
MODELS STRATEGY
ANALYSIS
GENETICS
GIS LINKAGE
SUPPORT SOFTWARE / INPUTS
PESTS
GRAPHICS DSSAT
USER
EXPERIMENTS
WEATHER INTERFACE
SOIL
EXPERIMENT
PESTS
GENETIC COEFFICIENT
LINKAGE TO EDITOR ,
DISK MANAGER ETC.
Figure 1. Schematic drawing of DSSAT components.

DSSAT was designed for users to easily create experiments
to simulate, on computers, outcomes of the complex interactions
between various agricultural practices, soil and weather conditions
and to suggest appropriate solutions to site specific problems. DSSAT
relies heavily on crop simulation models to predict the performance
of crops for making a wide range of decisions.
Crop models
The IBSNAT crop models are daily incrementing, process
oriented functional models. These are designed to use a minimum
set of soil, weather, genetic and management information. These
models simulate the effects of weather, soil, water, cultivar and
nitrogen dynamics in the soil and the crop, on crop growth and yield.
Inputs and outputs to the crop models have been standardized and
documented to increase the efficiency of sharing data, to allow the
introduction of other crop models and to allow application programs
to be used with any of the crop models. Crop models included in
DSSAT are: CERES (Crop Estimation through Resource and
Environment Synthesis) family of crop models for wheat, barley,
maize, sorghum, millet and rice; CROPGRO (CROP GROwth) family
of crop models for soybean, drybean, peanut and chickpea;
SUBSTOR (SUBterranean STORage) models for cassava, aroid and
potato; and for sugarcane, tomato, sunflower and pasture. To
simulate growth, development and yield, the models take into account
the following processes:
261
(1) phenological development, especially as it is affected by
genotype and weather. The models simulate the effects of
photoperiod and temperature on the timing of panicle
initiation and the duration of each major growth stage
(2) extension growth of leaves, stems and roots
(3) biomass accumulation and partitioning, especially as
phenological development affects the development and
growth of vegetative and reproductive organs
(4) water balance that simulates the daily evaporation, runoff,
percolation and crop water uptake under fully irrigated
conditions, and rainfed conditions
(5) soil nitrogen transformations associated with mineralization/
immobilization, urea hydrolysis, nitrification, denitrification,
ammonia volatilization, losses of N associated with runoff
and percolation and uptake and utilization of N by the crop.
Plant protection
Weather derivatives are growing rapidly as a risk management
tool for controlling pests and diseases. Growth and development of
pests are typically dependent on heating and cooling degree days,
humidity/wetness and radiation (cloud) over a season. Degree-day
based models can be easily adapted for applications in pest
management. Because so many insects require a critical amount
and duration of heat to advance through their developmental life
cycles, integrated degree day indices over an extended period are a
good way to predict the need to use pesticides. The degree days
used in energy are quite similar to those in agricultural applications,
so that it is a natural progression to adapt weather derivatives to
managing costs of insect control.
One of the most obvious areas of application for weather
derivatives to hedge farm operators against the costs associated
with repeated applications of chemicals. The major causes of repeat
applications of pesticides are:
1. Accumulated degree days allow a large number of insect
life cycles
2. High rain after application washes away chemicals
3. Low temperatures after application slow insect development
so insects emerge after chemicals have had time to disperse
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Phenology models are statistical measures that relate climate
variations to insect development: Phenology models predict time
of events in an organisms development. Development of many
organisms, which cannot internally regulate their own temperature,
is dependent on temperatures to which they are exposed in the
environment. Plants and invertebrates, including insects and
nematodes, require a certain amount of heat to develop from one
point in their life-cycle to another, e.g., from eggs to adults. Because
of yearly variations in weather, calendar dates are not a good basis
for making management decisions. Measuring the amount of heat
accumulated over time provides a physiological time scale that is
biologically more accurate than calendar days. These models cover
a wide range of insect pests. Each insect requires a certain number
of degree days to develop. The consumption of pesticides to control
these pests will be a function of degree days. Phenology models
can be used to design weather hedges for providing embedded
weather-based options to end users of chemical products. There
are many possible applications. One that seems potentially very
useful is to protect farmers against the costs of multiple applications
of chemical due to weather. For many insect pests, two factors
make an application of chemicals ineffective:
1. If DDs are so low that the pesticide has dispersed before insects
emerge
2. If heavy rains wash pesticide out before it can be effective.
Irrigation management
Development of recommendations for improved irrigation

practices, the planning of irrigation schedules under varying water
supply conditions, and the assessment of production under rain-fed
conditions or deficit irrigation is weather dependent. In order to develop
irrigation schedules under various management conditions one needs
to calculate reference evapo-transpiration, crop water requirements,
crop irrigation requirements. The development of irrigation schedules
and evaluation of rainfed and irrigation practices are based on a
daily soil-water balance. Practical tool are available to carry out
standard calculations for evapotranspiration and crop water use.
Weather forecast (temperature, precipitation and wind speed) is key
input for calculations of crop water requirements and irrigation
requirements.
263
Agro-meteorological Advisory Service (AAS)
In order to carry out farm operations, a farmer not only needs
weather forecast in different temporal ranges he also needs advice
on available farm management options which are at his disposal in
view of prognosticated weather situations. The NCMRWF in
collaboration with the India Meteorological Department (IMD), Indian
Council of Agricultural Research (ICAR) and State Agricultural
Universities (SAUs) is rendering Agro-Meteorological Advisory
Service (AAS) to the farming community, at the scale of Agro climatic
Zones, based on location specific medium range weather forecast.
This is a unique service as no other NWP Centers in the world is
providing information on observed weather, weather forecast and
advice on the actions to be taken by the farmers for different crops
and livestock. The country is divided into 127 agro climatic zones
with each zone covering about 3 5 districts. At present NCMRWF
has established AAS units in 107 agro climatic zones. In the state
of Tamil Nadu AAS units are functioning at Coimbatore, Chennai,
Namakkal, Aduthurai, Kovilpatti, Pechiparai and Kannivadi. SAUs
have appointed Nodal Officers at each of these units for its smooth
implementation. It is proposed to open AAS unit one each in 127
agro climatic zones of the country by NCMRWF.
The location specific forecasts valid for 4 days for six
meteorological variables, viz., total precipitation, average cloudiness,
average wind speed, predominant wind direction, maximum
temperature and minimum temperature are provided by NCMRWF
to AAS units. In addition forecast for weekly cumulative rainfall is
also provided. These forecasts of weather elements are subjected
to refinement through statistical and synoptic techniques to obtain
final location specific weather forecast. They are disseminated
biweekly to AAS units on every Tuesday and Friday over telephone,
Fax and/or email. NCMRWF is maintaining its web page
(www.ncmrwf.gov.in) on which daily weather charts and output from
mesoscale models are regularly updated for easy access of the
users.
AAS units translate weather forecast into agrometeorological
advisory. The Agromet Advisory Bulletins comprising of expert advice
on crops, animals, soils and weather are made available to the farming
community. These advisories contain location specific and crop
specific farm level advisories prepared in local language containing
description of prevailing weather, soil & crop condition, and
264
suggestions for taking appropriate measures to minimize the loss
and also, optimize input in the form of irrigation, fertilizer or pesticides.
These AAS bulletins are disseminated to the farmers of the region
through mass media, such as T.V., All India Radio and Newspapers
in vernacular language and also through personal contact with the
progressive farmers through extension workers. Agricultural
universities also conduct certain Public Awareness programs to
educate farmers about usage of Agro advisories. The AAS set-up
exhibits a multi-institutional multidisciplinary synergy to render an
operational service for the use of farming community. By locating
AAS units at State Agricultural Universities or their Regional Research
Stations and ICAR Institutes it is possible to incorporate research
output in formulating the agro advisories. It also enables use of
existing manpower already available at the agricultural Centre. The
Nodal Officer of the AAS Unit, generally an Agrometeorologist, in
co-operation with an inter-disciplinary group of agricultural and
extension specialists, such as, Plant Pathologists, Soil Scientists,
Entomologists, Horticulturists, Agronomists etc., formulate the agro
advisories. Agrometeorological observatories have also been set
up at all the AAS units. Some of these AAS units have automatic
weather stations also. The observations recorded at these stations
are sent to NCMRWF on bi-weekly basis for guidance in preparing
the location specific forecast and also carry out verification studies.
265
POTASSIUM AN INTEGRAL PART FOR
SUSTAINED SOIL FERTILITY AND EFFICIENT
CROP PRODUCTION
Patricia Imas1 and Hillel Magen2
1
International Potash Institute, India Coordination,
E-mail: [email protected]
2
International Potash Institute, P.O. Box 569, CH-8810,
Horgen, Switzerland. E-mail: [email protected]
Potassium (K), along with nitrogen (N) and phosphorus (P), is
one of the three essential plant macronutrients, and is taken up by
crops from soils in relatively large amounts. Potassium increases
yield and quality of agricultural produce, enhances the ability of plants
to resist biotic (e.g. diseases, pests and insect attacks) and abiotic
stresses (e.g. cold and drought stresses). Proper K nutrition assists
in the development of a strong and healthy root system and increases
the uptake and nutrient use efficiency of nitrogen and other nutrients.
The importance of K stems from its multiple role in the plant: it
is involved in the activation of more than 60 enzymatic systems in
the plant cell, in the synthesis of proteins, vitamins, starch and
cellulose which are responsible for optimal plant metabolism, plant
growth and strong vegetal tissues. Potassium helps in the
photosynthesis process, and is also responsible for the opening
and closing of the leaf stomata, which regulate the water status in
the plant. It plays an essential part in the formation of starch and in
the production and translocation of sugars.
Potassium not only increases yields, but also enhances crop
quality. It improves the nutritive value of grains, tubers and fruits by
increasing the content of protein and oil in the seeds, the starch
content in tubers and seeds and the vitamin C and sugar content in
the fruits. With an adequate supply of K, cereals produce plump
grains and strong straws. Potassium also improves the flavor and
color of the fruits and increases tubers and fruits size. In addition, it
increases the resistance during storage and transportation, thus
extending shelf life. The requirements for K to achieve better quality
may be larger than those for highest yield. Such is the case for
fruits, cotton, potato, tobacco, ornamentals and some food crops.
The strategy of K application should bring in account not only
crops immediate response as yield increments, but also in other
benefits such as improvement of soil fertility and the ability to
withstand biotic and abiotic stresses. The use of K may bring a
266
reduction in the use of pesticides, insecticides and fungicides and
should be counted as a component of the integrated pest
management (IPM).
The removal of potassium from the farm ecosystem at harvest
is larger as yields increase. Under sub-optimal fertilization rates, it
is often observed that soils become K-deficient over time. At IPIs
field experiments we often find a negative K balance since the
additions of K seldom matches K removals. There is an urgent need
to budget K application in order to avoid further declination of soil
fertility.
Potassium balance in Indias farming system indicates a large
deficit: K output (K removed in crops yield, animal produce, K
leaching) is higher than K input (FYM, composts, crop residues).
Simple calculation shows that if organic manures need to supply all
K requirements, there is a need for a very large application rate as K
content in these materials is as low as 0.5-3%.
Sustainability of farm systems depends largely on soils fertility
and health. Mining of soil K may lead to lower nutrient use efficiencies
of N and P and reduced fertility, thus negatively contributing to
sustainability.
This paper presents results obtained from IPI experiments in
India with various collaborators in different agro-climatic regions.
Potassium - an essential nutrient
Potassium (K), along with nitrogen (N) and phosphorus (P), is
one of the three essential plant macronutrients, and is taken up by
crops from soils in relatively large amounts. Vegetal tissues contain
in average 2 to 10% of K, therefore K is required in large proportions
by the growing plant. Potassium increases yield and quality of
agricultural produce, enhances the ability of plants to resist diseases,
insect attacks, cold and drought stresses and other adverse
conditions. It helps in the development of a strong and healthy root
system and increases the efficiency of the uptake and use of N and
other nutrients. In addition, K has an important role in livestock
nutrition (Kafkafi et al., 2001; Marschner, 1995; Mengel and Kirkby,
1987).
The importance of K stems from its multiple role in the plant: it
is involved in the activation of more than 60 enzymatic systems in
the plant cell, in the synthesis of proteins, vitamins, starch and
cellulose which are responsible for a normal plant metabolism, plant
growth and strong vegetal tissues. Potassium helps in the
photosynthesis process, during which the sugars and energy that
267
the plant needs for its development are created. Potassium is also
responsible for the opening and closing of the leaves stomata, which
regulate the water status in the plant. It plays an essential part in
the formation of starch and in the production and translocation of
sugars, thus being of special value to carbohydrate-rich crops, e.g.
sugarcane, potato and sugar beet. The increased production of starch
and sugar in legumes benefits the symbiotic bacteria and thus
enhances the fixation of N (Kafkafi et al., 2001; Marschner, 1995;
Mengel and Kirkby, 1987).
Potassium not only increases yields, but also enhances crop
quality. Potassium is the quality nutrient: it improves the nutritive
value of grains, tubers and fruits by increasing the content of protein
and oil in the seeds, the starch content in tubers and seeds and the
vitamin C and sugar content in the fruits. With an adequate supply
of K, cereals produce plump grains and strong straws. Potassium
also improves the flavor and color of the fruits and increases tubers
and fruits size. In addition, it increases the resistance during storage
and transportation, thus extending shelf life (Usherwood, 1985).
Potassium benefits
Crops response to K should be measured not only in yield
increments, but in quality and stress tolerance as well. Potassium
regulates plant metabolism and promotes vigorous growth. This
ensures a healthy and sturdy crop, which is more resistant to different
stresses, like drought, frost, pests and diseases.
Quality
The quality of agricultural products comprises many
characteristics, such as nutritional, organoleptic, hygienic and
functional properties. Often the amount of K required for optimum
yield is also sufficient to secure good quality. However, the need to
enhance fruit quality is sometimes more critical than other aspects
of yield production, especially when quality secures the best
economic return. In such cases more K is needed to ensure quality
than is needed for maximum yield. Such is the case for fruits, cotton,
potato, tobacco, turfgrasses, ornamentals and some food crops
(Kafkafi et al., 2001).
The crucial importance of K in quality formation stems from its
role in promoting synthesis of photosynthates and their transport to
fruits, grains, tubers, and storage organs and to enhance their
conversion into starch, protein, vitamins, oil etc. (Mengel and Kirkby,
1987). With a shortage of K many metabolic processes are affected,
like the rate of photosynthesis, the rate of translocation and enzyme
268
systems (Marschner, 1995; Mengel, 1997). At the same time, the
rate of dark respiration is increased. The result is a reduction in
plant growth and in crop quality. Potassium influences on quality
can also be indirect as a result of its positive interaction with other
nutrients (especially with N) and production practices (Usherwood,
1985).
Drought
Potassium controls water uptake, transport and utilization. It
regulates plant transpiration by controlling stomatal opening, thus
maintaining turgor, and reducing water loss and wilting. Plants
adequately supplied with K wilt less under water stress because K
has the major responsibility for turgor changes in the guard cells of
stomata during stomatal movements. The better the K supply of
plants the more rapid is the stomata movement: Potassium lowers
the amount of water lost through the leaves (transpiration) through
regulation of stomata opening and closure (Beringer and Trolldenier,
1978; Marschner, 1995; Mengel and Kirkby, 1987). The osmotic effect
of K also helps to extend the shelf life of leafy vegetables in particular.
Potassium helps to better use of water due to its multiple benefits
to roots, leaves and the whole plant. Regarding the positive effects
on roots, K promotes a rapid seedling development, providing good
early growth and quick cover of the soil thus decreasing water
evaporation from soil. Potassium helps in deep root growth: roots
penetrate deeper into the soil and make use of subsoil moisture.
Lastly, the more K inside the root cells, the more strongly roots
attract water from the soil due to greater osmotic gradient (Beringer
and Trolldenier, 1978; Marschner, 1995; Mengel and Kirkby, 1987).
Regarding the positive effects for the water regime at the whole
plant level, K has an osmotic effect in the plant sap, thus maintaining
cell turgor and retaining more water in the plant. Potassium also
induces earlier maturity, ensuring that the crop will get through the
critical pollination period earlier, escaping drought periods (Beringer
and Trolldenier, 1978).
While in good years response to K may be modest, in adverse
years its contribution will be substantial. Potassium provides some
insurance protection against difficult conditions. The positive effects
of K application on crop yields under drought conditions are illustrated
in the following table, which presents the results of a groundnut
experiment conducted in Junagadh, Gujarat (India) by the International
Potash Institute (IPI) and the Gujarat Agricultural University (Golakiya
et al., 1998).
269
Table 1. Effect of K application and cyclic dry spells on groundnut yields
(Golakiya et al., 1998).
Yield (kg/ha) Yield increase

Dry Spell
0 kg K2O/ha 60 kg K2O/ha %
Control 1,957 2,150 9.8
Single 1,486 1,613 8.5
Double 835 1,039 24.0
Triple 485 613 26.0
Groundnut yields were lower in dry years than in wet years but
the yield increases due to K application were higher in dry years.
Potassium cannot protect against extreme droughts but helps to
maintain yield levels in years of water stress. Good K management
can help farmers to reduce risks related to drought.
Pests and diseases
It has been recognized for decades that K enhances a plants
ability to resist pest and diseases. This is not isolated to a few crop
species, but comprises a wide range of both plants and pathogens.
The role of K in crop resistance to diseases was extensively examined
in an IPI review of 2450 literature references (Perrenoud, 1990). The
results showed that adequate amounts of K decreased the incidence
of fungal diseases by 70%, of bacterial diseases by 69%, of insects
and mites damage by 63% and of viruses by 41%.
Potassium enhances plant growth, ensuring a healthy crop, free
from stresses and much more resistant to attack from pests and
diseases. Potassium promotes vigorous growth to help plants
outgrow or escape damage, and also hasten early maturity, thus
reducing ineffective time for disease organisms.
Adequate K nutrition provides thicker cell walls, stronger stems
and stalks, and avoids sugar and unused N accumulation in the
leaves. Due to all these effects, plants are more resistant to entry
and infection by fungi, bacteria and viruses, and plants become
less palatable to insects (Kafkafi et al., 2001).
Potassium applications may not only result in higher yields as
a response to nutrition deficiencies, but also result in lower levels of
infestation from yield-limiting diseases. Application of K fertilizer is
not a substitute for fungicides, but an important component in the
integrated pest management (IPM), allowing reductions in the
fungicide doses and thus decreasing pesticide and hazardous
270
residues in food crops. This is in tune with stricter pesticide residue
regulations and the increased awareness of the consumers for healthy
and residue-free food.
Nitrogen and potassium relationship
Potassium and N are strongly associated in plant processes
and should be considered in conjunction. Firstly in terms of uptake,
both nutrients are needed in large amounts at the same time. N is
mainly taken up as the nitrate anion NO3- and K as the cation K+.
The balanced uptake of these nutrients in positive and negative
charged forms achieves neutrality in the plant. Nitrogen application
and uptake stimulates uptake of K and may be impeded if K is
limiting (Marschner et al., 1996).
Within the plant the complex formation of protein from nitrate
and its distribution around the plant are highly dependent upon
adequate K supply. If normal optimum rates of N are applied in the
absence of sufficient K, full response to N will not be obtained and
residues of N may remain and be leached at the end of the season
(Marschner, 1995).
Adequate K reserves are essential to achieve the best possible
response to N and increase maximum N efficiency. Where K reserves
had been depleted by not applying K in the past, applying the larger
amounts of N is both uneconomic and would have left a large residue
of nitrate at risk to loss by leaching. Large doses of fertilizer are
economically justified in the presence of K.
The ratio of N:K in plants plays an important role in the host/
pathogen relationship. Plants supplied with excessive N/deficient K
have usually a high content of low molecular assimilates such as
sucrose and amino acids because of impaired phloem transport and
N metabolism (Marschner, 1995; Marschner et al., 1996). The soft
and often injured tissue gives easy access to invading pathogens
and exhibit less chewing resistance. The content of repelling
secondary plant substances such as phenolic compounds is rather
low (Perrenoud, 1990).
IS THERE ENOUGH POTASSIUM IN THE SOIL ?
Potassium content in the soil is in average 1-5%. Its primary
source is the structural minerals of the soil such as micas and
feldspars. The supply of total K in soils is quite large; yet, relatively
small amounts are available for plant growth at any one time. Four
fractions of K exist in an equilibrium in the soil system: 1) Potassium
as a component of soil minerals, 2) Fixed K, 3) Exchangeable K and
4) Water soluble K (Sparks, 2002). The water soluble K is available
271
immediately to the plant and is susceptible to leaching. Plant roots
can absorb only the K ions (K+) dissolved in the soil solution, which
constitute only 0.1% of total soil K. The exchangeable K fraction
derives from the soil colloids (clays and humus), represents 0.1 to
2% of total soil K and is also available to the plant during the crop
cycle. The fixed K and mineral K are present in the soil in very much
greater proportions (90 to 98% of total K) and may provide a potential
supply to fractions 3 and 4. However, fixed K is only released in low
exchangeable K conditions, and mineral K is only released after
weathering, which is a very slow process (Mutscher, 1995; Sparks,
2002).
The various fractions and the passage between the different
fractions depend on the sand and clay components, and on clay
types; availability is also influenced by moisture. The vermiculite,
illite and smectite clays have very high natural levels of fixed and
exchangeable K. The sandy and organic soils have much lower
reserves of K, and in coarse textured soils, the soluble K is very
susceptible to leaching below the root zone (Mengel and Kirkby,
1987).
With depletion of the exchangeable fraction, the K release rate
from this fraction decreases as well. This restricts the replenishment
of solution K. There is also a substantial decrease in the K release
from the non-exchangeable or slowly available fraction. K uptake of
plants and thus plant growth declines rapidly with decreasing K
release. Furthermore, depleted soils possess a much higher K fixation
capacity than soils well supplied with K. To rehabilitate K depleted
soils is costly. Experiments with Indian soils showed that it requires
up to 5 times more units of K to increase the soil K by one unit in
contrast to soils with a good K status where 1.2 units of K was
enough to increase the soil K content (Srinivasa Rao and Khera,
1995).
In most of the intensive cropping systems, K balance is negative
since the additions of K seldom match the K removals resulting in
larger dependence on soil K supply. Under such conditions there is
greater pressure on non-exchangeable K for meeting the K
requirement of crops (Pasricha and Bansal, 2002). Long-term
intensive cropping, in the absence of K inputs, adversely affected
the K supply to crop plants and consequently crop yields.
Potassium removal and replenishment in the farming system
Potassium in fruits and agricultural produce is taken away from
the farm ecosystem at harvest, thus high quantities of K are removed
from the soil. The higher the yields, the higher the uptake of K. The
272
result: the K levels tend to decline over time, and soils can become
deficient in K. Without any replenishment of the K natural reserves,
yields and sustainability cannot be maintained in the long term.
Usually, the net removal of K is considerably greater than the input,
even where organic manures are applied. For example, wheat crop
removes approximately 30 kg of K per ton yield. A potato crop
yielding 70 ton/ha, containing 4 ton of K per ton tubers, removes
280 kg of K/ha. A citrus orchard also removes K in very large
quantities by harvest, requiring as much as 400 kg/ha supplied
annually by soils (1% K in fruit times 40,000 kg fruit/ha harvested)
(IFA,1992).
It is very important to supply the plants with the three essential
macronutrients (N, P and K) in a balanced way. For a proper crop
development, plants need to take up these nutrients at the required
levels, not only at their absolute required quantities, but also at their
relative ratio. The ratio between N, P and K uptake should be balanced:
for example, over-fertilization with N may lead to an excessive
vegetative growth relative to the fruit development; a P deficiency
can be a limiting factor of crop yields, even if N and K are at the
appropriate levels. An ideal and balanced ratio for vegetables is
1:0.3:1.3 N:P2O5:K2O. Over- fertilization with N and P must be avoided
not only from the economic point of view, but also to protect our
environment. Excess nitrates that are not taken up by plants can be
leached downwards to the groundwater thus polluting the aquifer.
The unused P can be carried away to lakes, rivers and water
reservoirs and can cause algae and weed growth, thus depleting the
water oxygen supply and killing fish and desirable vegetation
(eutrophication). In contrast with N and P, K poses no environmental
hazard or threat (Kafkafi et al., 2001).
The need to feed an increasing population in less available arable
land demands for a higher productivity. However, in order to achieve
a higher yield, the plant has to absorb more nutrients and ultimately,
more nutrients are removed from the field with the harvest. The
record harvest of maize and soybean in the Midwest USA during
2004 provides an excellent example of removal rates of P and K.
On an average, removal of P and K from 1 hectare of soybean
reached 52-88 and 92-148 kg P2O5 and K2O, respectively, while in
maize it reached 92-154 and 68-108 kg P2O5 and K2O, respectively
(PPI-PPIC, 2005).
Organic manures play a role in improving or maintaining K levels
in some extent, but the content of K in manures is low (0.5-3%). A
wasted resource of our time is sewage (sludge or biosolids from
municipal wastewater treatment plants), and while it has vast
273
potential, it largely remains unacceptable because the water
authorities are unable to control the heavy metal content. If there is
a negative balance of K in the soil, it is possible to turn it positive by
applying inorganic fertilizers like potassium chloride or potassium
sulfate.
Organic farming is another trend in cropping systems. A different
balance between inputs and outputs is achieved, but doubts over
the sustainability of the system arise. In 21 years of long-term
experiment conducted by FiBL (Forschungsinstitut für Biologischen
Landbau) in Switzerland, four basic treatments were compared: two
organic systems (biodynamic and bio-organic), and two conventional
systems (manure+mineral fertilizers and mineral fertilizers
exclusively). The results show that yields were 20% higher with the
two non-organic treatments. Depletion of nutrients was highest at
the two organic treatments (Figure 1), suggesting mining of soil N
and K at a level of 170 and 35 kg N and K2O/ha, respectively (Mader
et al., 2002).
4
7
Minera l + OM 4 Mg
-14
Bio-orga nic 7
Bio-dynam ic 75
50
Un-fe rtilized 95 Ca
-54
Minera l NPK 44
-10
-36
-83
-18 K
18
4
-4
-21
-7 P
7
-155
-173
-177
-154
N
-108
-200 -150 -100 -50 0 50 100 150 200
kg / ha / year
Nutrient balance in organic f arming 1978-1998

(Mader et al., 2002)
Figure 1. Nutrient balance in organic farming 1978-1998. (Mader et al.,

2002)
Potassium and sustainability of the farming system

Concerning the nutrient ratio in fertilizer use, Tamil Nadu has a
better N:K ratio in fertilizer use as compared to the other states in
India. The current K:N ratio in TN is N:K = 1:0.66. The KN ratio in
All-India is N:K = 1:0.13 (Fertiliser Association of India, 2004).
The obvious preference for N fertilizers and the sparse use of K
contradict the ratio at which crop plants absorb and remove the
nutrients from the field. Potassium is removed by the crop at about
274
the same quantity as N. Therefore, if per 1 kg N applied only 660 g
K2O are applied, as currently in Tamil Nadu, but crops remove both
nutrients at almost equal quantities, substantial soil K mining has to
be assumed. Farmers remove annually more K from the field than
they return with K fertilizers.
K budget in India farming indicates large deficit of K, i.e., K
output (crops yield, animal produce, K leaching) is higher than K
input (manures, composts, crop residues). In 1998, it was estimated
that a total of 13.7 million t K2O/ year was removed by crops in India
against a K fertilizer consumption of only 1.57 million t K2O. After
considering all the organic and inorganic additions, a net deficit of
7.05 million t K2O per year has been estimated, which means a
depletion of Indian soils at the rate of 37.5 kg K2O/ha/year (Pasricha
and Bansal, 2002).
Organic manure cannot compensate for the export of nutrients
via cash crops and nutrient losses. Simple calculation shows that if
organic manures need to supply all K requirements, there is a need
for a very large application rate as K content in these materials is as
low as 0.5-3%. It is also clear that with the widespread misuse of
farmyard manure as fuel, the increasing deficit in the K balance
cannot be closed with more use of organic manure, because of its
restricted availability as soil amendment.
A crop of rice contains about 34 kg K2O/ton produce, about 30
kg in the straw and only 4 kg in the grain (IFA, 1992). It is obvious
that the management of the crop residues will influence the K balance
in the soil. When the whole crop is harvested, as is the common
situation in India (the straw is used for fuel, cattle feed, etc), larger
amounts of K are removed and higher doses of K fertilizer will be
required to maintain an adequate supply in the available form for the
next crop. A simple balance calculation of soil K in intensive rice
systems typical to large areas in Asia was made by Dobermann and
Witt (2000). Clearly, the removal of straw from the field has a
significant impact on nutrient balance (Table 2).
Table 2. Estimated average input-output balance of K (kg/ha) in intensive
rice systems of South and Southeast Asia with an average yield
of 5.2 t/ha (Dobermann and Witt, 2000)
Input Output
Factor
(kg/ha)
Fertilizer 17
Farmyard manure 5
Net removal with grain 13
Net removal with straw 35
Balance -26
275
The negative balance may lead to insufficient soil K levels and
decrease in the yield, as K may become a limiting factor.
Sustainability of farm systems maybe questioned in the light of the
actual K mining from soil, which endanger arable soil fertility. This
deterioration of soil health is opposed to sustainability principles of
maintaining long-term soil fertility of agricultural production systems.
Potassium and the environment
To ensure healthy and nutritious plant growth, adequate supplies
of K must be maintained in the soil by judicious use of fertilizers and
manures. There are no environmental risks associated with this
nutrient (Beringer, 1992). In fact, K makes a positive contribution to
the environment by balancing other nutrients, especially nitrate, to
make sure they are taken-up and used by plants efficiently so avoiding
losses which might be harmful. Potassium helps plants reach
optimum productivity. High yielding grain crops leave more residues
on the land. These residues cover the soil and protect it from the
forces of erosion.
Potassium is not associated with any environmental or health
concerns. It has no known deleterious effect on the quality of natural
and drinking waters and it does not induce eutrophication in rivers
and lakes. Potassium ions leached into deeper soil layers and finally
reaching the aquifers presents no ecological threat, and K in drinking
water and/or food is no hazard for human health provided renal
function is normal (Beringer, 1992; Mengel, 1997). A diet high in K
has no harmful effect and is recommended for people suffering from
hypertension.
The European Union has amended the regulations that stipulate
target limits and maximum limits for a range of substances in drinking
water. There are no longer any limits for K in these regulations
reflecting the benign nature of this element in the environment and
to human health (Kafkafi et al., 2001). Potassium is not lost to the
atmosphere, as can occur with some N fertilizers under certain soil
and environmental conditions. Potassium fertilizers do not contain
any of the heavy metals that are considered toxic and environmentally
hazardous, and are not referred to as potential hazards in relation to
radioactive elements (Kafkafi et al., 2001).
Potassium responses in Tamil Nadu
According to a wide review on K status of Indian soils, based
on the soil content of available K and non-exchangeable K, Subba
Rao and Srinivasa Rao (1996) classified the red and lateritic soils of
276
Tamil Nadu as medium in available K but low in reserve K.
Field, horticultural and plantation crops responses have been
frequently reported in these soils (Subba Rao and Srinivasa Rao,
1996). The results of the experiments recently conducted by the
International Potash Institute (IPI) and the Tamil Nadu Agricultural
University (TNAU) support this diagnosis, and are presented here
below.
The effect of K application on sugarcane yield and quality was
studied in experiments conducted at Bhavanisagar Research Station
by IPI and TNAU (Karthikeyan et al., 2003). The results showed
that with a judicious combination of irrigation level and balanced
fertilization of K, along with N and P, it was possible to increase the
productivity of the cane along with juice quality, with a good economic
return to the farmer. Application of 225, 65 and 112.5 kg/ha of N,
Table 3. Effect of K application and different irrigation regimes on brix
content in the juice, commercial cane sugar content in the juice
and sugar yield at Bhavanisagar (Karthikeyan et al., 2003)
Irrigation
(IW/CPE ratio) K0 K1 K2 K3
Mean
K levels 0 56.25 112.5 168.75
(kg K2O/ha)
Brix content in the juice of sugarcane
I1 18.7 19.0 20.0 20.1 19.5
I2 20.0 21.2 21.3 21.5 21.0
I3 21.1 21.6 22.0 22.4 21.8
Mean 19.9 20.6 21.1 21.3
CD (P=0.05): I = 0.18 ; K = 0.21 ; I * K = 0.37

Commercial cane sugar content in the juice (%)
I1 11.4 11.5 11.6 11.8 11.6
I2 12.1 13.2 13.4 13.4 13.0
I3 13.0 13.5 13.8 14.1 13.6

Mean 12.1 12.7 12.9 13.6
CD (P=0.05): I = 0.17 ; K = 0.19 ; I * K = 0.34

Sugar yield (t/ha)
I1 6.74 7.32 8.30 8.62 7.74
I2 10.8 12.4 14.1 14.1 12.8
I3 14.3 16.1 18.1 18.7 16.8
Mean 10.6 11.9 13.5 13.8
CD (P=0.05): I = 0.32 ; K = 0.41 ; I * K = 0.69
277
Table 4. Grain yield (kg/ha) of rice as influenced by graded levels of K and method of application at two locations
on sandy clay loam soils of western zone in Tamil Nadu (Table 3).
throughout the cane growth resulted in better nutrition of sugarcane
in Tamil Nadu, Aduthurai and Pattukottai (Dakshinamoorthy, 2005)
P2O5 and K2O respectively under 1.0 IW/CPE ratio of irrigation

kg K2O/ha Kalathur soil series ( Aduthurai) Maddukur soil series (Pattukottai)
Application S1 S2 S3 Mean S1 S2 S3 Mean
K0 4136 4476 4845 4486 6560 6373 6587 6507
K50 4053 4026 4191 4090 6640 6320 6320 6427
K100 4217 4710 5010 4646 7547 7440 6960 7316

278
K150 4710 4822 4953 4828 6320 6800 6773 6631
K200 4181 4612 5007 4600 6827 6587 7067 6827
Mean 4259 4529 4801 4530 6779 6704 6741 6741
CD (p=0.05) K-253 S-196 K*S-NS K-514 S-NS K*S-NS
S1: N and K all at planting; S2: N and K in four equal splits, at planting, at active tillering, at panicle initiation and at first
flowering; S3: N and K in three splits, one at planting as soil application, one as foliar spray at flag leaf stage and the balance
as foliar spray at grain development.
The effects of K doses and method of application on rice yield
and quality were studied in experiments conducted at two research
stations by IPI and TNAU (Dakshinamoorthy, 2005). The results
showed there were significant increases in yield for K levels up to
100 kg K2O/ha at both sites (Table 4). Regarding the grain quality,
the results have shown that with increasing level of K application,
the chaffy grain count was reduced, indicating the importance of K
for grain development (results not presented).
Delivering, educating, sharing
Potassium fertilization is experimented by IPI in various regions
in the world, in a large array of crops, demonstrating the effect of K
on yield, quality, N and P use efficiency and resistance of plant to
pathogens. There is an acute need to build and fortify stable highway
bridges between research and extension. Through our network of
coordinators, IPI is trying to reach out to farmers, dealers, extension
officers, farmers cooperatives and foundations. Recently extension
activity in India was designed for women farmers. Quantifying these
communication channels is complex. We reach thousands of farmers,
hundreds of dealers, and many dozen of extension officers, research
fellows and others modifying the required communication structure
as needed.
The messages for each audience are different, yet integrated.
Dealers in India show interest in basic plant nutrition, whilst extension
officers in China are keen to learn automation of fertigation systems.
Farmers in Brazil are exploring the possible effect of K on
suppression of Asian rust disease; whilst researchers in Bulgaria
are interested in foliar application of K in order to sell their products
tin the European Union.
The new Information Technology developments enable us to
upload knowledge and content and make it available to all. Currently,
IPI has 3 web sites: 1) www.ipipotash.org , 2) www.ipichina.org (in
Chinese) in cooperation with the Ministry of Agriculture, China and
3) www.cnptia.embrapa.br/projetos/ipi/ in cooperation with the
Ministry of agriculture, Brazil (EMBRAPA).
Our large-scale activities in Asia are now supported with a new
initiative of extension work. Through our support in the International
Rice Research Institute (IRRI), we are now entering the new phase
of creating overall recommendations for SSNM in some 20 rice-
growing areas, holding workshops and training courses on SSNM in
six countries toward building researchextensionprivate-sector
partnerships for further dissemination of the practices to farmers.
279
IPI has long history in producing leaflets, brochures, reports, manuals,
extension kits and organizing workshops, training courses, farmers
days, symposia and conferences.
The need for a strong advisory systems that would help the
farmers in utilizing the best knowledge available by science, is vital
and most rewarding. IPI, through its vast scientific publications and
experience in extension work, is striving to assist and share this
experience with national and regional entities.
REFERENCES
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The Fertiliser Society Proceeding 328. 24 pp. The Fertiliser Society, York,
UK.
Beringer, H. and G. Trolldenier (1978). Influence of K nutrition on the response to
environmental stresses. In: Potassium Research Reviews and Trends.
pp. 189-222. International Potash Institute, Basel, Switzerland.
Dakshinamoorthy, M. (2005). Studies on potassium nutrition of rice in Tamil Nadu. IPI
Internal report (not published).
Dobermann, A., and C. Witt (2000). The potential impact of crop intensification on
carbon and nitrogen cycling in intensive rice systems. In: Carbon and
Nitrogen Dynamics in Flooded Soils (Kirk G.J.D.and D.C.Olk ed.). pp.1-25.
International Rice Research Institute, Makati City (Philippines).
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of India, New Delhi, India.
Golakiya,B., G.J. Hadvani, J.D. Gundalia and B.P. Talaviya (1998). Experiences on
potassium nutrition of groundnut at Gujarat. In: Balanced Fertilization in
Punjab Agriculture (M.S. Brar and S.K. Bansal ed.). pp. 179-192. Punjab
Agricultural University, Potash Research Institute of India and International
Potash Institute, Basel, Switzerland.
IFA (1992). World Fertilizer Use Manual. International Fertilizer Association, Paris,
France.
Kafkafi, U., G. Xu, P. Imas, H. Magen and J. Tarchitzky (2001). Potassium and
Chloride in Crops and Soils: The Role of Potassium Chloride Fertilizer in
Crop Nutrition. Research Topic 22, International Potash Institute, Basel,
Switzerland.
Karthikeyan, P.K., S.K. Bansal, P. Imas, M. Dakshinamoorthy and R.Krishnasamy
(2003). Effect of potassium fertilization on cane yield, juice quality and
economics of sugarcane grown on farmers fields in Tamil Nadu. Fertiliser
News, October 2003, pp. 31-38.
Mader, P., A. Fliebbach, D. Dubois, L. Gunst, P. Fried and U. Niggli (2002). Soil Fertility
and Biodiversity in Organic Farming. Science 296: 1694-1697.
Marschner, H. (1995). Mineral Nutrition of Higher Plants. 2nd ed. Academic Press,
San Diego, NY.
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Marschner, H., E.A. Kirkby, and I. Cakmak (1996). Effect of mineral nutritional status
on shoot-root partitioning of photoassimilates and cycling of mineral
nutrients. J. Exp. Botany 47: 1255-1263.
Mengel, K. (1997). Impact of potassium on crop yield and quality with regard to
economical and ecological aspects. In: Food security in the WANA region,
the essential need for balanced fertilization (A.E. Johnston, ed.). pp. 157-
174. International Potash Institute, Basel, Switzerland.
Mengel, K. and E.A. Kirkby (1987). Principles of Plant Nutrition. 4th Edition. International
Potash Institute, IPI, Bern, Switzerland. 685 p.
Mutscher, H. (1995). Measurement and Assessment of Soil Potassium. IPI Research
Topics 4. International Potash Institute, Basel, Switzerland.
Pasricha, N.S. and S.K. Bansal (2002). Potassium fertility of Indian bench-mark soils.
In: Potassium for Sustainable Crop Production (N.S.Pasricha and S.K.
Bansal, ed.). pp. 124-150. Potash Research Institute of India and
International Potash Institute, Basel, Switzerland.
Perrenoud, S. (1990). Potassium and Plant Health. 2nd edition. IPI-Research Topics
3. International Potash Institute, Basel, Switzerland.
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3BD4C65485256FB200700AFE8A9A8BB7.
Sparks, D. (2002). Dynamics of potassium in soils and their role in management of K
nutrition. In: Potassium for Sustainable Crop Production (N.S.Pasricha
and S.K. Bansal, ed.). pp. 79-101. Potash Research Institute of India and
International Potash Institute, Basel, Switzerland.
Srinivasa Rao, Ch. and M.S. Khera (1995). Consequences of potassium depletion
under intensive cropping. Better Crops, Vol. 79, pp.24-27.
Subba Rao, A. and Ch. Srinivasa Rao (1996). Potassium Status and Crop Response
to Potassium on the Soils of Agro-Ecological Regions of India. IPI-Research
Topics 20. International Potash Institute, Basel, Switzerland.
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281
CHANGING FACE OF SOIL FERTILITY AND
NUTRIENT MANAGEMENT
K. N. Tiwari1 and T. Nagendra Rao2
1
Director, Potash and Phosphate Institute of Canada India Programme
133, Sector 23 Gurgaon 122017
2
Deputy Director, PPIC-IP, Hyderabad
About 200 M t of foodgrain produced by Indias farmers is
intended to feed the countrys billion plus people - one-sixth of the
worlds population. With a population growth rate roughly estimated
at two percent a year, this translates into more than 18 million new
mouths to be fed each year or 26 babies born per thousand people
every year. If this rate of population growth continues unabated,
India will overtake China in population, but not in agricultural and
industrial progress. This is a matter of great concern.
India could produce three times more foodgrain by fully
exploiting the potential of its 50 M ha of irrigated land. However,
this increase in the yield would be accompanied by a similar increase
in nutrient removal by crops, and so the nutrient requirement would
increase by the same proportion. This growth will be a great
challenge because the compound growth rates in respect of
production and productivity of principal crops in India present a
gloomy picture (Table 1).
Table 1. Compound growth rates (% per year) of production and
productivity of principal crops from 1981/82 to 2000/01
Prod u ctio n Prod u ctivity
1981-82 to 1990-91 to 1981-82 to 1990-91 to

Crops 1989-90 2000-01 1989-90 2000-01
Ric e 3.55 1.74 3.47 0.92
Wheat 3.57 3.27 3.10 2.21
T otal c ereals 3.03 1.86 2.90 1.36
T otal puls es 1.52 -0.04 1.61 0.55
T otal foodgrains 2.85 1.66 2.74 1.28
Source: Agricultural Statistics at a Glance 2001, Directorate of Economics

and Statistics, Department of Agriculture and Cooperation, Ministry of Agriculture,
Govt. of India, New Delhi
Tamil Nadu is one of the agriculturally important states of

southern India having 5.5 million hectares of net cultivated area of
which 54 percent is irrigated. Major soils of the state are red, laterites,
black and alluvial soils. The principal crops grown are rice, sorghum,
finger millet, maize, pulses, oilseeds, cotton, sugarcane, plantation
282
crops like coconut, rubber, tea, coffee, fruits, vegetables, spices,
tubers etc., The share of area under food grains to gross cropped
area is 56 percent. A variety of cropping systems are in practice in
the state ( Table 2),
Fertilizer Scenario
Despite phenomenal rise in fertilizer use in India from 65000
tonnes in 1951 to 17.4 Mt (11.3 N+4.4 P2O5+1.7 K2O Mt) in 2002, a
rise of almost 270 times, nutrient additions generally fall short of
requirements. From the point of intensity of fertilizer use, which is
a better measure of adequacy of fertilizer application across crops
and regions, Indias position is not very comfortable as is its ranking
in total fertilizer consumption. Even in South Asia, India uses far
less fertilizer ha-1 year-1 than Sri Lanka, Bangladesh and Pakistan
and in most cases, soil nutrient balances in India are negative with
an annual deficit of 9-10 Mt N+P2O5+K2O- between crop removal
and fertilizer application. Nutrient wise apportioning of the 95 kg
NPK consumption ha-1 year-1 does not indicate match with the crop
requirements. For instance, crops K requirements are near identical
to N; for P these are three to five times less than either N or K.
Corresponding to need, use of N (60 kg ha-1) and P (23 kg ha-1) is,
respectively 7 and 2.6 times higher than K (8.8 kg ha-1). Precariously
poised K use with respect to N and P has been in existence for the
last 30 years. On an average, K use has been only one seventh of
N and about one-third of P. Although one may justify less emphasis
on K management in terms of existing soil fertility scenario, in the
long run its continuous mining is bound to flare up in intensity.
Indeed, such are results on NPK balance and their influence on
sustainable growth in productivity of crops. Generally, inclusion of
K in fertilizer treatment improved productivity.
Table 2. Tamil Nadu at a Glance
Net area sown 5.64 M ha

Area sown more than once 0.99 M ha
Total cropped area 6.63 M ha
Total irrigated area 3.64 M ha
Percentage of irrigated area 53.6 %
Area under foodgrains 3.68 M ha
Area under pulses 45,000 ha
Area under oilseeds 0.57 M ha
Area under sugarcane 0.31 M ha
Area under cotton 78.0 Thousand ha
Area under tobacco 7 Thousand ha
283
Fertilizer consumption 0.94 (0.50N+0.21 P2O5+0.23K2O)
(N+P2O5+K2O) M t
Fertilizer consumption 141.5 (76.2 N+31.0 P2O5+34.4 K2O)
(N+P2O5+K2O) kg/ha-1
N-P2O5-K2O Ratio Rabi 2.3:0.9:1
Kharif 2.0:0.9:1
Average 2.2:0.9:1
Soil testing labs 39 (24 STL + 15 mobile) Capacity
952,000 samples
Nutrient Balance, 000 t (+] 78N, [+] 35P2O5, [-] 236 K2O
Productivity t /ha Rice 3.4, P. Millet 1.52, Maize 1.62,
Ragi 1.72, G. Nut 1.77, Sugarcane
107, Cotton 285
Some trends in fertilizer nutrient consumption in India are shown

in Table 3.
Table 3. A summary of developments in fertilizer consumption in India
Item 1960-61 1970-71 1980-81 1990-91 2001-02

1 Consumption (000 t)
Nitrogen (N) 212 1,479 3,678 7,997 11,310
Phosphorus 53 514 1,214 3,221 4,382
(P2O 5)
Potassium 29 236 624 1,328 1,667
(K2O)
Total 294 2,256 5,516 12,546 17,360
2 Consumption (kg/ha-1)
N 1.39 8.92 21.22 43.1 58.7
P2O 5 0.35 3.26 7.00 17.3 22.8
K2O 0.19 1.43 3.60 7.2 8.7
Total 1.93 13.61 31.82 67.6 90.2
3. Ratio of P2O 5 0.37:0.16 0.37:0.16 0.33:0.17 0.40:0.17 0.39:0.14
& K2O
(N=1.0)
4. Highest 6.58 40.24 117.9 161.9 173.4
consumption Kerala Punjab Punjab Punjab Punjab
in a state
(kg/ha-1)
N+P2O 5+K2O)
284
Even though India is the third largest fertilizer user, average
rate of nutrient application is 90 kg/ha-1 (65% as N, 25% as P2O5,
10% as K2O), the consumption is highly concentrated in certain
areas and large areas receive very little fertilizer. Out of 496 districts
(sub-units of a state), 25% of total fertilizer is consumed in 38
districts, 50% in 99 districts and 75% in 197 districts. The average
rate of application is also indicative of few well-fertilized areas and
large areas receiving very small rates of application as shown below
and in Fig 1.
Fig 1. Distribution of districts according to level of fertilizer consumption.

Figures pertain to consumption/ha in terms of kg N + P2O5 + K2O
Less than 100 kg N+P2O5+K2O used in 61% districts

Between 100-200 kg N+P2O5+K2O used in 31% districts
Greater than 200 kg N+P2O5+K2O used in 8% districts
There is thus a large untapped potential. Its exploitation requires
an area-wise constraint analysis because if the fertilizer use pattern
is highly skewed, there must be reasons for this.
There is little resemblance between the pattern of NPK removal
by crops and their consumption through fertilizers with N dominating
nutrient additions and K dominating removals (Fig.2).
The fertilizer consumption in the country ranges from 1.1-325
kg N ha-1, 0.8-153.8 kg P2O5 ha-1 and 0.2-129 kg K2O ha-1. There is
disparity in consumption ratio of NPK (6.8:2.8:1 in 2001-02), which
is more pronounced in the northern states (29.1:10.9:1) indicating
highly imbalanced use of fertilizers.
There are a lot of disparities in the fertilisers consumption pattern
both between and within the eco-regions of the total 525 districts in
India. Nineteen districts consume more than 200 kg ha-1, 35 districts
between 150-200 kg, 75 districts between 100-150 kg and 132
285
districts between 50-100 kg ha-1. Further 84 districts account for 50
per cent of the total consumption. Average consumption of the
plant nutrients both in the western and eastern zones are far below
the national average of 90 kg ha-1 although these states have high
potential of using more mineral fertiliser.
Fig 2. The contrasting pattern of nutrient removal (left) and nutrient

consumption in Indian agriculture (right)
The current fertilizer use in Tamil Nadu is 112 kg ha-1 consisting
of 60.1, 24.6 and 27.3 kg ha-1 N, P2O5 and K2O respectively, the
N:P2O5:K2O use ratio being 2.2:0.9:1.0. While most of the nitrogen
is applied in the form of urea, the major phosphatic and potassic
sources continue to be DAP (46% P2O 5) and muriate of potash
(60% K2O), respectively. This ratio is certainly much better than
the northern states mainly because southern region has high value
crops where the crops are being fed better than the cereals, oilseeds
and pulses dominated cropping systems in the northern region.
The data on NPK use pattern in southern states are given in
Table 4.
Table 4. Statewise consumption of P2O5 and K2O in relation to N (2001) in
southern region
State in N kg P2O5 State in N kg K2O

descending applied applied/ descending applied applied/
order of P kg ha-1 100 kg N order of K kg ha-1 100 kg N
Karnataka 54.5 53.8 Kerala 26.2 83.2
Kerala 26.2 48.9 Tamil Nadu 76.2 45.1
Pondicherry 317.4 47.3 Pondicherry 317.4 39.7
Andhra 86.8 46.1 Karnataka 54.5 32.5
Pradesh
Tamil Nadu 76.2 40.7 Andhra 86.8 19.1
Pradesh
All India 58.7 38.8 All India 58.7 14.8
286
Miseries of Nutrient Management
Low factor productivity : After enjoying the fruits of Green
Revolution, a decline in the rate of growth of foodgrain production
has been observed during recent past in respect of productivity
and input response or factor productivity. According to NAAS (1997)
the 90s have witnessed a depressed rate of growth of yield and
production levels. Rice production and productivity increased at an
annual compound growth rate of 3.62 and 3.19 per cent in 80s
which fell, respectively to 1.61 and 1.34 per cent in 90s (up to
1996-97). Wheat productivity decreased from 3.1 in 80s to 2.32
percent in the 90s.
Inadequate and unbalanced use of fertilizers : The fertilizer
consumption in the country ranges from 1.3-299 kg N, 0.5-89 kg
P2O5 and 0.2-95 kg K2O ha-1. There is disparity in consumption ratio
of NPK (8.5:3.1:1 in 1998-99), which is more pronounced in the
northern states (37.1:8.9:1), indicating highly imbalanced use of
fertilizers.
Application of fertilizer nutrients is highly skewed in favour of
N with K application being infinitesimally small.
Nutrient mining : For last 25 years, the Indian soils have
been experiencing on an average a net negative balance @ 8-10
Mt of nutrients annum-1 If any plant nutrient, whether a major or a
micronutrient, is deficient, crop growth is likely to be affected. At
least until recently, the nutrient mix which gives the optimum
economic return was the norm in North America, Europe and other
regions with intensively managed agriculture. Advisory programmes
were supported by a large number of field trials and by the advisory
services of governments and of the fertilizer industry activities which
are now greatly reduced.
In developing countries like India the scarcity of finance led to
different economic considerations. The return per hectare was of
less importance than the highest short-term return on the money
invested in fertilizers. The least available nutrient, generally nitrogen,
offering the highest return, was applied preferentially. Nitrogen
fertilizers tend to be preferred by farmers, because of their relatively
low cost per unit of nutrient, their widespread availability, and the
quick response of the plant. This might have been the right choice
at the start, but after several years of mining them, other nutrients
started limiting the crop growth as well, thus depressing the
efficiency of the N applied. In the meantime, unbalanced fertilizing
practice had become a deep-rooted habit.
287
Data related to nutrient balance in Tamil Nadu agriculture given
in Table 5 indicate heavy mining of potassium due to inadequate K
supplementation.
Table 5. Balancesheet of NPK in Tamil Nadu Agriculture
State Nutrients (000 t) Mining

Addition Removal Balance index
(R/A)
N 483.7 405 78.7 0.84
P2O5 145.1 111 34.1 0.76
K2O 162.2 398 -235.8 2.45
NPK Total 791 914 -123 1.16
Source : Savithri & Santhy (2001)
Current levels of N and P applied are sub-optimal and

unbalanced, both under irrigated and rainfed conditions. The
increasing gap is one of the major causes of soil nutrient depletion,
declining soil productivity and decreasing yield response to applied
urea. Per year, about 28 Mt of nutrients are removed by crops while
only 18 Mt are applied.
In a 1995 FAO document Rice and the Environment: Production
Impact, Economic Costs and Policy Implications it is stated that
incorrect fertilizer use in much of Asia, unbalanced in favour of
nitrogen, results in lodging, greater weed competition and pest
attacks, with paddy yield losses of about 20 per cent, but reaching
as much as 50 per cent.
Fertilizer use has been increasing rapidly in India over many
years but there is a stagnation of crop production. This seems to
be due largely to the incorrect use of fertilizers. Farmers have been
applying high amounts of nitrogen, but only small quantities of
phosphate. Other fertilizers, such as potash and micronutrients are
hardly used at all. Organic sources are not being properly integrated
with mineral fertilizers. Under such conditions, the soil is getting
depleted and it takes now more nitrogen every season to obtain the
same crop.
Low fertilizer use efficiency : It is estimated that the response
in terms of kg foodgrain per kg of nutrient declined from 16.0 in
seventies to 8 in ninties. It is well documented that fertilizer N use
efficiency seldom exceeds 40 per cent under lowland and 60 per
cent under upland conditions. In case of P and micronutrients
fertilizers, the efficiency hardly exceeds 20 and 2 per cent,
respectively even in the best-managed package of practices.
288
Declining crop responses to fertilizers are inevitable if the
application of nutrients is repeatedly unbalanced and does not
correspond to the needs of the soil and the crops grown upon it. A
crops overall demand and the amount removed from the soil must
be replaced sooner or later if soil fertility levels are to be maintained.
Unless the plant nutrients removed by the harvested crops and
otherwise lost to the ecosystem are replaced, the agricultural
production system cannot be sustained indefinitely.
The oldest continuous fertilizer experiment in the world at
Rothamsted in the U.K. shows that, where mineral fertilizers have
been continuously used for more than 150 years, the soil is more
productive now than at any time in the past. At the Askov
experimental station in Denmark, after 90 years, the plots receiving
NPK fertilizers had an 11 per cent higher organic C content than the
control plots. In Japan (Suzuki, 1997) in a long-term trial, after 50
years of NPK fertilization there was no decrease over the years in
the fertilized plots. The yield without fertilizer was about 40 per
cent of that of the fertilized plot. At Grignon, in France, wheat grown
on plots without fertilizer since 1875 yields about 700 kg ha-1 whereas
NPK fertilized plots give over 7000 kg ha-1. The findings of the long-
term fertilizer experiments of India are in conformity with these
observations.
The importance of soil amendments as a support for balanced
fertilization should not be forgotten. Most of the nitrogenous
fertilizers, especially ammonium sulphate and to a lesser extent
ammonium nitrate, acidify soils, although some soils are naturally
able to cope. The use of organic residues at normal levels of
application may help; they are unlikely to avoid acidification but
may slow the process. The acidifying effects of nitrogenous fertilizer
can be corrected if lime is economically available and is applied. In
a long-term experiment at Ranchi, with the continuous application
of fertilizers without lime, yields fell to zero. When the soil pH was
kept near to the optimum, the system became sustainable. In the
humid tropics, the lime requirements are high and the effect may
not last long due to leaching losses. Unfortunately in many
developing countries agricultural lime is not available at an economic
cost. It may be necessary to take other measures (which?) to
alleviate of aluminum toxicity and/or calcium deficiency.
Changing Soil Fertility Scenario
Indian agriculture is operating under the pressure of multi nutrient
deficiencies. Nitrogen deficiency in soils is almost universal. In the
plains, medium-high yields cannot be obtained anywhere without N
application. Phosphorus deficiencies are not far behind those of N
289
as in 95 per cent districts, the P fertility is either low or medium.
This is alarming because P is the backbone of balanced fertilizer
use.
Many years ago, it was found that out of 361 districts, soils in
47 districts were of low K status, in 192 were medium and in 22
districts were high in K fertility. Since then K deficient areas have
increased and crops in many areas are responding to K where they
were not responding some years ago. Although K deficiency is not
as widespread as that of N and P, many research data show that
soils which are initially rich in K (high K soil test) become K-deficient
due to heavy removal of K by harvested crops and inadequate K
application. Crops in general remove as much or more K than they
remove N but average consumption of K2O ha-1 is still 8.7 kg while
that of N is 58.7 kg ha-1 at a highly unbalanced N:K2O ratio of 7:1. In
the long-term fertilizer experiments, there are indications that when
exchangeable K is not rapidly replenished, crops start drawing on
the non-exchangeable K, resulting in soil mining and depletion of
soil K reserves.
With intensive cultivation of high yielding varieties deficiencies
of secondary and micronutrients caused declining productivity of
crops in many soils. Among secondary nutrients, sulphur deficiency
is an important problem in many states and soils in 130 districts
are considered to be suffering from S deficiency to varying extent.
Indications are that S deficiencies will become even more important
in coming years and in such areas the balanced fertilizer use will
have to include S alongwith NPK application. Though it is believed
that magnesium deficiency occurs in acid soils or where
exchangeable Mg is below 1 meq 100 g-1 or less than 10 per cent of
soil CEC is occupied by Mg++ but the problem seems to be of
greater magnitude than expected. It is a problem not only in several
acid soil areas in the south and north-east but the crops grown in
intensive agricultural areas in Indo - Gangetic plains have shown
significant responses to applied magnesium. These indications
emphasize the need for looking the importance of Mg from plant
nutrition view point. It is felt that balanced fertilization with NPK in
soils with marginal Mg availability would need Mg fertilization as a
corrective measure for hidden or apparent deficiency of magnesium.
Soil scientists should seriously look into this problem.
Among micronutrients zinc deficiency was found most common
problem. Its deficiency, 48 per cent assessed based on analysis of
2.50 lakh surface soil and 44 per cent based on 25400 plant samples
and 69% through biological responses in 5800 field experiments
confirmed that 50 per cent of the Indian soils are deficient in zinc
and about 20% soils had hidden hunger. Response to zinc application
290
in wheat, rice, maize, barley, finger millet, oilseeds, pulses, pearl
millet and cash crops were highly economical (Singh 1999).
Next to zinc, boron deficiency is wide spread in many soils
leading to low crop yields. Of the 36825 surface samples analyzed,
33 per cent soil samples were found to be deficient in available
boron. Its deficiency in divergent soils was found to be 2 per cent in
hot arid ecoregion with desert and saline soils. While extensive
deficiency (39-68%) has been recorded in red and lateritic soils and
leached and acidic soils of hot semi-arid eco-region with shallow
and medium black soils, hot sub-humid eco-region with alluvium
derived soils, hot sub-humid to humid (inclusion of per-humid) eco-
region with alluvium derived soils, warm per-humid eco-region with
brown and red hill soils and warm per-humid eco-region with red
and lateritic soils and highly calcareous soils of hot sub-humid eco-
region with alluvium derived soils and warm sub-humid to humid
with inclusion of per-humid eco-region with brown forest and podzolic
soils covering Bihar and of hot arid eco-region with desert and saline
soils in Saurashtra. Unfortunately, we have not done desired
research on this important nutrient probably because the soil and
plant analysis for B needs special care and precaution. So the
micronutrient researchers in India seem satisfied with the research
confined to Zn, Fe, Cu and Mn. It is now important to look into
emerging problems of B under actual field conditions seriously for
which systematic delineation of B deficient areas basd on reasonable
number of soil and plant analysis and assessment of B requirements
of crops grown in varying soils and management practices would
essentially be needed.
Iron deficiency in calcareous soils of Bihar, Tamil Nadu, Gujarat,
Madhya Pradesh, Punjab and Haryana is common in rice, wheat,
maize, sorghum, finger millet, lentil, chickpea, soybean, urdbean,
groundnut, sunflower and sugarcane. Soil application of iron proved
strikingly inferior to three foliar sprays of 1-2 per cent and un-
neutralised ferrous sulphate solution. Green manuring or use of
FYM in rice markedly decreases the severity of Fe chlorosis in
rice. For sorghum both soil and foliar application of Fe proved equally
efficient. Soil application of zinc, boron and sulphur was found more
effective than their foliar application and vice-versa for iron and
manganese. The current emphasis to double the food production to
meet the food requirement of ever increasing country population
will further accentuate emergence of multi-micro and secondary
nutrient deficiencies in various soils. Nutrient indexing programme
needs to be initiated to forecast multi-nutrient deficiencies precisely
for adopting timely suitable corrective measures in given soil-crop-
management systems, agro-ecological regions. Systematic
291
research is needed to enhance use efficiency of micronutrient
fertilizers.
Nutrient Management Strategies
The objective of nutrient management strategies is to achieve
the required crop yield in an efficient, economical and sustainable
manner through removal of constraints including nutrient
deficiencies. The concepts set out by TAC (1989), which are quite
relevant to many countries state that The goal of sustainable
agriculture should be to maintain production at levels necessary to
meet the increasing aspirations of an expanding world population
without degrading the environment. A major constraint to
sustainability in India is poor soil fertility. A crops overall demand
and the amount removed from the soil must be replaced sooner or
later if soil fertility levels are to be maintained. In the world as a
whole but especially in the developing countries like India, year
after year, far more nutrients are being extracted from soils than
are being replenished.
Correction of nutrient deficiencies and toxicities is a basic
requirement but in order to be effective, these need the support of
complimentary inputs. Integrated technologies for increasing
productivity and sustainability of agriculture need to be adopted.
For example soil amendments (gypsum in sodic soils, lime in acid
upland soils), moisture conservation in the semi-arid and arid regions,
efficient application of water in irrigated areas, use of organic
manures in coarse-textured soils pave the way for higher nutrient
use efficiency. Putting fertilizer without lime in an acid soil or without
gypsum in a sodic soil is not a sound decision. It is unfortunate
that the marketing and distribution of soil amendments has received
far less attention than that of fertilizers in India. If constraints are
to be removed, then the inputs and resources needed to do so
should be easily available to the cultivators.
Rational use of fertilizer and manure for optimum supply of all
essential nutrients for agricultural production which simultaneously
ensures efficiency of fertilizer use, promotes synergistic interactions
and keeps antagonistic interactions out of the crop production
system would be essential and inevitable for balanced fertilization.
Balanced fertilization enhances crop yield, crop quality and farm
profits; corrects inherent soil nutrient deficiencies, maintains or
improves lasting soil fertility, avoids damage to the environment
and restores fertility and productivity of the land that has been
degraded by wrong and exploitative activities in the past. It is not a
static but a dynamic concept. It should not mean that every time a
crop is grown, all the nutrients should be applied in a particular
292
proportion; rather fertilizer application should be tailored to the crop
needs keeping in view the capacity of these soils to fulfill these
needs. To achieve this, it is necessary to keep an overall balance
in a total cropping system. This may indicate the need for the
application of different nutrient at specific times, in a particular
order to derive the maximum benefit from the application of a given
quantity of nutrients.
Katyal (2001) based on the past 20 year trends of nutrient
consumption in India estimated 1999 consumption of 18.07 Mt of
fertilizer NPK to increase in 2020 to 29.07 Mt (20.74 N + 6.77
P2O5+ 2.06 K2O Mt). Against this projected use, crop uptake related
removals calculated by the method suggested by Tandon and
Narayan (1990) summed up to 37.46 Mt of NPK (11.87 N + 5.27
P2O5 + 20.32 K2O Mt). The aggregate negative balance of 8.39 Mt
of NPK represented excess use of 8.9 Mt of N and 1.5 Mt of P2O5
and a deficit of 18.3 Mt of K2O. Alarming statistics of K mining of
soils parallel the strikingly low use of K than crop needs. Also, it
appears that typically N and to some extent P is being used in
excess of crop removal.
Besides this, continuous mining of secondary and
micronutrients has depleted nutrient reserves of soil. Apparently, in
India, the main environmental hazard is the depletion (mining) of
soil nutrients due to inadequate replenishment rather than pollution
due to their excessive use. Depleting a soil of its nutrient reserves
is also degradation of the environment while improving soil fertility
is part and parcel of improving the natural resource base, and hence,
the environment itself.
Some environmentalists claim that nutrient inputs to agriculture
are too high, causing severe damage to the environment. However,
one should not forget that the primary goal of agriculture is to produce
enough food of reasonable quality for a rapidly growing population.
The relationship is simple: increased food production implies larger
nutrient off-take from agricultural land through the harvested
products. It may be obtained by increasing the area or the yield
(output per unit area). Since the good soils are mostly cultivated
already the most realistic long term strategy is to increase amounts
and/or efficiency of applied nutrients. The fact that soil and water
resources are very limited, resources on a global scale makes high
productivity and large yields per unit area even more important in
the future. High productivity and large crop yields require efficient
nutrient utilization, which is one of the main goal of the balanced
fertilization concept.
293
Balanced Fertilization : Concept
The idea of balanced fertilization is not new. In fact Justus von
Liebig, a German chemist, defined the Law of the Minimum in 1967.
He outlined the need to provide plants with a correct balance of
nutrients. Liebig recognized that any one deficiency could limit
growth and leave other available nutrients unused or poorly utilized
by the plant. This concept is equally applicable in todays modern
agriculture. The process of balancing crop nutrients involves
adjustment of fertilizer recommendations to a particular crop yield
goal, fertilizer availability, or resource level of the farmer. This process
can be achieved using response curves established through well
conducted research.
In fact, the principle of the Law of the Minimum can be applied
to any factor that could limit yield (water, far mer, management,
temperature, soil physical constraints, etc.). These types of limiting
factors are found in every farmers field. This lends credibility to
the saying that every field has something limiting yield. Liebigs
Law of the Minimum focused only on plant nutrients, but the principle
fits other conditions in cropped fields. Agricultural extension
agencies should use this knowledge to assist farmers in adapting
to different cropping situations and to focus on correcting limiting
factors. This tool will enable farmers to obtain their highest yield,
fertilizer use efficiency, and profit.
Balanced Fertilization and Agricultural Production
Nutrient uptake in intensive cropping systems : Knowledge
of nutrient removal under intensive cropping systems is important
for developing future nutrient management strategies. Estimates
of nutrient uptake for a number of intensive cropping systems in
India in Table 6 show that N removal can reach 328 kg ha-1 year-1 in
rice-wheat-green gram rotation, P removal can reach 150 P2O 5
kg ha-1 year-1 and K removal up to 389 kg K2O ha-1 year-1 in (rice-
wheat-cowpea fodder) and annual NPK uptake of 438 to 814 kg
ha-1 under high intensity cropping (i.e., two to three crops per year).
Production of 8 to12 t grain ha-1 is associated with N uptake of 139
to 328 kg ha-1, P uptake of 70 to120 kg P2O5 ha-1 and K uptake of
202 to 389 kg K2O ha-1. These figures serve as a guideline for
fertilizer recommendation.
Balanced fertilization is the key to increased plant use efficiency
of applied nutrients. A balanced fertilization programme does more
than simply replace the amount of any nutrient removed by the
crop. It ensures that fertilizers are applied in adequate amounts,
294
and correct ratios for optimum plant growth. And, it ensures,
sustenance of soil and crop productivity.
Table 6. Nutrient uptake in high-intensity and inter-cropped systems in
India
Nutrient uptake, kg/ha/year
Cropping System Yield, t/ha N P2O5 K2O
Total
Rice-wheat 8.8 235 92 336 663
Maize-wheat 7.7 220 87 247 554
Pigeonpea-wheat 4.8 219 71 339 629
Rice-rice 6.3 139 88 211 438
Soybean-wheat 7.7 260 85 204 549
Maize-wheat- 8.2 306 62 278 646
greengram
Rice-wheat-greengram 11.2 328 69 336 763
Maize-potato-wheat 8.6 + 268 96 358 722
11.9(t)*
Rice-wheat-cowpea 9.6 + 3.9(f) 272 153 389 814
Rice-wheat-maize 9.3 + 29(f) 305 123 306 734
cowpea
*t and f represent tuber and fodder yield, respectively.
Balanced fertilization, used in conjunction with other best

management practices (BMPs), is essential for optimum N utilization.
It should take into account the crop removal of nutrients, the
economics of fertilizers and profitability, farmers investment ability,
agro techniques, soil moisture regime, weed control, plant protection,
seed rate, sowing time, soil salinity/alkalinity, physical environment,
microbiological condition of the soils, soil status of available
nutrients, cropping sequence, etc. The BMP production systems
will encourage quicker ground cover, more crop residues, greater
root growth and more leaf area, all of which will improve N use
efficiency and reduce erosion
Applying correct amount of fertilizer is important, because,
withholding needed plant nutrients can be just as damaging as
excessive application. Poorly nourished crops leave less residue
to hold soil in place and build organic matter levels.
Importance of Potassium in Tamil Nadu Agriculture
The amount of potassium removed through crop harvests is
quite large (Table 7). In most of the crops potassium removals are
much larger than nitrogen.
295
Table 7. Potassium removals relative to N and P for major crops of Tamil
Nadu.
Crop &
No. Removal in kg/ton produce Ratio in relation to N
Plant
N P2O 5 K2 O N P2O 5 K2 O
1. Rice Paddy 20.1 11.2 30.0 100 44.7 149.3
2. Sorghum Grain 22.4 13.3 34.0 100 59.4 151.8
3. Maize Grain 26.3 13.9 35.8 100 52.8 136.1
6. Finger millet Grain 29.8 11.3 39.0 100 37.9 130.8
7. Chickpea Grain 46.3 8.4 49.6 100 18.1 107.1
8. Groundnut Grain 58.1 19.6 30.1 100 33.7 51.8
9. Soybean Grain 66.8 17.7 44.4 100 26.5 66.5
10. Mustard Grain 32.8 16.4 41.8 100 50.0 127.4
11. Castor Grain 30.0 12.0 10.0 100 40.0 33.3
12. Sunflower Grain 56.8 25.9 105.0 45.6 184.8 56.8
13. Cotton Seed 44.5 28.3 74.7 100 63.6 167.8
14. Sugarcane Cane 1.7 0.2 2.0 100 11.8 117.1
15. Potato Tuber 3.9 1.4 4.9 100 35.9 125.6
16. Cassava Tuber 7.8 1.2 5.1 100 15.4 65.4
17. Grapes Fruit 4.9 1.5 5.9 100 30.6 120.4
18. Banana Fruit 8.2 3.0 32.3 100 36.6 393.9
19. Tomato Fruit 4.1 1.5 5.9 100 36.6 393.9
20. Tea Made
110.0 38.0 44.0 100 34.5 40.0
Tea
21. Coffee Clean
37.0 6.0 47.0 100 16.2 127.0
beans
22. Tobacco Leaf
17.0 5.0 26.0 100 29.4 152.9
(dm)
23. Coconut 1000
7.1 3.5 10.7 100 49.3 150.7
nuts
24. Cardamom Pods 122.0 14.0 200.0 100 11.5 163.9
25. Cashewnut Nuts 88.0 25.0 42.0 100 28.4 47.7
Potassium Fertility Status of Soils

The research findings indicate that the Tamil Nadu soils are
being mined of potassium over time due to intensive crop cultivation
and insufficient K application. Recent soil test reports indicate that
large percentage of soil samples are in the category of medium
potassium fertility indicating the need of potassium fertilization.
Over 60 percent samples rated as low and medium in potassium.
296
Soil analyses in all 17 districts, 10 districts viz. Kancheepuram,
Cuddalore, Salem, Dharmapuri,Erode, Ramanathapuram,
Virudhunagar, Tirunelveli, Tuticorin and Kanyakumari are falling
under either low or medium categories. This situation is quite
alarming. Apparently, there is strong need to improve potassium
fertilization to enhance crop production and maintain soil fertility
for sustainable high yield agriculture in Tamil Nadu. The districts
Vellore, T.V. Malai, Tiruchirapalli and Thanjavur have over 60 percent
samples rated high in potassium.
Crop response and profitability to applied potash
As Tamil Nadu is capable of growing variety of high yielding,
high value crops, the K removal from crop harvests is bound to be
high. For example, Finger millet cowpea -maize cropping sequence
takes up 267 kg potassium from each hectare of land. As crop
yields of the state are progressively increasing over the years, the
magnitude of responses to applied potash is also showing increasing
trend. Researches indicate that potash application is not only
beneficial to crops but also highly remunerative to the farmers of
Tamil Nadu (Table 8).
Potash application at higher rates in crops of Tamil Nadu is
essentially needed to prevent potash depletion and ensure achieving
high yields, high produce quality and high farmers profits.
Fertilizing for High Crop Yields
From thousands of fertilizer experiments conducted on farmers
fields it has now been very well established that the application of
balanced NPK dose produced the highest yield of the crops while
imbalanced fertilization reduced the yield. Inadequate use of
phosphorus and or potassium becomes responsible for significant
reduction in crop yields. Data from a number of permanent fertilizer
experiments conducted at different locations in the country recently
showed that the crop yields even under recommended doses of
NPK are low and the super-optimal doses of NPK fertilizers (150%
optimum NPK) substantially increased the crops yield over optimum
dose. Apparently, there is need to refine the NPK recommendations
by increasing the dose to achieve optimum yield.
An elaborate program of monitoring changes in soil fertility
should be established which can serve to periodically revise nutrient
application rates to achieve maximum fertilizer efficiency,
profitability, yield sustainability and high quality so that todays
maximum yield could be transformed into tomorrows average yield.
297
Table 8. Crop response to applied potash in Tamil Nadu
CROP N-P2O5-K2O YIELD INCREASE NET
DOSES (kg/ha) IN YIELD RETURNS
(kg/ha) DUE TO K DUE TO K
(Rs./ha)
Rice 200-75-0 4,880
(kharif) 200-75-100 7,934 3,054 5,835
Rice (rabi) 200-75-0 4,820
200-75-100 6,973 2,153 5,672
Tobacco 60-125-0* 2,220
60-125-150* 2,530 310 8,592
Cotton 200-150-0 1,840
varieties 200-150-100 2,930 1,090 26,489
Cotton 200-150-0 2,430
hybrids 200-150-100 3,810 1,380 33,989
Potato 240-240-0** 32,180
240-240-240** 50,290 18,110 47,805
* 50 & 150 kg ha-1 Mg and S respectively

** 48 & 80 kg ha-1 Mg and S respectively
Sources: PPIC supported research projects at TNAU, 1997-2003
Long-term fertilizer experiments: Learning the right lesson

Findings from long-term fertilizer experiments clearly show how
high productivity in an N-driven system will be short-lived and
counter-productive regarding narrow food security goals. Continuous
use of N in unbalanced fertilizer regimes can never sustain high
yields. Adequate P and K, and any other deficient nutrients must
be provided to secure food availability, the environment, and farmer
income at levels the country requires.
L ong Term Experiments in Tamil Nadu
The first long-term fertilizer experiments were started at
Coimbatore during British period in 1909 and remained in operation
till 1970. The plots received irrigation till 1937 only and were
maintained under rainfed conditions later on. The results of these
experiments (Table 9) clearly show similar trends as the present
series of Long Term Fertilizer Experiments (LTFE) (Table 10)
(Nambiar 1994). As the level of application of NPK in these
experiments was low; N (25 kg), P2O5 (67 kg), K2O (60 kg ha-1) so
the highest crop yield levels with NPK were 1613 kg for sorghum,
1720 kg for finger millet and 622 kg for cotton against 591, 549 and
282 kg, respectively in the control (unmanured) (Table 9). The yields
with FYM were highest because of very high dose of manures
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13 t ha-1, which supplied 3-4 times more nutrients besides producing
beneficial effect on physical conditions of soil and its water holding
capacity. The yields for sorghum, finger millet and cotton with FYM
were 1819, 1664, 622 kg ha-1 respectively. The higher responses to
NPK over NP and of NP over N indicated that deficiency of P and
K was of higher magnitude but higher yields were obtained only by
joint application of all the three major nutrients. Unfortunately, these
experiments were abandoned and we missed valuable information
perhaps more important than the classical Rothamsted (UK)
experiments.
Table 9. Average yield of crops (kg ha-1) from the old permanent manural
experiments over the years (1909-1970) at Coimbatore
Treatment Sorghum Fingermillet Cotton

CM (FYM) 1819 1664 622
NPK 1613 1720 466
NP 1609 1657 513
K 1329 834 334
PK 934 1456 376
NK 888 697 344
CMR 711 800 463
P 704 1000 261
N 695 639 308
Unmanured 591 549 282
(control)
N = 25 kg N ha-1; P = 67 kg P2O5 ha-1;K = 60 kg K2O ha-1; CM = Cattle manures
(FYM) 13 t ha-1; CMR = Cattle manure (residue)
New Long-Term Fertilizer Experiments at Coimbatore

The new long-term fertilizer experiment (LTFE) was started at
Coimbatore at a new site with intensive cropping system of finger
millet-maize-cowpea on a medium black soil (vertic Ustochrept)
under irrigated condition. In 1987, cowpea was excluded because
of the operational difficulties with three crops in the rotation and the
experiment is continuing with 2 crops finger millet- maize rotation.
The data are given in Table 10. The doses of fertilizer applied are
also shown in the same.
From the mean grain yield data for finger millet , maize and
cowpeas for the period 1971-87 (Table 10) it is evident that the
increase in yield in all the 3 crops over the untreated control were in
the order: NPK + FYM > NPK > NP> N> control. Application of N
alone was only slightly better than control but NP and NPK treatments
gave nearly 4 times higher yields as compared to control. Though
299
NPK was slightly better than NP but the differences between NPK
and NP were small. These results show that the deficiency of P
was most serious but that of K only marginal. The NPK + FYM
treatment was best of all and it produced nearly one tonne more
grain over the NPK treatment. The most beneficial effect of FYM
over NPK treatment could be partly due to large amount of additional
nutrients ( major, secondary and micronutrients) supplied by it and
partly due to its effect on soil structure and improvement of other
physical conditions of the soil. However, availability of organic
manure in such a heavy amount is a great challenge.
Table 10. Mean grain yield (kg ha -1 ) of crops under various fertilizer
treatments in long term fertilizer experiment at Coimbatore
(1971-1987)
Crop Mean yield (kg ha-1 ) 1971-87

Untreated N NP NPK NPK +
control FYM
Fingermillet 687 945 2640 2604 3093
Cowpea 193 258 536 542 625
Maiz e 585 703 2666 2902 3388
Total yield of 1272 1648 5306 5506 6481
fingermillet + maiz e
Total (finger millet + 1465 1906 5842 6048 7106
maize + cowpea)
food grains
Amounts of nutrients applied to different crops

N P2O 5 K2 O FYM
(kg ha-1) (kg ha-1 ) (kg ha-1) (kg ha-1)
Fingermillet 90 45 17 10-15
Cowpea 25 50 0 0
Maize 135 67 35 0
Total 250 162 52 10-15
Source: Nambiar (1994)
It is evident that the response ratio is many times higher in

treatments with P (Table 11). In fact, even the average responses
for the years 1985-87 show that responses to P and K were better
than for all the 17 years average. Though the responses to K are
small but the balance sheet clearly shows (Table 12) large K depletion
as a signal of impending K deficiency. Though the P balance is
highly positive but the continuing high magnitude of responses to
applied P is a clear indication that the P availability is not adequate
300
to meet the P requirements of this intensive cropping system. The
experiment is still continuing but the analysis has been restricted
to the period for which relevant soil data were available.
Table 11. Response ratio ( kg grain/kg nutrient) to applied nutrients over
the years in LTFE
Mean response ratio over Mean response ratio over

initial 2 years 1985-87 17 years 1970-87
N P2O 5 K 2O N P2O 5 K 2O
Fingermillet 2.8 46.9 9.6 2.9 37.7 -2.1
Maize 0.6 32.0 13.4 0.9 29.3 6.7
Cowpea 1.1 6.3 - 2.6 5.6 -
Table 12. Balance sheet of N, P and K with optimal NPK application ( kg/
ha) in finger millet-maize- cowpea cropping system in LTFE at
Coimbatore (1971-85)
N P K
Applied 250 96 44
Removed 234 51 267
Balance 16 45 -223
These results show that P deficiency is a most serious limiting

factor in this soil. It is further clear that K deficiency will also become
prominent in due course of time. These observations in no way
minimize the importance of N rather it clearly supports the contention
that without N and balanced fertilizer use (containing NPK), it is not
possible to obtain consistently high yields. Although an average
grain yield of 5-6 t ha-1 has been obtained over two decades, but it
shows that fixation of P and depletion of K may become a limiting
factor for sustainable high crop production on these soils. Secondly
5-6 t ha-1 is not a very high yield. If we have to obtain a sustainable
yield of 10 t ha-1 from 2 crop rotations, it would require much higher
use of balanced fertilizer NPK and FYM. We also need to
continuously monitor the changing scenario of micronutrients and
sulphur.
Dynamic nature of balanced fertilization
A wealth of information on the dynamic nature of balanced
fertilization in intensive cropping systems has become available
from several long-term fertilizer experiments using high yielding
varieties (HYVs). These experiments conducted in India solidly
demonstrated that a field producing 1,300 kg grain/ha from two
crops grown without fertilizer could produce 7,420 kg grain (5.7
times more) under optimum nutrient application (data not shown).
301
Responses to fertilizers in these experiments were always in the
order of NPK>NP>N. Continuous use of N alone produced the
greatest yield decline at a majority of sites. Responses to N declined
with the passage of time, while responses to P and K improved due
to increased soil Pand K deficiency.The data of LTFE from
Coimbatore confirm these trends (Table 13).
The disastrous consequences of practicing intensive farming
without due attention to balanced fertilization are obvious and clear.
Similar is the experience of dryland agriculture on Vertisols in
Taml Nadu. Suresh et al. (1999) in an analysis of long-term fertilizer
experiments on sorghum (Sorghum bicolor) and cumbu (Pennisetum
glacum) on Vertisol under dry farming conditions at Kovilpatti (TN),
which are being run from 1982, reported that besides NP an
application of 25 kg zinc sulphate per ha was found necessary to
maintain high yields of both these crops over the years. Omission
of K in the fertilizer schedule has caused a continuous depletion in
Table 13 Nutrient response ratio (kg grain/kg nutrient) in long-term

fertilizer experiments: Example Coimbatore
Nitrog en Ph osph oru s Potassiu m

Soil and 1973-77 1992-96 1973-77 1992-96 1973-77 1992-96
Crops
Coim b atore (Inceptisol)
F inger millet 3.1 5.4 35.3 43.9 -11.4 13.4
Maiz e 1.7 -1.3 32.7 28.6 -1.3 14.5
Source: Swarup and Ch. Srinivasa Rao (1999)
Lessons Learnt from Long-term Fertilizer Experiments
L Intensive cropping with only N input is a short-lived

phenomenon
L Omission of limiting macro- or micro-nutrient leads to its

progressive deficiency due to heavy removals.
L Sites initially well supplied with P and K or S become
deficient when continuously cropped using N alone.
L Fertilizer rates considered as optimum still result in
nutrient depletion at high productivity levels, and if
continued, become sub-optimal rates.
302
available K status over the years. Apparently, the situation in
unirrigated conditions is also not much different from the irrigated
conditions emphasizing the need for balanced fertilization avoiding
deficiency of any yield-limiting factors. These observation make it
clear that the situations of soil fertility changes in Alfisols, which
are the dominant soils of Tamil Nadu, need a close study.
Suboptimal Status of Optimum Nutrient Recommendations
Evidently, the normally recommended rates of NPK fertilizers
are sub-optimal in multiple cropping system. The data of the MYR
initiated by the PPIC India Programme revealed that it is possible
to surpass the national demonstration yield level by a considerable
margin both in rice-rice system in Tamil Nadu and rice-wheat system
in the Punjab and Uttar Pradesh by increased NPK application and
adoption of improved production technology. This can mean that
excessive depletion of soil fertility would demand nutrient
replenishment at higher rate.
Nutrient : Supply and Balance
One factor that is closely and directly correlated to yield
increases and total production is nutrient supply. Nutrient source,
weather organic or inorganic, is not a major question when it comes
to supplying these needed nutrients. Both are simply the transfer
of nutrients from one location to another-to a location which is more
convenient (or available) for the growing crop to use. Availability of
adequate nutrients is the question. Where available, both sources
should be used together as increasing amounts of nutrients have
to be supplied to increase production.
While it is clear that increasing production relies on greater
availability of nutrients, it is also important to understand that
nutrient balance becomes that key to sustaining production. This
is true for several reasons. First of all, each additional increment of
yield becomes more difficult to achieve, thus greater management
precision is required. Also, economics and environmental protection
are important components of sustainability. Nutrient balance also
affects these areas dramatically.
Both correct amounts and correct ratios of applied nutrients
are critical to nutrient management and sustainability. Imbalance
allows mining of the most deficient nutrients in the soil. Once the
critical level is reached, yield falls dramaticallyeven though large
aggregate amounts of nutrients might have been applied.
Again, it is important to note that to assure sustainable
production, nutrient balance must be supported by adequate nutrient
303
supplies. The nutrient ratio applied in India may be closer to balanced
than the ratio in China. However, amounts applied are so low that
soil mining, degradation and food shortages in India are a much
greater problem than in China, and the average yields are also
much lower, as shown in Table 14.
Table 14.Comparison of nutrient balance and application rates in India
and China
Country Year Nutrient Nutrients Cereal yield,

ratio applied, tones/ha
N : P2O 5 : kg/ha
K2O N P2 O 5
K2O
India 2000-01 6.9 : 2.7 : 1 98.4 2.32
India 2001-02 6.8 : 0.6 : 1 102.2 2.32
China 2000-01 6.5 : 2.5 : 1 217.9 4.75
China 2001-02 5.6 : 2.2 : 1 225.1 4.90
*
150 if unreported-unofficial area is included
Whether in China, in India, in Canada or in the U.S., wherever

increased yields are a necessity, the only way that balanced
fertilization and sustainable high yields will be achieved is through
the increased supply of commercial fertilizer nutrients.
Nutrient Balance: Beyond NPK
Nutrient balance discussions are often confined to nitrogen
(N), P and K because of their major importance in crop production.
Also, they are most often the limiting factors that need to be
addressed in solving nutrient deficiencies. Because, however, goes
beyond NPK. For instance, in a survey of soils throughout China,
22 percent were deficient in sulfur (S) and 13 percent deficient in
magnesium (Mg). Clearly, nutrient balance goes beyond NPK and
will not be achieved without adequate availability of commercial
fertilizers nutrients.
Site-Specific Nutrient Management for Yield Maximization
and Profit in Rice-Based Cropping Systems
Rice-based systems, particularly rice-wheat and rice-rice, cover
an estimated area of 16 million hectares (M ha) in India. Since both
rice based cropping systems provide staple food grains, their
sustained high productivity is essential for national food security.
However, productivity in these systems has stagnated for the last
one decade and is even declining in certain areas. Causes for this
304
trend include: depletion of native nutrient reserves, emergence of
multi-nutrient deficiencies, and the consequential decline in efficacy
of applied nutrients. Surveys of different agro-climatic regions
indicate that farmers have started applying greater doses of nitrogen
(N) than is recommended in order to achieve previously attained
yield levels. Such indiscriminate use is likely to further widen the
nutrient imbalance in soil-plant systems, increase pest incidence,
cost of production, and environmental problems. Long-term
experiments indicate that crop productivity can be sustained with
balanced fertilization which fully accounts for emerging deficiencies
of secondary and micronutrients.
Site-specific nutrient management (SSNM) is an approach that
considers crop demand as well as the need to improve soil fertility
levels, and which ensures higher nutrient use efficiency, crop
productivity, and economic returns to the farmer. In studies recently
initiated at Modipuram, it was possible to harvest 8 to 9 t rice/ha
with SSNM. Annual productivity of rice or wheat hardly exceeded 6
t/ha in on-going multi-location experiments on yield maximization.
Thus, there is great opportunity for improvement. Another advantage
of yield maximization through SSNM is the associated land-saving
which allows land to be diverted to high value crops and other farm
enterprises without decreasing total food production, therefore
addressing the frequently discussed issue of diversified farming.
This project initiated SSNM at 17 crop research system centres
including Coimbatore and Thanjavur centres in Tamil Nadu. The
experimental results obtained from these centres are described
below:
Experience from Coimbatore
Effect of site specific nutrient management on yield - A
significant response to site-specific nutrient management at
Coimbatore was observed in kharif rice and yield was more than
double as compared to the farmers practice. Although the standard
state recommendation includes 12 t/ha FYM along with
recommended dose of NPK, the SSNM treatment out yield it by
7.1% (Table15).
Alike kharif rice, rabi season rice also gave an additional yield
of 1.59 to 2.56 t/ha with SSNM practice over state recommendation
and farmers practice respectively. Although the nutrient application
in treatment 1 and treatment 7 ware same in wheat, the yield was
26% higher in treatment1. Increase in yield under treatment 1 over
T7 may be ascribed as residual response of 50 kg S applied to
305
previous kharif rice crop. Increase in yield under SSNM treatment
was mainly attributed due to increase in number of effective tiller,
number of grain/ear, number of spikelet/ear, which get culminated
into higher harvest index (Table 15)
Response to P, K and S application - Application of 80 kg
P2O5/ha significantly increased grain yield of kharif rice and rabi
rice with additional yield advantage of 3.30 t/ha in the systems
productivity. Of the total annual productivity 85% yield improvement
was recorded with rabi rice. Increasing rates of K2O at 60 kg/ha
has only beneficial effect on yield and at this rate of application
yield obtained were 7.0 and 6.8 t/ha under kharif and rabi rice crop,
respectively. Using of 50 kg S/ha failed to show significant
advantage in Kharif rice , but the succeeding rabi rice gave an
extra yield of 1.41 t/ha due to S residue (Table 15).
Table 15. Productivity of Kharif and Rabi rice as influenced by site- specific
nutrient management at Coimbatore
Tr. Kharif rice Rabi rice Kharif rice Rabi rice

No. Major and secondary Major (kg/ha) Grain Straw Grain Straw
nutrients (kg/ha) yield yield yield yield
N P2O5 K2O S N P2O 5 K2O (kg/ha) (kg/ha) (kg/ha) (kg/ha)
T1 150 120 60 50 150 120 60 7003 10143 6812 7209
T2 150 80 60 50 150 80 60 7305 10009 6812 7125
T3 150 40 60 50 150 40 60 6257 10203 4750 6034
T4 150 0 60 50 150 0 60 6793 9926 4022 5550
T5 150 120 30 50 150 120 30 6048 10047 3700 8534
T6 150 120 0 50 150 120 0 6716 10454 5687 8100
T7 150 120 60 0 150 120 60 6861 9954 5400 8119
T8 State Recommended
doses of Nutrients (SR) SR 6538 9995 5225 7838
T9 Farmers Practice
(FP) FP 3182 4764 4250 6375
CD (p<0.05) 611 784 379 594
Source: PDCSR-PPIC- India Programme SSNM Research Project, Coimbatore

Centre, 2003-04
Experience from Thanjavur

Effect of site-specific nutrient management on yield - In
kharif rice, application of fertilizer as per SSNM schedule having
150 kg N, 30 kg P2O5, 10 kg K2O, 60 kg S and 30 kg Manganese
sulphate (T5) gave highest yield of 9.46 t/ha at Thanjavur (Table16).
Yield recorded under state recommendation doses of nutrients (T11)
were on par to T5, but it was significantly superior over farmers
practice (T12) (8.35 t/ha). Similar to kharif rice, rabi season rice
306
crop also responded to SSNM practices but the response to P
applied dose was only up to 60 kg/ha. Grain: straw ratio computed
for kharif rice indicated a narrowed ratio due to SSNM practice
(1.17) than state recommended fertilizer practice/farmer practice
(1.21 to 1.25). No such definite trend was obtained for grain: straw
ratio in rabi season rice crop.
Response to P&K application - Application of graded doses
of P (0, 30 and 60 kg/ha) had significant response in terms of kharif
and rabi rice yield. The highest yield of 9.2 and 7.34 t/ha, respectively
in kharif and rabi rice were obtained with 60 kg/ha P2O5 application
and other nutrients. Compared with no-P plot 60 kg P2O5/ha gave
4.5% to 11.0% higher yield. Potassium application indicated that
kharif rice crop responded up to 100 kg/ha application, while the
response was restricted only up to 50 kg/ha dose in rabi season
crop. At these rates of application both crops jointly gave 1.6 t/ha
additional yield over no-K applied plots (Table 16).
Response to secondary and micro-nutrients - Application
of S at 20 kg/ha could bring a yield advantage 356 kg/ha in kharif
rice crop but further increasing doses of S could not show significant
influence on rice yield. Residual effect of S showed response up to
60 kg/ha application, and rabi season rice yield was 10% higher
than S control. Directly applied Manganese sulphate @ 30 kg/ha
could not benefit kharif season rice but gave an additional yield of
0.63 t/ha in succeeding rabi rice crop (Table 15).
Increasing Nutrient Demands
Both food and therefore fertilizer needs of India are expected
to go up consistently in the future without a break. The net cropped
area has more or less stabilized at 143 Mha. The population of 1
billion plus is expected to grow by 14-15 millions each year. At
present, each hectare of net sown area has to support more than 7
persons. This pressure will only increase in the coming years
Future Nutrient Needs
Keeping in view the conservative population estimate of 1.4
billion by year 2025 and mini-mum calories requirement of food, the
country will need to produce at least 300 Mt of food grain and for
this purpose it will be necessary to use 30-35 Mt of NPK from
various sources. In addition, the experts on horticulture, vegetable,
plantation crops, sugarcane, cotton, oilseeds and potato have
projected that by the year 2025, the demand for fertilizers for these
307
Table 16. Productivity of Kharif and Rabi rice as influence by site- specific nutrient management at Thanjavur
Kharif rice Rabi rice Kharif rice Rabi rice

(kg/ha) (kg/ha)
Major and secondary Micronutrients Major Nutrients Grain Straw Grain Straw
nutrient (kg/ha) Fertilizer, (kg/ha) (kg/ha) yield yield yield yield
N P2 O 5 K2O S Manganese N P2 O 5 K2O

sulphate
T1 150 30 150 60 30 150 30 150 8754 10711 7050 8807
T2 150 60 150 60 30 150 60 150 9207 11258 7344 9249
T3 150 0 150 60 30 150 0 150 8807 10827 6618 7933
308
T4 150 30 50 60 30 150 30 50 9007 10816 7008 8481

T5 150 30 100 60 30 150 30 100 9459 11090 7050 8439
T6 150 30 0 60 30 150 30 0 8554 10795 6355 7502
T7 150 30 150 40 30 150 30 150 8870 10574 6671 7933
T8 150 30 150 20 30 150 30 150 9449 11048 6650 8249
T9 150 30 150 0 30 150 30 150 9091 11006 6408 8133
T 10 150 30 150 60 0 150 30 150 8975 10827 6418 7639
T 11 State Recommended doses of Nutrient (SR) SR 9144 11101 7018 8660
T 12 Farmers Practice (FP) FP 8354 10448 6418 7639
CD (p<0.05) 426 613 452 581
Source: PDCSR-PPIC- India Programme SSNM Research Project, Thanjavur Centre, 2003-04
high value crops, which also have high export potential and claim
fertilizer use on priority basis, will rise to 3.0, 2.0, 3.2, 0.9,3.1, 1.5
and 1.0 Mt, respectively (Fig. 3).
This adds to the total nutrients needs by another 14-15 Mt
NPK. Thus, from both inorganic and organic sources the country
will be required to arrange for the supply of about 40-45 Mt of
nutrients by the year 2025.
Million Tones
0 2 4 30
Food grains
Plantation crops 3.2
Cotton 3.1
Horticulture 3.0
Vegetables 2.0
Oilseeds 1.5
Potato 1.0
Sugarcane 0.9
Fig. 3 Projected major nutrient (NPK) needs by 2025
Integrated Nutrient Management
Although IPNS is an age old concept but its importance was

not realized earlier due to low nutrient turn over in soil-plant system
and almost all the nutrient needs of the then sustenance agriculture
were met through organic sources which also supplied secondary
and micronutrients besides major nutrients. IPNS has now assumed
great importance firstly, because of the present negative nutrient
balance and secondly, neither the chemical fertilizers alone nor the
organic sources exclusively can achieve the production
sustainability of soils as well as crops under highly intensive cropping
systems. The interactive advantages of combined use of organics
and inorganics have been well documented. The IPNS help to restore
and sustain soil fertility and crop productivity. It also helps check
the emerging deficiency of nutrient other than N, P and K, favourably,
effects the physical, chemical and biological environment of soils
and bring economy and efficiency in fertilizers. In the intensive
agriculture, importance of integrated management of nutrient
resources is being magnified because of the increasing deficiencies
of secondary and micronutrients.The plant nutrient imbalance in
quest to achieve increasing foodgrain production targets would
further aggravate through over exploitation and overstraining of the
309
soil reserves. Soils of India are deficient in a number of essential
plant nutrients, the main nutrient deficiencies are those of N, P, K,
Zn and S. In certain areas, deficiencies of Fe, B and Mn are also
being increasingly important. As the entire nutrient need of the crops
can not be met either through chemical fertilizers or through organics,
efficient judicious use of all the major sources of plant nutrient viz.
soil, mineral, organic and biological in an integrated manner would
be essential and inevitable. Considering the present annual
production of compost (rural + urban), the average use of organics
is around 2 tonnes per ha per year. Taking into account the nutrient
content of compost, the contribution from it is around 5 kg NPK. At
present, about 4 lakh hectare area is under green manuring. Addition
of about 40-50 kg N/ha through green manuring has been reported.
Although the contribution of green manure is economically most
competitive and ecofriendly, it can not be adopted in those areas
where supply of irrigation water is critical and the growth period of
green manure crop is non-competitive with normal cropping systems
of region. The contribution of green manuring is not likely to be
more than 4 lakh tonnes fertilizer N equivalent. The total capacity
of biofertilizers production at present is far below the projected
demand. As the fertility of the soil gets depleted by growing single
and the same crop year after year it is possible to meet 25% of
additional N requirement by adopting legume-oilseed, legume-cereal
crop rotations in inter or mixed cropping. Grain legumes presently
occupy an area of about 24 M ha. Experimental results indicate
that the contribution or grain legume to nitrogen need of subsequent
crop may be 20-40 kg N/ha when yield of legume was 1.0-1.5 tonnes/
ha (about 2 time of national average). The average contribution for
the entire country is likely to be 15 kg N/ha or a total of about 3.6
lakh tonnes. Integrated nutrient supply and management based on
soil test would be the most practically viable technique which holds
the key to sustain crop yield and quality of crops without adversely
affecting the environment. From the results of the Long Term
Fertilizer Experiments conducted in different parts of the country it
has been well established that under high input production system
where crop productivity can not be further increased with incremental
use of chemical fertilizer alone, addition of organic sources could
again increase the yield through increased soil productivity and
fertilizer use efficiency.
According to the estimate made by Tandon (1997), 25%
nutrients needs of Indian agriculture can be met by utilizing various
organic resources. The resources needs to achieve this in future
are suggested below:
310
Resource Year 2000 Year 2050
FYM (million t) 200 400
Crop residues (million t) 30 50
Urban/rural wastes (million t) 10 50
Green manure are (million t) 25 50
Although there has been marked increase in fertilizer
consumption over the years, the gap between removals and
additions through fertilizers would remain fairly constant at 10 million
tonnes of nutrient per annum. To bridge this gap, importance of
integrated nutrient management in Indian agriculture is quite clear.
Although general principles may be the same, technology
packages for sustainable management of soil and plant nutrient
resources are site-specific and depend on farming systems, farm
site, availability of inputs and socio-economic factors, area specific
and on-farm synthesis of packages is needed on the basis of
components and sub-systems. Agronomic productivity, economic
profitability and ecological compatibility of such packages need to
be assessed through appropriate research on well defined
representative sites.
Recommendations for different agro-ecological situations,
taking into account available nutrient resources, farming systems
and the choice of improved agro techniques to alleviate soil
constraints for plant nutrition need to be generated.
The application of integrated plant nutrition system on a large
scale requires some adaptive research, demonstration programme
backed by training in good management practices and a policy
improvement and infrastructure which stimulates the efficient use
of both internal and off-farm inputs.
While the possibilities for integrated nutrient supply are real
and attractive, most nutrient packages for high yields required to
feed an expanding population from a non-expanding area will continue
to be fertilizers driven. This assessment in no way under- estimates
the importance of other nutrient sources most of which are gainfully
integrated.
Nutrient Management: The Road Ahead
As stated earlier, the potential yields of crops have not yet
been realized in India and emphasis is being laid on increasing
food grain production by adoption of improved agro-techniques and
optimum utilization of production inputs. To sustain the momentum
of this objective, a long-term research programme based on higher
yields must be instituted to provide the technology for continued
311
higher yields. For developing countries like India, the philosophy of
minimum inputs used (particularly fertilizers) can only lead to
disastrous results by eventual degradation of the soil, lowering
production of crops, destabilization of food supply and finally leading
to even more subsistence farming. Maximization of crop yields to
achieve increasing food grain production tar-gets would, therefore,
be important for India. In quest to achieve yield goals an integrated
multidisciplinary systems approach should be developed. The MYR
seeks to identify and develop a production system that includes
the best of all controllable factors needed to produce the highest
possible yield. The MYR on rice-wheat cropping system conducted
in India through PPIC support has shown that the production target
of 10 t of rice and 6-8 t of wheat can be successfully achieved by
adoption of improved varieties, closer crop geometries to sustain
higher population stands, and appropriate fertilizer doses. These
studies, however, are confined to few locations only. In view of the
diverse soil and agro-climatic conditions prevalent in India, the MYR
work should be undertaken on more centres involving well defined
soils and different cropping systems being followed by the
cultivators. A comprehensive constraint analysis should be
attempted. The treatments should enable one to evaluate and define
yield limiting factors and satellite experiments should be part of the
total efforts. Continuing its efforts in the area of research and
education, the PPICIndia Programme has carried out a number of
projects with major thrust on:
l To create greater awareness for high productivity farming
and the fact that it can be sustainable as well
l To convince and persuade various states to take a fresh
look at their general fertilizer recommendations and revise
them towards more optimal and more balanced levels, as
has been achieved on large scale in Uttar Pradesh.
Recent research findings of the PPIC-India Programme have
established that Indias low crop yields can be enormously increased
by balanced and efficient use of fertilizers. The maximum economic
yields (MEY) of some important crops have been recorded with
increased input of fertilizer nutrients, particularly P and K. Various
progress reports and bulletins document with data the PPIC-India
Programmes work in India. These can be obtained from us.Some
of the results of the PPIC- India Programme sponsored research
projects given in Table 17 clearly indicate that crop yields can be
economically maximized with site specific nutrient management.
312
Table 17. Narrowing the Yield Gap: SR vs. SSNM : Tamil Nadu
State/Region Crop Recommendation Treatment dose Yield (t/ha)

(N-P2O5-K2O) + Other nutrients
Rice SR 120-38-38 (+5.5 kg Zn) 5.8
HYB MYR 194-56-50 (+6.5 kg Zn) 7.0
Hybrid SR 100-50-50 6.4
Rice MYR 200-75-100 8.3
Hybrid SR 80-40-40 2.95
Cotton MYR 200-150-100 3.81
313
Cassava SR 60-60-150 40.0
Tamil Nadu
MYR 90-120-320 (+Ca, S, Zn, B) 51.0
Peanuts SR 17-34-54 1.9
MYR 22-43-68 (+Ca, S, Zn, B) 2.8
Potato SR 120-240-120 43.6
MYR 240-240-240 (+48 kg Mg & 80 kg S) 63.46
Tobacco SR 40-100-100 2.43
MYR 60-125-250 (+100 kg Mg & 150 kg S) 3.46
Tissue SR 340-108-1020 83.3

Cultured
Banana
MYR 510-162-1530 102.8
SR: Official state recommendation; MYR: Fertiner Recommendations for Yield Maximization Source: TNAU- PPIC- India
Programme Sponsored Research Projects Annual Reports
314
Future research needs
In view of the growing concern for sustainable management of
soil fertility, research work on the following areas needs to be
addressed:
l Identification of nutrient constraints under major cropping
systems on benchmark soils in each of the sub-agro-eco
regions of the country.
l Monitoring long-term changes under different agro-
ecological systems and building up models for prediction
of changes in soil health for national planning and remedial
measures.
l Developing techniques for enhancing fertilizer nutrient-use
efficiency and reducing environmental pollution.
l Developing techniques for balanced and conjunctive use
of various sources of nutrient supply including bio-
fertilizers/legumes.
l Evaluation of water, nutrient and tillage interactions in
important soil-cropping systems for sustainable high
productivity.
l Development of fertility-management strategies for specific
problem soils, viz. acid soils, saline and alkali soils,
waterlogged, arid, hilly and coastal soils.
l Characterization of fertility restorer inputs like available
organic/bio-fertilizers, crop residues, city wastes etc. and
their inventory at least at block level for developing IPNS
modules in local /regional perspectives.
l Evaluating quality of organic carbon pool for crop
productivity, modelling the turnover of organic matter in
long-term experiments and establishing organic carbon
threshold values for sustainability.
l Characterization and dynamics of key biotic population
(N2 -fixing organisms, P-solubilizers, mycorrhizae, earth
worms) and improving the shelf-life of inoculants and
development of efficient techniques for inoculation.
l Development of fertilizer and manure use strategies to
reduce nitrate leaching to ground water system.
l Development and refinement of soil-test methods to
diagnose nutrient constraints for making reliable
recommendations for fertility restorer to achieve
sustainable high production.
315
Fertilizer research agenda must change its focus and
orientation. Emphasis should be as much on improving fertilizer
use efficiency as on its productivity, profitability and sustainability
and eco-friendliness.Models of integrated nutrient management for
different well defined agro-ecological zones and cropping systems
should be developed to provide guidance for rational and efficient
fertilizer use. Networking arrangements are necessary for monitoring
and forecasting the changing scenario of nutrient deficiency and
toxicity. An elaborate program of monitoring changes in soil fertility
should be established which can serve to periodically revise nutrient
application rates to achieve maximum fertilizer efficiency,
profitability yield sustainability and high quality so that todays
maximum yield could be transformed into tomorrows average yield.
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317
SITE-SPECIFIC NUTRIENT MANAGEMENT
(SSNM) FOR RICE : PROGRESS AND
OPPORTUNITIES FOR TAMIL NADU
Roland J. Buresh1, S. Ramanathan2, B. Chandrasekaran3,
T. Jayaraj4, R. Rajendran3, Christian Witt5, P. Stalin3 and
K. Valliappan2
International Rice Research Institute, DAPO Box 7777, Metro Manila,
1
Philippines, 2Tamil Nadu Agricultural University, Coimbatore 641003,

3
Tamil Nadu Rice Research Institute, Aduthurai, 4 Soil and Water
Management Research Institute, Thanjavur, 5PPI/PPIC-IPI, South east
Asia Program, Singapore
INTRODUCTION
Tamil Nadu is a major rice-producing state, and yields of rice in
Tamil Nadu are among the highest in India (Nagarajan et al., 2004).
At present there is one blanket fertilizer recommendation with fixed
rates of NPK for all irrigated rice in Tamil Nadu. Such a
recommendation assumes the need of rice for nutrients is constant
across soils and among years. The growth and need of rice for
supplemental nutrients can, however, be strongly influenced by soils,
crop and soil management, and climate which can vary greatly
among fields, villages, and years.
IRRI through collaboration with national agricultural research
and extension systems at eight locations in six Asian countries
developed and evaluated the concept of site-specific nutrient
management (SSNM) for rice in the late 1990s (Dobermann et al.,
2002). SSNM, as conceptualized, aimed at dynamic field-specific
management of fertilizer N, P, and K to optimize the supply of
supplemental nutrients with the plants demand for nutrients. The
plants need for fertilizer N, P, or K was determined from the gap
between the crop demand for sufficient nutrient to achieve a yield
target and the supply of the nutrient from indigenous sources,
including soil, crop residues, manures, and irrigation water
(Dobermann et al., 2004).
The Cauvery Delta Zone (CDZ), which comprises about 11% of
the rice production area in Tamil Nadu, was one of the eight locations
for the development and evaluation of SSNM in Asia. The CDZ has
two contrasting areas Old Delta characterized by heavy-textured
soils with poor drainage, and New Delta containing lighter textured
soils with better drainage. About 90% of the rice area in the CDZ is
transplanted, and two rice crops are typically grown each year with
318
irrigation when water is sufficient. Scarcity of irrigation water,
unbalanced nutrient use including inappropriate timing of N, and pests
including weeds, insects, and diseases have been identified
as constraints limiting production of irrigated rice.
The collaboration of IRRI and TNAU in developing and evaluating
SSNM for the CDZ began with a base line survey in 1995 to 1996.
On-farm evaluation of SSNM started during 1997 to 1998 and
continued for four consecutive seasons up to 2000. This evaluation
in 25 farms in the Old Delta at Aduthurai and at 18 farms in the New
Delta at Thanjavur revealed increased profit with SSNM as compared
to the farmers fertilizer practice (Nagarajan et al., 2004).
The SSNM approach as developed by 2000 required laboratory
analysis of plant samples to determine indigenous nutrient supply
through the nutrient omission plot technique, and it relied on the
costly chlorophyll meter for determining optimal timing of fertilizer
N. From 2001 to 2004, the Reaching Toward Optimal Productivity
(RTOP) workgroup of the Irrigated Rice Research Consortium (IRRC)
collaborated with TNAU to systematically transform the initial SSNM
concept into a simple framework for the dynamic plant-need based
management of N, P, and K. On-farm trials were conducted from
2001 to 2003 to refine N and K management practices. SSNM
consistently increased grain yield and profit as compared to farmers
fertilizer practice in both the Old and New Delta, and on-farm
demonstrations were conducted in 2003 to 2004 to heighten
awareness of the SSNM technology among farmers.
Through the activities from 2001 to 2004, SSNM as a concept
matured into a simplified SSNM approach for the dynamic plant-
need based management of N, P, and K. This SSNM approach
enables:
a) Dynamic adjustments in fertilizer N, P, and K management
to accommodate field- and season-specific conditions.
b) Effective use of indigenous nutrients originating from
sources other than fertilizer.
c) Efficient fertilizer N management through the use of the
leaf color chart (LCC), which helps ensure N is applied at
the time and in the amount needed by the rice crop.
d) Use of the omission plot technique to determine the
requirements for fertilizer P and K.
e) Use of micronutrients based on local recommendations.
319
The objective of this paper is to describe the current SSNM
approach and present an SSNM recommendation for the Cauvery
Delta, which takes into consideration the four years of on-farm
research following the results reported by Nagarajan et al. (2004).
SSNM approach
The SSNM approach aims to apply nutrients at optimal rates
and times in order to achieve high rice yield and high efficiency of
nutrient use by the rice, leading to high cash value of the harvest
per unit of fertilizer invested. The SSNM approach does not
specifically aim to either reduce or increase fertilizer use. Through
the development of SSNM during 1994 to 2004, much data were
obtained for the relationship between yield of unmilled rice and total
N, P, and K in the mature rice crop. The uptake of N, P, and K by a
mature rice crop with harvest index of 0.45 to 0.55 can consequently
now be estimated from grain yield with sufficient reliability (Witt et
al., 1999) that the measurement of N, P, and K in grain and straw is
no longer required for the determination of fertilizer N, P, and K rates.
Grain yield targets and grain yield in nutrient omission plots can now
be directly used in a simplification for estimating fertilizer N, P, and
K requirements (Witt et al., 2002; Witt et al., 2004) as follows:
Step 1: Establish an attainable yield target for farmers fields
The yield target must be reasonably attainable by farmers
because it is directly used to calculate fertilizer rates for farmers
fields. A yield target in excess of a yield realistically attainable by
farmers would lead to recommendations of more fertilizer than
required for high use efficiency and profit. A yield target below a
yield realistically attainable by farmers could result in suboptimal
yield and profit.
Grain yield from a fully fertilized plot with no nutrient limitations
and good management can be used to estimate the yield target.
The grain yield attained in the NPK plot or NPK plus micronutrient
plot with the omission plot technique can be used as the yield target.
Step 2: Approximate a fertilizer N rate and formulate dynamic N man-
agement.
The difference between the yield target and N-limited yield
the yield with no N fertilizer and no limitation of other nutrients
provides an estimate of anticipated crop response to fertilizer N.
The N-limited yield can be determined from the yield in N omission
plots, receiving no fertilizer N and containing sufficient amounts of
other nutrients to ensure they do not limit yield. The measurement
of N-limited yield with an N omission plot is not required when N-
limited yield can be estimated within ±0.75 t/ha.
320
The estimated yield response to fertilizer N and a targeted
efficiency for fertilizer N use are then used to approximate the total
crop requirement for fertilizer N, which can be apportioned among
multiple times of application. Within SSNM, fertilizer N use efficiency
is defined as the agronomic efficiency for fertilizer N (AEN), which is
the increase in grain yield per unit of applied N. The incremental
increase in AEN decreases with increasing yield. SSNM therefore
aims first and foremost for profitable high yield, and then strives to
attain this high yield with high AEN. Considerable information on AEN
in farmers fields with farmers fertilizer practices and SSNM have
already been obtained through past research. As a generalization,
high yields and an AEN of about 20 to 25 kg grain increase/kg N
applied can often be attained with good management in dry seasons
in the tropics. The AEN is typically lower in wet seasons in the tropics,
for example about 18 to 20 kg grain increase/kg N applied.
The total amount of required fertilizer N (FN in kg/ha) can be
approximated from the anticipated crop response to fertilizer N (i.e.,
the difference between attainable yield target and N-limited yield)
expressed in t/ha and a targeted AEN, expressed in kg grain increase/
kg N applied.
FN = (Attainable yield target N-limited yield) 1000
AEN
The approximated total fertilizer N requirement by the crop is
then apportioned among multiple times of application during the
growing season to ensure that the supply of N matches the crop
need at critical growth stages. Only a moderate amount of N is
required by young rice plants within the first 14 days after
transplanting (DAT) for transplanted rice or the first 21 days after
sowing (DAS) for direct-seeded rice when the plant demand for N is
small. The early application of fertilizer N can be reduced or eliminated
when high-quality organic materials and composts are applied or the
soil N-supplying capacity is high.
Fertilizer N must be dynamically managed to ensure sufficient
supply of N to the crop at the critical growth stages of mid-tillering
and panicle initiation. Rice plants require adequate N at early and
mid-tillering stages to ensure sufficient panicles for high yield.
Adequate N at panicle initiation stage ensures sufficient spikelet
number per panicle for high yield. Nitrogen absorbed during the
ripening phase, in the presence of adequate solar radiation, enhances
the grain filling process. In the special case of hybrid rice and large
panicle-type rice, it can be necessary to supply supplemental N at
heading.
321
A key ingredient for dynamic N management is a method for
the rapid assessment of leaf N content, which is closely related to
photosynthetic rate and biomass production and is a sensitive
indicator of changes in crop N demand within a growing season
(Peng et al., 1996). The chlorophyll meter (for example, Minolta
SPAD meter) provides one such rapid and non-destructive method
for estimating leaf N content (Balasubramanian et al., 1999), but the
high price of the chlorophyll meter prevents its use by individual
farmers. The LCC is an inexpensive, simple, alternative tool for
monitoring the relative greenness of a rice leaf as an indicator of
leaf N status (Bijay-Singh et al., 2002; Shukla et al., 2004; Alam et
al., 2005).
The approximated total fertilizer N requirement is typically divided
among three or four times of application during the growing season.
An N dose for each application can be estimated before the cropping
season by dividing the approximated total fertilizer N requirement
by the anticipated number of fertilizer applications during a season
with average climatic conditions. Two equally effective options are
then provided for improved N management using a LCC. In the real-
time approach, farmers regularly monitor rice leaves and apply
fertilizer N whenever the leaves become more yellowish-green than
a critical threshold value indicated on the LCC. In the fixed-time/
adjustable-dose approach, the time for N fertilization is pre-set at
critical growth stages, and farmers adjust the dose of N upward or
downward based on leaf color (Buresh et al., 2004, 2005).
Step 3: Estimate field-specific nutrient-limited yields for P and K
Nutrient-limited yields are determined by the nutrient omission
plot technique. The P-limited yield is determined in a P omission
plot receiving no P fertilizer but sufficient supply of other nutrients
to ensure they do not limit yield. The K-limited yield is determined in
a K omission plot receiving no K fertilizer but sufficient supply of
other nutrients (Witt et al., 2002; Dobermann et al., 2004).
Step 4: Determine fertilizer P and K rates
The crops need for fertilizer P is based on a comparison of the
yield target and P-limited yield, whereas the crops need for fertilizer
K is based on a comparison of the yield target and K-limited yield.
The SSNM approach recommends sufficient use of fertilizer P and
K to both overcome P and K deficiencies and avoid the mining of
soil P and K.
Fertilizer P and K requirements, sufficient to overcome
deficiencies and maintain soil fertility, are determined with a nutrient
decision support system (Witt and Dobermann, 2004), which
322
maintains the scientific principles of the underlying QUEFTS model
for rice (Janssen et al., 1990, Witt et al., 1999). Outputs of the
nutrient decision support system have been summarized in tables
(Witt et al., 2002), whereby fertilizer P2O5 and K2O rates are obtained
from an estimate of attainable yield target and either the P- or K-
limited yield (Tables 1 and 2). The yield target is determined as
described in step 1 above, and the P- and K-limited yields are
determined by the nutrient omission plot technique as described in
step 3 above.
Table 1. Guidelines for the application of fertilizer P2O5 according to yield
target and P-limited yield in P omission plots (Witt et al., 2002).
Yield target (t/ha) → 5 6 7 8

P-limited yield (t/ha) ↓ Fertilizer P2O5 rate (kg/ha)
4 25 40 60
5 20 30 40 60
6 25 35 45
7 30 40
8 35
Table 2. Guidelines for the application of fertilizer K2O according to yield

target, K-limited yield in K omission plots, and rice straw inputs
(Witt et al., 2002).
Rice straw Yield target 5 6 7 8

inputs (t/ha) →
K-limited yield Fertilizer K2O rate (kg/ha)
(t/ha) ↓
Low (< 1 t/ha) 4 60 90 120
5 45 75 105 135
6 60 90 120
7 75 105
8 90
Medium (2 to 3 4 35 65 95
t/ha)
5 20 50 80 110
6 35 65 95
7 50 80
8 65
323
With SSNM, all fertilizer P is applied before 14 DAT or 21 DAS.
As a general principle, if the fertilizer K requirement is relatively low
(< 30 to 40 kg K2O/ha) all the K is applied early before 14 DAT or 21
DAS. On sandy soils or when larger amounts of fertilizer K (> 30 to
40 kg K2O/ha) are required, K can be split applied with about 50%
before 14 DAT or 21 DAS and 50% at early panicle initiation.
SSNM recommendation for N in the Cauvery Delta
Background
During the decade of collaboration from 1994 to 2004 between
IRRI and TNAU, the N management strategy for rice evolved in
response to research findings. Initial evaluations during 1997 to 1998
involved a pre-plant application of N, which depended upon indigenous
N supply (INS) as determined from N omission plots; and subsequent
use of the chlorophyll meter to adjust doses of fertilizer N at pre-set
times during crop growth, based on principles obtained through use
of the QUEFTS model. In order to critically match the N supply with
crop demand, the pre-plant application of N was subsequently
skipped. Because of the high cost involved in using the chlorophyll
meter, the LCC was introduced for use in applying N fertilizer. In the
evaluation of SSNM through 2001, N was applied at pre-set times
and the N doses for applications from tillering onward were adjusted
upward or downward based on LCC readings. Then based on the
feedback from the farmers, the real-time N management option for
using LCC was evaluated, whereby LCC readings were taken at 7 to
10 day intervals from 14 to 21 DAT and urea was then applied
whenever the LCC reading fell below a critical value.
Use of the LCC for real-time N management without any other
change in crop or fertilizer management increased yield and increased
profit as compared to the farmers fertilizer practice during four
cropping seasons from 2001 to 2003. The increased profit averaged
58 US$/ha/season in the Old Delta and 33 US$/ha/season in the
New Delta. The benefit of improved N management was largely
attributed to increased yield arising from reduced use of early N and
increased application of fertilizer N near the critical stage of panicle
initiation. The relatively lower profit in the New Delta than Old Delta
was apparently due to K limitations on crop growth because the
farmers use of fertilizer K was insufficient for the high yield attainable
with real-time N management.
Recommendation with real-time N management
Table 3 presents steps 1 and 2 (as listed above) in the
development of a field-specific SSNM recommendation for two
324
locations in the Cauvery Delta based on results of on-farm research.
Results of research in farmers fields indicated that yields in the
kuruvai (dry) season for plots with sufficient fertilizer N, P, K, and Zn
to eliminate deficiencies of these nutrients typically averaged about
6.2 to 7.2 t/ha in both the Old and New Delta. The attainable target
yield was therefore set at 6.5 to 7.0 t/ha. Yields in farmers fields
were often slightly lower in the thaladi (wet) season; therefore the
attainable target yield was set at 6.0 to 6.5 t/ha
The N-limited yields as determined with the nutrient omission
plot technique were typically lower for the New Delta location, which
has lighter textured soils. The N-limited yields in farmers fields can
however vary depending on the management of soils and use of
organic materials and manures. A range of values is therefore used
to represent the estimated N-limited yield. We then approximate a
mean N response of 3 t/ha at both locations in the kuruvai season
and 2.5 t/ha at both locations in the thaladi season (Table 3).
Table 3. Approximation of fertilizer N required for rice at two locations in

the kuruvai (dry) and thaladi (wet) seasons in the Cauvery Delta,
based on estimates of attainable yield targets and N-limited
yields in farmers fields.
Parameter Kuruvai Thaladi

Old Delta New Delta Old Delta New Delta
(Aduthurai) (Thanjavur) (Aduthurai) (Thanjavur)
Estimate of attainable
yield target (t/ha) 6.57.0 6.57.0 6.06.5 6.06.5
Estimate of N-limited
yield (t/ha) 3.54.5 3.04.0 3.54.5 3.04.0
Approximate N
response (t/ha) 3 3 2.5 2.5
Targeted agronomic
efficiency for applied N
(? kg grain/kg N) 2023 2023 20 20
Approximated fertilizer
N requirement (kg
N/ha) 130150 130150 125 125
Estimated number of N
applications during the
season 4 4 4 4
N dose for each
application of fertilizer
N (kg N/ha) 35 35 30 30
325
On-farm evaluation of SSNM after 2001 in the Cauvery Delta
indicated that an AEN of about 20 to 23 kg grain increase/kg N applied
can be attained with good management in the kuruvai season (Table
3). About 130 to 150 kg fertilizer N/ha would be required to achieve
these targeted AEN and the estimated N response of 3 t/ha. The
attainable AEN is often slightly lower in wet than dry seasons. We
therefore assume a targeted AEN of 20 kg grain increase/kg N applied
in the thaladi season. The approximated fertilizer N requirement is
125 kg N/ha to achieve the targeted AEN and the estimated N response
of 2.5 t/ha. When approximating fertilizer N requirements, it is often
helpful to note that achieving an AEN of 20 kg/kg corresponds to the
use of 50 kg fertilizer N/ha for each 1 t/ha increase in grain yield.
Based on past experiences, fertilizer N applied with real-time N
management is split among four applications in a typical season
with average climatic conditions. An appropriate N dose for each
application of fertilizer N is therefore about 35 kg N/ha in the kuruvai
and 30 kg N/ha in the thaladi seasons (Table 3). If N is managed for
only three anticipated applications per season with average climatic
conditions for example through the fixed-time/adjustable-dose
option or through a real-time option with a more yellowish green
critical threshold leaf color for N application then the N dose for
each top dressed application of fertilizer N should be increased to
about 40 to 45 kg N/ha. The early application of N within 14 DAT or
21 DAS should however typically not exceed 30 kg N/ha.
The SSNM recommendation with real-time N management is
illustrated for the kuruvai season in Figure 1 and for the thaladi
season in Figure 2. The first application of N is typically within 14
DAT, although it can be omitted for soils receiving green manures or
with high N-supplying capacity. Leaf color is then monitored at about
six times between 21 DAT and booting. At each time, the color of
the topmost fully expanded leaf from ten or more disease-free hills
is compared with the color panels on the LCC. If more than 50% of
the leaves are more yellow than a critical threshold color on the
LCC, then 35 kg N/ha is applied in the kuruvai season and 30 kg N/
ha is applied in the thaladi season.
It is assumed that in a typical season, N will be applied four
times. In seasons with above average potential yield, the greater
growth and N demand of the crop will result in more rapid yellowing
of rice leaves and hence more N applications and hence more fertilizer
N use are likely. In seasons with below average potential yield, the
rice will require less N and leaves will remain greener longer, resulting
in fewer N applications and less fertilizer N use.
326
The effective use of real-time N management to achieve high
yield with high AEN requires the selection of a critical threshold LCC
color, which ensures N application two or three times from early/
mid-tillering to booting in an average yielding season. Thresholds
for cultivars with inherently yellowish leaves should be more yellowish
green than for cultivars with inherently dark green leaves. In Tamil
Nadu a six-panel LCC, such as the one produced by Pretech Plast
Pvt. Ltd in Bangalore, is used with a critical threshold value of 4 for
transplanted rice and 3 for transplanted White Ponni variety and for
direct-seeded rice.
SSNM recommendation for P and K in the Cauvery Delta
Background
The existing fertilizer P recommendation for irrigated rice
throughout the Cauvery Delta is 50 kg P2O5/ha in the kuruvai and 60
kg P2O5/ha in the thaladi season. The K recommendation for the
entire Cauvery Delta is 50 kg K2O/ha in the kuruvai and 60 kg K2O/
ha in the thaladi season. Research with farmers for four seasons
from 2001 to 2003 revealed the selected farmers used near to the
fertilizer P recommendation but less than the K recommendation.
The mean fertilizer P use by the selected farmers was comparable
at New and Old Delta locations, averaging about 40 kg P2O5/ha in
the kuruvai and 47 kg P2O5/ha in the thaladi. Fertilizer K use by the
selected farmers was higher in the New Delta than the Old Delta. In
the Old Delta it averaged 25 kg K2O/ha in the kuruvai and 35 kg
K2O/ha in the thaladi season. In the New Delta, it averaged a
comparable 44 kg K2O/ha for each of the two seasons.
Most K in mature rice plants is present in the straw rather than
the grain. The management of rice straw and the portion of the straw
retained in the field from the previous crop are consequently important
factors influencing the need for fertilizer K. In the Cauvery Delta,
rice straw is typically removed from fields, particularly in the thaladi
season, and often used for feeding animals.
Through the process of developing and evaluating SSNM in the
Cauvery Delta, the nutrient omission plot technique was conducted
on numerous farmers fields at locations in the Old Delta and New
Delta. We use grain yield from nutrient omission plots conducted in
farmers fields in the kuruvai season in 1998, 2002, and 2003 (Figures
3 and 4) to illustrate the development of location-specific P and K
recommendations (Figures 1 and 2) based on the SSNM approach.
One set of omission plots (i.e., fully fertilized NPK plot, P omission
plot, and K omission plot) was conducted in each of 11 to 22 farmers
fields in each year at both the Old Delta and New Delta locations.
Each farmers field served as a replication of the omission plot trial,
and the total number for the three years was 45 in the Old Delta and
41 in the New Delta.
327
Figure 3. Yield without fertilizer P and P-limited yield gap determined
with the omission plot technique from the difference between
attainable yield with NPK and yield without added P in the
kuruvai season on farmers fields at locations in the Old and
New Cauvery Delta of Tamil Nadu. Error bars show ± the standard
deviation of the mean. The number of farmers fields in each
year at each location ranged from 11 to 22.
Old Delta (Aduthurai) New Delta (Thanjavur)
Yield without P fertilizer (t/ha)

8 8
7 7
6 6
5 5
4 4
P-limited yield gap (t/ha)

2 2
1 1
0 0
1998 2002 2003 Mean 1998 2002 2003 Mean
Figure 4. Yield without fertilizer K and K-limited yield gap determined

with the omission plot technique from the difference between
attainable yield with NPK and yield without added K in the
kuruvai season on farmers fields at locations in the Old and
New Cauvery Delta of Tamil Nadu. Error bars show ± the
standard deviation of the mean. The number of farmers fields
in each year at each location ranged from 11 to 22.
Yield without K fertilizer (t/ha)

8 8
7 7
6 6
5 5
4 4
K-limited yield gap (t/ha)

2 2
1 1
0 0
1998 2002 2003 Mean 1998 2002 2003 Mean
328
Yields for the three years in fully fertilized NPK plots which
received sufficient N, P, K, and Zn to eliminate constraints of these
nutrients averaged 6.7 t/ha (standard deviation = 0.8 t/ha) in the
Old Delta and 6.3 t/ha (standard deviation = 1.0 t/ha) in the New
Delta. Yield in the farmers fields without fertilizer P (i.e., P-limited
yield) averaged near 6 t/ha at both locations (Figure 3). The gap
between these yields without fertilizer P and yields with full NPK
fertilization (referred to as the P-limited yield gap) was consistently
< 1 t/ha. It averaged about 0.4 t/ha in the Old Delta and 0.5 t/ha in
the New Delta (Table 4).
Table 4. Approximation of fertilizer P2O5 and K2O required for rice in the
kuruvai (dry) season at locations in the Old and New Cauvery
Delta, based on nutrient omission plots in farmers fields in
1998, 2002, and 2003.
Parameter Old Delta New Delta

(Aduthurai) (Thanjavur)
Mean yield with full fertilization of NPK
(t/ha) 6.7 6.3
Mean crop response to fertilizer P (P-
limited yield gap in Figure 3) (t/ha) 0.4 0.5
Mean crop response to fertilizer K (K-
limited yield gap in Figure 4) (t/ha) 0.5 0.7
Attainable yield target (t/ha) 7.0 7.0
Estimated P-limited yield (based on
relationship in Figure 5) 6.5 6.5
Estimated fertilizer P2O5 rate (from
Table 1) (kg/ha) 3035 3035
SSNM recommendation for P2O5 rate
(see also Figure 1) (kg/ha) 35 35
Existing P2O5 recommendation (kg/ha) 50 50
Estimated K-limited yield (based on
relationship in Figure 5) 6.4 6.2
Estimated fertilizer K2O rate (from
Table 2) (kg/ha) 6085 6590
Performance of K2O rates (kg/ha) 60 ? 36 94 >> 48
SSNM recommendation for K2O rate
(see also Figure 1) (kg/ha) 50 80
Existing K2O recommendation (kg/ha) 50 50

Mean grain yield in farmers fields was only slightly greater (about 0.1 t/ha) for 60
than 36 kg K2O/ha at the Old Delta location. Grain yield and profit were significantly
greater (P < 0.05) for 94 than 48 K2O/ha at the New Delta location.
329
In the case of K, yields in farmers fields without fertilizer K
(i.e., K-limited yield) averaged near 6 t/ha at the Old Delta location
and about 5.5 t/ha at the New Delta location (Figure 4). The gap
between these yields without fertilizer K and yields with full NPK
fertilization (referred to as the K-limited yield gap) averaged < 1 t/ha
and tended to be slightly greater in the New Delta than Old Delta.
The K-limited yield gap averaged about 0.5 t/ha in the Old Delta and
0.7 t/ha in the New Delta (Table 4).
Yields for fully fertilized NPK plots, P-omission plots, and K-
omission plots can vary among years and farmers fields depending
upon climate and crop management practices. The P- and K-limited
yield gaps within a location (i.e., Old Delta or New Delta) however
tended to be relatively stable among years (Figures 3 and 4). Closer
analysis revealed a direct relationship between yields for fully fertilized
NPK plots and nutrient omission plots (Figure 5). Yield in P- and K-
omission plots tended to increase with increased yield in fully fertilized
NPK plots, suggesting that yields in P- and K-limited yields were
influenced by climate and crop management practices. The
relationship between P-limited yield (i.e., yield without fertilizer P,
Y0P) and yield with full NPK fertilization (YNPK) were comparable in
the Old Delta and New Delta (Figure 5).
Figure 5. Relationships between yield with full NPK fertilization and

yields without fertilizer P and K as determined with the
omission plot technique in 1998, 2002, and 2003 in the kuruvai
season on farmers fields at locations in the Old and New Cauvery
Delta of Tamil Nadu.
Yield without P fertilizer (t/ha)
10
y = 0.93x y = 0.93x
8 R2 = 0.48 R2 = 0.80
Yield without K fertilizer (t/ha)

10
y = 0.92x y = 0.89x
8 R2 = 0.63 R2 = 0.80
2
4 5 6 7 8 9 10 3 4 5 6 7 8 9
Yield with NPK (t/ha)
330
Y0P = 0.93 YNPK
The relationships between K-limited yields (i.e., yields without
fertilizer K, Y0K) and yield with full NPK fertilization (YNPK) confirmed
a higher response to K in the New Delta than in the Old Delta
(Figure 5).
Old Delta: Y0K = 0.92 YNPK
New Delta: Y0K = 0.89 YNPK
Recommendation for P and K
The SSNM approach uses P- and K-limited yields and attainable
yield targets to develop fertilizer P2O5 and K2O rates (step 4 described
above in the SSNM approach). As indicated for the approximation
of fertilizer N requirement (Table 3), an attainable yield target for
both locations in the kuruvai season is 6.5 to 7.0 t/ha. Omission plot
studies during 1998, 2002, and 2003 confirmed 7 t/ha was attainable
in farmers fields when nutrient constraints were eliminated. Yields
with full NPK fertilization matched or exceeded 7 t/ha in 36% of the
farmers fields in the Old Delta and 24% of the farmers fields in the
New Delta (Figure 5).
The P-limited yield averaged for all omission plots was about 6
t/ha at both locations (Figure 3). This corresponds to mean yields
with full NPK fertilization of 6.7 t/ha in the Old Delta and 6.3 t/ha in
the New Delta. Based on the strong direct relationship between P-
limited yield and yield with full NPK fertilization (Figure 5), the
estimated P-limited yield for a 7 t/ha yield target with full fertilization
would be about 6.5 t/ha (i.e., 7 t/ha * 0.93) at both locations (Table
4). The SSNM guidelines shown in Table 1, indicate a fertilizer P2O5
rate between 30 and 35 kg/ha would be required when the yield
target is 7 t/ha and the P-limited yield is between 6 and 7 t/ha.
Modern rice varieties with harvest index of 0.45 to 0.55 contain for
each tonne of grain yield about 6 kg P2O5 in aboveground biomass
(grain and crop residue) at maturity. Assuming a portion of the crop
residue is retained in fields and a small amount of animal manure is
applied to fields, then the expected export of P2O5 from rice fields
would be about 5 kg P2O5/ha per tonne of grain or 35 kg P2O5/ha
when grain yield is 7 t/ha. The SSNM-based fertilizer P2O5 rate was
consequently set at 35 kg/ha for both the Old and New Cauvery
Delta (Table 4, Figure 1and 2) to ensure sufficient application of
P2O5 to replenish P removed with harvested grain and crop residue.
The K-limited yield averaged for all omission plots was about 6
t/ha in the Old Delta and 5.5 t/ha in the New Delta (Figure 4). The
corresponding mean yields with full NPK fertilization were slightly <
331
7 t/ha at both locations (Table 4). Based on the strong direct
relationship between K-limited yield and yield with full NPK fertilization
(Figure 5), the estimated K-limited yield for a 7 t/ha yield target with
full fertilization would be about 6.4 t/ha (i.e., 7 t/ha * 0.92) in the Old
Delta and 6.2 t/ha (i.e., 7 t/ha * 0.89) in the New Delta (Table 4).
When the yield target is 7 t/ha and the estimated K-limited yield is
near 6 t/ha as for the New Delta the SSNM guidelines shown
in Table 2 indicate a fertilizer K2O rate of 65 kg/ha when input of
residue from the previous rice crop is 2 to 3 t/ha and 90 kg/ha when
input of residue from the previous rice crop is < 1 t/ha. The estimated
fertilizer K2O rate for the Old Delta would be slightly less because
the crop response to K is less, and the estimated K-limited yield is
intermediate between 6 and 7 t/ha (Table 4). Based on SSNM
guidelines (Table 2) the estimated fertilizer K2O rate for the Old Delta
is about 60 kg/ha when input of residue from the previous rice crop
is 2 to 3 t/ha and about 85 kg/ha when input of residue from the
previous rice crop is < 1 t/ha (Table 4).
Evaluation of K recommendation
On-farm trials were conducted on about 25 farmers fields for
two years from 2001 to 2003 to assess the profitability of fertilizer K
use at rates estimated through the SSNM approach (Table 4). Two
rates of fertilizer K were evaluated with improved N management
using the LCC. In the Old Delta the rates were 36 and 60 kg K2O/ha,
and in the New Delta the rates were 48 and 94 kg K2O/ha. The low
rate at each location approximated current K2O use by farmers, and
the high rate approximated a K2O rate estimated through the principles
of the SSNM approach. Profitability of the higher K2O rate was
assessed from the difference in gross return above fertilizer cost
(GRF) between the high and low K2O rates. The GRF was determined
from the difference between total value of produced rice and total
fertilizer cost.
Use of the higher K rate significantly increased (P < 0.05) grain
yield and profit in the New Delta but not the Old Delta. Use of 94
rather than 48 kg K2O/ha in the New Delta increased yield by 0.4 t/
ha and increased profit by 39 US$/ha/season. These findings indicate
that the existing K2O recommendation of 50 kg K2O /ha in the kuruvai
season is not sufficient for high profit on light-textured soils in the
New Delta when attainable rice yields are increased through improved
N management using the LCC. Through this research, the SSNM-
based recommendation for K2O on the light-textured soils at the
New Delta has been tentatively set at 80 kg K2O/ha (Table 4), which
is intermediate within the range of K2O rates estimated from the
guidelines in Table 2. The fertilizer K should be split applied to achieve
high efficiency (Figure 1and 2).
332
Use of 60 rather than 36 kg K2O/ha in the Old Delta had negligible
increase on yield (0.1 t/ha) and profit (10 US$/ha/season). Based on
these findings, the K2O recommendation was not increased to 60 kg
K2O/ha, which corresponded to the low end in the range of K2O rates
estimated from SSNM guidelines in Table 2 (Table 4). The SSNM
recommendation for fertilizer K was therefore set at the existing
K 2 O recommendation of 50 kg K 2 O/ha in the kuruvai season
(Figure 1).
Fig .1 . Fertilizer application for transplanted rice in the Kuruvai season
333
Fig .2 . Fertilizer application for transplanted rice in the thaladi season
334
Dissemination of SSNM in Tamil Nadu
Collaboration between TNAU and IRRI contributed to a science-
based SSNM approach, which was used to develop a locally adapted
SSNM recommendation for the New and Old Cauvery Delta Zone
(Figures 1 and 2). This SSNM recommendation is ready for wide-
scale dissemination and fine-tuning for uptake by rice farmers
throughout the Cauvery Delta. At the same time the SSNM approach,
as described in this paper, can be extended beyond the Cauvery
Delta to develop optimal field-specific management of N, P and K
for irrigated rice throughout Tamil Nadu.
Refining and evaluating SSNM-based recommendations
The SSNM approach provides an excellent immediate
opportunity for achieving high yield with efficient N management
throughout Tamil Nadu. Key ingredients of the SSNM approach for
N management, which merit immediate evaluation and dissemination
throughout Tamil Nadu, include:
a) Use only a moderate amount of fertilizer N within the first
two weeks after transplanting or the first three weeks after
direct seeding when the crop demand for N is small. The
application of N at this early stage is not based on leaf
color because rice plants are too small for accurate reading
of leaf color with the LCC.
b) Reduce or eliminate this early application of fertilizer N when
green manures and rapidly decomposing organic materials
are applied or when the soil N-supplying capacity is high.
c) Combine the early application of fertilizer N, when convenient
and appropriate, with application of P and K either as
compound (NPK) fertilizers or as single element fertilizers.
SSNM provides sufficient flexibility to adjust the timing of
the first N application to coincide with the application of P
and K within 14 DAT or 21 DAS.
d) Use estimates of probable crop response to fertilizer N and
targeted fertilizer N use efficiency (normally 20 to 25 kg
grain increase/kg N applied) to approximate the total fertilizer
N requirements and a dose of fertilizer N for each top
dressing.
e) Apply the approximated fertilizer N dose between tillering
and heading (typically two to four times) whenever needed
by plants, as determined from leaf color with the LCC.
The SSNM approach provides two equally effective options for
N management with the LCC: real-time and fixed-time/adjustable-
335
dose N management. The SSNM recommendation presented in
Figures 1 and 2 is for real-time N management. We encourage
researchers in Tamil Nadu to formulate an alternative SSNM
recommendation with fixed-time/adjustable-dose N management, and
then disseminate recommendations with real-time and fixed-time/
adjustable-dose N management as two options from which fertilizer
companies, extension, and farmers can select. More information on
the fixed-time/adjustable-dose option is provided by Buresh et al.
(2004, 2005). Experiences of the Reaching Toward Optimal
Productivity (RTOP) workgroup in other countries reveal the fixed-
time/adjustable-dose option often integrates better into the
recommendations and promotional materials of fertilizer companies;
and the fixed-time/adjustable-dose option often gains popularity with
farmers as opportunity cost for labor increases because of the two
N management options it requires fewer visits by farmers to their
fields.
The SSNM recommendation for the Cauvery Delta (Figures 1
and 2) enables adjustments in the timing and dose for the first N
application to accommodate field-specific conditions of high INS
arising from organic inputs or high soil fertility. Additional research
is merited to develop improved predictive understandings of the
relationships between INS, use of organic nutrient sources, and the
crop need for fertilizer N within 14 DAT or 21 DAS. An outcome of
such research would be more robust guidelines for the optimal
management of early fertilizer N when organic inputs are used or
soils have high INS.
An estimate of N-limited yield is used to calculate an N dose
for each top dressing of fertilizer N (Table 3). The calculated N dose
in the formulation of fertilizer N management is however only a rough
approximation. Calculated N doses are often rounded to increments
of fertilizer bags/ha for ease in fertilizer application; and calculated
N doses include inherent uncertainty associated with attainable yield
target and targeted AEN as well as N-limited yield (Table 3). We
consequently conclude that N-limited yield only needs to be
estimated in increments of 1.5 t/ha (within ±0.75 t/ha).
We encourage the use of existing research results and
indigenous knowledge to estimate the N-limited yield used in the
formulation of N management based on the SSNM approach. The
future dissemination and fine-tuning of SSNM in the Cauvery Delta
is unlikely to require further use of N omission plots to determine N-
limited yield. For irrigated areas outside the Cauvery Delta, it is not
necessary to determine N-limited yields with N omission plots before
336
initiating wide-scale evaluation and dissemination of improved N
management based on the SSNM approach. Existing research results
and indigenous knowledge can provide sufficient information for
adequate estimation of N-limited yields for use in formulating
improved N management for immediate evaluation and adaptation
in farmers fields.
Research in the Cauvery Delta has clearly demonstrated that
improvements in N management can increase yields in farmers
fields. These increases in yield result in increased plant extraction
and removal of other nutrients, thereby increasing the need for an
adequate supply of other nutrients to achieve the higher yields
attainable with improved N management. Based on experiences in
the Cauvery Delta, irrigated rice farmers typically apply sufficient
fertilizer P to prevent P constraints to achieving high rice yield.
Insufficient use of fertilizer K, particularly on lighter textured soils,
can however be an important constraint to achieving high yields.
Experiences in the Cauvery Delta indicate that P-limited yield
is typically within about 0.5 t/ha of the attainable yield target for
irrigated rice fields with a history of receiving e 30 kg P2O5/ha/
season. In such cases, a continued seasonal application of fertilizer
P is required to replace P removed with harvested grain and residue,
thereby ensuring the maintenance of soil P fertility. As indicated
earlier, modern rice varieties with a harvest index of 0.45 to 0.55
contain for each tonne of grain yield about 6 kg P2O5 in grain plus
crop residue at maturity. If all crop residue is removed and no animal
manure is applied to fields, then the expected export of P2O5 from
rice fields for a 7 t/ha rice crop would be about 42 kg P2O5/ha. This
export of P would be slightly less if some crop residue was retained
on the field or some animal manure was applied. Based on the SSNM
approach, the application of 35 kg P2O5/ha/season to irrigated rice
fields with some retention of crop residue or application of manure
and a previous history of fertilizer P use should be adequate to
attain 7 t/ha (Table 1, Figures 1 and 2).
Results from farmers fields in the New Delta near Thanjavur
indicate the existing recommendation for fertilizer K (50 kg K2O/ha
in the kuruvai and 60 kg K2O/ha in the thaladi season) is not sufficient
to overcome K limitations on light-textured soils in the New Delta
when N management is improved to achieve high yields. Based on
the economic assessment of two fertilizer K rates in the Old and
New Delta, a markedly higher fertilizer K rate is recommended in the
New Delta (80 kg K2O/ha/season) than in the Old Delta (50 kg K2O/
337
ha/season), even though the estimated K-limited yields and fertilizer
K2O rates estimated from Table 2 are nearly similar for the two
locations (Table 4). This suggests the guidelines for fertilizer K2O
rates as described by Witt et al. (2002) and shown in Table 2 can in
some cases require refinements to consider the K-supplying capacity
of soil and the relative profitability of contrasting fertilizer K rates.
The higher requirement for fertilizer K at locations in the New
Delta than Old Delta suggests lower K-supplying capacity of the
light-textured soil in the New Delta. A technique is needed to reliably
assess this soil K-supplying capacity and complement the nutrient
omission plot technique. Ammonium acetate extractable K does
not appear to be a suitable technique for assessing soil K-supplying
capacity. The mean ammonium acetate extractable K for soils from
locations in the New Delta (0.25 cmolc/kg) was above the critical
value of 0.2 cmolc/kg; and K saturation as a percentage of the total
CEC was > 2.5, which corresponds to a range in which response to
fertilizer K is reportedly unlikely (Dobermann and Fairhurst, 2000). A
key ingredient of the SSNM recommendation is the split application
of fertilizer K (Figures 1 and 2), which can act to reduce K losses on
light-textured soils and increase the availability of K to rice at critical
growth stages.
Dissemination and uptake of SSNM in the Cauvery Delta
The SSNM recommendation as illustrated in Figures 1 and 2
together with the option to select either real-time or fixed-time/
adjustable dose N management is ready for wide-scale dissemination
and fine-tuning in the Cauvery Delta through a partnership of research,
extension, fertilizer sector, local government, and farmers. The
omission plot technique was vital for the development of P and K
recommendations shown in Figures 1 and 2. Activities in the Cauvery
Delta can now move beyond a phase of developing P and K
recommendations through use of the omission plot technique to a
phase with emphasis on enabling farmers to evaluate and adapt the
purported improved fertilizer management. A strategy for
dissemination in the Cauvery Delta could include the following:
a) Training and orientation on improved N management, which
uses only a moderate early application of fertilizer N and
then uses the LCC to ensure the top dressing of N matches
plant need for N.
b) Providing farmers with an option to manage N by either the
real-time or fixed-time/adjustable-dose approach.
338
c) Recommending about 35 kg P2O5/ha in each season for
high-yielding modern rice varieties.
d) Encouraging farmers to split apply fertilizer K and integrate
increased use of fertilizer K with improved N management.
e) Encouraging farmers to experiment by using the SSNM
recommendation in a portion of their rice-production area
and comparing its performance with the performance of their
fertilizer practice in an adjacent field.
Successful dissemination and uptake of SSNM in the Cauvery Delta
will require:
a) Distillation of the SSNM approach and locally adapted SSNM
recommendation into easy-to-understand messages and
promotional materials for the fertilizer sector, extension, and
farmers.
b) Training of lead farmers and field staff from the public and
private sector on the SSNM approach and the proposed
SSNM recommendation for the Cauvery Delta.
c) Active participation of farmers, including meetings of farmer
groups and visits by farmers to fields in which the SSNM
recommendation is compared relative to existing farmers
fertilizer practice.
d) Feedback to researchers on the performance of SSNM in
farmers fields, enabling researchers to appropriately fine-
tune the SSNM recommendation and better target
recommendations on fertilizer K rates to specific soil types
and rice-growing areas.
Promotion and uptake of SSNM in Tamil Nadu
The SSNM approach to plant-based nutrient management and
the local SSNM recommendation for N management (Figures 1 and
2) with either the real-time or fixed-time/adjustable dose approach
can now be extended to rice-growing areas of Tamil Nadu outside
the Cauvery Delta. A strategy for developing, evaluating, and
promoting locally adapted SSNM recommendations could include
the following:
a) Training and orientation on improved N management, which
provide farmers with an option to manage N by either the
real-time or fixed-time/adjustable-dose approach.
339
b) Use of the omission plot technique to develop fertilizer P
and K rates for contrasting soils and rice-producing areas,
which represent large domains for irrigated rice production.
c) On-farm evaluation of two fertilizer K rates in areas with
suspected low soil K-supplying capacity, such as light-
textured soils with low nonexchangeable K. This evaluation
could be comparable to that used in the Cauvery Delta,
where the low K rate approximates the rate currently used
by farmers and the high K rate approximates a rate estimated
from Table 2.
d) On-farm evaluation of two fertilizer P rates in areas with
suspected P fixation or other factors restricting P availability.
The lower P rate could approximate a rate estimated from
Table 2, and the higher P rate could be selected to assess
whether there was an economic benefit of additional P use.
e) Partnership of the public and private sector in conducting
the nutrient omission plot trials and the evaluation of fertilizer
K and P rates.
f) Use results from omission plots and evaluation of K and P
fertilizer rates to develop locally adapted recommendations
for major rice-growing areas.
SSNM for rice provides a plant-based approach to field-specific
management of N, P, and K. It is based on scientific principles
developed through nearly a decade of on-farm research throughout
Asia. SSNM aims to increase profit for rice farmers by achieving
high rice yields with efficient use of nutrients. It consequently does
not specifically aim to reduce or increase fertilizer use, but rather
ensures nutrient use is sufficient to achieve high yields. Considerable
opportunity now exists to incorporate the principles of SSNM into
teaching of agricultural students, training for field staff from the public
and private sector, and promotional materials on practices for
improved rice farming.
Acknowledgment
The collaboration between TNAU and IRRI in the development,
evaluation, and promotion of the SSNM approach for rice was made
possible by support from the Swiss Agency for Development and
Cooperation (SDC), the International Fertilizer Industry Association
(IFA), the International Potash Institute (IPI), and the Potash and
Phosphate Institute/Potash and Phosphate Institute Canada (PPI/
PPIC).
340
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342
RICE FARMING IN ASIA: CURRENT STATUS AND
EMERGING CHALLENGES AND OPPORTUNITIES
V. Balasubramanian, M. Bell, and J.A. Rickman
International Rice Research Institute (IRRI)
DAPO Box 7777, Metro Manila, Philippines
E-mail : [email protected]; www.irri.org
INTRODUCTION
In Asia, rice is the staple food for about 60% of the population.
It provides from one-third to more than seven-tenths of the daily
calorie intake for people in developing Asian countries. Rice is also
a key livelihood component of most farmers, the rural landless, and
the urban poor. Asian rice-farming households derive about half of
their income from rice. An estimated 70% of the worlds 1.3 billion
poor people reside in Asia and depend on rice for their food. Therefore,
efficient and cost-effective rice production is critical to ensure food
and nutritional security to the poor and to eradicate poverty in Asia.
Without adequate productivity growth, the price of rice is bound to
increase and this will make it much more difficult for poor rice
consumers to secure their food.
Current status of the rice sector in Asia
About 90% of the global rice is produced and consumed in Asia
(Table 1). China, India, Indonesia, Bangladesh, Vietnam, Thailand,
Myanmar, and the Philippines are the major rice producers in the
region. Indonesia, the Philippines, Malaysia, Japan, and Bangladesh
each imported more than half a million tons of rice in 2004. The
major rice exporters in the region are Thailand, Vietnam, China,
Pakistan, and India (and Australia). The cost of production per metric
ton (Mt) of rice varies from US$97 to $160 in developing Asia in
comparison with $233 in the United States, $1,091 in South Korea,
and $1,624 in Japan (Table 1).
Evolution of rice area, production, yield, and price and their
impact on rice farming
From the beginning of the Green Revolution in the mid-1960s to
1999, global rice production increased by almost three fold, while
the area planted to rice increased by less than 20% (Figure 1). The
higher rice production was achieved by the spectacular increase in
mean farm-level rice yield from 2.2 Mt ha-1 in 1967 to 3.9 Mt ha-1 in
1999 and 4.0 Mt ha-1 in 2004. As a result, the inflation-adjust ed real
343
Table 1. Rice statistics for selected Asian countries in comparison with
statistics for the United States, Asia, and the world
Country Area Production Yield Production Imports Exports Additional
(million (million (Mt cost (US$ (million (million demand
ha) Mt) 2004a ha-1) Mt-1) 2001b Mt) Mt) over next
2004a 2004a 2000a 2000a 25 y (%)c
Bangladesh 11.00 37.91 3.5 130 0.50 -- 51
Cambodia 2.30 4.71 2.1 105 0.04 -- --
China 29.42 186.73 6.4 140 0.24 3.07
India 42.50 124.40 2.9 116 0.01 1.53 46
(Punjabd) (5.3d) (97d)
Indonesia 11.75 53.10 4.5 115 1.36 -- 38
Japan 1.65 11.40 6.9 1624 0.66 0.04 --
Korea 0.99 6.35 6.4 1091 0.17 -- --
(Rep. of)
Laos 0.82 2.70 3.3 -- 0.01 -- --
Malaysia 0.67 2.18 3.3 -- 0.61 -- 56
Myanmar 6.00 23.00 3.8 -- -- 0.14 42
Nepal 1.55 4.30 2.8 107 0.20 -- --
Pakistan 2.21 7.57 3.4 139 -- 2.02 --
Philippines 4.00 14.20 3.6 160 0.64 -- 65
Sri Lanka 0.76 2.51 3.3 149 0.21 -- --
Thailand 9.80 25.20 2.6 104 -- 6.14 --
Vietnam 7.40 35.50 4.8 119d 0.005 3.48 45
U.S.A 1.35 10.23 7.6 233d 0.30 2.74 --
Asia 134.54 549.46 4.1 -- 10.93 16.57 30
(total/mean)
World 153.26 608.50 4.0 -- 21.78 23.43 25
(total/mean)
Data source: aIRRI (2005).World Rice Statistics (www.irri.org/science/

ricestat/index.asp); bFAO (2004); cM. Hossain (2002); dIRRI sample farm
household survey
price of rice in the world market declined by more than 50% (Hossain
2002). During this period, many countries enhanced their food security
and saved their scarce foreign exchange by reducing or eliminating
imports of rice. At the same time, a few countries started exporting
rice to other regions (Table 1). This enormous increase in rice
production also saved 186 million ha of marginal land and forest
areas that would have been cleared for rice cultivation in the absence
of the development of modern rice varieties and production
technologies.
However, the declining rice price squeezed farmers profits.
Farmers still continued to profit from rice farming because of (a) the
introduction of high-yielding semidwarf rice varieties, good irrigation,
mechanization, and better crop management technologies that
increased rice yields and reduced the production cost per Mt of rice
344
harvested and (b) the increased annual rice production per unit of
land due to the growing of 2 to 3 rice crops per year on the same
piece of land, made possible by increased irrigation facilities and
the availability of short-duration rice varieties. As a result, the inflation-
adjusted domestic producer price of unhusked rice (paddy) remained
more or less constant during 1976-2002 (Hossain 2005). A further
decline in rice price and a stagnation or decline in yield growth (as
seen during 1998-2003) may erode profits for rice farmers and
discourage them from further intensification of rice cultivation in
Asia.
On the other hand, the demand for rice will increase by a
minimum of 1% every year for the next 25 years (Rosegrant et al.,
1995, 2001) and this means that an additional 150 million tons of
rice must be produced to feed the projected population in 2030.
Therefore, further intensification of favorable rainfed and irrigated
rice farms is necessary to assure food and nutritional security and
to reduce poverty in many Asian countries.
Figure 1. Evolution of rice area, production, and yield during

1967-99 (Source: M. Hossain, IRRI)
Emerging challenges to rice crop intensification
Continuous growth in population, increasing migration of rural
people to urban centers, growing biophysical and socioeconomic
constraints to rice production, global climate change, increasing
environmental concerns, and poor organization and inadequate
empowerment of farmers seriously affect the intensification of rice
farming in Asia and elsewhere.
345
Population growth and urbanization and their impact on rice
farming
Asias population is projected to increase from 3.7 billion in
2000 to 4.9 billion in 2030 (Table 2). The annual population growth
rate during this period is expected to vary from 0.04% in Japan to
1.5% in Bangladesh and Vietnam, with an average of 1.08% for the
region. The proportion of population living in urban centers increased
from 22.7% in 1970 to 37.1% in 2000, and it is projected to increase
further to 54.5% in 2030 (Table 2), with a rural-urban migration rate
of 2.3% per annum. The rates of population growth and urbanization
have significant implications for rice farming:
§ Continuous population growth and the division of property
among children in each generation reduce the farm (and
plot) size per rural household.
§ More rice consumers in urban areas will depend on fewer
rice producers in rural areas.
§ There will be less land and water available for rice farming
because of increasing demand for these resources for
housing, recreation, industry, infrastructure, and other uses.
§ Rural-urban migration and growth in rural non-farm
enterprises will reduce the availability of rural labor for
farming and increase wage rates (Table 3).
§ Rural youth in general shun away from farming activities
because of their exposure to the urban lifestyle of their
counterparts through the media.
Table 2. The United Nations projected rural, urban, and total population
(millions) for Asia, 1970-2030
Particulars Year 1970 Year 2000 Year 2030

Population (millions)
Rural 1657 2313 2222

Urban 486 (22.7%) 1367 (37.1%) 2664 (54.5%)
Total 2143 3680 4886
Source: UN. 2004. World Urbanization Prospects: The 2003 Revision.
346
Table 3. Long-term trends in wage rates (US$ per day) in selected Asian
countries
Country 1961 1971 1981 1991 2000
Bangladesh 0.46 0.44 0.86 1.39 1.27
Philippines 1.39 0.59 1.51 2.16 3.84
Korea, Rep. of 0.82 1.86 10.84 32.59 38.84a
Japan 1.22 8.19 24.16 51.93 84.35
a
1996 figure. Source: IRRI (2002).World Rice Statistics (www.irri.org/
science/ricestat/index.asp)
Farm-level rice production constraints

Rice farmers face several problems : stagnating yield growth,
declining profit (due to rising input costs and low rice price),
globalization of trade and the consequent worldwide competition,
resource (land, water, and labor) constraints to rice cultivation, crop
failures due to adverse weather, high postharvest losses, and growing
environmental concerns. Rice research must develop innovative
technologies and production practices to tackle these farmers
problems.
Stagnating yield growth : Annual rice yield growth in Asia
decreased from 2.7% during 1970-80 to 0.9% in 1990-2002. Mean
rice yields on Asian farms oscillated between 3.9 and 4.0 t ha-1
during 1998-2003. Modernization of rice farming is critical to
maintaining a yield growth of more than 1% per annum for the next
25 years and to making rice farming profitable and attractive to the
next generation of rice farmers.
Declining profit : To enhance profit in rice farming, farmers
need to use production resources and external inputs efficiently,
reduce production losses from pests and diseases and poor
postharvest management, and improve grain quality and product
diversification to meet changing consumer demand.
Global competitiveness : In a liberalized and open trade arena,
farmers in all countries will face severe global competition to market
their produce. Those who produce grain at the required quality for various
consumer markets at a competitive price will win the race. Researchers
and field technicians must provide technical assistance to farmers to
enable them to compete successfully in the global market place.
347
Resource constraints : The supply of land, water, and labor
the critical resources for rice productionare decreasing because
of increasing demand for and diversion of these resources to human
settlement and expansion of industry, infrastructure, and recreational
facilities. In Java alone, 30,000 hectares of agricultural land vanish
each yearwhich could supply rice for 800,000 people. Rice will
also have to compete with more profitable crops for field space.
Declining quality and availability as well as increasing
competition and cost of fresh water threaten the sustainability of
irrigated rice systems in Asia. Tuong and Bowman (2003) estimate
that, by 2025, about 2 million ha of Asias irrigated dry-season rice
and 13 million ha of its irrigated wet-season rice will experience
physical water scarcity, and most of the 22 million ha of irrigated
dry-season rice in South and Southeast Asia will suffer economic
water scarcity. To tackle this problem of severe water shortage for
rice production, we urgently need new methods of irrigation to save
water and related crop management technologies to sustain yield
(Bouman and Tuong, 2001; Tuong and Bouman, 2003).
High postharvest losses : Asian rice farmers lose 25% to
50% of the total grain value because of poor timing of harvesting
and threshing, inadequate moisture control at various stages, and
inefficient grain handling and milling. Farmers may be aware of the
losses in quantity of grain (1015%), but not the losses in grain
quality (1035%) that determine the market price for their produce.
Farmers often experience breakage of grain, especially in long-grain
varieties, caused by inappropriate milling equipment. A majority of
farmers allow the rice crop to overripen before harvest and wait for 2
to 5 days between harvest and threshing; these practices increase
grain breakage in milling and reduce whole-grain recovery and the
price (value) for milled rice.
Climate change and rice production
Climate change is expected to influence future crop yields.
Complex interactions between the effects of increased atmospheric
CO2 concentrations (Baker et al., 1990) and trace gases such as
ozone (Maggs and Ashmore, 1998), and the effects of temperature
increases due to climate change (Rosenzweig and Parry, 1994) are
predicted to affect biomass production and crop yields in the future.
Increased nighttime temperature associated with global warming is
reported to reduce rice yields in the tropics (Peng et al., 2004). Rice
grain yield declined by 10% for each 1oC increase in growing-season
minimum temperature in the dry season, whereas the effect of
maximum temperature on yield was not significant. Breeding rice
varieties tolerant of high nighttime temperature is necessary to solve
this problem.
348
Climate change may also increase the frequency of occurrence
of drought and flood in different parts of the world, and cause sea
levels to rise in coastal regions. Other unpredictable natural disasters
such as cyclones, earthquakes, and tsunami-induced giant tidal
waves may destroy lives and property, including farm land and water
resources in certain areas. Farmers need adequate crop and property
insurance protection against such natural calamities.
Farming-related environmental concerns
The application of external inputs increases with the continuous
intensification of rice farming (Figure 2). In intensive rice cultivation,
farmers use chemicals to obtain bumper rice harvests. Farm chemical
misuse, particularly the overuse of pesticides, is due to years of
aggressive pesticide advertising, lack of knowledge, and incorrect
estimations of crop loss. The chemicals used in Asia, such as methyl
parathion, monocrotophos, and metamidophos, are often highly
hazardous to human health and are banned in the developed world.
In addition, improper use of chemicals in farming will also increase
their residues in food products, thereby affecting human health.
Despite the promotion of integrated pest management (IPM)
strategies, the use of such chemicals continues at high levels
worldwide and still troubles the rice industry. Therefore, technologies
to reduce chemical use in rice farming are urgently needed.
External N application is critical for intensive rice production
because most soils are deficient in N. About 93% of the total N
fertilizers allocated for rice are applied to rice fields in Asia (FAO
2001). Rice crops use only about half of the applied N for producing
the aboveground biomass (Balasubramanian et al., 2004a; Krupnik
et al., 2004). The other half is, to a great extent, dissipated in the
wider environment, causing a number of environmental and ecological
External
Indigenous
Low-input High-input systems
Figure 2. Relative use of indigenous resources vs. external inputs

with intensification of rice farming (source: Kam 2003)
349
side effects. Thus, efficient N use is critical to producing enough
food to feed the growing population and avoid large-scale degradation
of ecosystems caused by excess N (Tilman et al., 2001).
Other impacts of intensive farming on the environment are land
degradation, water depletion/pollution, erosion of biodiversity, and
emission of greenhouse gases.
Lack of or ineffective farmer organizations
Rice farmers in Asia are highly scattered in space. They do not
organize themselves into effective groups to jointly fight for their
rights and entitlements. Farmers are the worst affected group in any
country and most of them often suffer in silence.
Opportunities to address emerging challenges to rice production
New technological breakthroughs are needed to further intensify
the rice production systems in favorable and irrigated areas in the
face of a declining supply of production resources such as land,
water, and labor. Another critical area is how to achieve economies
of scale in rice farming to effectively mechanize field operations. A
third point is how to reach millions of rice farmers with new information
and technology when rural youth are moving away from agriculture
in search of jobs and a better life in cities. Technology options readily
available now (Balasubramanian et al., 2003) or in the research
pipeline are discussed below.
Raising the potential yield, nutritional value, and resistance of
rice varieties
The potential yield is 10 Mt ha-1 for presently available semidwarf
indica rice varieties. An additional 10% to 15% increase in rice yield
is possible with the development of rice hybrids for the tropics
(Virmani 1996; Virmani et al., 1998). New plant type (NPT) varieties
and hybrids derived from them are being developed to further increase
the potential yield of rice to 12 to 15 Mt ha-1 or more (Khush 1995).
Nutrient-dense varieties such as golden rice (for vitamin A) and
iron-rich rice are in the research pipeline. They may be available to
farmers in about five years. Pest-resistant rice varieties (Xa21 for
bacterial leaf blight, Bt for insects) are also being developed to
minimize pesticide use in rice farming. Research is ongoing to develop
rice varieties tolerant of abiotic stresses such as drought, flood,
salinity, etc.
350
Growing more rice with less water
Water-saving technologies such as saturated soil culture,
saturated soil and soil drying, and alternate wetting and drying (AWD)
increased water productivity by reducing water input by up to 35%
compared with continuous flooding, but grain yield decreased
(Borell et al., 1997; Lu et al., 2000; Bouman and Tuong, 2001; Tabbal
et al., 2002). AWD is promising because it offers high water
productivity coupled with a low penalty on grain yield. In China and
the Philippines, AWD is reported to save from 13% to 30% of irrigation
water at the field level, with no significant reduction in yield (Cabangon
et al., 2001; Belder et al., 2002). In Indonesia, rice yields were
maintained or increased under AWD when weeds were controlled
effectively (Wardana et al., 2002).
Other water-saving technologies include (a) land leveling to
reduce the amount of water needed to keep fields uniformly flooded
and at the same time improve weed control, (b) direct dry seeding to
save on water used for puddling, and (c) planting on raised beds.
Construction of farm ponds and rainwater harvesting and effective
management of waste water and saline water for irrigation are other
options available for rice production in water-scarce areas or in areas
with a poor-quality water supply.
Researchers need to develop adapted rice varieties and
appropriate nutrient and pest management strategies to tackle shifts
in nutrient needs, weed flora, and pest profiles under situations of
limited water use in rice cultivation. Virmani (1996) and Shi et al.
(2002) have shown that hybrid rice varieties are more adapted to
AWD because of their early seedling vigor and vigorous root system
that favor efficient use of available water. Breeders at IRRI have
identified several elite inbred lines, varieties, and hybrids that are
particularly adapted to AWD during the vegetative phase, without
any significant loss of yield. IRRI is also working to develop aerobic
rice.
Aerobic rice : Rice breeders at IRRI are breeding new aerobic
rice varieties by combining upland rices adaptation to dry soils and
the fertilizer responsiveness and high potential yield of irrigated rice
varieties (Atlin 2005). The resulting aerobic rice varieties grow in
non-flooded soils like maize or wheat and yield as high as 4 to 5 Mt
ha-1, using 50% of the water that flooded rice systems use. Farmers
have already started cultivating promising aerobic rice varieties in
China, Brazil, and the Philippines.
351
Integrated crop management (ICM) promotes the combined use
of adapted rice varieties and location-specific crop management
technologies to increase land and water productivity as well as net
profit in irrigated rice farming (Balasubramanian et al., 2004b;
Chandrasekaran et al., 2004; Thiyagarajan et al., 2002). ICM pilot
studies conducted by the Plant Protection Department in South
Vietnam indicated that farmers could reduce their seed rate by >
50%, N input by 2030%, the number of pesticide applications by
3050%, and crop lodging by 100%, and enhance overall profit by
$93214 ha-1 in direct-seeded rice (Balasubramanian et al., 2002).
With a wider adoption of AWD and ICM in Asia, crop yield will be
sustained or increased in irrigated rice ecosystems, and the water
saved will be available for other more profitable uses and to reduce
the risk of salinization/seawater intrusion in downstream areas.
Growing healthy crops through ICM will also help reduce pesticide-
related health risks to farmers.
The shift from continuous flooding to the aerobic system will
cause profound changes in water conservation, soil organic matter
turnover, nutrient dynamics, carbon sequestration, soil productivity,
weed ecology, and greenhouse gas emissions. Some of these
changes can be positive (e.g., water conservation and decreased
methane emissions), whereas others can be negative (e.g., release
of nitrous oxide from the soil, decline in soil organic matter). Future
research must monitor these changes and develop effective water
and related resource management interventions that will allow
profitable rice cultivation with increased soil aeration while
maintaining the productivity, environmental services, and
sustainability of rice-based ecosystems.
Site-specific nutrient management (SSNM)
Site-specific nutrient management (SSNM) provides an
approach for feeding rice crops with nutrients as and when needed.
Farmers dynamically adjust the application and management of
nutrients to crop needs according to location and season (Buresh
et al., 2003; Dobermann et al., 2004). This approach advocates
§ the optimal use of existing indigenous nutrient sources,
including crop residues and manures, and
§ timely fertilizer application to meet the deficit between rice
demand for nutrients and the supply of nutrients from soil
and organic inputs (Figure 3).
352
Climate
Crop nutrient need
N-P-K
Crop Manure
Inorganic
residues fertilizer
Irrigation
Soil water
Indigenous nutrient supply
Figure 3. SSNM approach: Apply fertilizers as and when needed to fill

the deficit between crop need and indigenous nutrient supply.
(Source: Buresh et al., 2003)
In SSNM, the leaf color chart (LCC) is used to apply N fertilizer

as per the crops need during the growing season (real-time N
management) (Balsubramanian 2004; Shukla et al., 2004). Rice leaf
color is monitored in the field with LCC from 15 days after transplanting
to the booting stage at 710-day intervals, and N fertilizer is applied
whenever the leaf color falls below a critical value (Figure 4).
Readings above Readings below

critical value critical value
N
N N
Don’t apply! ü Apply!

Figure 4. A simple leaf color chart-based decision support system for
crop need-based N management in rice
The omission plot technique is used for crop need-based P and

K application. A P-omission plota plot with no added P but applied
with full rate of other nutrientsvisually demonstrates to farmers a
deficit of P. Similarly, a K-omission plota plot with no added K and
the full rate of other nutrientsdemonstrates a deficit of K (Buresh
et al., 2003; Dobermann et al., 2004). The difference in grain yield
between a nutrient omission plot and a full NPK plot is used to make
353
P and K recommendations, using the formula To produce one metric
ton of paddy over the yield of the nutrient omission plot, farmers
should apply 15-20 kg P2O5 and 30 kg K2O per ha.
Other nutrients such as S and Zn are applied as per local
recommendations at sites deficient in such elements.
The SSNM approach eliminates wastage of fertilizer by
preventing excessive rates of application and by not applying fertilizer
when the crop does not require nutrient inputs. It also ensures that
N, P, and K are applied in the optimal proportions (Buresh et al.,
2003).
Additional research is needed to develop integrated nutrient
management (INM) strategies for rice grown in non-puddled soil (e.g.,
bed planting, direct dry seeding, aerobic rice, etc.). The relationship
between INM and crop establishment, INM and pest incidence, and
INM and water management has to be explored further to develop
effective options of integrated crop management and to minimize
nutrient losses from the system.
Integrated pest management (IPM)
IPM is a decision-support system for the selection and use of
pest control strategies that minimize dependence on chemical
pesticides and improve human health and environmental quality.
The use of an adapted resistant rice variety, good-quality seed, robust
young seedlings, crop need-based nutrient application, and proper
water management and weed control will help grow a healthy crop
that will minimize the need for pest control by chemicals. Regular
field monitoring and taking preventive measures are important steps
to prevent a buildup of pests. Maintaining in-field refuges for natural
enemies is another way to increase the population of predators more
than pests. Community action is needed to control certain pests
such as locusts, rice bug, black bug, tungro, and rats. Selected
IPM technologies for rice are (a) no early spraying against leaffolders
and thrips, (b) pheromone traps for yellow stem borer, (c) an active
barrier system for rat control, (d) deployment of pest-resistant
varieties, (e) planting of mixed varieties, (f) silica application for
blast control, and (g) timely and judicious use of fast-acting bio- or
synthetic pesticides.
Mixed planting to enhance diversity and reduce disease
incidence: Interplanting of high-yielding hybrid rice varieties that
are resistant to blast with susceptible traditional tall glutinous rice
varieties has improved total productivity and drastically reduced the
use of fungicides to control blast disease in China
354
(Leung et al., 2003). With low or no incidence of blast in these
interplanted crop mixtures, farmers are re-introducing blast-
susceptible traditional rice varieties that have high socio-cultural
and market value.
Further research is needed on the management of herbicide
resistance, development of crop genetic diversification strategies
to reduce pest incidence, use of biotechnology to develop rice
varieties with multiple resistance, and development of optimum plant
nutrition strategies for minimizing pest attack through a better
understanding of nutrient ´ pest interactions.
Reducing postharvest losses
Asian rice farmers lose 25% to 50% of the total grain value
because of improper handling of rice during and after harvest. To
reduce grain losses and to maintain grain quality, rice must be
harvested at 95% maturity and threshed immediately after harvest.
Simple dryers and sealed storage options are available for drying
and storing the grain properly. Sealed storage kills storage pests
without pesticides, preserves grain quality, and maintains seed
viability. IRRI has developed appropriate and cost-effective tools
such as a low-cost moisture meter to monitor grain moisture while
processing, super bags for hermetic storage of grain, a rice-milling
chart to guide optimum milling of rice, and an indent sheet grader to
separate broken rice from the whole kernel. An improvement in harvest
and postharvest processing will enhance the market value of rice
and thus improve not only farmers income and livelihood but also
enhance profit to millers.
Tackling global climate change
Higher night temperature caused by global warming and other
climate-related natural calamities such as flood, drought, tidal waves,
cyclones, etc., adversely affect rice production in many countries.
The development of rice varieties tolerant of high nighttime
temperature during the crop growing period and of saline and alkaline
soils is critical. Alternate crops need to be identified and introduced
for flood- and drought-prone areas.
Environmental sustainability
Excessive or improper use of fertilizers and pesticides, land
degradation, depletion of groundwater, contamination of groundwater
with toxic metals such as arsenic, erosion of biodiversity, and
emission of greenhouse gases lead to degradation of the environment.
The development of alternative technologies to reduce burning of
crop residues will help improve air quality in farming areas and at
355
the same time will enhance soil quality. The efficient use of fertilizers
and pesticides will reduce the pollution of water sources. The
widespread adoption of crop need-based site-specific nutrient
management and IPM strategies will not only optimize fertilizer
application and reduce pesticide use on crops but will also impact
positively on the environment and human health, boost farm profit,
and conserve important resources used in the manufacture of
fertilizers and pesticides. The increased adoption of direct seeding
and alternate wetting and drying irrigation will reduce emissions of
greenhouse gases such as methane and nitrous oxide. Enhancing
biodiversity through interplanting of resistant and susceptible rice
varieties in China has drastically reduced fungicide use in rice farming
and helped improve the quality of harvested produce. The integrated
use of resource-conserving technologies will enhance the
sustainability of production systems and improve the quality of the
environment.
Organization of farmers
The voluntary organization of farmers into groups is essential
to gain competitive power in input and output markets, effectively
coordinate farming operations and allocate community resources
(water, grazing land), shape supportive farm policy (crop insurance,
minimum support price, etc.), develop own processing and value
addition enterprises, and do direct marketing.
Farmer cooperatives
A cooperative organization is effective if managed properly. In
most places, farmer cooperatives have failed because of
mismanagement, political interference, nepotism, and fraud. The
cooperative movement in India celebrated its centenary in 2004 and
new efforts are under way to renew cooperative organizations to
empower the weaker sections of the community such as women,
tribal people, and landless laborers. A national cooperative
development corporation coordinates all the cooperatives in the
country. To be successful, cooperatives must be formed on a
voluntary basis and managed democratically by an elected
autonomous professional management team with an independent
audit.
Corporate management for farmer groups
Farmers develop an association with a professional leader to
guide them. Landholdings are not consolidated, but members must
follow strict guidelines in crop scheduling, farming activities, and
allocation of common resources. Group facilities such as farm
356
machinery, postharvest processing and storage, and bulk-procured
inputs are made available to members. Direct marketing of produce
is also organized. Such corporately managed farmer groups exist in
India, Indonesia, and Vietnam.
Contract farming
In this case, farmers become contractors of a company. They
provide only labor, land, and some capital, but make no major
farming/management decisions. The company makes key
management decisions, provides all inputs and technical advice
and support, supervises all operations to maintain quality, and buys
back the produce at an agreed-upon price. Some companies pay
the contract price or the market price, whichever is higher at the
time of procurement to enhance the long-term relationship with their
farmer contractors. Farmers have to follow strict guidelines in farming
and maintain product quality as per the agreement. A good example
is organic rice farming under contract with a company for technical
guidance, input supply, certification, processing, and marketing.
Contract farming provides better linkage among production,
processing, and marketing, with farmers, processing companies,
and bankers as key stakeholders. Banks provide credit to support
and facilitate the win-win arrangement between farmers and
companies. There are no middlemen between farmers and companies.
All profit goes to the company and some companies may share a
part of their profit with farmer contractors to enhance participation
and sustainability.
CONCLUSIONS
The impressive research achievements of IRRI and partner
research institutions in Asia have led to the development of high-
yielding inbred and hybrid rice varieties and innovative production
technologies that have assured food security for the galloping
population of Asia during the last four decades. Further intensification
of rice farming is more difficult because of the emerging challenges
of migration of rural youth to cities, declining resources, rising input
costs, decreasing profit, degradation of the environment, and poor
organization of farmers. Research must find solutions to these
challenges in order to ensure food and nutritional security to the one
billion more people who will inhabit Asia in the next 25 years.
357
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360
MICRONUTRIENTS DEFICIENCIES IN INDIAN
CROPS AND THEIR AMELIORATION
M.V.Singh
Indian Institute of Soil Science, Nabibagh, Berasia Road,
Bhopal 462 038, India
Introduction
Green Revolution has triggered to achieve higher food production
and nutritional security in the country. However, intensive cultivation
of high yielding varieties, increased use of NPK free from
micronutrients, decreased use of organic manures and lack of crop
residue recycling created a situation that the inherent pools of most
of the micronutrients in soils were gradually exhausted. These
resulted in widespread deficiencies of micro- and secondary -nutrients
to a level where it became critical for achieving sustainable high
crop production (Kanwar and Randhawa 1974, Singh and Abrol 1986).
Fig.1: Emergence of nutritional disorders in crops in India
In sixties field scale zinc (Zn) deficiency was first noticed in

rice in tarai soils (Nene, 1965), and in wheat on sandy soils (during
1969), then in most of the intensively cultivated area wherever these
crops were grown. Later, the deficiencies of Fe became apparent in
rice, sugarcane, chickpea, groundnut and that of Mn in wheat in
rice-wheat system on sandy soils of Punjab (Takkar and Nayyar,
1979, 1981) and of B in chickpea, rice on highly calcareous soils of
Bihar (Singh et al., 1985) in several soils. Since consumption of
fertilizer nutrients in the country is likely to increase from 18 and 45
361
million tonnes to produce nearly 310 million tonnes of food grain for
feeding about 1.4 billion people in the year 2050 A.D.Thus mounting
pressure of increasing food requirements would further increase the
constraints of micronutrient deficiencies and toxicities of trace
elements on our limited natural soil resources (Fig.1), hence these
issues need more attention.So considering wide spread micronutrients
deficiencies and the benefits likely to be accrued and suitable
technology technologies developed for effectively combating their
deficiencies are summarized below for the benefits of users
agencies.
Physiological and biochemical functions of micronutrients in plants
Plant requires seven essential micronutrients to complete their
life cycle as they play specific physiological functions in the metabolic
activities of plants (Agarwala and Sharma 1979). Micronutrients are
required in small amounts but they are very vital in redox process in
plant cell for electron transfers and in the synthesis of growth
substrates. These are constituents of prosthetic groups in several
metallo enzymes and activator of enzymatic reactions. Micronutrient
stress influences the pollen viability, sink activity, higher activity of
oxidase, hydrolytic catabolic enzymes as well as production and
translocation of photosynthates within plant parts. Some
micronutrients like molybdenum (Mo) and copper (Cu) are helpful in
assimilation and symbiotic nitrogen fixation in root nodules of legume
plants. Manganese acts as an activator of enzymes in Krebs Citric
Acid Cycle and is involved in activating catalyze reactions such as
phosphorylation, decarboxilation and hydrolysis reactions and
lignification. Iron is a constituent of large number of metabolic
components like cytochrome, heme enzymes, functional metallo
proteins such as ferrodoxin and hemoglobin. Boron is involved in
the synthesis of growth regulators, sugar borate and their translocation
within plant parts, which have striking effect on formation and
development of anthers in pollens, which facilitates fertilization and
better crop yields.
Diagnosis of Nutritional Disorders in Crops and Soils
Efficient diagnosis is the key for adopting proper amelioration
strategies which can be accomplished by looking visual deficiency
symptoms, soil and plant analysis and biological response from
micronutrient fertilization. Specific deficiency symptoms are
characterized and critical level of nutrients have been established in
important crops, which are helpful in diagnosing actual nutritional
disorder in various crops by various workers (Sharma 1996, Singh
1998, 2000).
362
Visual symptoms in plants : Deficiency of micronutrient in plant
produces specific characteristic symptoms, which can be used as
a guide to diagnose micronutrient deficient plants ( Fig.2). Visual
deficiency symptoms in several plant species and their cultivars
have been characterized in refined sand culture (Agarwala and
Sharma 1979) and in field conditions (Nayyar et al 1990, Gupta et al
1994, Singh and Saha 1995, 1997), which are being widely used in
diagnosing nutritional disorders in important crops.
Groundnut
Fig. 2: Visual symptoms of micronutrient deficiencies in groundnut
plants
Plant analysis : There exists a quantitative relationship

between tissue micronutrient concentration and growth and yield of
the crops, with exception of Fe. Therefore, micronutrient concentration
in plants is found quite helpful to isolate deficient crops and soils.
Using refined sand culture, threshold value of micronutrients
deficiency / toxicities at which +10% reduction in yield occurs, have
been established for Indian crops and their varieties (Table 1).These
are being used for precise and successful prediction of their
deficiencies in crops (Sharma 1996). The values depend upon the
degree of deficiency, plant age and parts sampled, genotype, status
of other interacting elements and environmental conditions (Singh
and Saha 1995, 1997, Singh 1998).Notwithstanding the inter-species
and inter-site differences, concentration of zinc less than 20 mg kg-
1
suggests the probability of its deficiency in several cereal and
oilseed crops.Minor differences in critical concentration have been
observed between soil and sand culture. The critical limit of Mn, Cu,
B and Mo at which most crops need supplementation may arise if
their concentration in plant tissue are less than 20, 4 and 20 mg kg-
1
and less than 0.1 mg kg-1 , respectively.
363
Table 1. Critical concentration of micronutrients in important crop plants (YL=Young leaves, ML=Middle leaves, L=Leave)
Crop Nutrient Age of Plant Critical Conc. for mg kg-1 for micronutrients
Plant Part
DAS
Severe Crop Nutrient Age of PlantPart
deficiency Plant
DAS
Pigeon pea Cu 44 YL <5.0 Pigeon pea Cu 44 YL
Pea Cu 42 YL <4.0 Pea Cu 42 YL
Lentil Cu 56 YL <6.0 Lentil Cu 56 YL
Wheat Cu 35 YL <4.0 Wheat Cu 35 YL
364
Rice Cu 35 YL <2.5 5 5-40 40 >100

Maize Cu 35 YL <2.5 4 4-20 20 >100
Pearl millet Cu 72 YL <2.5 8 8-14 14 >20
Gram Cu 54 YL <3.5 10 10-15 15 >18
Sunflower Cu 38 L <5.0 6 6-10 10 >20
Soybean Cu 35 L <4.0 4 4-15 15 >15
Wheat Zn 35 ML <15 20 20-100 100 >20
Rice Zn 35 ML <15 20 20-100 100 >200
Maize Zn 35 YL <2.5 4 4-20 20 >200
Pearl millet Zn 44 ML <20 40 40-100 100 >200
Pea Zn 42 ML <12 20 20-80 80 >300
Cowpea Zn 32 LB <20 45 250-150 150 -
Black gram Zn 30 ML <12 25 25-45 45 -
Lentil Zn 55 ML <6 10 10-50 50 -
Sunflower Zn 73 L <20 40 40-100 100 -
Groundnut Zn 55 Ml <10 15 15-60 >60 -
Mustard B 52 YL <10 25 25-70 >70 -
Wheat B 70 YL <4 35 35-60 >6 -
Rice B 50 YL <10 20 20-0 >50 -
Pea B 72 YL <3 10 10-50 >50 -
Lentil B 29 L <3 10 10-50 >50 -
Mustard B 52 YL <10 25 25-70 >70 >200
Field bean B 52 L <7 10 10-36 >36 >100
365
Pigeonpea B 56 L <20 40 40-200 200 >200

Rice Mn 35 ML <25 50 50-60 >60 -
Wheat Mn 70 ML <25 55 55-75 >75 -
Pearl millet Mn 50 ML <10 15 20-160 >160 >160
Gram Mn 50 ML <10 17 17-20 >20 -
Pea Mn 65 Ml <12 20 22-10 >100 -
Lentil Mn 90 ML <35 45 45-75 >75 -
Green gram Mn 42 ML <10 16 16-25 -
Mustard Mn 30 ML <10 15 15-70 >70 -
Sunflower Mn 43 Ml <18 30 30-75 >75 >200
Soybean Mn 54 Ml <15 35 35-120 >120 -
Source: Singh (1997) Compiled from annual reports of AICRP Micronutrients
The total Fe is not a good indicator of Fe deficiency and failed
to predict the bioavailable iron and responses of crops that are likely
to be achieved. Prediction of iron deficiency in plants remained so
far a vital subject and active (Fe2+) iron in plants has been shown to
differentiate better the Fe-chlorotic plants from the non-chlorotic ones.
Recently, Sakal and Singh (1995) established its critical value of
active Fe 74 mg kg-1 in chick pea , 87 mg kg-1 in black gram and 45
mg kg-1 in 40-45 days old rice leaves to isolate deficient from sufficient
plants. Some studies have shown that activityof ribonuclease or the
carbonic anhydrase enzymes proved superior over tissue Zn
concentration in predicting its deficiency in field crops. Toxicity of
Fe and Mn is reported in rice plants when its concentration goes up
100 to 600 mg kg-1 and that of more than 650 mg kg-1 in soils.
Soil testing for micronutrient status : By the time
micronutrient deficiency appears in growing plants a significant
reduction in growth and yield is often noticed. So a reliable test is
needed to determine micronutrient requirement of crops prior to
planting of crops. Despite some demerits, soil testing is extensively
employed to provide such information. Among various soil test
methods and extractants evaluated for their suitability, chelating
agents have been found relatively more successful in divergent soils.
Among various extractants, the chelating agents DTPA (Diphenyl
Triamine Penta Acetic Acid) (Lindsay and Norvell, 1978) for the
estimation of plant available micronutrient cations, hot water for
soluble boron and ammonium oxalate extraction for available Mo,
are widely preferred in most of the laboratories. Uniformity in
measurements is of paramount importance as extractability of
micronutrients (Gupta et al.,1994) and precision in colour
development during B estimation are temperature dependent (Saha
and Singh, 1997), so proper temperature controlled facilities are very
much required for reproducible results.
The critical levels of micronutrients determined so far by following
Cate and Nelson graphical and statistical methods differ markedly
from soil to soil for the same crop and vice versa. The values of Zn
for rice ranged between 0.45 and 2.0 mg kg-1 in red and black soils,
which are considerably higher than the range of 0.38 to 0.90 mg kg-
1
in alluvial soils. Similarly, the value was relatively low (0.38 mg kg-
1
) in alluvial soil as compared to 0.67 mg kg-1 in red and 1.3 mg kg-1
in black soils. Similarly, the value of Zn in calcareous alluvial soil for
rice was 0.70 mg kg-1 as compared to 0.50 mg kg-1 in the non-
calcareous soils for maize. In alluvial soils of Punjab the critical
value of Mn for wheat was higher (3.0-3.5 mg kg-1) as compared to
2.05 mg kg -1 for barley and 2.65 mg kg -1 soil for wheat in
Ustipsamments/Ustifluvents of Ludhiana (Nayyar et al., 1990).
366
Similarly, the value for active Fe2+ in alluvial soils for chickpea
was nearly two times as much as for wheat and sorghum.Critical
concentration of HWS-B 0.53 mg kg-1 soil was found critical for
isolating B deficient calcareous soils for black gram (Sakal and
Singh 1995).
In recent years, considering wide heterogeneity occurred in soil
properties, soils showed high responses to micronutrient fertilization
even in those soils, which are categorized to be high. So it appears
that a single critical limit concept was not adequate. Single critical
level also called for single fertilizer recommendation. So it created
mistrust in the scientific recommendations most often among the
farmers. Singh (2004) considering this introduced a multi range critical
limits concept to establish critical range concentration for
categorizing crops or soils into low, marginal and high nutrient status
category by considering both available nutrient status in soil and
response slope. The concept facilitated categorizing soils in different
range based on actual nutrient concentration level and thus
recommending graded dose of fertilizers more judiciously as per
levels of soil fertility. The critical ranges of various micronutrients
are given in Table 2.
Table 2. Critical levels of DTPA extractable Micronutrient for different
soils
State Soils Low Medium Adequate

DTPA- Zinc, mg kg-1
soil
Gujarat Alluvial < 0.5 0.5-1.0 > 1.0
Gujarat Swell-shrink black clay < 0.7 0.7-1.2 > 1.2
Punjab Alluvial < 0.6 0.6-1.2 > 1.2
Haryana Aridisols < 0.6 0.6-1.2 > 1.2
Andhra Red & Black clayey < 0.7 0.7-1.2 > 1.2
Pradesh
Madhya Alluvial < 0.4 0.4-0.8 > 0.8
Pradesh
Black clayey < 0.6 0.6-1.2 > 1.2
Tamil Red & black clayey < 1.2 1.2-1.8 > 1.8
Nadu
Bihar Alluvial Calcareous < 0.8 0.8-1.2 > 1.2
Non Calcareous < 0.8 0.8-1.2 > 1.2
Uttar Alluvial < 0.6 0.6-1.2 > 1.2
Pradesh
Foot hill submontanous < 1.2 1.2
-1.8 > 1.8
367
DTPA-Cu, mg kg-1 soil
All state < 0.2 0.2-0.4 > 0.4
Madhya Alluvial < 0.2 0.2-0.4 > 0.4
Pradesh
Tamil Nadu Red & black < 0.6 0.6-1.2 > 1.2
Bihar Alluvial calcareous < 0.5 0.5-1.0 > 1.0
Bihar Submontaneous < 0.5 0.5-1.0 > 1.0
alluvial
DTPA-Fe, mg kg-1 soil
Bihar Calcareous alluvial < 7.0 7.0-12.0 >12.0
Non cal. Alluvial < 4.5 4.5 7.5 > 7.5
Gujarat Alluvial, black < 5.0 5.0-10.0 >10.0
clayey
Tamil Nadu Calcareous black < 6.0 6.0-8.0 > 8.0
clay
Non Calcareous < 4.5 4.5-7.5 > 7.5
black
Uttar Alluvial < 4.5 4.5-7.5 > 7.5
Pradesh
DTPA-Mn, mg kg-1 soil
Gujarat Alluvial, black < 2.0 2.0-4.0 > 4.0
clayey
Haryana Aridisols < 3.0 3.0-5.0 > 5.0
Punjab Alluvial loamy sand < 3.0 3.0-5.0 > 5.0
Alluvial sandy loam < 2.0 2.0-4.0 > 4.0
Hot water soluble B, mg/kg soil
Bihar Calcareous alluvial < 0.25 0.25-0.50 > 0.5
Tamil Nadu Red and lateritic < 0.25 0.25-0.50 > 0.5
Source: Singh (2004) Compiled from annual reports of AICRP Micronutrients
Micronutrient Content In Indian Soils

Most of the Indian soils are adequate in total micronutrient
cations content but have very less amounts in available pools, which
are highly dependent on soil properties and environmental conditions
(Singh 1988). Available (DTPA)- micronutrient Zn, Cu, Fe and Mn
content in Indian Soils ranged from 0.2- 6.92, 0.2-8.22, 0.8-196 and
0.2-118 mg kg-1 soil, respectively. Available B, Mo and Co ranged
from 0.8-2.6, 0.07-7.67 and 0.1-5.0 mgkg-1 soil, respectively (Sakal
et al 1996). Relationship between soil properties and available
micronutrients has worked out by several workers. The pH and CaCO3
significantly decreased and organic matter and texture showed
368
positive effects to predict the micronutrient disorders in soils and
plants. Micronutrient content of several soil profiles showed a
decreasing trend in subsurface layers but pattern of distribution
was found inconsistent.(Singh and Abrol 1986).
Micronutrient fertilizer-use-efficiency for various crops is
extremely low ranging from 0.5 to 5%, as a result of this only a
small portion (1-5%) of micronutrients occurs in bioavailable forms
such as exchangeable, complexed, organically bound and
amorphous sesquioxide bound zinc fractions (Singh and Abrol 1986).
Addition of organic matter increases the organically complexed Zn
fraction but decreases hydroxide bound Zn under reduced conditions.
Also a most of the applied zinc in soils accumulates in upper 0-10
cm surface layer and its movement to lower layers was negligible in
alkaline cultivated soils. Studies on redistribution of the applied zinc
to three rice - wheat rotation indicates that transformation of applied
zinc increase significantly into amorphous sesquioxide bound Zn >
complexed Zn > exchangeable Zn > crystalline sesquioxides bound
Zn > residual mineral Zn fractions. The exchangeable and amorphous
sesquioxides bound Zn contributed significantly more to Zn uptake
by rice compared to other chemical forms (Singh and Abrol
1986).Most of the Fe and Mn in soils exist into water soluble,
exchangeable, and easily reducible and mineral forms which remain
in equilibrium. Water-soluble Fe accounts very low, but it is an
important fraction for plant availability. It has been found 0.6, 7.4,
1.3 and 2.7% of total Zn and 1.4, 23.9, 6.5 and 3.1 % of total Mn in
exchangeable, adsorbed, metal bound with organics and occluded
forms in four agro-climatic zones of Punjab which is potentially
available for growing plants depending upon soil conditions and
management practices being adopted.
Micronutrient Deficiency in crops and soils
Among the micronutrient disorders, deficiency of Zn was found
to be most widespread in Indian soils. Of the 2,52,000 surface soil
and 25,600 plant samples collected from 20 states about 48.5 %
soil and 44 % plant samples showed deficiency of zinc The deficiency
of other micronutrient elements viz., Fe, Mn, Cu is in the order of
13, 4 and 2 %, respectively (Singh and Saha 1997, Singh 1998).
State wise and agro ecological zone wise maps showing Zn, Cu and
Mn deficiencies have been prepared for the benefit of various
agencies (Fig.3,Map 1-2). Vertisols though have high clay content
still show wide spread Zn and Fe deficiency due to their low organic
matter content compared to Alfisol. Average percent Fe deficient
samples may not reveal the real picture of its deficiency of 12-13%
in soils and crops of the country. Its deficiency was found to be the
369
largest 36% in shallow black soils of Karnataka, alluvium derived
soils of Bihar followed by 20-27% in Seirozems of Haryana, 6-9%
soils swell-shrink soils. Iron chlorosis in groundnut, safflower,
sunflower and other crops is serious problem in calcareous soils of
AEZ 2 of Saurashtra and Kutchh (Patel et al. 1999).Crops grown
on calcareous soil of AEZ 14 showed significant responses to the
foliar application of one per cent ferrous sulphate solution (Sakal
et al., 1996).
Fig.3 : Extent of Zinc deficiency in different regions of India
Map 1. Extent of zinc deficiency in different agroecological zones of

India
370
Map 2. Extent of copper deficiency in soils of India
Most of the Indian soils are adequate in Cu except some soils

of Kerala as compared to Zn, Mn and Fe (Patel and Singh 1995).
Only 4% of Indian soils are tested to be deficient in Mn ; its
deficiency has been reported wide spread in wheat where rice-wheat
system has been followed during 7-8 years in sandy alkaline highly
permeable soils of Punjab (Takkar and Nayyar, 1981, Singh and
Subba Rao 1995). Deficiency of B ranged from 2-68% with an average
of 33% in certain soil types of India (Singh 1998). In 53 benchmark
soils , HWS-B content was in the order of Alfisols > Vertisols >
Entisols = Inceptisols > Alfisols (Katyal 1982). By and large, boron
deficiency is more critical in ensuring high productivity in alkaline
calcareous soils, sandy leached soils, limed acid soils and red and
yellow and in lateritic soils.
Much information on Mo Deficiency is not available. Its
deficiency is not so common in Indian soils. Its deficiency occurs in
red and lateritic acidic soils of north and north eastern Himalayan,
regions, Santhal Pargna, Kokan and Malabar regions and in hill soils
of Srikakulam, Vizag and Vijayanagar districts in Andhra Pradesh.
Its deficiency is rarely reported in calcareous alkaline soils, arid and
semiarid regions, rather some alkaline soils have excess Mo (Nayyar
et al., 1990). Survey of few soils revealed mean deficiency of Mo
about 13% in the country. Impeded drainage in saline alkali soils of
Kandi area of Punjab increases the availability of soil MoO4. Forage
and other crops grown in such water logged alkali soils accompanied
371
by high organic matter content accumulates excessive Mo which
induces Molybdenosis toxicity disease when such forages are fed
to animals due to higher mobilization of Mo. Above 27 and 66 percent
berseem forage from these soils have toxic and moderate
concentration of Mo above 10 mg kg-1 ( Nayyar et al., 1990).
Frontier Technologies in mapping micronutrient
deficiencies : Survey and reassessment indicating individual nutrient
deficiency do not give realistic picture unless the deficiency of more
than one element is assessed simultaneously in these soils.Till
eighties deficiencies of single nutrient like Zn (43%), Fe (9%), Cu
(5%) and Mn (4%) were found more predominant as compared to
that of multi nutrients Zn+Fe (4%), Zn+ Cu (2.7%), Zn+Mn (1.9%)
and Cu+Fe (1.2%) and only 0.2-5.0 per cent samples showed multi-
micronutrient deficiencies out of 63575 soil samples data analyzed
from six states (Singh,1991). Use of multi-micronutrients other than
the desired one caused a significant reduction in wheat yield by 400
- 700 kg ha-1 and thus reduced net profit (Gupta et al.,1994). Thus,
application of straight single micronutrient element fertilizer was found
more beneficial in most of the soils.
Recently, soil maps generated from remote sensing data and
GPS, instead of random sampling, are found more helpful in
identifying reference point, homogeneous soil unit to decide sampling
size and monitoring periodic changes in micronutrient status over a
period of time .Sharma et al., (2004) using remote sensing technique
also found that multi micronutrient deficiencies covered only a small
area in several districts of Punjab compared to single nutrient
deficiency.
Since the efficient method of correction of Fe and Mn deficiencies
is foliar sprays compared to soil application for Zn, B and Cu which
further emphasizes the need for using straight fertilizers. So judicious
use of multi-micronutrient mixture should be made in specific areas
and specific crop where multi nutrient deficiencies are confirmed
otherwise their use will not only add to high input cost but leads to
less yield benefits and more degradation of soil environment.
Periodic assessment of micronutrient deficiencies in soils
: Reassessment of soil micronutrient status revealed that
consumption of micronutrient fertilizers at farmers fields has
increased with increasing awareness of micronutrient deficiencies
and benefits that are likely to be accrued. The consumption of zinc
sulphate, multi nutrient mixtures and liquid fertilizers has increased
several folds in various states, thereby the deficiency of zinc has
come down to the extent of 15-45 % in soils during past 15-20 years
(Singh 1991, Singh and Saha1995).
372
Multinutrient deficiencies are emerging in alkaline sandy soils
of Punjab with introduction of rice -wheat cropping system in areas
traditionally under maize, groundnut-wheat sequence. Deficiency of
Zn had declined while deficiencies of Fe and Mn have emerged from
initial 2-4 % to 20-22 % in several soils (Singh and Saha, 1995) but
same trend is not observed in areas of maizewheat system.
However, long term cropping of rice, maize and wheat leads to sign
of fatigue and yield gets reduced drastically with a passage of 10-
12 cropping cycles of maize-wheat-cowpea in Ustochrepts of
Ludhiana and in rice-wheat-cowpea in Hapludolls of Pantnagar due
to emerging deficiency of zinc, despite the fact that these soils
initially contained adequate available Zn (Table 3) (Singh 1997, Singh
2004). Thus intensive cropping, use of high analysis NPK fertilizer
generally free from micronutrients and lesser use of organic manures
in several high potential areas in several high potential areas in
several high potential areas caused greater depletion of soil available
micronutrients. This accentuated deficiencies of multi micronutrients
like Fe, Mn, B in plants which resulted in lower crop yields, therefore,
nutrient indexing programme needs to be taken up on priority for
forecasting emerging micro-nutrient deficiencies to sustain higher
crop productivity.
Table 3 Mean response of rice and wheat to nutrient and FYM and impact
of super imposition of S and Zn on sustainability of rice and
wheat yield in Mollisol of Pantnagar (Mean of 2001-2004, 3 yrs)
Response to Grain response to Effect of super imposition of S and

added Zn in 150% NPK treatment
nutrients and FYM on grain yield sustainability,(t ha-1)
over
control
( t ha-1)
Rice Wheat Rice Wheat
N 1.64 1.78 -S 3.64 3.45
P 0.46 0.32 +S 3.85 3.58
K 0.37 0.40 -S+Zn 4.27 3.80
S 0.29 0.23 +S+Zn 4.44 4.05
Zn 0.67 0.42 +S+Zn +FYM 4.78 4.45
FYM 0.86 0.71
CD at 5% - - CD at 5% 0.44 0.23
Iron deficiency, also referred as iron chlorosis, is commonly
occurred in more than one-third of the cropping area of India, spread
over mostly in the low rainfall zones of the western (Punjab, Haryana,
Gujarat, Maharashtra, Rajasthan, Andhra Pradesh and Kamataka)
and central (Madhya Pradesh, Uttar Pradesh) parts of the country.
373
However, this deficiency is more prevalent in groundnut in Saurashtra,
Marathwada and part of Rajasthan, Tamil Nadu and Karnataka,
causing considerable reductions in yields.
Response of Crops to Micronutrients Application
Once the deficiencies of micronutrients are depicted by soil
and plant analysis, its validation through field trials at On-research
farm or experiments at cultivators fields (ECF) is very important so
as to confirm the occurrence of micronutrient deficiencies through
biological response to applied micronutrients.A large number of ECF
trials confirm wide incidences of zinc deficiency in Indian soils and
use of zinc was found much more economical ( Singh 1991, Sakal
et al., 1996). The magnitude of response, however, varied among
the crops, varieties, degree of deficiency and crop management
practices. Cereals show higher response than other crops (Singh
1991).
Of the large ECF trials conducted on divergent soils, a soil was
classified as responsive to zinc fertilization at 5.5 kg Zn ha-1 if it
produced more than 200 kg ha-1 or higher grain response over no
zinc treatment. Accordingly, about 62% of the 5166 trials fell in the
response range 200 to 1000 kg ha-1.Strikingly 26 % experiments
showed more than 500 kg ha-1 additional yield due to zinc fertilization
and proved highly profitable (Table 4). Zinc deficiency assessed as
49% through soil analysis, 44% by plant analysis and 69% through
actual biological response (Singh,1998).Overall 50% and 20% of
Indian soils showed high and marginal response to zinc, which
requires zinc fertilization in the package of practices to sustain higher
crop productivity (Singh 1991,1998).
Table 4. Response of crops to zinc application in different states
Crops No. of Distribution of ECF expt. (Percentage)

expts. Response range (t/ha)
<0.2 0.2-0.5 0.5-1.0 >1.0
Crop wise
Wheat 2391 43 35 16 6
Rice 2154 27 39 23 11
Groundnut 58 28 41 28 3
Maize 231 48 24 21 7
Sorghum 58 64 26 10 -
Pearl millet 180 63 34 2 1
Finger millet 33 73 24 3 -
Gram 03 34 33 - 33
Cotton 25 60 36 4 -
374
Magnitude of crop responses and benefits from micronutrient
application in 2358, 1399, 278 and 17 ECF trials on wheat, rice,
maize and barley was 360, 540, 460 and 550 kg ha-1, respectively.
In 56 trials on pulses, the mean response ranged from 170-470 kg
ha-1. The benefit - cost ratio ranged from Rs.4.to 24 per rupee spent
for zinc. In 82 % of the 49 ECF trials, groundnut yield increased by
200 kg ha-1.In 21 frontline demonstrations on cultivators fields
conducted on chickpea, mustard, raya, groundnut and gobhi sarson
on zinc deficient soils, the increase in seed yield to the application
of 5-10 kg Zn ha-1 was 198-485, 425-500, 283-433, 965-1090, 224-
395 kg ha -1, respectively corresponding to 18 to 27.5 % and
agronomic efficiency of 19-41 kg-1kg zinc added besides its residual
effect in soils to the following two to three crops ( Singh, 1998)
Average response from soil and/or foliar application of Fe rice,
wheat, maize, sorghum, finger millet, lentil, chickpea, soybean, black
gram, groundnut, sunflower and sugarcane to soil and/or foliar
application of Fe has been reported to be 1370, 890, 450, 570, 300,
410, 320, 350, 340, 160, 550, 6700 kg ha-1, respectively. However,
its deficiency in crops is one of the most difficult micro nutrient
deficiencies to manage. Application of Mn in 11 ECF trials gave 300
kg ha-1 extra wheat yield in Haryana as compared to 500 kg ha-1
increase in 692 ECF trials in calcareous soils of Bihar. Nayyar
et al ., (1996) reported increases in wheat yield by 0.2-2.9 t ha-1 with
Mn fertilization in sandy soils of Punjab.
Boron deficiency ranged between 17 to 68 per cent. which is
confirmed significant response to B added response of cereal,
oilseeds, and pulses. Response of rice in 58 trials and of wheat in
36 trials in Bihar was 310 and 370 kg ha-1 with 1-2 kg B ha-1 (Sakal
et al., 1997). Responses of crops in calcareous soils of Bihar and
Tamil Nadu to the application of 0.5 -2.0 kg ha-1 were 300-750
kg ha-1 (28 to 60%) over B unfertilized plots. In red loam soils of
Tamil Nadu, Orissa and Andhra Pradesh groundnut showed 35 to 50
% higher yield while chick pea have 150 to 225 kg ha-1 to the
application of 2 kg B ha-1 in coarse textured calcareous soils of
Gujarat ( Patel et al., 1996).
Crop responses varied widely on different soils depending on
Mo status of soils. Grain yield of Sonalika wheat increased by 3 per
cent in sandy soils of West Bengal with the use of 0.5 kg Mo ha-1.
Response of 340 kg ha-1 of rice to Mo was recorded in alluvial sandy
loam soil. Subba Rao and Adinarayana (1995) reported that average
yield grain yield response of 130-880 kg ha-1 of rice and 20 to 680 kg
ha -1 of wheat to Mo application. Application of 1.5 kg sodium
molybdate increased the potato yield by 2.9 t ha-1 in black clayey
375
soils, 2 t ha-1 potato hill soil, 1.3 ha-1 in red and lateritic soils and 1.2
t ha-1 in alluvial soils (Grewal and Trehan 1990).Response of green
gram, black gram, chickpea, lentil on sandy loam soil, of groundnut
in calcareous soils and of mustard on sandy loam to Mo have been
recorded. Use of nitrogen fertilizers reduced the response of Mo in
legume plants but it showed little effect on non legume plants
Amelioration of Micronutrient Deficiency In Soils And Crops
Several straight, chelated, mixture, blended, solid or liquid,
single or multi micronutrient fertilizers have been approved under
Fertilizer Control Order (FCO) by the Govt. of India for various states
and crops (Table - 5).Since these are produced by small sector
industries the data on exact quantity of micronutrient fertilizers
produced is not available. Takkar et al., (1996) based on sufficiency
approach estimated micronutrient fertilizer requirement for Zn 324,
Fe 130, Cu 11, B 39 and Mn 22 thousand tonnes by the year
2020.Element wise detail amelioration package is given below.
Table 5 Fertilizer materials approved in fertilizer control order (FCO) in
India
Fertilizer materials Formula Element/ Contents
Forms (%)
Zinc sulphate heptahydrate ZnSO 4. 7 H 2O Zn 21.0

Zinc sulphate monohydrate ZnSO 4. H2O Zn 33.0
Manganese sulphate MnSO 4. 4 H2O Mn 30.5
Sodium Molybdate Na2MoO 4.2H2O Mo 22.5
Ammonium molybdate NH 4MoO 23.4H2O Mo 52.0
Borax Na2B4O 7.10 H2O B 10.5
Solubor Na2B10O 16.10H2 B 19.0
Copper sulphate CuSO 4. 5H2O Cu 24.0
Ferrous sulphate FeSO 4.7H 2O Fe2+ + Fe3+ 19.5+0.5
Chelated zinc Zn- EDTA Zn 12.0
Chelated iron Fe- EDTA Fe 12.0
Zincated urea Zn + urea Zn + N 2 + 43
Zincated super phosphate Zinc+super Zn + P 2O 5 2 + 16
Teprosyn Teprosyn- Zn Zn 60
Granubor (under consideration) Na2B4O 7.5 H2O B 14.6
Zinc
Sources of zinc : Several forms of Zn available in the country
have been evaluated for their relative efficiency and effectiveness
for correcting their deficiencies in crops or cropping systems. Among
various chemical sources, zinc sulphate hepta hydrate (ZnSO47H2O
376
referred here as ZnSO4) containing 21-22 % Zn is the major source
of Zn in India and has proved most effective as compared to other
Zn sources in correcting Zn deficiency in most of the crops diverse
soils (Singh and Saha, 1995, Sakal et al 1996). Although Zn-EDTA
was found at par to zinc sulphate in calcareous soils of Pusa and
Sierozem soil of Hisar but it was found better than zinc sulphate in
combating Zn deficiency in rice in loamy sand soils of Punjab (Nayyar
et al. 1990). However, its high cost than zinc sulphate made it more
uneconomical. The efficiency of sparingly soluble Zn sources such
as ZnO, ZnCO3, zinc fritts in high Zn fixing fine textured soils was at
par to highly soluble ZnSO4.7H2O, however, when sparingly soluble
and soluble zinc sources were compared in coarse textured soils, it
was soluble zinc sources which gave best performance. Thus, zinc
sulphate was found the cheapest and one of the efficient source
( Fi g. 4)
Fig. 4 Correction of zinc deficiency in crops
Micro-macro nutrients blended sources such zinc super and

zincated urea was found inferior to zinc sulphate or zinc chelates as
they mismatched zinc requirements with the various nutritional
requirement of the crop.
Rate of application: Amount of zinc required for alleviating
zinc deficiency varied with severity of its deficiency and/or soil type.
Data of larger number of field experiments have indicated that in
majority of instances Zn deficiency can best be alleviated with
application of 11 kg Zn ha-1 to wheat and rice; 5.5 kg Zn ha-1 to
maize, soybean, cotton, pea, sunflower and sugarcane and 2.5 kg
Zn ha-1 to groundnut, raya, mustard, pigeon pea green gram.
chickpea, and ragi. Also the rate of Zn application varied with crop
cultivars (Singh and Saha 1995).
377
In red and yellow soils of Madhya Pradesh, the response of
wheat to Zn was obtained up to 5.5 kg ha-1 and this on alluvial and
black soils of Madhya Pradesh is 11 kg ha-1 (Rathore et al., 1995).
Double the rate is required for less soluble Zn sources compared to
rate of soluble ZnSO4 (Nayyar et al., 1990). In highly calcareous
soils of Bihar, application of 10 kg Zn ha-1 to first rice crop was
enough to succeeding four to five crops for enhancing and sustaining
productivity of rice-wheat system (Sakal et al., 1997). The amount
of Zn required for crops is double in coarse textured loamy sand
soil than in fine textured loam soil of Punjab for wheat (Takkar
et al., 1989).
Micronutrient management in problematic soils requires special
attention. Crops grown in sodic or calcareous alkaline soils generally
show deficiency of Zn or multi-nutrients and thus high responses to
zinc fertilization. Besides micronutrients these soils requires a special
package of practices (Singh et al., 1987). Higher yields of rice- wheat,
berseem, sorghum, mustard and other crops in alkali soils cant be
achieved unless the toxicity of Na / deficiency Ca and Zn is corrected
simultaneously ( Singh and Abrol, 1985). Singh et al. (1986) reported
that fertilizer zinc requirement of rice, wheat, maize and other crops
during reclamation of alkali soils can be substantially reduced by
25-75% if adequate amount of soil amendments are added or level
of sodicity is reduced. Singh (1988) reported that efficiency of Zn
was greater to rice -wheat system when all inputs like Zn, gypsum
as well as NPK were applied in optimum and balanced amount
compared to unbalanced use of either of the component during
reclamation of alkali soils.
Time of zinc application : Time of Zn fertilizer application is
mainly influenced by zinc content of seed, zinc requirement of crop
and severity of zinc deficiency as maximum zinc absorption by
plants takes place upto tillering stage, therefore best time of zinc
application in field crops is prior to seeding or transplanting. Wheat
yield was lower when Zn was top dressed than its basal application
(Gupta et al., 1994). Application of zinc in split half at basal and half
at tillering stage was found equally effective to full basal application
but was superior to top dressing of half at tillering and remaining
half at penical stage (Sakal et al., 1997). Thus, basal application of
zinc is best but if it is missed, zinc deficiency can be corrected by
top dressing of zinc upto 45 days and/or 2-3 foliar sprays of 0.5%
zinc sulphate neutralized with lime 25 g L-1 with little less yield benefits.
In horticultural and plantation crops the foliar feeding of zinc generally
excelled to the soil application.
378
Method of zinc application: Soil application of Zn through
broadcast and mixed or its band placement below the seed proved
superior to top dressing, side dressing or band placement as well as
foliar application of 0.5 to 2.0% ZnSO47H2O solution. Zinc applied
through soaking or coating of seeds in Zn slurry or before transplanting
or Zn enrichment seedling resulted in delayed cure of Zn deficiency
(Sakal et al., 1997). Dipping of rice seedlings in 2-4% ZnO before
transplanting proved equally effective as broadcast application of
11 kg ha-1 Zn as ZnSO4 in combating Zn deficiency but root dipping
and foliar methods of Zn fertilization in crops could not catch up with
the farmers because of certain limitations. Dipping of vegetable
seedlings in ZnO suspension (Iyengar and Raja, 1988) and sugarcane
sets could not meet its full Zn requirement. However, soaking of
sugarcane sets or soaking treatment to potato with ZnSO4 solution
proved equally effective as that of foliar sprays or soil application of
Zn (Grewal and Trehan, 1979).
Fertilizer zinc management in cropping systems
Zinc leaves marked residual effect and therefore it is not

necessary to apply Zn to every crop in the cropping system. In
Fatehpur sandy loam alkaline alluvial soil of Punjab, it was found
that for first four crops 5.5 kg Zn ha-1 and for the next 8 and 12 crops
after the repeat application respectively of 2.75 and 5.5 kg Zn ha-1
gave the largest response. Under brackish water irrigation in a highly
sodic soil (pH 10.4) amended with gypsum @ 50% of the gypsum
requirement (GR) the residual effect of 22 kg Zn ha-1 could last for
four crops of rice- wheat sequence and the fifth crop required repeat
application of Zn. In contrast, in an alkali soil (pH 10.45 ), addition of
optimum of zinc and gypsum is necessary (Table 6) (Singh et al .,
1987).In alkali soil and irrigated with normal water, the yield with
continuous application of 2.25 kg Zn ha-1 was not different from a
single initial application of 18 kg Zn ha-1 after the seventh crop,
suggesting that its effectiveness had not diminished (Singh and
Abrol,1985b). Use of zinc enriched organic manures reduced the
zinc requirement of rice in sodic soils.Thus, the use of brackish
water or level of sodicity appears to have shortened the residual
effectiveness of Zn as compared with the use of normal water
irrigation.
379
Table 6. Rice yield as influenced by gypsum and zinc levels in highly
sodic soils
Zinc sulphate Rice grain yield , t ha-1

added, kg ha-1 Gypsum levels added, t ha-1
0 2.5 5 10 Mean
0 0.13 0.98 2.14 2.65 1.48
10 0.49 1.67 3.06 3.77 2.25
20 0.58 2.00 3.14 3.85 2.39
30 0.68 1.75 2.99 3.92 2.34
40 1.05 2.02 3.29 3.89 2.58
Mean 0.59 1.68 2.93 3.62 -
LSD (P=0.05) Gypsum=0.36, Zinc=0.28,
Gypsum x zinc = NS Source: Singh et al (1987)
Studies to evaluate the optimum rate and frequency of zinc
application to rice- wheat systems revealed that application of 5.5
kg Zn ha-1 to every third crop as rice in Ustochrepts of Karnal,
Haryana, 10 kg Zn ha-1 to every 5th crop in Calciorthents of Pusa,
Bihar and application of 11 kg Zn ha-1 after six crops in Typic
Ustrochrepts of Ludhiana, Punjab were found sufficient and gave
maximum response of the system (Singh 2004). Application of 11
kg Zn ha-1 to first rice followed by 5.5 kg Zn ha-1 to every 5th successive
crops gave maximum yield in rice-rice system in light textured black
soils of Hyderabad. Field studies on rice-groundnut sequence at
Coimbatore revealed that application of 5 kg Zn ha-1 with coconut
coir pith or FYM at the rate of 1 t ha-1 enhanced the productivity of
cropping system.
Application of 10 kg Zn ha-1 to alternate cotton crop gave the
highest yield in zinc deficient arid soils of Haryana. In Punjab,
application of 2.8, 5.6 and 11.2 kg Zn ha-1 only to Ist cotton crop was
sufficient for 2, 4 and 6 crops, respectively for cotton- wheat rotation
in loamy sand. Application of 5.6 kg Zn ha-1 once to first green gram
was found optimum to meet the Zn requirement of three cycles of
green gram-wheat rotation in sandy loam (Ustochrepts) of
Punjab.Grain sorghum-cotton sequence in BhavaniSagar Project of
Tamil Nadu gave significantly higher yield on application of 7.5 kg
Zn ha-1 to every sorghum or 5 kg Zn ha-1 to sorghum plus 2.5 kg Zn
ha-1 to the following cotton. In medium black soils an application of
15 kg Zn ha-1 to first soybean crop only left significant residual effect
for enhancing the optimum productivity of three soybean-wheat
sequence with a benefit - cost ratio of Rs.13.9 per rupee spent on
zinc (Savithri et al., 1996).
380
Use of organic manure enhance the availability of native and
applied zinc through their direct contribution and chelation properties
rendering more zinc available to the growing plants. Singh (1994)
found that fertilizer Zn requirement of soybean-wheat sequence was
met by use 8-16 t ha-1 FYM or 6-12 kg Zn ha-1 or application 4 t ha-
1
FYM with 3 kg Zn ha-1 in zinc deficient swell-shrink soils (Typic
Haplustert) of Madhya Pradesh (Table 7) The residual effect of
FYM in increasing yield was more compared to overall effect of Zn
added to soybean-wheat system. The residual effect of FYM in
increasing yield was more compared to overall effect of Zn added
to soybean-wheat system. Organic manures 12 t ha-1 FYM, 5 t ha-1
poultry manure and 2.5 t ha-1 of piggery manure were as efficient as
11.2 kg Zn ha-1 in meeting the Zn requirements of maize-wheat
rotation. Also half or even less rates of these manures proved equally
efficient or better when amended with 5.6 kg Zn ha-1 for maize-wheat
rotation.(Nayyar et al.,1990).
Table 7 Integrated effect of FYM and zinc application on seed yield
response of soybean over control in medium clayey swell- shrink
soils of Bhopal
FYM Rate of Zn applied, kg ha-1
added t 0 3 6 12 Mean
ha-1
0 - 63 134 330 132
4 206 295 473 598 393
8 277 527 651 732 547
16 545 868 813 840 766
Mean 257 438 518 625 -
CDat5% FYM=0.98, Zn=0.77, FYM x Zn=0.55,
Control Yield =1348 kgha-1,Source: Singh (1994, 1998)
In sodic soil (Vertic Natrustalfs) of Tamil Nadu, maximum yield

of rice-cowpea, Zn uptake and highest fertilizer use efficiency (FUE)
were achieved when gypsum @ 50%, and dhaincha @ 5 t ha-1 were
added along with 5.5 kg Zn ha-1. Enrichment of organic matter with
inorganic Zn improved the utilization efficiency of fertilizer Zn towards
increasing yield of cropping system. In calcareous soils of Bihar,
incubation of 2.5 t ha-1 of biogas slurry with 2.5 kg Zn ha-1 added to
rice improved FUE of Zn for rice-wheat system.
Cultivation of Zn-efficient genotypes: Fitting the plants to
soil rather than ameliorating the soil with chemical fertilizers to support
plants without reduction in yield. In general, susceptibility of the
crops and their cultivars to zinc stress is related to their yielding
381
capability. Singh (2004) reported that high yielding short duration
varieties are more susceptible to Zn stress compared to long duration
low to moderate yielders (Table 8).Relative susceptibility of wheat
cultivars to Zn stress was in the order to UP-262 = K-8804 > HP-
1102 > RW-346 > DL-784-3 > HUW-206 > K-7410 > HP-1633 >
Sonalika. So a careful decision is required to select efficient
genotypes those are high yielder and less susceptible to micronutrient
stress ( Singh 2004).
Table 8. Genetic tolerance of mustard genotypes to zinc stress in sandy
loam soil
Tolerance Grain yield, kg ha-1
category < 1200- 1500- 2000- >2500
to Zn stress 1200 1500 2000 2500
Highly zinc NDR 389 RH 8113 DLM 29,
Susceptible CS 52 RLC 9 62 DLM 198,
(> 35% RH 781 PR 8903, RH 785
response) PBM 16 RLC 949
Susceptible to Kranti Varuna RH 30
Zn stress TM 31 RLM 619,
(25-35% RLM 714
response)
Mod.Tolerant Rohini Pusa-
(15-25%) RL 1359 Basant
Tolerant to ISN PCR 4
Zn stress 129 Vaibhav
(5-15% )
Very tolerant to Vardan DLM 23 RSM 58
Zn stress PK-8052 THM
( < 05% ) RH 8559 9012
Source: Singh (2004)
Iron
Iron deficiency is commonly observed in upland crops like rice,
sorghum, sugarcane, maize, groundnut, chickpea and horticultural
crops grown in coarse textured uplands, soils low in organic matter,
calcareous and alkaline soils world-wide. Most often, iron chlorosis
is confused with sulphur and nitrogen deficiency. Chlorosis also
resembles to pailing due to multinutrient deficiencies and poor
aeration. Matching of visual chlorosis and elemental analysis
indicated that more than 60-70% of the chlorotic rabi-summer
groundnut plants suffered with interveinal iron cholorosis and rest
25-30% plants showed S-deficiency induced chlorosis. In contrast
a reverse trend was observed in rainy season crop(Singhet al., 2004).
382
Sources of iron: A number of inorganic and other sources
have been tested to combat iron chlorosis in plants. Ferrous sulphate,
(19-20.5% Fe), ferrous ammonium sulphate (18-22% Fe), Fe-EDTA
(9-12% Fe), Fe-EDDHA (10.0% Fe), pyrites ( 10-22% Fe), biotite,
and organic manures (FYM 0.15% Fe), poultry and piggery manure
(0.16% Fe), sewage sludge have been used as sources of Fe to
correct its deficiency in crops. Since, iron applied to soil through
inorganic Fe carriers is susceptible to transformation into unavailable
forms, therefore, iron chlorosis in crops is one of the most difficult
micronutrients problems to manage. Most often ferrous sulphate,
Fe-EDTA and FYM are most commonly used sources in India.
Rates of iron application: The rates of Fe for soil application
were found very high (50-150 kg ha-1 FeSO4.7H2O) compared to foliar
sprays and soil application therefore were found uneconomical
( Fig 5). Applications of 5-10 kg ha-1 chelates are efficient. But their
high cost of chelates as Fe carriers discourages the farmers to use
these. Nayyar et al (1990) reported that foliar sprays of unneutralized
solution of 0.5-1% ferrous sulphate at 7-10 interval proved quite
efficient in correcting iron chlorosis in standing crops. Application of
10-20 kg Fe ha-1 either ferrous sulphate or 10 kg Fe ha-1 FeEDDHA
through broadcast and mixing in topsoil as basal dose is effective.
However, in standing crops, foliar spray of 0.5% FeS04 + 0.02%
citric acid aqueous solution of 500-1000 L ha-1 at 10-15 days intervals
alleviate iron-chlorosis efficiently and economically
Fig. 5 Correction of iron deficiency in crops
Method of iron application: Among various sources, soil

application of pyrite and biotite proved inferior to ferrous sulphate in
increasing rice yield and Fe uptake in Vertisols (Deore et al., 1994).
Fe-EDTA or FeSO4 were equally effective in increasing rice yield
when seeds of groundnut and other crops were coated with 2%
solution/slurry (Ingle and Sonar, 1982).
Foliar sprays of 0.5-1.0% FeSO4 unneutralized solution of water
soluble iron containing salts or 0.1-0.2% iron chelates (FeEDTA) are
found more efficient than soil application in correcting Fe-chlorosis
in crops. The available iron sources are ferrous sulphate, ferrous
ammonium sulphate, ferric citrate, and FeEDTA which can be used
383
for foliar sprays. Iron chelates are more efficient but their use is
uncommon due to high cost and nonavailability. Efficiency of ferrous
sulphate improves when applied as aqueous solution containing 0.5%
iron sulphate with 0.01 % citric acid which increased the groundnut
yield by 16-24%. Number of sprays depends upon severity of and
growth stage of chlorosis. Generally 2-4 sprays are required
preferably in humid weather condition or evening to ameliorate iron
chlorosis.
Correction of Iron Deficiency Using Organic Manure:
Generally, Fe chlorosis in rice is encountered in upland soils or highly
permeable coarse textured soils because of less mobilization of
Fe2+ as the desired degree of reduction does not occur. The puddling
and/or maturing of such soils markedly reduces the extent of Fe-
chlorosis in rice. In a three years field experiment on an alkaline Fe-
deficient Fatehpur loamy sand, combination of green manure (GM)
and the foliar spray of 1% FeSO4 solution produced the largest rice
grain yield followed by GM or foliar sprays. Green maturing helped
in mobilization of native soil iron into plant available forms during its
decomposition (Nayyar et al., 1990).
Other management Options to Iron deficiency: Iron chlorosis
generally appears 15 days after emergence of seedlings and
continues to occur on the young developing leaves throughout the
crop growth period, however, its maximum intensity in the field is
noticed during 45-75 days after seeding, the peak vegetative growth
period. Increase in soil moisture brings favourable soil environment
to transform more Fe in available forms, so, there is automatic
recovery of chlorosis with crop growth, but under adverse conditions
the newly emerging leaves continue to show severe chlorosis which
led to death of leaves and causing even crop failure. The Crops
grown in arid conditions or rabi-summer seasons suffer three times
more with iron chlorosis compared to kharif or rainy season crops
due inadequate soil moisture leading to low soil available iron.
Continuous cropping of oilseed-oilseed or oilseedpulse based
sequence leads to higher multi nutrients deficiencies in both seasons
crops as compared to cereal-oilseeds or cereal-legume based
sequence. Intercropping of groundnut and maize enhances Fe
acquisition compared to monoculture cropping which is mainly
attributed to rhizospheric interactions in rhizobox. Since oilseeds
are energy rich crops and have high nutrients requirements Iron
chlorosis is frequently observed in crops like oilseeds, soybean,
groundnut, chickpea, sugarcane. Therefore adoption of proper crop
rotation and inter cropping should be practiced to reduce incidences
of iron cholorosis in standing crops.
384
Also balanced fertilization practices reduce pailing of leaves
and occurrence of iron chlorosis. Chlorosis occurred in less than
10% plants did not affect the yield much but above this chlorosis
level caused significant yield losses 20-41%. Iron chlorosis during
30-70 days after sowing has been identified as the critical period
causing maximum yield losses in groundnut. Similarly, efficiency of
iron sulphate at 3 kg Fe ha-1 applied through fertigation (drip irrigation)
in groundnut increased the pod yield of groundnut by 31-36 % over
control as compared to 11-21 and 25% with soil and foliar
applications, respectively besides improving shelling out-turn, seed
mass and kernel boldness and nutrient use efficiency.
Inoculation of nodulating groundnuts with Bradyrhizobium strain
NC43 and Pseudomonas improves iron nutrition by synthesis of
chelates (siderophores) that keep iron in soluble form thereby
enhanced dry matter and pod yield and ophenanthroline extractable
Fe and N contents of the plants.
Cultivation of Fe-efficient genotypes: Fitting the plants to
problematic situation is the best way to achieve higher economic
benefit rather than adopting costly corrective methods such as
application of chemical fertilizers, spraying or through drip irrigation.
This helps to cultivate genotypes directly in the targeted areas.
Susceptibility of groundnut to iron chlorosis is found very sensitive
to genetic control, mainly attributed to rooting behavior and thereby,
high efficiency of iron absorption from the soil. Fe-efficient (iron-
chlorosis tolerant) genotypes showed 2-3 times more active iron
(Ferrous) content, higher uptake of all the nutrients, except Ca, than
the Fe-inefficient ones. Spreading groundnut varieties (GAU6-10,
Punjab-1, G 6-11) were more tolerant to Fe chlorosis than MH-1,
MH-2, GG-2, JL24, PKV68 erect type Spanish and bunching type
Valencia genotypes Tolerant varieties are able to mine native iron
more effectively by producing certain organic acids called reductants
in the rhizosphere leading to low response to soil added iron.On the
other hand, showed yellowish canopy most of the time and found
more prone to iron-chlorosis. Over all, Fe-efficient as well as high
yielding erect Spanish genotypes FeESG-8, FeESG 10-1, FeESG
10-3, and FeESG 10-2 and bunch type FeEVG-17 of Valencia
group out yielded over susceptible GG 2, JL 24, SB XI genotypes.
Relative tolerance of sorghum cultivars to Fe stress was in the
order of CO-26 > TNS-30 > CO-23 > CSC-541 > TNS-294 > CO-24
> SPV-881 while genotypes SPV-881, CO-4 and TNS-31-1 were
found to be highly susceptible. Sorghum cultivar 59-3 was found to
be least responsive to Fe and could be successfully grown on Fe
deficient soils where other cultivars SL 44, JS 20, and JS 263 failed
385
to produce comparable yield without Fe application. Fe-inefficient
genotypes responded to higher rates or requires more number of
sprays than the Fe-efficient genotypes having good yield potential.
Hence, tolerant cultivars are useful for recommending their cultivation
in area prone to iron-chlorosis for high profitability
Manganese
Manganese deficiency occurs sporadic and is not a major
problem as indicated by soils and plant analysis. But its deficiency
in wheat has emerged and is on the increase since 1979 in Punjab
as a result of the adoption of intensive cultivation of rice-wheat
system in place of maize-wheat or groundnut-wheat system for a
period of 7-10 years on highly permeable coarse-textured alkaline
soils (Takkar and Nayyar, 1981).
Sources of manganese : Application of manganese sulphate
proved 1.5 and 10 times more efficient than Mn-frits and MnO2 in
increasing grain yield of wheat (Nayyar et al., 1990).
Rate of Manganese application : Soil application of 20-50 kg
Mn ha-1 is generally recommended to correct the Mn deficiency.Three
foliar sprays of 0.5-1.0% manganese sulphate solution about 500 L
ha -1 for each spray on standing crop requires 7.5-15 kg
Mn ha-1. Reversion of soil applied Mn to higher oxide in alkaline soils
requires higher rate of Mn application which causes low efficiency
than foliar sprays.
Method of manganese application: Both soil and foliar
application of Mn caused significant and marked increase in the
production of wheat, but the rates of soil applied Mn (40-50 kg ha-1)
are uneconomical as compared to 3-4 foliar applications of 0.5-1.0%
MnSO4 solution (7.5-15 kg Mn ha-1), initiated before the first irrigation.
Soybean gave a significantly higher response of 0.29 to 0.55 t ha-1
to foliar application of Mn on three Mn-deficient fields over the yield
(1.44-1.81 t ha-1) obtained in Mn control treatment (Nayyar et al.
1995). Also foliar sprays of 0.5% MnSO4 solution produced 1.23
times more wheat grain yield than that of other materials (Sadana
et al., 1989). Soaking of potato tubers in 0.05% MnSO4 H2O aqueous
solution for three hours was 2.7 times more efficient than soil
application of 20 kg ha-1 of MnSO4 and 11% more efficient than two
foliar sprays of 0.2% MnSO4 in increasing the tuber yield.
Cultivation of Mn-efficient genotypes: Fitting the plants to
problematic situation is the best way to achieve higher economic
benefit rather than adopting costly corrective methods such as
application of chemical fertilizers, spraying or through drip irrigation
386
(Fig 6). This helps to cultivate genotypes directly in the targeted
areas. Susceptibility of groundnut to iron chlorosis is found very
sensitive to genetic control, mainly attributed to rooting behavior
and thereby, high efficiency of iron absorption from the soil. Fodder
crops susceptibility to Mn stress was Oat > lentil > Lucerne > gobhi
sarson > senji > maize fodder crops to the order of berseem >
shaftal = metha.
PBW 215, HD2329,
Fig. 6 Tolerance of wheat cultivars to Mn deficiency

A large number of wheat cultivars have been screened in a
Mn-deficient loamy sandy soil of Ludhiana for their tolerance to Mn
stress and were rated into various categories of tolerance (Nayyar
et al., 1990). The magnitude of response to Mn application decreased
successively as the rating of the tolerance increased. There was no
significant responses in the most tolerant categories. The tolerant
cultivar HD 2329, HD 2270, HD 2429, PBW 159, WH 427, HD4594,
PBW 151, Raj 3038, WH 416,,HD 2204, HD 2329, Raj 2535 HD
2270, HD 2429, PBW 159, WH 427, HD4594, PBW 151, Raj 3038,
WH 416 need only one foliar spray (1.6 kg Mn ha-1 ) as compared to
2 to 3 sprays (3.2-4.8 kg Mn ha-1) to moderate or least tolerant
cultivars. HD 2204, HD 2329, Raj 2535The cultivar HD 2329 is
widely cultivated by the farmers on the Mn-deficient soils of Punjab,
because of high tolerance to Mn stress compared to PBW343, HD
2285 and C 306. Sonalika and WL 2265 genotypes were categorized
moderately tolerant and gave similar yield but these need 1-2 sprays
compared to HD 2329. Durum wheat genotypes are more susceptible
to Mn deficiency compared to aestivum type wheat genotypes
(Nayyar et al., 1996, Singh 1998 Kaur and Takkar 1984).
387
Boron
Spectacular responses of cereals, pulses, oilseeds and cash
crops to B application (0.5-2.5 kg ha-1) have largely observed on B
different soils of Bihar, Orissa, West Bengal, Assam and Punjab
(Sakal and Singh 1995, Sakal et al., 1997)
Sources of boron : In India, two sources of boron viz. borax
deca hydrate (Na2B4O710H2O,11% B) and solubor (Na2B4O7.5H2O+
Na2B10O16 10H2O, 20% B) are approved as fertilizer sources of B for
agricultural use (Table 2). Boron fertilizers are applied to soil or
sprayed on foliage on standing crops. Boric acid (H3BO3, 17%B)
and borax penta hydrate granular (Na2B4O75H2O, 14.6%B) are also
found efficient for correcting boron deficiencies in crop plants.
Rate of boron application : Amount of boron required for
achieving optimum yield varied with nature of crop, season, type of
soil. Sakal et al., (1996) reported that mustard, maize, sunflower,
onion and lentil gave optimum yields at 1.5 kg ha-1 of B application
and that of kharif (rainy) crops like rice, groundnut, maize, yam
bean and black gram produced the best yield at 2.0-2.5 kg B ha-1
rate. In B deficient sandy loam calcareous soils of Bihar the optimum
rates for chickpea and winter maize was found to be 2.08 and 1.68
kg B ha-1, respectively ( Fig 7).
Chickpea
Maize
Boron levels (kg/ha)

Boron levels (kg/ha)
Fig. 7 Effect of boron levels on grain yield of maize and chickpea in

calcareous soils
Boron leaves residual effect to the following crops. In a

sesamum-chickpea and maize-mustard cropping systems on
calcareous soil, 1.5 kg boron ha-1 applied to every third crop sustained
the best yield of the cropping system (Table 9).Total grain response
in 3 cropping cycles received was 1.39-3.38 t ha-1 for rice-wheat
sequence and 0.77 to 2.73 t ha-1 for maize-mustard sequence with
B:C of Rs.9.43 to 12.86: Re.1.00 (Sakal et al.,1996).
388
Table. 9 : Responses of boron to different crop rotations in calcareous
soils
B rates Total Rice wheat Maize mustard Sesame - chickpea
Kg/ha B (3+3= 6 crops) ( 3+3 = 6 crops) ( 3 + 2 = 5 crops)
and Added Response Kg Response Kg seed Response Kg grain
B use kg ha-1 kg ha-1 grain kg seed ha-1 kg-1 B kg seed ha-1 kg-1 B
frequency in 6 crop kg-1 B in 6 crop added in f5 crops added
added
0.8 C 4.8 3380 704 2650 553 487 122
1.6 A 4.8 4130 860 2700 563 719 180
1.6 C 9.6 2540 265 2530 264 904 94
3.2 C 19.2 2850 891 2910 152 601 38
F.S. 2 1.5 1330 887 1520 1013 555 462
Rate kg-1:Rice, Rs.4.0; Maize Rs.4.50; Wheat Rs.5.50; Mustard Rs.12; Chickpea Rs10,
Sesame Rs.20. Source: Singh (2004)
Method of boron application: Boron is generally broadcast

and mixed prior to sowing of crops or before transplanting. Band
placement of 0.5-2.0 kg B ha-1 resulted in higher B concentration in
cauliflower crops than broadcasting. But band placement leads to
some times toxicity in plants when application rate exceeds or
improper placement is done. Boron should neither be placed in contact
with seed nor should higher rate be used because of potential B
toxicity problems. Soil application of 2.0 kg Bha-1 was superior to
foliar spray (0.2% borax solution) twice or tuber soaking in increasing
the potato tuber yield on acid soil (Inceptisol) of Garhwal (Dwivedi
and Dwivedi,1992). By and large, soil application of B is a better
method of fertilization than foliar and seed soaking. Foliar sprays of
0.25% H3BO3 solution in 600L ha-1 water twice on standing crops
was found inferior than soil application of 0.8-1.6 kg B ha-1 in these
soils. Regular use of B greater than those recommended rates leads
to B toxicity in plants.
Cultivation of boron tolerant genotypes: Cultivar RT-54 and
OMT-11-63 of sesame and Pusa bold, RH-30 of mustard genotypes
were found tolerant to B stress in calcareous soils (Sakal et al 1996).
Thus, tolerant cultivars are recommended in boron deficient for high
profitability.
Copper
The deficiency of Cu is found sporadic and response of crops
to Cu fertilization has been assessed only at few locations.
Sources of Copper: Copper sulphate (CuSO4.5H2O, 25% Cu)
is a most common, cheap and easily available source of Cu
employed for correcting Cu deficiencies in field crops in India.
Besides copper sulphate (CuSO4.H2O, 35% Cu) and cupric oxide
(CuO, 75% Cu), use of organic manure or some Cu containing
389
fungicides, Cu chelates (Cu EDTA, 12%Cu) are also used as Cu
carriers. Indiscriminate use of Cu containing fungicides like Bordeaux
mixture on foliage meets the Cu requirement of crops.
Rates of copper application: Sakal et al. (1996) recorded
application of 5.0 kg Cu ha-1 significantly increased the mean yield
response of 440 and 90 kg ha-1 of rice and wheat, respectively in
Himalayan tarai soils of north Bihar. In Kerela, soaking of rice seed
for 24 hrs in 0.25% copper sulphate solution or foliar sprays of 500
g CuSO4 in 100 L water ha-1 has been found useful in increasing rice
yield. Seed soaking of potato tuber was found least efficient while
soil application or foliar sprays were on par, both yielded addition
tuber 0.9 to 1.0 t ha-1 (Grewal and Trehan 1990). Addition of P fertilizer
had positive effect while addition of Zn, Mo and S showed
antagonistic effect on its availability and absorption by various crops.
Method of copper applications: Application of copper through
broadcast on soil and mixing in surface soil prior to seeding is the
most efficient method to correct copper deficiency. However, top
dressing of copper on standing crop upto preflowering stage or foliar
sprays of 0.5% copper sulphate aqueous solution neutralized with
25 g lime L-1 sprayed twice or thrice efficiently corrects the copper
deficiency in standing crops. Application of 5 kg Cu ha-1 to wheat
increased the grain yield over 0.4% foliar sprays. Copper applied in
soils leaves residual effect to succeeding crops.
Cultivation of copper efficient genotypes: Among wheat
cultivars UP370, UP 262, UP 2001 were found relatively more
susceptible to Cu nutrition than WL 711, UP 368 and UP 115.
Molybdenum
Much information on molybdenum deficiency in Indian crops
and soils and responses of crops to Mo fertilization is not available.
Molybdenum uptake by intensive cropping systems ranges between
12.3 to 32 g ha-1. Continuous submergence, use of organic manures,
high soil pH, application of P and S fertilizers increases the availability
of Mo but regular use of ammonium sulphate in red lateritic soils
decreased its availability due to acidification effect and leaching in
soil and antagonism between sulphate and molybdate absorption by
plants. In soils containing low available Mo, its deficiency may appear
after fertilization due to increased growth and uptake by crop plants.
Molybdenum concentration more than 10 mg kg-1 dry matter in forages
proved toxic to cattle in Punjab (Nayyar et al., 1990). Among various
forage crops maize, sorghum, teosinate were rated to be low Mo
accumulator plant species.
390
Sources of Molybdenum : Ammonium molybdate (NH4)6MoO224
H2O, 54%Mo) and sodium molybdate Na2MoO42H2O, 22% Mo) and
molybdenum trioxide (MoO3 66%Mo) are the common sources of
Mo Still only ammonium molybdate is the approved as fertilizer in
India. Molybdenum is also added as contaminants through various
fertilizers like potassium sulphate and urea 5-6 mg kg-1 and phosphatic
fertilizers by 250-550 mg kg-1. In addition to these organic manures
also carry Mo by 21 mg kg-1 FYM, 34 mg kg-1 in piggery manure and
42-65 mg kg-1 in poultry manure (Arora et al., 1975). So partial
requirement of crops is met through indirect application of these
sources.
Liming of acid soils helps in correcting deficiency of Mo. It
increases the native Mo availability as well as helps in enhancing
residual effect of added Mo to succeeding crops. Phosphate,
sulphate, molybdenum deficiencies is frequently occur together,
therefore, to correct them molybdenized single super phosphate is
recommended.
Rates of molybdenum: Singh et al. (1979) reported increase
in grain of wheat by 130 to 880 kg ha-1 in rice and 20-680 kg ha-1 for
wheat to 0.50 kg ha-1 sodium molybdate in soil through broadcast.
Wheat variety Sonalika exhibited 38% response in grain yield of
wheat with the application of 0.5 kg sodium molybdate in Mo deficient
acidic soils of Assam (Ali and Manoranjan 1989). Application of Mo
found beneficial in higher nodulation and nitrogen fixation by soybean
and other legumes in red soils of Tamil Nadu. Application of 1.5 kg
sodium molybdate increased the potato yield by 2.9 t ha-1 in black
clayey soil, 2 t ha-1 potato hill soil, 1.3 ha-1 in red and lateritic soils
and 1.2 t ha-1in alluvial soils (Grewal and Trehan 1990). Response
of green gram, black gram, chickpea, lentil on sandy loam soil, of
groundnut to 0.5-1.0 kg ha-1 sodium molybdate in calcareous soils
and of mustard on sandy loam to Mo have been recorded.
Method of molybdenum application: Deficiency of Mo in crops
can be corrected by both soil application and sprays. Foliar sprays
of 0.05% to 0.1% sodium molybdate solution thrice increased the
pod yield of green gram by 130 kg ha-1 in black sandy loam of Tamil
Nadu though 2 kg sodium molybdate applied to soil proved non
efficient. Seed treatment of 70-140 g ha-1 significantly increased the
soybean and groundnut yield.
Seed treatment with Teprosyn containing 54% Mo at the rate
of 2-3 mL kg-1 seed of groundnut and soybean before sowing was
found as effective in increasing seed yield as that of applying 500
g ha-1 ammonium molybdate in soil ( Singh 2003). Presoaking of
391
potato tubers in 0.01% ammonium molybdate solution increased
the tuber by 2.9 t ha-1 in swell-shrink clayey soil, 2.0 t ha-1 in hill soil,
1.3 t ha-1 in red and lateritic and 0.2 t ha-1 in alluvial soils (Grewal and
Trehan 1990). Nayyar et al., (1990) reported that 30 g sodium
molybdate per kg seed treatment of soybean improved the yield,
quality, oil content. Black gram responded to Mo seed treatment to
the 1.5 g sodium molybdate per kilogram of seed in red Mo deficient
soils.
Time of Application: Basal application of Mo to groundnut
increased the pod yield significantly in calcareous soils of Bihar.
Similarly soil application of 800 g ha-1 of sodium molybdate with 120
kg S ha-1 also increased the pod yield of groundnut in Alfisol of
Andhra Pradesh. Basal soil application of 0.50 kg ha-1 Mo along
with single super phosphate or spraying of 0.1% Mo solution on
foliage of crops increased the mustard yield in acid soil. Application
of Mo have shown to increase not only the yield of French bean but
also improved the marketable yield of beet root and cauliflower.
Role of micronutrients on crop quality
Impact of Development and Its Adoption of Technology
A good information on basic and strategic aspects of
micronutrient management related micronutrients dynamics and
transformations; their chemical pools, adsorption desorption,
depletion, build-up and nutrient balance; soil organic & inorganic
amendments and their impact on increasing use efficiency of native
and applied micronutrients fertilizers have been generated. Information
on standardization, development or refinement of new techniques
for diagnosing nutritional disorders,mechanisms of absorption,
translocation, uptake, metabolic and enzymatic changes operating
at interaction sites have been found very useful helpful in developing
suitable technology for correcting nutritional disorders in soils and
plants and boosting soil productivity.
Simple, precise, and reliable diagnostic techniques and soil and
plant analytical methods have been evaluated or modified.
Monographs showing colour visual symptoms for recognizing
micronutrient deficiencies have been published for the users. Critical
range suitable for specific soil and plant to diagnose deficiency,
sufficiency and toxicities for major soils, crops and assess degree
of deficiency has been identified and published,. These are being
used by different laboratories.
Areas showing zinc, copper, manganese deficiencies have
been delineated and soil maps have been published. Areas affected
392
with deficiencies are being delineated in detail and deficiemcy is
being confirmed through biological responses. About 6000 ECF and
on- research farm trials and 85 frontline demonstrations have been
conducted to disseminate the benefit of research results at the
farmers fields. Boron , Cu and Mo deficiencies are being confirmed
through systematic field experimentation and to know the reasons
of mismatching between soil and plant analysis in certain locations.
Suitable corrective measures such as optimum rate, method,
source and time of application for most of the cereals, oilseeds and
some of the pulse crops and cropping systems have been developed
which helped in developing sound technology for different agro-
ecological regions, major soil groups and cropping systems. Several
straight, chelated, mixture, blended, solid or liquid, single or multi
micronutrient fertilizers have been approved under Fertilizer Control
Order (FCO) by the Govt. of India for various states and crops.
Based on sufficiency approach estimated requirement for Zn 324,
Fe 130, Cu 11, B 39 and Mn 22 thousand tonnes by the year 2020.
Iron deficiency in field crops is a wide spread problem which is
causing a significant reduction in yield. If iron chlorosis is expected
then apply sufficient quantity of organic manure for its prevention.
Apply 10-20 kg Fe ha-1 either ferrous sulphate or 10kg Fe ha-1
FeEDDHA through broadcast and mixing in topsoil as basal dose.
However, in standing crops, foliar spray of 0.5% FeS04 + 0.02%
citric acid aqueous solution of 500-1000 L ha-1 at 10-15 days intervals
alleviate iron-chlorosis efficiently and economically. Broadcast pyrites
on moist surface for 7-10 days prior to seeding or mixing in soil.
Ensure proper soil moisture, aeration and apply iron-fertilizers through
fertigation.
Addition of micronutrients not only increased the yield but also
appreciably increase the energy value, total lipids, crude protein,
carbohydrate contents, several enzymes and amino acids, glucoside
and their contents of Zn, Fe, B, Mn, Mo and Cu in cereals, oilseeds,
pulses, vegetable crops. Supply of Cu and S reduced the Mo toxicity
in forages grown on sodic soil and as such improved the quality of
forages.
Human and animals fed on food and forages produced in Zn
deficient soils had low Zn content in their blood serum. Large number
of blood serum samples taken for men and women in Andhra
Pradesh, sheep in Gujarat showed zinc deficiency in blood plasma
(Table 10). In Punjab, metabolic and diabetic patients showed the
low value of zinc particularly in diabetic ulcer patients.
393
Table. 10 Impact of zinc deficiency on human health
Category No. of Mean Zinc Status (ppm)

people Soil Plant Blood Serums
surveyed Male Female
Ranga Reddy district
Deficient 18 0.37 18.2 0.49 0.52
Sufficient 44 0.69 26.7 0.55 0.65
East Godavari district
Deficient 16 0.45 13.6 0.84 0.97
Sufficient 44 1.12 25.9 1.08 1.06
Presently more than 100,000 tonne of zinc sulphate is used

annually in different states besides large quantity of micronutrient
mixtures used in Southern parts of India, especially on horticultural
and vegetable crops.
Critical Research Gaps And Future Strategies
Deficiencies of various micronutrients are emerging in certain
areas which were not observed initially, to say, deficiency of Fe and
Mn in rice-wheat system in highly permeable soils of Punjab,
deficiency of B in highly calcareous and acid soils of Bihar, Gujarat
and red and lateritic soils of Orissa etc.Thus, nutrient indexing
programme needs to be strengthened on priority on well defined
soil-crop-management, agroeco-regions on fixed benchmark sites.
Emphasis on balanced and integrated nutrient management
involving low doses of organic materials, their enrichments is very
required to sustain fertility and ensure high yields. For sustainable
high productivity of agriculture remedial techniques involving off
farm and on farm inputs need to be given greater impetus .
Since deficiency of micronutrients are increasing, in areas
having high potential to future agriculture. Therefore, creation of
more centres in NEH region, West Bengal, Rajasthan and Karnatka
are extremely essential. Deficiency of multi micronutrients is not
so wide spread. So deficiencies of micronutrients are emerging
wide spread due to their greater depletion under intensive cultivation.
So forecasting of the emerging nutrients deficiencies / toxicities, in
given soil-crop-management system, agro-ecological region is
extremely essential through careful monitoring the permanent
benchmark sites through farmers participatory research Suitable
models for forecasting emerging micronutrients deficiencies, their
394
transformation and residual availability and soil pollution needs to
be developed.
Information on responses of micronutrients like, Cu, Fe, Mn
and B need to be generated that has been found through mismatch
of plant or soil analysis. Front line demonstrations, ECF trails need
to be conducted to benefits of micronutrient use to the farmers.
Screening of crops and their cultivars for their tolerance to
micronutrients viz., Fe and Mn deficiencies and other nutrients as
well as tolerant to heavy metal and trace metal toxicities in polluted
areas needs to be taken up on priority. More information on interaction
between micronutrients and tillage / irrigation is required to improve
availability of micronutrients by manipulating soil physical
environment.
Increase micronutrient deficiencies causes poor quality of
agricultural produce. Monitoring the effect of micronutrients deficiency
in soil-plant-animal and human chain needs special priorities.
To create more awareness more publications of bulletins,
leaflets, and pamphlets in simple language, through media, mass
extension education, and more front line demonstrations at farmers
fields to show benefits of micronutrients technology is required.
Efforts to ensure availability of good quality micronutrient
fertilizers, their easy accessibility at low cost at farmers sites
through government agencies or fertilizer industries network required
very much attention.
395
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398
THE EMERGENCE OF ICT AS A TOOL TO HELP
FARMERS : REALITY OR MYTH?
Bell, M.A., Shires, D., Lapitan, J.
Balasubramanian, V. and Barclay, A.P.
International Rice Research Institute Paper in commomeration of
remembrance of the 100th year of establishment of Agricultural
College, Coimbatore, India, 2005
Farmers in Asia regularly list knowledge, credit and good prices
as major limitations to improving their livelihoods. The emergence
of Information and Communication Technology (ICT) raised
tremendous expectations in terms of meeting information/knowledge
needs. Despite the promise of ICT, however, there have been few
examples of successful ICT application in agriculture. One exception
is the Rice Knowledge Bank (RKB) (www.knowledgebank.irri.org).
The RKB is now the worlds leading ICT repository of rice-based
training and technology information. Since its launch in 2002, it has
received over 6 million hits, and site use continues to grow. This
paper outlines how the RKB is designed to deliver focused, credible,
value-added and demand-driven information. Further, the paper
highlights that success in the use of ICT depends on partnerships
that link information access to information application.
Knowledge a major need for farmers
Credit, price and access to knowledge. are the factors most
commonly cited by farmers as their major limitations. IRRI saw a
great opportunity to address these knowledge needs by harnessing
the great power and promise of ICT.
Can ICT really help farmers?
IRRI asked itself the question, if we develop an ICT-based
resource, will farmers really be able to access such knowledge and
truly benefit? Statistics for personal computer (PC) access across
Asia (Table 1) suggest that presently there is little hope that farmers
would be able to use computers to meet their needs. However, we
believe that the reality is more promising. While farmers themselves
typically do not have access to computers, research and delivery
partners (who educate farmers to produce better crops at a lower
cost) often do have access. Further, the proliferation of internet cafes
throughout Asia suggests ICT will increasingly be available as a
tool to help farmers directly access their information needs.
399
Table 1. The number of computers, mobile phones and TVs for selected
Asian countries (ranked by personal computers/1000 people
2001)
Mobile
PCs/1000 TVs/1000
Country phones/1000
1995 2001 1995 2002 1995 2001
Japan 120 389 93 588 681 731
Korea (sth) 108 257 36 621 322 363
Malaysia 37 126 50 314 169 201
Thailand 14.1 27.8 23 123 198 300
Philippines 9.6 21.7 7 150 105 173
China 2.3 19 3 110 243 312
Sri Lanka 1.1 9.3 3 36 78 117
Vietnam 1.4 11.7 0 15 163 186
Indonesia 5.0 11 1 31 113 153

India 1.3 5.8 0 6 61 83
Nepal 1.2 3.5 .. 1 3 8
Pakistan 3.5 4.1 0 6 51 148
Bangladesh .. 1.9 0 4 7 17
Lao PDR .. 3 0 5 10 52
Cambodia 0.5 1.5 1 17 8 8
Myanmar .. 1.1 0 0 7 8
Source: World Bank 2005.

Potential access, however, is of little use. The issue is what is
the reality of ICT access? IRRI research in the region has identified
cause for optimism in this respect. Recent studies have indicated
that almost all major NGOs and government research and extension
partner have PCs with CD drives in their offices. Further, many offices
have at least some machines with internet connectivity. The
conclusion is that ICT tools are widely available to the organizations
that work with farmers.
The development of the Rice Knowledge Bank
To harness the power of ICT, IRRI developed the RKB
(www.knowledgebank.irri.org). This resource is the worlds first digital
extension service with a wealth of information on rice-related training
400
and extension. The RKB has been independently reviewed and has
received critical acclaim as a tool to distill, store and provide
information for rice science and extension (e.g., BBC Earth Report,
HANDS ON - THE PADDY CHRONICLES, September 2004; the
Further readings about the RKB section, below, provides more
reviews). Such success was not accidental. IRRIs strategy for the
development of the RKB recognized that creating a digital repository
was only a start. A large number of shovel-ware repositories
sites where anything and everything related to an area were placed
already existed. IRRI saw that if the RKB was to be used effectively
by farmers and their intermediaries, it was critical that its content be
focused, credible, demand driven and value added.
The Rice Knowledge Bank (www.knowledgebank.irri.org) is IRRIs

example of practical ICT application
RiceDoctor is one of two Decision Support Tools included in

the Rice Knowledge Bank.
Focused
The power and capacity of the internet to all often tempts people
to include too much information working off the principle that,
if a little is good, then more is better. Clearly some tools such as
google are designed to effectively deal with such issues. With more
than 40 years of science and research, IRRI was well placed to
pursue a mass site strategy. However, there is a niche for more
targeted sites and early on, the RKB developers recognized the
importance of ensuring that the site remain focused; that it contained
only knowledge relevant to extension, research, training and support.
Such an approach would allow easy site navigation (for internet
browsers). Further a focused approach allows target users to quickly
identify knowledge that is directly relevant to them; doing so without
being lost in the large amounts of interesting but often irrelevant
information.
401
The identification of the target audience was another key aspect
in the successful development of the RKB. Since the rice farmers
of Asia were considered unlikely to gain access to ICT, the RKB
was designed to target the farmer intermediaries those research
and development workers who have ICT access and who need
information to help farmers. Targeting these people is especially
effective because many are already educated, ICT-literate and are
experienced in training farmers.
Credible
A Google search of the internet using the keyword rice results
in an astounding 30 million hits. The questions become Which of
these can you believe? Which are useful? How could you possibly
have time to review them all?. IRRI uses a rigorous sign-off on new
content by the relevant IRRI scientists staff to ensure accuracy of
material. With these mechanisms in place, and drawing on IRRIs
40 years of proven research competence, users can be confident
about the quality and relevance of the knowledge in the RKB.
Value added
The RKB is value-added in two ways. Firstly, the knowledge is
available either online, on CD-ROM or in print. Information is therefore
available in whatever form is best suited to the needs of the target
users. This approach is called single-source publishing.
Secondly, the RKB content is not just a series of computer
files on-line. Rather, the RKB presents information in forms that
make the knowledge more accessible and more directly usable.
Examples of this include:
• Common navigation format Once into the RKB, the
process of site navigation is similar. The RKB draws on
best practices in the private sector to present information
in an easy-to-use, fully indexed, book form.
• Decision support tools (e.g., TropRice and Rice Doctor)
lead users through a simple process to identify and solve
their particular problems.
• Information sheets: are expanded summaries of topics.
These are summarized reference sheets for experts.
• Fact sheets: summarize the key points of topics and present
them in one or two pages. These sheets aim to provide
enough information for practitioners to implement practices.
402
• Farmer Technology sheets: present information on a
technology in very simple and clear ways. Extension officers
can use these directly with farmers.
• Reference guides on field-related information are concise
and easy-to-read. The RKB does not include the original
scientific papers.
• e-Learning courses capture a selection of key training topics
in a form that users can access when and where they want
and at a time of their own choosing.
Demand driven
Success depends on providing content that is driven by user
needs. IRRI ensures priority content by using its extensive in-country
networks. These networks continually identify country needs and
provide feedback on the relevance and ease of use of the RKB. In
addition, the RKB site has extensive, up-to-date usage statistics.
These statistics are analyzed to track the most searched-for topics
and key words to help refine needs.
Three demand-driven innovations include the development of
the Fact Sheet and Farmer Technology Sheet series and the
development of country-specific sites. The country sites present
locally relevant knowledge provided by local users in each country.
This information is often in local language.
Used the ultimate definition of success
The ultimate success of the RKB is defined by both access to
and application of its information.
A number of anecdotal examples highlight the RKB is being
used as designed. One example involves a cramped internet cafe in
northeastern Thailand. Dr. Ragat Nag, Director General of the
Mekong Department of the Asian Development Bank, noticed an
enthusiastic group of youngsters showing their parents how to use a
computer. Intrigued,
Dr. Nag found that the kids were showing their parents Rice
Doctor, the diagnostic program developed by IRRI to help rice farmers
manage rice pests and diseases. The children were accessing the
site, searching for information on topics requested by their parents
and then translating the relevant pages into Thai for their parents.
Although the above story was encouraging, IRRI realizes that
that rice farmers rarely have such direct access to knowledge. As
indicated earlier, the farmer intermediaries are the primary target
users of the RKB.
403
There is little doubt about the success of access to the RKB.
The site has registered over 6 million hits since its inauguration in
2002 and the number of users continues to grow. At present, the
RKB averages over 1,000 visits per day at an average of 12.40
minutes per visit. This on-line time equates to around 10,000 person-
days of training per year. Some suggest that this form of training is
even more effective than traditional face-to-face methods, as the
participants get information on exactly what they want when they
need it. While these RKB use numbers are encouraging, the key is
that the accessed information is applied. As a result, the RKB project
continues to look for better ways to ensure application. While user
feedback tells us that such application is happening, it is in the area
of field application that we hope to see continued growth.
Future of the RKB increasing the linkage of ICT with field
application
Increasingly, IRRI sees the potential to link ICT to practical
field application. For example, in Sri Lanka, the Department of
Agriculture has established Cyber-Extension Centers. These pilot
sites, based in their Agrarian Service Centers, are providing exciting
action research opportunities to evaluate the pros and cons of ICT.
To date, results are extremely promising. But the key to success
lies in the development of a consistent and relevant approach to
identifying problems (Table 2), accessing information and applying
that information in the field.
As a note, these access and use statistics do not include
internal IRRI traffic or use of the many thousands of RKB CDs already
distributed in partner countries.
Table 2. The framework for establishing ICT centers for meeting
farmers needs
Meeting needs
• Identify target farming areas with potential for impact.
• Identify key partners locally active in research and development.
• Work with farmers and intermediaries to identify primary problems
and determine major information needs.
Farmers
• Needs and Opportunities Analysis - identify problems, causes,
frequency, extent of problems.
• Distinguish problems based on form of resolution required e.g.,
political, agronomic, handled by other institutions.
• Options identify priority problems and viable options, and their
potential chance of success or their feasibilities.
404
Intermediaries
• Identify the technology and training methodology and delivery needs of
partners who are committed to working with IRRI and driving the
project.
Support Materials
• Identify available materials to meet the above needs. Material can come
from either the RKB or from local sources. (Ensure the credibility of
the information.)
• Identify any information gaps and work with appropriate people to develop
materials to fill those gaps.
• Improve existing materials if needed.
• Translate material if required.
• Upload materials as appropriate to the national site.
Training
• Run courses for farmers and/or intermediaries.
• Use RKB materials in training and extension.
• Evaluate and improve materials.
• Develop the cyber-extension centers as drop in centers.
Establish Field Demonstrations
• Work with committed partners to demonstrate technologies that address
farmers problems in the area.
Monitor and evaluate progress
• Collect feedback on material for improvement. Materials are those ICT
materials developed on both technology and delivery. Further
feedback is required on the effectiveness of the participatory
technology delivery models.
A recent field trip to Sri Lanka by IRRI staff highlighted the

linkage that the Department of Agriculture extension staff are making
between farmers needs information accessed from the RKB
and solutions with farmers in their fields. Field activities (including
Farmers field days) clearly demonstrated the enthusiasm of the
farmer to work more closely with the extension officers. In a similar
empowerment example, the extension workers repeatedly discussed
their excitement at having access to a tool (the RKB) that empowered
them to help farmers in ways they had never imagined. They
especially appreciated both the information on the technologies and
the information on methodologies for more effectively working with
farmers.
405
Learning from doing
IRRI has similar initiatives in other countries and continues to
grow in these areas. The success of the project in Indonesia is
proving valuable lessons. In partnership with the Indonesian national
partners, the IRRI RKB team has developed a well-focused site to
present high demand materials in easily-understood and accessible
forms. The project highlights the importance of tightly linking
information access with the national efforts to deliver the information
to farmers.
Key lessons
Partner commitment and ownership: In both Sri Lanka and
Indonesia, there is a national commitment to, and ownership of, the
drive to increase production. Partners join and lead the project with
clear goals in mind.
RKB site focus: The Indonesian example highlights that smaller
can be better. A well-targeted site with high-demand materials delivers
the information the partners want.
Farmer participation: Farmers are responding to their
increasing role of being part of the delivery process. Rather than
being talked at, they are increasingly involved throughout the
technology transfer process. The result is that farmers are more
confident that their needs are truly being met.
Linking RKB with an area development initiative: The RKBs
usefulness can be realized if is linked with an existing local
development initiative being managed by local government units
and/or NGOs and/or other stakeholders. The RKB has shown that it
can help deliver technical options to farmers more efficiently and
with added value.
The RKB vision and the future
IRRIs Rice Knowledge Bank is the worlds leading provider of
rice-related training and technology information, used by farmers
and people who help them to improve the livelihoods of rice-dependent
communities.
In association with increased linkage with motivated and active
partners, the areas for RKB expansion and/or improvement include:
• Including or linking to information on other crops and related
practical development needs
• Further development of the Country sites with more high
priority material included in local language
406
• Including summaries of key Policy requirements for
successful upscaling and development
• Knowledge Management interface improving the ease-of-
navigation of website
Further readings about the RKB
Atkinson AD, Bell MA. 2003. Organized free for all. Rice Today 2(1):22-25.
Atkinson AD, Bell MA. 2003. The Rice Knowledge Bank: strengthening capacity. Int.
Rice Res. Notes 27(2):5-10.
Amerasinghe N. 2003. Rice Knowledge Bank: a review. ADB Institute. www.adbi.org/
articles/29.Rice.Knowledge.Bank/default.php.
BBC Earth Report. 2004. Hands on The Paddy Chronicles. http://www.tve.org/
news/doc.cfm?aid=1553
Bell MA, Fredenberg P, Atkinson A, Shires D. 2004. How rice farmers benefit from ICT.
New Agriculturalist on-line. www.new-agri.co.uk/04-4/focuson/
focuson3.html.
Noronha F. 2003. Rice could get a bounty crop, thanks to the Net. Express Computer,
Indias No. 1 IT Business Weekly. www.expresscomputeronline.com/
20030106/indcomp2.shtml.
World Bank. 2005. ICT at a Glance Tables. http://www.worldbank.org/data/countrydata/
ictglance.htm
Notes
Authors address: International Rice Research Institute, DAPO Box 7777, Metro
Manila, Philippines, telephone: (632) 845-0563, [email protected],
[email protected].
407
EMERGING NEED FOR BETTER
EXTRAPOLATION OF PESTICIDE FATE DATA
FROM TEMPERATE TO TROPICAL REGIONS1
Rai S Kookana1 and Riaz Ahmad# 2
1
CSIRO Land and Water, PMB 2, Glen Osmond, South
Australia.([email protected])2University of Adelaide, PMB No1,
Glen Osmond, 5064, Australia # Present Address: Faculty of Horticul-
ture, Chiba University, 648 Matsudo, Matsudo, Chiba, 271-8510 Japan
INTRODUCTION
The use of pesticides is essential to combat pests in modern
agriculture. However, the potential adverse impact of pesticide use
on ecosystem and human health continues to be a cause of concern.
To minimise any such effects, sound understanding of environmental
fate and behaviour of pesticides under local soil and environmental
conditions is essential. Indeed, in last 20-30 years, a substantial
body of research on the fate and behaviour of pesticides has been
developed. This, however, originates predominantly from the
temperate soils of Europe and North America. Despite the fact that
large number and volumes of pesticides are used in tropical
countries, the environmental fate of pesticides (especially modern
pesticides) in the tropics remains poorly understood (Racke, 2003).
The combinations of chemical properties as well as site-specific
soil and environmental conditions deter-mine the environmental fate
and behaviour of a pesticide. Soil and environmental conditions
vary markedly with geographical locations. Soil properties such as
soil pH, abundance and nature of clay minerals, sesquioxides and
soil organic matter can be vastly different in soils of different
agroclimatic regions. For example, many soils of semi-a-rid tropical
countries (e.g. parts of India, Pakistan China and Australia) are
alkaline (pH > 8.0), whereas highly weathered soils of the tropics
(Malaysia and Australia) and those in high rainfall areas are acidic
(pH 5.56.5). Many soils of the a-rid zone and tropical countries are
low in SOM content, whereas the volcanic soils, such as in New
Zealand and Japan, are rich in allophone clay and contain much
higher organic matter contents (averaging 1012 %). Clearly, many
soils in the tropical region are very different from the soils of Europe
and North America, on which the pesticide environmental fate
databases have originated from (Wauchope et al .,1992; Hornsby
et al., 1996).
408
Due to lack of availability of local environmental fate, the
regulatory agencies and resource managers in several tropical
developing countries have no option, but to rely on European and
North American databases. The obvious question is, how relevant
are these overseas data to local conditions? In an attempt to partly
answer this question, we assess the differences in the nature and
properties in soil and environmental conditions between different
geographic regions, and their potential influence on pesticide sorption
in this paper. The focus in this paper is on the effects of soil and
environmental conditions associated with tropical and temperate
region on sorption of pesticides. Therefore, while other processes
such as degradation, transformation, volatilisation and leaching are
equally important and are influenced by soil and climatic factors,
these have not been addressed here. Racke (2003) provides a
comprehensive account of knowledge on the processes and
pathways of dissipation of pesticides in tropical ecosystems.
Trends in pesticide use in Australasia Pacific
Let us first examine the pesticide use trends in the developing
countries of the Australasia Pacific region in the global context.
Over the past three decades, there has been a large increase in the
use of pesticides, globally (Figure 1). There has been a steady
increase in the worldwide use of pesticides, with a noticeable increase
in the relative use of herbicides and a corresponding decrease in the
use of fungicides. Pesticide use in the United States has increased
33-fold since 1945 (Pimental et al., 1991), increasing from
approximately 1.9105 to 3.9105 tons between 1965 and 1985 (Postel,
1988). In the Australia Pacific region, increases in pesticide use
have also been noted. In Australia, data on pesticide sales at factory
gate suggest that pesticide usage (per annum) increased from A$166
800
Australia
Herbicides
600
Insecticides
Sale in million dollars
Fungicides
400
200
0
1980 1985 1990 1995 2000
Year
Figure 1. Trends in the world use of pesticides (after Carvalho et al., 1997)
409
60
Insecticides
US $0.6 billion US $11.6 billion US $25.3 billion Herbicides

US $2.7 billion
50
% of the total markete value of year
Fungicides
Others
40
30
20
10
0
1960 1970 1980 1993
Figure 2. Trend in use of major groups of pesticides in Australia
m in 1981 to A$1107 m in 1997 (Figure 2) with herbicides accounting

for 65 per cent followed by insecticides with 24 per cent of total
sales in 1997 (Australian Commodity Statistics, 1998). Herbicide
use in Australia has facilitated the adoption of minimum tillage
practices and the estimates for annual net benefits to Australian
agriculture from using these agrochemicals vary from $2500 m (Cribb,
1989) to as high as A$5000 m (Kookana et al., 1998). The figures
for the actual weight of active ingredients and individual chemical
products, however, are not routinely available.
Accurate statistics of pesticide use in many other developing
countries in the tropics is difficult to obtain. Due to higher pest
pressures, the use of pesticides in tropical countries is significant.
It is difficult to make an accurate estimate of what proportion of
global pesticide use occurs in tropical developing countries, but it is
probably 1020 per cent (Logan and Buckley, 1991).
The division into pesticide groups reflects the different pattern
of use of pesticides in developed and developing countries. While
herbicides dominate in the developed countries, the insecticides
are generally the most important class of pesticides used in the
developing countries. For example, in USA and Australia, herbicides
constitute nearly two thirds of total pesticide use. By contrast, in
India, Vietnam and Pakistan insecticides account for 7585 per cent
of the product volume used and weeding still being done by hand
(Tennenbaum, 1996).
410
While many pesticides are common among different countries,
some pesticides that have either been banned or severely restricted
in developed countries (e.g. BHC, DDT, parathion) are still widely
available in several developing countries, due to different regulatory
regimes. For the pesticides that are used internationally, extrapolation
of data from one region to other can be highly beneficial, if relevant
to local conditions. It is therefore useful to examine the similarities
and dissimilarities in soil and environmental conditions between
temperate and tropical regions.
A comparison of soil properties between tropical and temperate
regions
The nature and properties of the soils are driven by several
soil-forming factors including, geological parent material, climate
(e.g. temperature rainfall), vegetation, relief (e.g. elevation, slope
and depth) and time (Buol et al., 1989). Due to wide variations in
these factors between tropical and temperate regions, many soils in
these regions display correspondingly wide variations in their
properties. For example, Brazilian, Australian and the Indian Oxisols
are highly weathered, with goethite, gibbsite, hematite and 1:1 clays
such as kaolinite, with low organic matter contents and low pH.
These soils are subject to relatively high year-round temperatures
and occasional high rainfalls (Oliveira et al., 2001). Many soils of
the tropics contain variable-charge clay minerals with distinct physical
and chemical properties. An estimated 60 per cent of the soils in
tropical regions contain variable-charge minerals compared with only
10 per cent of the soils belonging to the temperate regions (Uehara
and Gillman, 1981). Such soils exhibit significant anion exchange
capacities at ambient pH.
Climatically, tropical temperature regimes are largely warmer
and exhibit much less variation from season-to-season compared
with temperate zones. In tropical regions, the mean daily incident
solar radiation is about twice that of temperate regions. Since the
formation and decomposition of soil organic matter are primarily
microbially mediated, the temperature at which these processes
occur is likely to control the rates of organic matter transformation,
provided that other soil conditions such as oxygen, soil water content,
clay content, and pH are similar (Swift et al., 1979; Jenkinson, 1988).
Thus, the decomposition rate of organic matter in the agricultural
soils in tropical regions is therefore considerably faster than in soils
from temperate regions. This is supported by the findings of Jenkinson
(1988) that soils of tropical regions contain lower organic matter
contents than those from the temperate regions. Generally the organic
matter in the tropical soils is more decomposed, or humified, than
411
that in the temperate soils. Grisi et al. (1998) investigated organic
matter and microbial dynamics in soils from tropical (Brazilian) and
temperate (UK) conditions, and found that soil organic matter was
mineralised more rapidly in the tropical soils.
The large humus accumulation in allophonic soils (many New
Zealand soils) containing large amounts of amorphous or crypto-
crystalised minerals is well known (Wada, 1985). This is mainly
attributed to very stable humus-Al, Fe- complexes which may likely
be protected from bacteria and enzymes in micro aggregates rather
than by a specific effect of allophane and associated minerals
(Wada, 1985; Boudot et al., 1986; Oades et al., 1989). However,
other reports (Calderoni and Schnitzer, 1984; Hatcher, 1989) indicate
that SOM in allophanic soils is highly decomposed; it may be rich in
carboxylic and aromatic groups, giving them very high affinity to Al/
Fe-oxides/hydroxides.
The chemical nature of SOM is influenced by site environmental
conditions. Zech et al. (1989) investigated eight soil profiles from
temperate, subtropical, and tropical regions. Correlating chemical
characteristics of SOM (e.g. aromaticity) of bulk soil samples with
site factors, they found that temperature and the temperature/
precipitation ratio influence mainly the aromaticity of bulk soil
samples. In soil horizons with high pH and low C:N ratios, aromaticity
tended to be somewhat higher. This shows that advanced stages of
humification are characterised by higher aromatic components of
the SOM. About 73 per cent of aromaticity could be explained by
the variation of temperature/precipitation ratio and the rest by the
variation of soil pH and the C:N ratio (Zech et al., 1989). Studying
the humic acids of five Kenyan soils, Arshad and Schnitzer (1989)
also found a positive relationship between the temperature/
precipitation ratio and aromaticity. On the other hand, no such influence
of chemical factors on the chemistry of humic acids could be
identified in sub-humid Kenyan soils (Miltner and Zech, 1994). For
more details on the characteristics of tropical soils, refer to an
extensive review by Sanchez (1976).
Given the substantial differences in nature and properties of
soil and environmental conditions between tropical and temperate
regions, it is useful here to discuss their role in determining sorption
of pesticides. Racke (2003) in his comprehensive review covered
the pesticide dissipation aspects thoroughly and concluded that
pesticide losses occur more rapidly under tropical conditions, mainly
due to climatic effect than soil type effect. This, however, may not
be true in the case of pesticide sorption processes, where the nature
of mineral and organic matter may be of greater importance than
412
temperature and moisture. Therefore, a discussion on key factors
that govern sorption behaviour of pesticides in soils follows. The
impact of soil organic matter in pesticide sorption is then discussed
in detail.
Key Factors Governing Pesticide Sorption Behaviour
Sorption is one of the major processes affecting the fate of
pesticides in the soil environment. It also plays an important role in
regulating the rates and magnitudes of other processes that govern
the fate and transport of organic contaminants in soils and sediments.
It may cause a decrease in the biological activity of a pesticide and
its rate of biological degradation, or it may enhance nonbiological
degradation due to surface-catalysed hydrolysis (Stevenson, 1994).
The transport of an organic chemical is also significantly affected
by sorption onto soil.
The sorption interactions of pesticides have been investigated
intensively for the last three decades (Rao and Davidson, 1980;
Koskinen and Harper, 1990). A number of soil properties have been
reported to influence sorption of pesticides in soil, including organic
matter and clay contents, soil pH, soil water content and soil
temperature. How the variation of these soil environmental parameters
can influence the sorption interactions of pesticides is discussed
below.
Type of mineral materials
Clay minerals can make a significant contribution to pesticide
sorption, particularly to ionic pesticides and even to non-ionic
pesticides if the SOM contents are very low. Weber (1970) reported
that s-triazine herbicides were readily sorbed onto various clay
minerals including illite, montmorillonite and kaolinite. The clays in
highly weathered soils of the tropical regions are dominated by
kaolinite (1:1 type of clay minerals possessing low surface area and
low negative charge) and have a lower capacity for pesticide sorption
than 2:1 type clay minerals like montmorillonite and vermiculite
(Bailey and White, 1970). Oxisols (which are rich in non-crystalline
to poorly crystalline Al and Fe oxides) have been shown to
significantly sorb anionic pesticides, as these can carry net positive
charge at ambient pH (Regitano et al., 2000). In contrast, cationic/
cationisable pesticides (such as paraquat, diquat and ametryn) show
relatively lower sorption in such soils due to lower cation exchange
capacities of the soils, despite their high clay contents.
413
Soil pH
The acidity or basicity of the soil is another factor that influences
the sorption, especially of ionisable pesticides (Nicholls, 1988).The
soil pH regulates the electrostatic charge of soil colloids (organic
matter and oxides) and the chemical dissociation or protonation of
pesticide molecules. Basic pesticide molecules become protonated
at lower pH and therefore, more strongly sorbed to the soil colloids.
Conversely, the acidic pesticides ionise and become anions as pH
increases (one or more pH units above the pKa) and sorption is less
(Weber, 1993; Sarmah et al., 1998). Soil pH varies markedly among
soils of different regions. The soils in wet tropics are generally acidic,
whereas those in arid regions highly alkaline leading to markedly
different sorption behaviour. This effect makes direct extrapolation
of data between acidic and alkaline soils difficult, especially for ionic
or ionisable compounds.
Soil temperature
Soil temperature is an important environmental parameter that
is markedly different in tropical and temperate climates. The literature
indicates that the effect of temperature on sorption of pesticides to
the soil is highly variable. A study conducted by Valverde-Garcia
et al. (1988) showed that the elevation of temperature favoured
sorption of thiram and dimethoate on organic soils. They attributed
this enhanced sorption to the increased number of active sites on
humus. Khan et al. (1996) presented a similar interpretation for
sorption of lindane. By contrast, studies on sorption of cyanazine
on different homoionic peats by Dios-Cancela et al. (1990) showed
decreasing sorption with increasing temperature, which was attributed
to either a decrease in the attractive forces between the pesticide
and the peat or a change in the solubility of the pesticide. In a study
on sorption of atrazine on kaolinite and montmorillonite clays,
Fruhstorfer et al. (1993) postulated that since a rise in temperature
causes an increase in the kinetic energy of the molecules with
constant electrostatic attraction, this leads to a decrease in sorption
of atrazine. Morrill et al. (1982) reviewed several studies, which also
showed decrease in sorption of organic compounds with increasing
temperature.
Soil organic constituents
Organic matter is the most important sorbent in soils for non-
ionic pesticides. Strong correlation has been frequently observed
between sorption of non-ionic pesticides and SOM content
(Karickhoff, et al., 1979). Organic matter can be broadly classified
into humic and non-humic, either of which can play a role in pesticide
414
sorption (Morrill et al., 1982). Humified material is often a stronger
sorbent for non-ionic pesticides due to the presence of oxygen-
containing functional groups such as COOH, phenolic, aliphatic,
enolic, OH, and C=O, but this is not so for ionic pesticides due to
a range of possible sorption mechanisms (Hance, 1988). From the
standpoint of interactions of non-ionic pesticides with SOM,
significant differences in the chemistry of SOM in soils from different
geographical regions are expected. A review on sorption of non-
ionic pesticides, with particular reference to the nature of SOM, is
therefore presented in the following section.
Soil organic matter and sorption of non-ionic pesticides
Until the late 1970s, the literature widely reported sorption of
non-ionic organic compounds from water by soil as an adsorption
phenomenon. Lambert (1968) and Swoboda and Thomas (1968)
speculated that the role of organic matter was empirically analogous
to a solvent medium. However, no evidence was reported to support
this hypothesis. Repeated observations of linear isotherms, low heats
of sorption, and significant correlations of sorption coefficients with
both the SOM content and solute aqueous solubility, lead Chiou
et al. (1979) to propose that the sorption of nonionic organic
compounds to soil and sediment in aqueous systems is due to
partition of the compound between water and the organic matter.
During the last decade, however, the mechanism of sorption to SOM
has received further attention, and evidence that shows the sorption
mechanisms in soils involve more than just simple partitioning
(Mingelgrin and Gerstl, 1983; Curl and Keoleian, 1984; Xing and
Pignatello, 1997).
Since the uptake of a given non-ionic organic compound by soil

is strongly dependent on the SOM content (e.g. Means et al., 1980;
Xing et al., 1994), sorption or partitioning coefficient (Kp) of a pesticide
is expressed per unit mass of organic C in soil, such that:
Kp Seq (1)
Koc = =
foc Ceq foc
where K p is the sorption coefficient; Ceq is the equilibrium
concentration of the sorbate in the aqueous phase, Seq is the amount
sorbed per unit mass of the soil at equilibrium and foc is the fraction
of soil organic C.
It is often assumed that Koc is approximately constant for a
given non-ionic compound (Green and Karickhoff, 1990). On that
415
basis, once Koc of the compound is measured, the sorption (Kp) of
that compound in any soil or sediment can be estimated from equation
(1). The temptation to regard Koc as a constant has been universal
and the relationship has become the basis of assessment of pesticide
fate and movement in soil.
Several linear equations have been developed to predict Koc for
contaminants in soils. These equations are based on the
contaminants octanol-water partition coefficient, Kow or its aqueous
solubility (Sw). The coefficients of the equations vary depending on
the nature of compounds and number of compounds used in these
studies (Ahmad and Kookana, 2002). It becomes attractive to use
such empirical relations to estimate sorption coefficients from the
molecular properties, especially when sorption data in not available
locally. However, in predicting sorption of pesticides in soils using
these empirical equations, it is implicit that organic matter in various
soils is homogeneous and interacts in the same manner with non-
ionic pesticides. Clearly, such uniform behaviour of organic matter
among different types of soils is unlikely, given the structural and
compositional variability that can exist. Therefore, any such
estimation may lead to erroneous estimates of sorption coefficients.
Xing et al. (1994) reported a pronounced difference between Koc
values predicted from Kow, and those measured in the laboratory.
The main cause of variation in observed sorption coefficient might
be due to the difference in the polar or nonpolar character of organic
matter and its structure and configuration, which can affect the
sorption of organic compounds.
The assumption of constancy of Koc is invalid in many instances
(Minglegrin and Gerstl, 1983). Ahmad et al., (2001b) investigated
sorption of carbaryl and phosalone in 48 soils from Australia, Pakistan
and UK. They noted that regression of sorption coefficient (Kp) for
carbaryl and phosalone pesticides against the total C content of the
soils could account for only 53 and 46% of the variance in Kp,
respectively. The sorption data obtained for carbaryl in soils of various
countries has been compared in Figure 3. The Koc values decreased
in the order of Pakistani > Australian > New Zealand > British soil.
Furthermore, a variation of 17-, 11-, 6- and 2-fold was found in the
Koc values of carbaryl in soils of Pakistan, Australia, New Zealand
and the UK, respectively. The mean values of Koc in Pakistan and
Australian soils were higher than the corresponding values from
Europe and North America.
416
The soils from the UK and New Zealand generally are richer in organic
matter. By contrast, the more humified SOM in the warmer climates
of Australia and Pakistan, may have been responsible for higher Koc
in these soils. The other differences such as the landuse and type
of vegetation associated with the SOM in soils may also have
contributed to the variation in sorption. In fact, the sorption of
pesticides can also vary between soils of the same region possibly
due to different affinities of the SOM for the pesticides and interplay
of other soil properties. Some data reflecting variability in Koc values
for selected non-ionic compounds in soils is presented in Table 1.
30
25
20
K d (L k g )
-1
15
10
A u s t ra lian s o ils
5 P a k is t a ni s o ils
U K s o ils
N e w Zea la nd s o ils
0
0 30 60 90 120 150
-1
O rg a nic C (g k g )
Figure 3. Variations in sorption coefficients for carbaryl, in relation to

organic carbon in soils of various countries (after Ahmad and
Kookana, 2002)
Table 1. Range of sorption coefficient (Koc) values reported for nonionic

pesticides in soils (from Ahmad and Kookana, 2002)
Compound Koc (L kg-1) # % Organic Carbon

Carbaryl 64 - 4318 0.3-13.8
Chlorpyrifos 2164 - 35170 2.1 - 11.4
DDT 131541 - 443137 2.8 - 6.7
Disulfoton 810 - 8723 0.3 - 7.9
EDB 36 - 160 0.9 - 37.4
Lindane 736 - 2589 2.1 - 35.3
Napropamide 190 - 2108 0.2 - 4.1
Parathion 314 - 15861 0.3 - 10.5
Piperophos 124 - 13149 3.1 - 17.6
Phorate 364 - 6862 0.3 - 54.7
Phosalone 1506-85528 0.3-13.8
#
Original values expressed as Kom; the factor 1.724 was used to convert to
Koc ; Koc =1.724 Kom
*Lowest organic carbon samples not included
417
The SOM may vary from soil to soil in its polarity, elemental
omposition, aromaticity, condensation, and degree of diagenetic
evolution from a loose polymer to condensed coal-like structures
(Garbarini and Lion, 1986; Gauthier et al., 1987; Grathwohl, 1990;
Karapanagioti et al., 2000). Therefore, type and age of SOM may
affect the sorption of non-ionic pesticides. However, the sorption
coefficient Koc ignores these properties that are known to affect the
sorption of non-ionic organic compounds (Xing et al., 1994).
Variations in the chemical nature of soil organic matter and
pesticide sorption
Due to difficulty in isolating unaltered SOM and characterising
its chemical and physical properties (Schnitzer, 1991), the
mechanisms involved in the sorption of organic compounds have
not been clearly understood (Stevenson, 1994; Almendros, 1995).
Also methods of extraction of organic materials from soil may alter
its nature, and the observed properties may differ from those of
organic matter in situ. However, the development of solid-state 13C
NMR spectroscopy has provided a useful tool for the examination of
SOM by using whole soil samples as well as fractionated samples
(Baldock et al., 1992; Preston, 1996; Mathers et al., 2000). Cross-
polarising magic-angle spinning (CPMAS) 13C NMR use is advancing
the characterisation of soil organic matter and other geologic samples.
Depending on the soil type, the nature of the organic constituents
vary considerably (Schnitzer, 1991; Kogel-Knabner, 1993) as the
organic matter in soils differs widely in terms of the degree of
humification as well as their composition. For example, humic
materials of grassland soils are rich in humic acids, whereas fulvic
acid dominates in forest soils (Stevenson, 1994).Subsistence farming
in the tropics depends heavily on the release of nutrients from more
biologically active or labile SOM (Mueller-Harvey et al., 1985). Such
SOM includes litter, plant roots, partially decomposed residues or
light fraction, water-soluble organic materials, and other non-humic
substances (Theng, 1987). In these soils, the type of vegetation
from which the SOM originates, affects the chemical composition
of soil appreciably; but the other important factor is the degree of
decomposition of the SOM. The O-alkyl C tends to decrease with
decomposition, while the proportion of alkyl C tends to increase and
aromatic C may increase or decrease, depending on the situation
(Baldock et al., 1997). Krosshavn et al., (1992) investigated samples
with different vegetation sources and others with variation in the
418
degree of humification using soild-state 13C NMR. They found that
both the vegetational background and degree of humification
substantially influenced chemical structure of the organic matter in
these soils. The aromatic fraction of the SOM ranged from 8.5 to
13.7 per cent . According to Inbar et al. (1989) aromatic carbon
increases with increasing decomposition. Decomposition of SOM
leads to gradual changes in the functional groups of the SOM,
depending upon various environmental factors including temperature,
nutrient status, and soil water content (Lessa et al., 1996).
Ahmad et al. (2001c) characterised soils from different regions
of Australia and Pakistan. This study revealed clear differences in
the chemical nature of organic matter, as seen by 13C CPMAS NMR,
in the whole soils from different origins and landuses. Interpretation
of the NMR data for structural components (Ahmad et al., unpublished
results) to estimate various molecular components of SOM in the
soils, also revealed substantial variations in the molecular
components of SOM. Sandy soils contained the highest proportions
of lignin or lignin-derived materials, followed by forest soils. Many
agricultural soils from Australia contained appreciable amounts of
charcoal (Skjemstad et al., 1996 1999), whereas three Pakistani
soils contained much higher lignin. The soils originated from different
regions under different vegetation, landuse, climate, cropping practice
and fertiliser applications.
Arai et al. (1996) characterised the nature and composition of
organic components in two soils (an Alfisol and a Vertisol from semi-
a-rid tropics of India) using chemical analysis, photometric and high-
resolution solid-state 13C NMR spectroscopies, and 14C dating. They
found fulvic acids to be major constituents: about 90 per cent in the
Alfisol and 70 per cent in Vertisol, suggesting a faster decomposition
of SOM in Alfisol.
While it is useful to relate the chemical nature of SOM to the
sorption affinity/capacity for hydrophobic organic compounds
(Karapanagioti et al., 2000), so far limited attention has been paid to
the relationships between chemical and physical properties of SOM
and the behaviour of pesticides in soils (Kozak, 1996). The few
available studies on this topic have been restricted to sorption of
organic pollutants on commercial and pure humic materials, even
though they are not good representative of natural humic substances.
Ahmad et al. (2001c), however, investigated the relationships between
the Koc values of carbaryl and phosalone and the various structural
components of soil organic matter in a range of soils from various
regions. They found that the aromatic component of the SOM had a
significant impact on the sorption of the two pesticides. A strong
419
positive exponential correlation of K oc values with aromaticity
(r2 = 0.94 and 0.95 for carbaryl and phosalone, respectively) was
observed, which indicated that aromaticity of soil organic matter is
a key structural parameter, which regulates sorption of non-ionic
pesticides. Furthermore, molecular nature of SOM predictions from
the NMR spectra, and the multiple regression analyses showed that
among various molecular components of the SOM, relationships
using both lignin and charcoal contents were highly correlated with
the Koc values of carbaryl and phosalone (Ahmad, unpublished
results). Lignin has also been reported to show high binding affinities
for other pollutants (Xing et al., 1994).
From these results, it is very likely that retention of pesticides
in burned-over fields and those containing wind-blown carbon particles
may be high. This also demonstrates that the extrapolation of data
may hold well for groups of closely-related soils in a region, but as
the structural and chemical similarity of SOM diminishes, so does
the validity of extrapolating data.
In the preceding sections, various factors affecting the
behaviour of pesticides in soils of tropical and temperate countries
have been considered. A detailed account of pesticide behaviour in
soils would involve many other parameters. Nevertheless, the extent
of sorption by soil constituents in general, and soil organic matter in
particular, is expected to be a primary factor influencing pesticide
behaviour. Many soils in tropical regions containing an appreciable
amount of variable-charged components and higher pH have many
properties that are striking in contrast to those of the soils in temperate
regions. These factors need to be taken into account, in addition to
the nature of SOM, while sorption data is extrapolated between
agroclimatic regions.
Summary and Conclusions
On the basis of above discussion and evidence from selected
investigations, it is apparent that the combinations of chemical
properties as well as site-specific soil and environmental conditions,
that vary substantially with geographical location, determine the
environmental fate of a pesticide. Between tropical and temperate
regions, soil properties, such as soil organic matter, chemistry of
SOM, soil pH, type and content of clay minerals can be significantly
different. The discussions in this chapter on the role of the these
factors, particularly that of soil organic matter, in influencing the
pesticide behaviour in soils from various agroclimatic regions, has
demonstrated that markedly different sorption affinities of non-ionic
pesticides to tropical and temperate soils are to be expected. It is
420
evident that among various factors regulating behaviour of pesticides
in soils, quantity and quality of SOM and climatic conditions are
very important. Both of these soil properties vary significantly between
different agroclimatic regions. Consequently, it is necessary to be
very cautious while extrapolating the pesticide fate data generated
in temperate environments to the soils of tropical countries.
Care need to be exercised by the pesticide registration and
regulatory authorities of developing countries during the assessment,
evaluation and registration of pesticides based on data from other
countries. Undoubtedly, pesticides will continue to play a key role in
global agriculture and due to the many pesticides in use and the
many variations in soil and climatic conditions that exist, it will be
difficult to obtain adequate site-specific pesticide data. While we
have discussed only one of the key processes that govern pesticide
risk in the environment, it hopefully has demonstrated the inadequacy
of direct reliance on overseas data for solving local problems.
In future, we need to focus on developing novel approaches to adapt
and extrapolate overseas data keeping in mind the local peculiarities
or uniqueness of soil and environmental conditions. This help harness
upstream benefits from pesticide, and in minimising the potential
downstream costs associated with their use.
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425
HERBICIDE RESISTANT CROPS IN INDIA :
POTENTIAL AND PROSPECTS
N.T. Yaduraju and J.S. Mishra
National Research Centre for Weed Science
Jabalpur-482 004 (M.P.)
Despite significant achievements in food grain production since
independence, Indian agriculture continues to face serious
challenges from ever increasing population. Our population has
crossed 1 billion and is expected to be 1.5 billion by 2025 and more
than 2 billion by the end of this century. India would need about 300
million tonnes of food grains by 2020 i.e., an increase of about 5
million tonnes per year in the next 20 years. Weeds are a component
of our crop production systems. They continually interfere with
profitable crop production by competing with crop plants for nutrients,
soil moisture and solar radiation. In addition, weeds can harbour
insects and disease pests. Noxious weeds and weed seeds can
greatly undermine crop quality. The cultivation of dwarf high yielding
crop varieties responsive to fertilizers and irrigation and the new
intensive cropping systems have aggravated the problem of weeds
due to ecological changes. Crop pests (insects, diseases, weeds,
etc.) cause about 18% loss in crop production which at current
price is equivalent to Rs. 60,000/- crores annually. Weeds unlike
other pests are omnipresent and account for at least one-third of
this loss.
Weed management in field crops is difficult due to:
i. Complexity of weed flora
ii. Inefficient traditional methods
iii. Complexity of application of different herbicides for different
weeds in varying crops.
iv. Laborious, drudgery causing and untimely
v. Adverse environmental and soil conditions
vi. Smaller land holdings
vii. Lack of technical knowledge.
Weed control through manual/mechanical though very effective,
has certain limitations such as unavailability of labour during peak
period, high labour cost, unfavourable environment particularly in
rainy season etc. The reduced availability of labours for agricultural
operations is mainly due to modernization, industrialization,
426
decrease in land holding, migration from rural to urban areas, etc.
The rural: urban population has changed from 3:1 in 1960 to 3:2 in
2000 and is expected to 3:4 by 2030 (Pingali, 4th ICSC). Biological
weed control is considered environmentally benign and less
expensive. However, this method is slow, often less effective and
cant be used in all situations. The efficacy of bio-control agents
under field conditions is highly dependent on environmental
conditions. Under such conditions, use of herbicides is
advantageous and economical.
The development of safe, effective and relatively inexpensive
herbicides coupled with advances in application technology during
the past have provided many successful weed management options
in crop production. Herbicides being selective, dependable and
effective against target weeds gained popularity in the recent years
especially under intensive agriculture. In India use of herbicides
for weed management is meager as compared to developed nations
(Table 1). This is mainly due to low purchasing and risk bearing
capacity as well as perception of dry land farmers about weeding.
Herbicides offer a better alternative to mechanical weeding. The
discovery and use of herbicides have revolutionized the agriculture
in many developed countries. Despite the several advantages, many
concerns like, food safety; ground water and atmospheric
contamination, increased weed resistance to herbicides, destruction
to beneficial organisms and concern about endangered species,
etc., have also been made with the indiscriminate use of herbicides.
Moreover, many herbicides are required to manage complex weed
flora in different crops.
Table 1: Pesticide use in India, world and the USA (Sharma and Sharma,
1999)
% T o tal p esticid e
Pesticid e In d ia W o rld U SA
1988 1997 1994 1998
H erbic ide 5 16 47 55
Ins ec tic ide 76 52 29 32
F ungic ide 18 30 19 7
O thers 5 2 5 6
Imparting herbicide resistance to normally herbicides

susceptible crops to produce herbicide resistant crops (HRCs) has
been the most extensively exploited area of plant biotechnology.
To date, herbicides have been tailored to be used with particular
crops, rather than the crops being bred to tolerate the herbicide
(Duke, 1996). Herbicides that control a broad spectrum of weed
species often have limited use because they also injure crops
427
(glyphosate, glufosinate). The most desirable herbicides for weed
control and crop safety often have other less desirable environmental
characteristics (e.g. non-target toxicity, environmental persistence
and economic viability). Furthermore, engineering crops for
resistance to existing non-selective herbicides may be a more
economically viable option for agrochemical industries than the huge
costs associated with the discovery, development and
commercialization of new herbicides (Reddy, 2001).
Techniques for producing herbicide resistant crops
Herbicide resistance in crops can be achieved by
l Altering the target site so that the herbicide no longer binds,
l Over expressing a target enzyme so that the effect of the
herbicides is overcome, or
l Detoxifying the herbicide so that it is no longer lethal to
the plant.
Trends in adoption of HRCs
The first use of herbicide resistant crop was in 1994 with the
introduction of IMI (Imidazolinone resistant) corn hybrids and STS
(Sulfonylurea tolerant) soybean varieties. Resistant genes for several
other herbicides or herbicide modes of action have been incorporated
in to the genetics of corn, cotton, canola and soybean and are now
commercially available. These include glyphosate (Roundup Ready)
resistant soybean and corn, glufosinate (Liberty Link) resistant corn
and soybean, Bromoxinyl (BXN) resistant cotton, imidazolinone
(Clearfield) resistant canola and sethoxydim (Post) resistant corn.
During the last nine years (1996 to 2004), global adoption rates for
transgenic crops have been unprecedented and reflect grower
satisfaction with the products that offer significant benefits ranging
from more convenient and flexible crop management, higher
productivity or net returns/hectare, and a safer environment through
decreased use of conventional pesticides, which collectively
contribute to a more sustainable agriculture. The global area of
transgenic crops has increased by 47-fold, from 1.7 million hectares
in 1996 to 81.0 million hectares in 2004. Of which, 72% (58.6 m.
ha) were tolerant to specific herbicide, 19% (15.6 m. ha) were
resistant to selected insect damage and 9% (6.8 m. ha) were both
herbicide tolerant and insect resistant (James, 2004). Out of the
total area under GM crops during 2004, USA, planted 59% of the
total area (47.6 m ha) followed by Argentina (16.2 m. ha), Canada
(5.4 m. ha), Brazil (5.0 m. ha) and China (3.7 m ha). In 2001, farmers
planted biotechnology derived seed on 46% of global soybean
428
acres, 7% of global corn acres and 20% of global cotton acres. To
date, nearly all the planted biotechnology-derived crops have
introduced tolerance to selected herbicides for weed control or have
introduced protection against pest insects.
Fig 1. Global area of transgenic crops, 1996 to 2004

Herbicide tolerant soybean was the most dominant transgenic
crop grown commercially in nine countries in 2004; listed in order of
hectarage, the countries were the USA, Argentina, Brazil, Paraguay,
Canada, Uruguay, Romania, South Africa and Mexico. Globally
herbicide tolerant soybean occupied 48.4 million hectares,
representing 60% of the global transgenic crop area of 81.0 million
hectares for all crops. The details of dominant biotech crops are
given in Table 2.
Table 2. Global area and % adoption of dominant transgenic crops and
traits, 2004 (Manjunath, 2005)
Crops HT IR HT+ Total Global Biotech area

IR transge area of as % of
nic area the crop global area
(m ha) (m ha)
Soybean 48.4 - - 48.4 86 56

Corn 4.3 11.2 3.8 19.3 32 28
Cotton 1.5 4.5 3.0 9.0 23 19
Canola 4.3 - - 4.3 143 14
Total,m ha 58.5 15.7 6.8 81.0 284 29
Trait % 72.0 19.5 8.5 100.0
(HT= Herbicide tolerant; IR= Insect resistant)
429
Benefits of HRCs
l New strategies and increased flexibility to manage problem
weeds.
l Multiple use of herbicides will be prevented.
l Less use of prophylactic soil-applied herbicides.
l Reduced total herbicide usage.
l Use of more environmentally benign herbicides.
l Greater adoption of conservation tillage.
l More practical use of economic thresholds in treatment
decisions.
l Lack of herbicide carryover problems.
l An increased margin of safety with which herbicides can
be used and subsequent reductions in crop loss due to
herbicide injury.
l Reduced risk of crop damage from residual herbicides
used in previous rotational crops.
Concerns
l Potential for increased use of herbicides.
l Abandonment of alternative weed control practices other
than herbicides.
l Concern that HRCs may become weed problems or
resistance may be transferred (through gene flow) to other
species.
l Accelerated selection of resistant weed populations from
use of higher rates of herbicides.
l Misuse of herbicides, leading to ground water
contamination or other environmental problems.
l General public concern about the release of genetically
engineered organisms in to the environment.
Potential risks from widespread use of HRCs
Direct effects
l Changes in the genetic diversity of crops (gene pollution)
l Increased HR volunteer crop problems
l Invasion of the HRCs beyond the farm boundary
430
Escape of transgenes from HRCs
l Introgression to weedy relatives and amplification effects
of existing weeds
l Modification of gene pools of crop progenitors in center of
origin and diversity
Indirect effect (associated with application of the hebicide)
l Non-selective herbicides wipe out all vegetation except
the HRCs
l Impacts on diversity of flora, fauna, microclimate, food
chain, wild life etc.
l Development of herbicide resistance in weeds
l Shift in weed flora
l Spray drift reaching non-HR crops grown near by
Problem of volunteer crops
It is believed that long-term use of HRCs, particularly in
continuous monocultures, may create crop volunteers that are
difficult to control. This has been a major concern in European
countries where volunteers of conventionally bred crops are already
causing significant control problems (Marshall 1998). Volunteers
will be a particular concern with crops like rice, soybean, and mustard
that establish readily from seeds lost during harvest. Careful
consideration will therefore be needed before multiple herbicide
resistance genes are stacked in the same cultivar.
Development of Super weeds
It is understood that crops and related wild or weedy plants
can and will exchange genes through pollen transfer, if provided
with the opportunity, and have been doing so ever since there have
been crops and weeds (Harlan, 1982). The identification of
spontaneous hybrid forms in a number of crop-weed complexes is
well established, including between johnsongrass (Sorghum
halepense) and sorghum and between wild and cultivated sunflower
(Arias and Riesberg, 1994; Arriola and Ellstrand 1996). In India,
wild relative of soybean and corn does not exist, as this country is
not the center of origin of these crops. Therefore, introducing
HR-soybean and corn in India are risk free. However, introducing
HR-rice and mustard may be risk-prone as large number of wild
relatives like wild rice in rice and wild mustard and many species of
Brassica exists in our country. Hybridization between cultivated
rice and red rice is common and has the potential to increase the
adaptability of red rice populations (Langevin et al., 1990).
431
Endangering biodiversity
It is feared that large scale use of HRCs along with use of non-
selective herbicides greatly imparts biodiversity. This may be true
in case of the countries like USA, where single crop is grown on a
larger area and use of non-selective herbicide would kill all other
vegetation except the crop. But practically, despite use of HRCs
on a large scale for over 8 years no detrimental effect to biodiversity
has been noticed in the USA. However, in India, there is a great
diversity and variability in land holding and crop choice; therefore,
it is unlikely that biodiversity would be affected significantly. On
the contrary the scientists from Brooms Bran Research Station
(UK) showed that creative use of GM crops has in fact enriched the
biodiversity. Use of HRCs facilitates the adoption of conservation
tillage where in soil microbes, earthworms, beneficial insects and
bird populations are maintained. GM sugarbeet has recorded a
significant increase in spiders, beetles and other insects that provide
important food for the nestlings of skylarks, lapwings and partridges.
Social implications
Safety of GM foods to human beings and animals has been a
critical issue. A large amount of data is available today which provide
a clean chit to GM food. The arguments against GM food have
been largely unscientific and on assumed risks rather than real
risks. In India the HRCs are not yet been introduced commercially.
A section of the people claim that HRCs are not suited or relevant
to India. They fear that HRCs replace labour and deny rural women
the livelihood as most of the weeding is done by them. This argument
is difficult to buy. In the same vein are we talking about banning
use of herbicides and agricultural machinery as they also displace
labour. In the urban scenario, does this mean we need to ban use
of computers in offices and modern gadgets in the kitchen and the
washing machine as they do deprive thousands of men and women
their livelihood. They forget the fact that manual weeding is laborious,
time consuming and drudgery causing. Herbicide provides timely,
effective and economical weed control. It provides opportunity to
divert labour to take up more productive agricultural enterprises. In
WTO regime, it is necessary to reduce the cost of production to
compete in International market.
CONCLUSIONS
l The overwhelming adoption of HRCs is primarily due to
easy, efficient and often economical control of weeds.
432
l The movement of HR trait to weed population is a critical
issue. Large-scale release of GM crops should be done
with great care in regions where genetically compatible
wild relatives and weeds exist.
l Long-term impact of HRCs on biodiversity and environment
is yet to be fully understood.
l Contamination of non-GM food with GM food in a significant
economic and political issue.
l Scientific assessment of relative risks and benefits is
needed.
l There is a need for an immediate policy decision on HRCs
in India.
l Unscientific and rhetoric arguments against HRCs be
opposed.
l Much of the opposition is based on the fear of replacement
of labour, which is totally unrelated.
l Go by the belief that every problem has a solution.
REFERENCES
Arias, D.M. and Riesberg, L.H. 1994. Gene flow between cultivated and wild
sunflower. Theor. Appl. Genet. 89:655-660.
Arriola, P.E. and Ellstrand, N.C. 1996. Crop to weed gene flow in the genus Sorghum
(Poaceae): spontaneous interspecific hybridization between johnsongrass
(Sorghum halepense) and crop Sorghum (S. bicolor). Am. J. Bot. 83:1.153.
Duke, S.O.1996. Herbicide Resistant Crops: Agricultural, Environmental, Economic,
Regulatory and Technical aspects. CRC, LEWIS Publisher.
Harlan, J.R. 1982. Relationship between crops and weeds. Madison, WI: American
Society of Agronomy, 295 p.
James, C. 2004. Global status of commercialized Biotech/GM crops: 2004-PREVIEW,
No. 32. ISAAA: Ithaca, NY.
Langevin, S.A., Clay, K. and Grace, J.B. 1990. The incidence and effects of
hybridization between cultivated rice and its related weed red rice.
Evolution 44: 1,000-1,008.
Manjunath, T.M. 2005. A decade of commercialized transgenic crops-analyses of
their global adoption, safety and benefits. The sixth Dr. S. Pradhan
Memorial Lecture delivered at IARI, New Deldi on 23 March 2005.
Marshall, G.M. 1998. Herbicide resistant crops-real farmer opportunity or potential
environmental problem? Pestic. Sci. 52:394-402.
Reddy, K.N. 2001. Glyphosate resistant soybean as a weed management tool:
Opportunities and challenges. Weed Biology and Management 1: 193-
202.
Sharma, Vijay P. and Sharma, Pritee 1999. Pesticide use in Indian agriculture:
Some issues and Constraints in its growth. Pestology Special IssueXXIII
(2): 242-252.
433
Enhancing Food Safety: Prevention of Preharvest
Aflatoxin Contamination
Kanniah Rajasekaran*, Deepak Bhatnagar,
Robert Brown, Zhi-Yuan Chen 1 , Jeffrey W. Cary
and Thomas E. Cleveland
U. S. Department of Agriculture, Agricultural Research Service,
Southern Regional Research Center, New Orleans, Louisiana 70124,
and 1 Department of Plant Pathology, Louisiana State University, Baton
Rouge, LA USA*Corresponding Author:K. Rajasekaran, Ph.D. Re-
search Biologist Food and Feed Safety Research Unit USDA/ARS/
SRRC 1100 Robert E Lee Boulevard New Orleans,
Louisiana 70124 USA Phone: (504) 286-448
Fax: (504) 286 [email protected]
INTRODUCTION
Aflatoxin contamination is an international food safety problem
causing enormous economic losses in several crops, including corn,
cotton seed, peanut, and tree nuts. Aflatoxins frequently contaminate
agricultural commodities and thus pose serious health hazards to
both humans and domestic animals (CAST 2003; Diener et al., 1987;
Cleveland et al., 1997,Chen et al., 2002, 2005). More than 50
countries have established or proposed regulations for controlling
aflatoxins in foods and feeds, and at least 15 have regulations for
levels of other mycotoxins (Haumann 1995). The U.S. Food and
Drug Administration has set limits of 20 ppb total aflatoxins for
interstate commerce of food and feed, and 0.05 ppb of aflatoxin B1
(Figure 1) for sale of milk. The most practical solution to this problem
would be to prevent the contamination process in crops before
harvest. One of the easiest technologies to implement by growers
would be to utilize crop germplasm that possess greatly enhanced
resistance to aflatoxin contamination. A major goal of the research
project in our labs is to elucidate the complex natural resistance
mechanisms in crops such as corn, peanut and cotton. Understanding
the molecular basis of seed-based resistances will lead to
identification of biochemical factors correlated with resistance for
use in marker-assisted breeding and/or when pertinent resistance
genes are identified and cloned, for use in enhancement of resistance
in crops through genetic engineering. This strategy is especially
pertinent to cotton seed, which does not possess practical levels of
natural resistance to aflatoxin producing fungi in its germplasm base.
Another goal is to assess resistance-related biochemical products
434
for their stability of expression in native and transgenic crops under
environmental conditions (e.g., drought) known to be conducive to
aflatoxin contamination.
Figure 1. Chemical Structure of Aflatoxin B1

Aspergillus flavus and A. parasiticus, that produce aflatoxin in
several crop species including cotton, peanuts, tree nuts and corn,
are not true plant pathogens but opportunistic, saprophytic fungi.
Plant defense mechanisms against phytopathogens are not specific
to these saprophytic fungi. At present, disease management in crop
fields is practiced solely through adaptation of suitable cultural
practices such as rotation, use of quality seed and fungicides and
altering the time of planting (Chen et al., 2005). Breeding for disease-
resistant crops, especially perennial crops, is very time consuming
and does not lend itself ready to combat the evolution of new virulent
fungal races. The steady unraveling of complex interactions between
fungal pathogens such as Aspergilli and host plants has already
paved the way for production of disease resistant crop plants
(Cornelissen and Melchers 1993, Bent 1996, Shah 1997, Mourgues
et al., 1998).
Transgenic approaches are being undertaken in several industry
and academic laboratories to prevent invasion by Aspergillus fungi
or to prevent biosynthesis of aflatoxin. We summarize here the recent
trends in reducing aflatoxin contamination in cultivated crop species
by use of natural inhibitors, biocompetitive agents, and
biotechnology.
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USE OF NATURAL PRODUCT INHIBITORS
There are several plant-derived, natural product inhibitors of
aflatoxin synthesis and this subject has been reviewed extensively
(Zaika and Buchanan 1987). Inhibitors with unknown mechanisms
of action have been discovered (Zeringue and McCormick 1989;
Bhatnagar and McCormick, 1988) that could be subject to utilization
through direct application to crops in the field. Examples of natural
products that may have potential in augmenting host plant resistance
against A. flavus infection are certain plant derived volatile
compounds (Zeringue, 1992). Earlier research efforts in this as well
as other labs have shown that certain neem leaf (Bhatnagar and
McCormick 1988), cotton leaf-like (Zeringue and McCormick 1990),
and corn-leaf (Wilson et al., 1981) volatiles can alterAspergillus growth
and consequently, aflatoxin production. In some cases, growth was
not significantly affected while aflatoxin biosynthesis was markedly
inhibited (Zeringue and McCormick, 1990), whereas in others growth
and toxin production were enhanced.Furthermore, some of these
compounds also demonstrated the capability to affect the organisms
capacity to convert aflatoxin precursors to aflatoxins (Zeringue and
Bhatnagar . 1990). The earlier studies, while measuring the effects
on fungal growth and aflatoxin production, did not examine the effect
of these volatile compounds on fungal development. This
characterization is significant in light of earlier observations of Wilson
et al., (1981) and Kale et al., (1996) on effects of volatiles on fungal
development suggesting that there may be common regulatory
elements governing both aflatoxin synthesis and conidiogenesis. In
the studies by Greene-McDowelle et al., (1999) and Wright et al.,
(2000), the mode of action of cotton leaf volatiles on morphological
changes that are correlated with effects on fungal growth or aflatoxin
production was examined. For this purpose, two alcohols (3- methyl-
1-butanol and 1-nonanol) and two terpenes (limonene and camphene)
were selected for the study from a list of almost 50 volatiles identified
from cotton-leaf (Zeringue and McCormick, 1990); the selected
compounds exhibited significant inhibitory effects on either fungal
growth or aflatoxin production. This effort was designed as a prelude
to better understand fungus (A. parasiticus)/cotton plant interactions
to elucidate mechanisms that could ultimately lead to the ability to
enhance resistance of cotton to fungal invasion by affecting fungal
development. Naturally derived aflatoxin inhibitors obtained from the
neem tree, Azadirachta indica A. Juss., have also been investigated
in our laboratory (Zeringue and Bhatnagar, 1996). Our investigation
examined the effects of extracts of various neem tree components
on aflatoxin biosynthesis by either A. parasiticus or A. flavus.
436
The leaf extract formulations (1 to 40%,v/v), prepared by blending
100 g of leaves in one litre of water, when added to fungal growth
medium prior to inoculation did not affect fungal growth but essentially
blocked aflatoxin biosynthesis in both A. flavus (100%) and
A. parasiticus (>95%) at concentrations greater than 10 per cent (v/
v). Neem seed aqueous extracts were not as effective as the leaf
extracts, whereas neem oil had no effect. Injection of the neem leaf
extract followed by an A. flavus spore suspension (48 hours later)
into the pericarp of developing cotton bolls (30-day post-anthesis)
did not affect fungal growth in the bolls, but the seeds from the
locules exhibited > 98 per cent reduction in aflatoxin production. In
vitro studies with the fungi suggest that non-volatile neem leaf
constituents inhibit aflatoxin biosynthesis in the early stages of the
biosynthesis pathway. The neem-mediated inhibition appears to
involve regulation of secondary metabolism; because once secondary
biosynthesis was initiated the inhibitory effect of the neem leaf
constituents was lost. If the inhibitory factor in neem leaf extracts
could be effective in field studies, these extracts could be used in
controlling the preharvest aflatoxin contamination of food and feed
commodities. Such a control measure is, however, best conducted
in regions of the world where the supply of fresh neem leaves is
adequate.
THE USE OF BIOCOMPETITIVE AGENTS
Microorganisms have often been suggested as agent of control
for aflatoxin contamination.The best biocompetitive agent to control
A. flavus in the field would be non-toxigenic strains of A. flavus
(Bayman and Cotty 1993; Cotty 1997; Horn and Greene 1995).
A. flavus does not need to produce aflatoxins as a precondition to
infect crops and there appears to be no relationship between the
production of high levels of aflatoxins and strain virulence (Cotty
1990). The advantage that non-toxigenic strains of A. flavus would
have over other potential microbial biocompetitive agents is that
non-toxigenic strains are adapted to similar environmental conditions
as toxigenic strains, and would be biologically active at the same
time (Cotty et al., ,1994). In greenhouse and field experiments, where
developing cotton bolls or developing corn ears were wounded and
then inoculated with different combinations of toxigenic and non-
toxigenic strains, the non-toxigenic strains reduced preharvest
aflatoxin contamination by 80-90% (Cotty and Bayman 1993; Cotty
1994). Very significant levels of reduction in aflatoxins were also
obtained in peanut when a non-aflatoxin-producing strain of A.
parasiticus was added to the soil in peanut plots (Dorner et al.,
,1992, 1999). Similarly, significant reductions in aflatoxin
contamination were also obtained when non-toxigenic strains of A.
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flavus inhabiting wheat kernels as a substrate were applied to cotton
rows in Arizona cotton growing areas with a high incidence of aflatoxin
contamination (Bock and Cotty 1999b; Antilla and Cotty 2003). The
ability of non-toxigenic strains to interfere with aflatoxin contamination
of various crops may, thus, have real practical value.
A. flavus fungi usually become associated with crops in the
field during crop development and remain as such during harvest,
storage, and processing. Thus, applying non-toxigenic strains into
agricultural fields prior to crop development may provide post harvest
protection from contamination as well. Non-toxigenic strains applied
both prior to harvest and after harvest have been shown to provide
protection from aflatoxin contamination of corn, even when toxigenic
strains are associated with the crop prior to application.
Biocompetitive strains used in the above-mentioned
experiments were native strains;however, the potential exists for
the development of biocontrol strains through genetic engineering.
Several genes governing aflatoxin biosynthesis have been cloned
and have been utilized in gene disruption procedures to introduce
precision deletion mutations into the fungal organism. There are
probably several fungal factors that determine the ability of an A.
flavus strains to compete in the ecological system (in the soil, plant,
organic debris, etc.). Engineered strains could also be constructed
with supplemented traits to optimize infection site occupation and
competitiveness, while minimizing host tissue disruption.
Aflatoxin biosynthesis involves at least 23 enzymatic reactions
(for a review see Yu et al., 2004a); advances in the molecular biology
of the genus Aspergillus have led to the characterization of several
of the genes encoding the enzymes and to identification of aflatoxin-
biosynthetic gene clusters in A. flavus and A. parasiticus (Figure 2)
The uniqueness of aflatoxin biosynthesis is that a polyketide synthase
and two fatty acid synthases are required for the formation of the
initial anthraquinone and the C-6 side chain, respectively. Subsequent
steps in the transformation include reduction, oxidative
rearrangement, and anthraquinone ring modification (Bhatnagar
et al., 1992; Payne and Brown 1998; Minto and Townsend 1997).
A positive regulator, aflR, of the aflatoxin pathway is also located on
the 70 kb gene cluster (Yu et al., 2004a).
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Figure 2. The 70 kb aflatoxin biosynthetic pathway gene cluster
(for details refer to Yu et al., 2004a)
Studies on economically important fungi at the genomic scale
are an innovative strategy to unravel the mystery of mycotoxin
biosynthesis and also to help better understand the biology, evolution,
biochemical function, and genetic regulation of the genes in fungal
systems (Yu et al., 2004b). Expressed Sequence Tag (EST)
technology has allowed rapid identification of the majority, if not all,
of the genes expressed in fungal genomes and has lead to a better
understanding of function, gene regulation, coordination of gene
expression in response to internal and external factors, the
relationship between primary and secondary metabolism, plant-fungal
interaction and fungal pathogenicity as well as evolutionary biology
(Yu et al., 2004c). A microarray, made from the EST sequences,
can be used to detect a whole set of genes expressed under specific
environmental conditions.This technology allows us to study,
simultaneously, a complete set of fungal genes that are responsible
for or related to mycotoxin production (OBrian et al., 2003; Pirttilä
et al., 2004; Price et al., 2005). The genomics of toxigenic fungi are
expected to provide valuable information on turning on or off of toxin
production in fungal systems. It will provide vital clues for identifying
antifungal gene(s), eliminating pre-harvest mycotoxin contamination
of crops, improving high efficiency production of industrial enzymes
and accelerating drug development in the near future.
SCREENING FOR RESISTANCE THROUGH TRADITIONAL BREEDING
Corn
Screening corn for resistance to kernel infection by A. flavus or
for resistance to aflatoxin production is a more difficult task than
most disease screening. Successful screening in the past had been
hindered (King and Wallin 1983) by the lack of 1) a resistant control;
2) inoculation methods that yield infection/aflatoxin levels high
enough to differentiate among genotypes (natural infection is
undependable); 3) repeatability across different locations and years;
and, 4) rapid and inexpensive methods for assessment of fungal
infection and aflatoxin levels.
439
Several inoculation methods, including the pinbar inoculation
technique (for inoculating kernels through husks), the silk inoculation
technique, and infesting corn ears with insect larvae infected with
A. flavus conidia have been tried with varying degrees of success
(King and Scott 1982; Turcker et al., 1986). These methods can
each be useful individually.However, clarity must exist as to the
actual resistance trait to be measured (e.g. husk tightness; silk
traits; the kernel pericarp barrier; wounded kernel resistance), before
an appropriate technique can be employed. Silk inoculation, however,
(possibly more dependent upon the plants physiological stage and/
or environmental conditions) has proven to be the most inconsistent
of the inoculation methods (Payne 1992).
Plating kernels to determine the frequency of kernel infection
or examining kernels for emission of a bright greenish-yellow
fluorescence (BGYF) are methods that have been used for assessing
A. flavus infection (King and Wallin 1983). While both methods can
indicate the presence of A. flavus in seed, neither can provide the
kind of accurate quantitative or tissue-localization data useful for
effective resistance breeding. Protocols have, however, been
developed and used for separation and relatively accurate quantitation
of aflatoxin (Shotwell 1983; Wilson et al., 1998).
Most efforts aimed at the identification of resistant corn
genotypes, until recently, were successful only to a very limited
extent (Widstrom 1987). The hindrances to resistance screening,
discussed above, certainly played key roles in this lack of success
(Scott and Zummo 1988). However, two resistant inbreds (Mp420
and Mp313E) were discovered and tested in field trials at different
locations and released as sources of resistant germplasm (Scott
and Zummo 1988; Windham and Williams 1998). The pinbar
inoculation technique was one of the methods employed in the initial
trials, and contributed towards the separation of resistant from
susceptible lines (Scott and Zummo 988). Several other inbreds,
demonstrating resistance to aflatoxin contamination in Illinois fields
trials (employing a modified pinbar technique) also were discovered
(Campbell and White 1995). The most promising sources of resistance
among these appear to be Tex6, C12, OH516,M182, and LB31 (White
et al., 1999). Another source of resistance germplasm is the corn
breeding population, GT-MAS:gk. This population was derived from
440
visibly classified segregating kernels, obtained from a single fungus
infected hybrid ear (Widstrom 1987). It tested resistant in trials
conducted over a five year period, where a kernel knife
inoculationtechnique was employed. Recently, a resistant inbred was
released after successful field trials in Mississippi (Williams et al.,
1999b).
Discoveries of resistant germplasm may have been facilitated
by the use of inoculation techniques capable of repeatedly providing
high infection/aflatoxin levels for genotype separation to occur. The
identified resistant corn lines do not generally possess commercially
acceptable agronomic traits. However, they may be invaluable
sources of resistance genes, and as such, provide a basis for the
rapid development of host resistance strategies to eliminate aflatoxin
contamination.
Other sources of corn germplasm with greater tolerance for high
temperatures and humidity have been successfully tested for
resistance to aflatoxin production in South Texas (Dunlap 1995).
These tropical hybrids all developed tight husks. Also, kernels were
shown to resist aflatoxin contamination unless kernel pericarps were
breached. These heat tolerant tropical hybrids may offer new choices
for producers operating in the southern portion of the United States
where aflatoxin contamination is an ongoing problem.
Peanut
Several sources of resistant peanut germplasm have been
identified from a core collection representing the entire peanut
germplasm collection (Holbrook et al., 1995). Over 95% of this core
collection has been preliminarily screened in a single environment;
and sixteen genotypes tested over three years in two environments
still display low levels of aflatoxin.
A possible link between low linoleic acid content in peanut and
low preharvest aflatoxin production has been indicated (Holbrook
et al., 1995). Significant correlations have also been observed
between leaf temperature and aflatoxin levels and/or visual stress
ratings and aflatoxin levels. The preliminary screening of peanut
genotypes using either or both of these traits could greatly reduce
expenses involved in developing resistant cultivars. Promising
441
germplasm, however, has less than acceptable agronomic
characteristics, and is thus being hybridized with those with
commercially acceptable features. Resistant lines are also being
crossed to pool resistances to aflatoxin production. Thus, some
success has been achieved in identifying resistant peanut
germplasm, and field studies are being conducted by various
researchers to verify this trait.
Methods to improve screening of peanuts for resistance to
A. flavus have been developed. A system of evaluating peanuts in
the field through the manipulation of drought stress was successfully
tested (Mehan et al., ,1988). Also, an in vitro seed culture system,
demonstrating water stress responses in peanuts similar to field
responses, and variations in peanut phytoalexins and aflatoxin levels
appear potentially useful (Basha et al., ,1994).
Tree Nuts
Among tree nuts, strategies for controlling preharvest aflatoxin
formation by breeding for host resistance have been mostly studied
in almonds (Gradziel et al., 1995). The approach employed in this
effort is to integrate multiple genetic mechanisms for control of
Aspergillus spp. as well as Navel orangeworm (Paramyelois
transitella Walk), which appears important for initial fungal infection.
Resistance to fungal colonization has been shown to be present in
the undamaged seed coat of several advanced breeding selections
and is further being pursued through breeding/genetic engineering of
resistance to A. flavus in kernel tissue and also by developing
genotypes that produce low amounts of aflatoxin following fungal
infections (Gradziel and Dandekar 1999). Studies have also been
conducted with figs and pistachios to identify the mode of infection
of the crops by A. flavus. McGranahan et al., (1999) reported that
evaluation of 26 walnut cultivars, representing a range of germplasm
at USDA, WRRC, has resulted in identification of one variety, Tulare,
for its consistent low aflatoxin content, possibly due to its intact
seed coat. The value of the intact seed coat in preventing aflatoxin
problem was also considered as one of the factors in the low aflatoxin
producing variety, Tulare. This variety has been utilized in several
crosses with high aflatoxin producing varieties such as Hartley. Upon
further analyses, it has been well established by Mahoney and
442
Mullineux (2004) that precursor(s) of hydrolysable tannins (HT), gallic
acid, within the pellicle tissues are responsible for tolerance to
A. flavus infection in Tulare. Identification of natural sources of
resistance to aflatoxin synthesis has helped researchers to evaluate
genetics of the trait and to identify genetic component. Once these
parameters are clearly understood, strategies could be developed
to identify germplasm with agronomically desirable characteristics
and resistance to fungal infection(Doster et al., 1995).
Cotton
Cultivated cottons belong to the following four species .The
diploid Gossypium arboreum and G. herbaceum, often referred to
as old world cottons and the tetraploid Gossypium hirsutum and
G. barbadense. Systematic study of all cotton genotypes to identify
lines resistant to Aspergillus has not been done so far and there is
no known resistant line among cultivated cotton. Thus, genetic
engineering offers a novel means of introducing the resistance trait
into cultivated species.
DEVELOPMENT OF TESTER STRAINS AND METHODS TO
ASSESS RESISTANCE TO ASPERGILLUS
Many aspects of regulation of fungal aflatoxin biosynthesis as
well as fungal-plant interactions have been examined through the
use of fungal strains that have been transformed with reporter gene
constructs (reviewed in Cary et al., 2000c; Brown et al., 1995; Du
et al., 1999). Reporter genes utilized include the E. coli uidA (â -
glucuronidase; GUS) gene and the green fluorescent protein (GFP)
from the jellyfish, Aequorea victoria. With either reporter gene, in
vivo expression can be measured qualitatively using a rapid
calorimetric assay (GUS) or by fluorescent microscopy (GFP), or
quantitatively using fluorometry. Advantages in using GFP-based
reporter systems over GUS-based include no destruction of the
biological sample, no requirement for added substrates or cofactors
for fluorescence measurements, and real-time observation of tissue
colonization by the fungus. A number of studies have utilized
A. flavus and A. parasiticus transformed with vectors harboring
aflatoxin pathway gene promoter elements driving the expression of
GUS to examine regulation of aflatoxin pathway gene expression
(Flaherty et al., 1995; Liang et al., 1997; Payne, 1999) and promoter
function (Ehrlich et al., 1999; Cary et al., 2000b).Placement of the
GUS gene under the control of the A. parasiticus aflatoxin biosynthetic
gene ver-1A promoter showed that GUS activity paralleled AFB1
443
accumulation suggesting that the rate of transcription plays a role in
determining AFB1 production (Liang et al., 1997).These experiments
also demonstrated that integration of the ver-1A::GUS DNA at the
niaD (selectable marker gene) locus resulted in 500-fold lower GUS
activity than if the DNA integrated adjacent to the ver-1A region in
the aflatoxin gene cluster. This indicated that local chromatin structure
may play a role in determining the level of gene expression in this
organism. In an effort to determine if the aflJ gene is involved in the
regulation of transcription in A. flavus, an atoxigenic strain of
A. flavus (due to deletion of the entire AF gene cluster) constitutively
expressing aflR and/or aflJ was transformed with either omtA::GUS
or ver-1::GUS plasmid DNA (Payne, 1999). Results showed that
aflR was required for expression of GUS activity and that the
presence of aflJ did not increase levels of transcription of either of
the GUS constructs. Regions of DNA within the promoter elements
of the A. parasiticus aflR gene Ehrlich et al., 1999) and avnA gene
(Cary et al., 2000b) that are required for or modulate aflatoxin gene
expression were determined in part through the use of truncated
versions of the respective promoters fused with the GUS gene.
Both housekeeping and aflatoxin pathway gene promoters
driving the expression of GUS and GFP have been used as a means
of following the invasion of aflatoxigenic fungi in plants, identification
of resistant verses susceptible germplasm, and the identification of
plant metabolites that inhibit fungal growth and/or production of
aflatoxin (Brown et al., 1995; Du et al., 1999; Rajasekaran et al.,
1999a; Cary et al., 2000d). Inoculation of intact or pin wounded corn
kernels with an A. flavus strain expressing GUS fused to the
A. flavus â -tubulin gene promoter (for constitutive expression) was
used to observe fungal colonization of seed tissue as well as to
determine levels of resistance of seed varieties to fungal invasion
(Brown et al., 1995; 1997a). Results showed that the fungus first
invaded the embryonic tissue and then colonized the endosperm. A
direct correlation between GUS activity (fungal colonization) and
aflatoxin production was observed with reported susceptible
genotypes demonstrating more GUS staining than reported resistant
genotypes. A similar study utilized cytomegalovirus promoter fused
to GFP to monitor fungal colonization of both resistant and
susceptible lines of corn kernels (Du et al., 1999). In addition, GFP
was also translationally fused with the A. flavus aflR promoter-ORF.
In both cases, more fluorescence was observed over the cut surface
of the kernels of reported susceptible genotypes compared to
resistant genotypes. These types of studies have also been performed
in the field using pinbar wounded ears of resistant or susceptible
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corn hybrids inoculated with a â -tubulin::GUS A. flavus strain
(Windham et al., 1998;1999). Results mimicked in vitro corn kernel
assays with GUS activity observed almost exclusivelyin the embryo
of the kernel and in the vascular tissue in the rachis and rachilla
regions of the cob. GUS activity was observed more often and at
higher levels in reported susceptible varieties. An A. flavus strain
transformed with GFP fused to an A. nidulans glyceraldehyde
phosphate dehydrogenase (gpdA) gene promoter was used to study
the progress of A.flavus infection of peanut pods (Ingram et al.,
1999). Fluorescence was greater underconditions of low rather than
high water availability for both drought susceptible and resistant
peanut varieties. The A. flavus gpd::GFP strain (Figure 3) was also
used to look at levels and localization of infection of cottonseed
inoculated with the fungal reporter strain (Rajasekaran et al., 1999a;
Cary et al., 2000d). GUS reporter systems have also been used in
an effort to identify compounds from plants and other organisms
that either induce or inhibit the growth of A. flavus and toxin production.
Flaherty et al., (1995) using a ver-1:: GUS A. flavus transformant
identified a heat stabile inducer of aflatoxin in extracts of maize
kernels colonized by A. flavus. An inhibitor of fungal growth was
detected in extracts of black pepper by measuring expression of
GUS activity in an A. flavus strain transformed with a nor-1::GUS
construct (Velasquez et al., 1998).
Figure 3. A) Light micrograph of a locule from an immature

cotton boll showing growth of A. flavus GFP strain at the inoculated
site (2.5x). B) Fluorescence of conidia and mycelium of A. flavus
GFP at 485 nm(5x). Measurement of fluorescence due to A. flavus
GFP strain is proportional to fungal growth and colonization
(Rajasekaran, unpublished).
445
IMPROVED METHODS TO ASSESS RESISTANCE TO ASPERGILLUS
New Screening Methods. A laboratory kernel screening assay
(KSA; Figure 4) was developed and used to study resistance to
aflatoxin production in GT-MAS:gk kernels (Brown et al., 1993). This
assay employs a very simple and inexpensive apparatus such as
bioassay trays, petri dishes, vial caps as seed containers, and
chromatography paper for holding moisture (Brown et al., 1995).
Kernels screened by the KSA are maintained in 100% humidity, at a
temperature (310 C) favoring A. flavus growth and aflatoxin production,
and are usually incubated for up to seven days. Aflatoxin data from
KSA experiments can be obtained two weeks after experiments are
initiated. KSA experiments confirmed GT-MAS: gk resistance to
aflatoxin production and demonstrated that it is maintained even
when the pericarp barrier, in otherwise viable kernels, is breached
(Brown et al., 1993). Penetration through the pericarp barrier was
achieved by wounding the kernel with a hypodermic needle down to
the endosperm, prior to inoculation. Wounding facilitates differentiation
between different resistance mechanisms in operation, and the
manipulation of aflatoxin levels in kernels for comparison with other
traits (e.g. fungal growth; protein induction). The results of this study
indicate the presence of two levels of resistance - at the pericarp
and at the subpericarp level. The former was supported by KSA
studies which demonstrated a role for pericarp waxes in kernel
resistance (Guo et al 1995; 1996a), and highlighted quantitative and
qualitative differences in pericarp between GT-MAS:gk and
susceptible genotypes (Russin et al., 1997). Current investigations
will identify specific chemical compounds associated with pericarp
resistance (Gembeh et al., 2000).
The KSA also confirmed sources of resistance among the
inbreds tested in Illinois field trials (Brown et al., 1995; Campbell
and White 1995). Subsequently, when selected resistant Illinois
inbreds (M182, C12, and T115) were examined by the KSA, modified
to include an A. flavus GUS transformant (a strain genetically
engineered with GUS gene driven by a â -tubulin gene promoter for
monitoring fungal growth), kernel resistance to fungal infection in
non-wounded and wounded kernels was demonstrated both visually
and quantitatively, as was a positive relationship between the degree
of fungal infection and aflatoxin levels (Brown et al., 1995; 1997b).
Thus, it is now possible to accurately assess fungal infection levels
and to determine if a correlation exists between infection and aflatoxin
levels in the same kernels. A. flavus GUS transformants with the
reporter gene linked to an aflatoxin biosynthetic pathway gene could
also provide a quick and economical way to indirectly measure
aflatoxin levels (Payne 1997).
446
Figure 4. Kernel Screening Assay with A. flavus expressing GUS - Blue
color indicates presence of fungalinfection of corn kernels seed
(A). Resistant kernels do not develop blue color (B)
GUS transformants have also been used to localize and

compare fungal growth and aflatoxin biosynthesis between resistant
and susceptible corn cobs in field trials, contributing to a better
understanding of the infection process, fungal spread, and sites of
aflatoxin biosynthesis (Windham et al.,1999). A. flavus transformants
expressing GFP reporter gene constructs can be used to obtain
similar results as GUS transformants, and have some advantages
over GUS. GFP is less expensive, less labor-intensive, and it can
be monitored in living systems (Brown et al., 1997b; Payne 1997).
The kernel screening assay has several advantages to
complement traditional breeding techniques (Brown et al., 1995): 1)
can be performed and repeated several times throughout the year
and outside of the growing season; 2) requires few kernels; 3) can
detect/identify different kernel resistance mechanisms expressed;
4) can dispute or confirm field evaluations (e.g. identify escapes);
and, 5) demonstrate relationships between laboratory findings and
inoculations in the field. Field trials are irreplaceable for confirmation
of resistance; however, the KSA may eliminate many preliminary
field screenings, and facilitate an in-depth investigation of kernel
responses to fungal infection and aflatoxin production.
Molecular genetic strategies. Several of the resistant Illinois
inbreds have been incorporated into a breeding program whose major
objective is to improve elite mid western corn lines such as B73 and
Mol 7. In this program, a generation means analysis mating design
was employed to determine the inheritance of resistance of inbreds
in crosses with B73 and/or Mol 7 (White et al., 1995a). In the case
of several highly resistant inbreds, Tex 6, LB31, C12, and Oh513,
447
genetic dominance was indicated. This study demonstrates that
selection for resistance to Aspergillus ear rot and aflatoxin production
should be effective.Also, the frequency distribution of ear rot ratings
and aflatoxin production of F3 families and of backcrosses to the
susceptible self families of Mol 7 x Tex 6 and B73 x LB31 point to
the possibility of success in the development of resistant inbreds
for use in breeding commercial hybrids (White et al., 1995b).
Chromosome regions associated with resistance to A. flavus
and inhibition of aflatoxin production in corn have been identified
through RFLP analysis in three resistant lines (R001, LB31, and Tex
6) in the Illinois breeding program, after mapping populations were
developed using B73 and/or Mol 7 elite inbreds (White et al., 1995a).
In some cases, chromosomal regions were associated with
resistance to Aspergillus ear rot and not aflatoxin inhibition, and
vice versa, whereas other chromosomal regions were found to be
associated with both traits. This suggests that these two traits may
be at least partially under separate genetic control. Also, it was
observed that variation can exist in the chromosomal regions
associated with Aspergillus ear rot and aflatoxin inhibition in different
mapping populations, suggesting the presence of separate genes
for resistance in the identified resistant germplasm. RFLP technology
may provide the basis for employing a successful strategy of
pyramiding different types of resistances into commercially viable
germplasm, while avoiding the introduction of undesirable traits.
Identification of biochemical resistance traits. Developing
resistance to fungal infection in wounded as well as intact kernels
would go a long way toward solving the aflatoxin problem (Payne
1992). Studies demonstrating subpericarp (wounded-kernel)
resistance in corn kernels have led to research with the aim of
identifying subpericarp resistance mechanisms. When kernels of
susceptible genotypes were allowed to imbibe water at 100% humidity
at 310C for 3 days prior to being subjected to the KSA protocol,
aflatoxin levels were drastically and significantly reduced compared
to unimbibed controls (Guo et al., 1996b). Kernel proteins induced
during imbibition may have inhibited growth and/or fungal elaboration
of aflatoxins. Examinations of kernel proteins of several genotypes
revealed several germination-induced synthesis of ribosome
inactivating protein (RIP) and zeamatin in imbibed susceptible
kernels with decreased aflatoxin levels (Guo et al., 1997). Both
zeamatin and RIP have demonstrated in vitro inhibition of A. flavus
growth (Guo et al.,1997). These studies implicate the proteins as
potentially involved in kernel resistance to A. flavus infection and
aflatoxin production.
448
In a recent study, two kernel proteins were identified from
resistant inbred Tex6 which may contribute to resistance to aflatoxin
production (Huang et al., 1997). One of the proteins, 29 kDa in size,
inhibits A. flavus growth, while a second, with a molecular mass
greater than 100 kDa, inhibits toxin formation with little effect on
fungal growth. In another investigation, an examination of kernel
protein profiles of 13 corn genotypes revealed that a 14 kDa trypsin
inhibitor (TI) protein is present at relatively high concentrations in
seven resistant ones, but is present only in low concentrations in
six susceptible ones; This protein exhibits strong bioactivity against
the growth of A. flavus, A. parasiticus, and a morphologically diverse
group of other fungi (Chen et al., 1998). Trypsin inhibitor antifungal
activity may be partially due to its inhibition of fungal alpha-amylase
(Chen 1999).Comparisons of kernel protein profiles between
susceptible and resistant genotypes may shorten the time it takes
to identify resistance-associated proteins. The use of proteomics
and large-gel formats can significantly enhance discovery of these
proteins (Chen et al.,2000), which may, in turn, provide markers for
plant breeders, and may facilitate the introduction of resistance,
through genetic engineering, into other aflatoxin-susceptible crops.
In our laboratory, cotton has been genetically transformed to express
the 14 kDa trypsin inhibitor (Rajasekaran et al., 2002). A QTL mapping
study is also underway to genetically characterize this proteins
contribution to resistance in certain corn genotypes, and to determine
its regulation (Brown et al., 1997b).
Studies employing the KSA as well as other studies (Keller et
al., 1994) have demonstrated that kernel embryos are preferred as a
substrate over endosperm tissue by aflatoxin-producing fungi.
Embryo viability has also been shown to be necessary for the
expression of kernel resistance (Brown et al.,1993). This suggests
that resistance, especially in wounded kernels, is a function of kernel
ability to limit fungal colonization to a small area after wounding,
thus providing kernels with a two-pronged defense. This defense
may include: 1) preventing interruption due to whole-kernel expression
of an embryo-based resistance mechanism; and 2) denying the
fungus easy access to the oil-rich embryonic substrate (Brown
et al., 1997b). Whether or not the large levels of aflatoxins found in
susceptible kernels are the primary result of fungal metabolic activity
on the embryonic substrate, or of later activity in the endosperm, is
under investigation in our laboratory.
Using proteomics to identify protein factors associated with
kernel resistance. A proteomics approach was recently employed
to increase protein resolution and detection sensitivity and, thus,
enhance the ability to identify additional resistance associated
449
proteins (RAPs) (Chen et al., 2002a). Endosperm and embryo proteins
from several aflatoxin resistant and susceptible genotypes have
been compared using large format 2-D gel electrophoresis, and over
a dozen such protein spots, either unique or 5-fold upregulated in
resistant lines, have been identified, isolated from preparative 2-D
gels and analyzed using ESI-MS/MS after in-gel digestion with trypsin
(Chen et al., 2002b, 2004). These proteins can be grouped into three
categories based on their peptide sequence homology: (1) storage
proteins, such as GLB1, GLB2, and late embryogenesis abundant
proteins (LEA3, LEA14); (2) stress-responsive proteins, such as
aldose reductase (ALD), a glyoxalase I protein (GLX I), and a 16.9
kDa heat shock protein (HSP), and (3) antifungal proteins, which
include TI, and pathogenesis-related protein 10 (PR-10).
The indication of stress-related proteins playing a role in host
resistance based on the proteomic comparisons agrees with earlier
field studies. Increased temperatures and drought, which often occur
together, are major factors associated with aflatoxin contamination
of corn kernels (Payne 1998). Other studies have found that drought
stress imposed during grain filling reduces dry matter accumulation
in kernels. This often leads to cracks in the seed and provides an
easy entry site to fungi and insects. Possession of unique or of
higher levels of hydrophilic storage or stress-related proteins, such
as the afore-mentioned, may render resistant lines an advantage
over susceptible genotypes in the ability to synthesize proteins and
provide protection against fungal invasion under stress conditions.
Breeding for near isogenic inbred lines differing in aflatoxin
resistance. Several US maize lines that have demonstrated
resistance to A. flavus infection and aflatoxin production have been
crossed by Dr. Abebe Menkir at International Institute of Tropical
Agriculture, Ibadan, Nigeria, with several African lines that
demonstrate resistance to ear rot diseases. The African lines,
adapted to the savanna and mid-altitude ecological zones of West
and Central Africa, had demonstrated moderate to high levels of
resistance to Aspergillus, Botrydiplodia, Diplodia, Fusarium, and/or
Macropomina. Two collections of populations derived from crosses
between U.S. and African lines were developed; a tropical collection,
each population resulting from 50% U.S. and 50% African
contribution;and a temperate collection with populations containing
75% U.S. x 25% African (F1backcrossed to U.S. parent) germplasm.
After each selfed generation, through S3, visual selection within
and among lines was made using agronomic characteristics and
foliar disease resistance. The S4 generation, was the first screened
using the KSA (Brown et al.,1995), and five pairs of near isogenic
450
maize lines, differing significantly in aflatoxin accumulation, were
identified. These near isogenic lines are ideal materials for identifying
factors that associated with kernel aflatoxin resistance and the
understanding of host resistance mechanisms in maize.
GENETIC ENGINEERING TO ENHANCE RESISTANCE TO ASPERGIL-
LUS AND OTHER FUNGALPATHOGENS
Successful generation of plants genetically engineered to resist
fungal invasion and aflatoxin production will depend in large part on
development of binary transformation vectors harboring 1) genes
encoding efficacious native or foreign antifungal/anti-aflatoxin factors
(i.e. proteins/peptides; 2) promoter elements that will provide
efficacious levels of expression of the antifungal genes in desired
tissues and stage of development; 3) resistance gene markers that
will provide a reliable and efficient means of selection for transformed
plant tissues. This section will only address potential antifungal
genes as many of the proprietary promoters, selectable resistance
genes, and transcriptional terminators have been described (ie CaMV
35S promoter, NPT II selectable marker and nopaline synthase
terminator) (Potenza 2004).
Proteins capable of inhibiting growth of fungi and bacteria are
present in plants, insects,animals, and micro organisms (Punja 2004,
Rajasekaran et al., 2002). Transgenic expression of antifungal
proteins and peptides to develop disease resistant crops has been
demonstrated with some degrees of success in other crops by
introducing hydrolytic enzymes such as chitinases, glucanases and
lysozymes that are capable of degrading fungal cell walls, RIPs,
lectins, relatively small MW polypeptides, osmotins, cell-surface
glycoproteins (Herrera-Estrella and Simpson 1995, Graham and
Sticklen 1994, Salmeron and Vernooij 1998, Mourgues et al., 1998).
In search of antifungal proteins Jacks etl. (1991) used in vitro
bioassays with A. flavus as the test organism, and documented
that addition of a haloperoxidase, myeloperoxidase, greatly enhanced
(90-fold) the lethality of H2O2 by catalyzing its conversion to sodium
hypochlorite (Jacks et al., 1991). A bacterial chloroperoxidase also
greatly reduced the viability of A. flavus conidia (Jacks et al., 1998)
and the transgenic tobacco plants expressing chloroperoxidase
(CPO), isolated from Pseudomonas pyrrocinia, showed increased
antifungal traits. This particular CPO enzyme neither require a metal
ion co-factor nor a heme prosthetic group for activity; as such it
proved to be an ideal candidate for genetic transformation of plants.
CPO is believed to inhibit fungal growth via the formation of peracetic
acid and hypohalites from hydrogen peroxide generated during fungal
invasion of plant tissue (Jacks et al., 1998).
451
Several lines of evidence indicate that products of the
lipoxygenase (LOX) pathway in certain plants inhibit A. flavus spore
germination and mycotoxin production in vitro (Burow et al., 1997).
The lox1 genes from soybean and peanut have been cloned and the
activities of their products against both Aspergillus growth and toxin
synthesis determined. The soybean lox1 gene has been transformed
into peanut but attempts to identify lines expressing the gene have
been inconclusive (Ozias-Akins et al., 1999).
Antimicrobial peptides appear to be ubiquitous in nature being
found in many organisms, from humans to bacteria (Rao 1995, Ganz
and Lehrer 1999, Hancock and Chapple 1999,De Lucca 2000). Various
plants produce, either preformed or in response to microbial invasion,
cysteine-rich antimicrobial peptides such as thionins, defensins, lipid
transfer proteins, and hevein- and knottin-type peptides (Broekaert
et al., 1997). Examples of antimicrobial peptides of mammalian and
insect origin include bovine or human defensins and protegrins (Ganz
and Lehrer 1999), magainins from amphibians (Zasloff 1987), and
cecropins from the giant silk moth, Hyalophora cecropia (Hultmark
et al., 1982). The antimicrobial peptides (AMPs) have been shown
to be effective against a wide array of microorganisms including
mycotoxigenic fungi (De Lucca 2000; Rajasekaran et al., 2001).
Antifungal peptides act either by lysing the fungal cell (Ganz and
Lehrer 1999, Hancock and Chapple 1999, Shai 1995, Christensen et
al., 1988) or by interfering with cell wall synthesis (Debono and Gordee
1994). Transgenic plants expressing naturally-occurring or synthetic
peptides have been shown to confer resistance to microbial pathogens
in model species such as tobacco. For example, Reynoird et al.,
(1999) demonstrated improved fire blight resistance in transgenic
pear expressing the attacin E gene from H. cecropia. Cecropin and
cecropin analogs have been expressed in transgenic tobacco
(Nicotiana tabacum) with mixed results regarding pathogen
resistance. Huang et al., (1997) and Jaynes et al., (1993)
demonstrated reduced disease severity in transgenic tobacco
expressing cecropin analogs upon infection with the bacterial
pathogens, Pseudomonas syringae pv. tabaci and P. solanacearum,
respectively. However, tobacco plants expressing a native cecropin
did not confer resistance to P. syringae pv. tabaci or P. solanacearum
presumably due to degradation of the peptide by host proteases
(Hightower et al., 1994, Florack et al., 1995). Huang et al., (1997)
increased the stability of cecropin B significantly in transgenic tobacco
by using a mutant form carrying a single amino acid change. The
advent of automated peptide synthesizers and computer-assisted
combinatorial peptide chemistry has made it possible to rapidly
synthesize, and screen large numbers of peptides for their ability to
452
inhibit the growth of target microbial pathogens (Mayo 2000). These
linear, synthetic peptides often can be less than half the size (10-20
amino acids) of their native counterparts and many times more stable
and potent without concomitant toxicity to host tissues. One such
synthetic peptide, D4E1, has been found to possess broad-spectrum
control over several phytopathogens, both fungal and bacterial,
including A. flavus and A. parasiticus (De Lucca et al., 1998,
Rajasekaran et al., 2001), and transgenic tobacco plants expressing
D4E1 demonstrated increased resistance to A. flavus and other
phytopathogens (Cary et al 2000a).
The incidence and levels of aflatoxin accumulation in crops
susceptible to aflatoxin contamination are due, in part, to wounding
of plant tissues by insect pathogens which create avenues of entry
for A. flavus. Crops such as cotton, corn, and peanut have been
engineered to express Bacillus thuringiensis (Bt) genes encoding
insecticidal proteins that are toxic to many of the lepidopteran
pathogens that feed on these crops. Recent studies on corn have
been inconclusive or shown no distinct benefit of Bt- vs. non-Bt
corn for the prevention of aflatoxin contamination (Williams et al.,
1999a and Wilson et al., 1999). In cotton, studies have shown that
aflatoxin contamination is not directly correlated with pink bollworm
damage and contamination may occur in the absence of damage
(Henneberry et al., 1978; Russell, 1980). Bock and Cotty (1999a)
reported that in 1996, transgenic Bt vs. non-Bt cotton seed were
similarly contaminated with aflatoxin.
Based on results obtained in our lab and those of others, it has
become apparent that complete prevention of aflatoxin contamination
will most likely require the introduction of a combination of resistance
genes (pyramiding) into the plant rather than a single gene. This will
require the development of binary vector constructs for expression
of two or more different antifungal genes. Therefore, emphasis must
be focused on identification of more candidate antifungal products
and the gene(s) that encode them. This can be accomplished through
1) continued identification of non-host plant antifungal proteins/
peptides ; 2) development and testing of synthetic peptides with
antifungal activity ; and 3) identification of resistance factors in the
host plant using techniques such as genomics/proteomics and
molecular mapping of quantitative trait loci (QTLs) as well as
conventional biochemical analyses. Additionally, continued molecular
dissection of the fungal aflatoxin biosynthetic pathway and elucidation
of the mechanisms regulating its expression during growth on the
host plant may lead to the identification of genes that encode products
capable of interrupting toxin synthesis. Currently we are exploring the
possibilities of increased expression of antifungal genes in
453
chloroplasts (DeGray et al.,2000). Plastid transformation presents
an attractive alternative to nuclear transformation and offers the
potential to ameliorate environmental concerns due to pollen escape
(Daniell et al., 2002)
The different approaches for developing transgenic disease
resistant crops to combat preharvest aflatoxin contamination are
discussed below. Examples are drawn from other plants or model
plants such as tobacco since the number of publications on
transgenic disease resistant crops is rather very limited. Indeed,
efficiency of antifungal or antibacterial effects is difficult to evaluate
prior to actual transformation of the test plant. Current approaches
to developing disease resistant plants through enhancing natural
defense mechanisms and/or introduction of antimicrobial proteins
or peptides are summarized here.
Cotton
Antifungal activity against A. flavus was demonstrated with
transgenic cottons expressing the chloroperoxidase gene (Jacks
et al., 2002) similar to the results with the transgenic tobacco plants
(Rajasekaran et al., 2000). Cotton has also been transformed to
express the 14 kDa corn trypsin inhibitor (Rajasekaran et al., 2002)
that has been associated with resistance to the mycotoxin causing
fungus, A. flavus (Chen et al., 1998) and with the gene encoding a
synthetic linear peptide, D4E1 (Rajasekaran et al., 1999b; Cary
et al., 2000a). Extracts of transgenic tobacco expressing CPO
demonstrated inhibition of A. flavus growth while in planta assays
showed reduction in anthracnose symptoms caused by
Colletotrichum destructivum on inoculated tobacco leaves
(Rajasekaran et al., 2000). Similarly, transgenic cotton seedlings,
expressing CPO or D4E1, showed resistance to damage by the
seedling pathogen, Thielaviopsis basicola and significant control in
vitro and in situ of A. flavus (Rajasekaran et al., 2003). Performance
of these transgenic cottons under field conditions are yet to be
determined in the coming years. Another antifungal protein encoding
a trypsin inhibitor protein (TI) from an aflatoxin-resistant corn was
identified and was demonstrated to inhibit the growth of A. flavus in
vitro (Chen et al., 1998). Cotton or tobacco plants transformed with
a binary vector harboring TI were regenerated but the expression
levels were too low to control A. flavus but were more than sufficient
to control Verticillium dahliae (Rajasekaran et al., 2002; Wilkins et
al., 2000). Recently Emani et al., (2003) transformed cotton plants
with a cDNA clone encoding a 42 kDa endochitinase from the
mycoparasitic fungus, Trichoderma virens. Homozygous T2 plants
of the high endochitinase-expressing cotton lines showed significant
454
resistance against a soil-borne pathogen, Rhizoctonia solani and a
foliar pathogen, Alternaria alternata. Wu et al (1995) introduced a
glucose oxidase (GO) gene from A. niger to generate large amounts
of hydrogen peroxide in transgenic potato plants to augment natural
defense mechanisms. The transgenic potato plants showed an
increased level of resistance to soft rot caused by Erwinia carotovora
and to potato late blight caused by Phytophthora infestans. In
contrast to these observations, a similar attempt with transgenic
cottons expressing the Talaromyces flavus GO gene resulted in a
limited antifungal activity against the root pathogen, V. dahliae
(Murray et al., 1999). However, these authors also discovered that
the expression of GO in cottons resulted in phytotoxicity and reduced
yield. Hain et al., (1990) transformed tobacco with a gene encoding
stilbene synthase resulting in synthesis of the phytoalexin,
resveratrol, and increased resistance to Botrytis cinerea.
Efforts are also underway in our laboratory to study the effects of
stilbene synthase gene in transgenic cotton against A. flavus (Hunn
et al., 1999) and with other potential antifungal proteins such as
thionins and ribosome inhibiting proteins (RIP). It is often speculated
that bollworm or insect injury to cotton bolls serve as an entry point
for A. flavus spores although concrete evidence is not available yet
(Zipf and Rajasekaran 2003); yet insect control may be useful in
preventing the spore entry into the fatty acid-rich cottonseed. For
example, studies have shown that aflatoxin contamination is not
directly correlated with pink bollworm damage and contamination
may occur in the absence of damage (Henneberry et al., 1978;
Russell, 1980; Bock and Cotty, 1999a).
Peanuts
Ozias Akins et al., (2002) field tested transgenic peanut lines
expressing CryIA(c) as a possible means of inhibiting A. flavus
inoculation into peanut pods by lesser cornstalk borer (Elasmopalpus
lignosellus, LCB) since it has been clearly documented that aflatoxin
contamination is positively correlated with insect damage (Lynch
and Wilson 1991). Her laboratory is also interested in evaluating
other antifungal genes such as tomato anionic peroxidase (tap1),
synthetic peptide D4E1 to reduce the growth or penetration of invading
A. flavus. Ozias Akins (1999) is also evaluating the potentials of
soybean lox1 gene in suppressing the aflatoxin biosynthetic pathway.
Soybean lox1 gene encodes an enzyme that catalyses the formation
of 13(S) B hydroperoxy linoleic acid (HPODE) that has been shown
to suppress the aflatoxin biosynthetic pathway in vitro (Burrow et
al., 1997; Keller et al., 1999). Recently, Ozias Akins et al., (2003)
have shown that transgenic peanut lines expressing the CPO gene
(Rajasekaran et al., 2000) showed a 60-70% reduction in A. flavus
455
colony growth. Transformation of peanut with another antifungal
peptide, D5C, has also been accomplished (Weissinger et al., 1999).
Although the pure D5C showed strong activity against A. flavus in
vitro, it was shown that the transgenic peanut callus showed poor
recovery of plants because of possible phytotoxicity of the peptide.
Recently, Weissinger (2004) showed that a synthetic RIP modeled
after a corn protein has the potential to control A. flavus in peanut
seeds.
Tree nuts
McGranahan et al., (1999) reported recently on transformation
of walnut with antifungal and/or anti-insect genes. Several transgenic
walnut plants carrying the gene for CryIA(c) were planted in two
locations for evaluation of damage by codling moth larvae and
subsequent onset of A. flavus infection. A full-length polyphenol
oxidase cDNA from walnut embryos of resistant lines has been
identified and is being tested for its antifungal or anti-insect activity.
Following the recent demonstration by Mahoney and Mullineux (2004)
that precursor(s) of hydrolysable tannins (HT), gallic acid present
within the pellicle tissues are responsible for inhibiting aflatoxin
biosynthesis, Dandekar et al., (2001) have initiated a program to
identify and isolate genes responsible for HT/gallic acid biosynthesis
with the objective of genetic engineering of susceptible walnut lines
(and other crops) which lack or under-express gallic acid in the
seedcoat.
Corn
In 1998, growers in Texas, Louisiana and Mississippi sustained
losses estimated at about $100 million from corn that could not be
utilized because of high aflatoxin concentrations (Anon 1999).
Concerted research efforts to combat this problem is lacking because
of the reasons that the aflatoxin problem is sporadic and occurs
only in pockets of corn growing areas. Transformation procedures
for commercial corn lines have been well developed (Zhao et al.,
2002) and several antifungal gene candidates are available. However,
efforts at present are being directed towards conventional breeding
to obtain resistance to aflatoxin contamination from resistant
genotypes. Lozovaya et al., (1998) reported that the resistance of a
corn hybrid to A. flavus infection was correlated with an elevated
level of á-1-3-glucanase. Chen et al., (1998) demonstrated a good
correlation between high concentrations of a 14-kDa trypsin inhibitor
protein present in corn genotypes and resistance to A. flavus. They
also demonstrated that the trypsin inhibitor protein inhibited the fungal
456
á -amylase thereby reducing the availability of simple sugars for
fungal growth (Chen et al., 1999; Woloshuk and Fakhoury 1999).
Transgenic tobacco expressing the corn trypsin inhibitor protein
showed limited antifungal activity in vitro against V. dahliae and A.
flavus (Rajasekaran et al., 1999b). Identification and characterization
of resistance-associated proteins (RAP) by comparative proteomics
(resistant vs. susceptible corn varieties) are in progress in our
laboratories (Brown et al., 2003)
CONCLUSION
Aflatoxin contamination of crop species could be kept under
control by using prudent but time consuming and expensive
agronomic practices. Alternate methods of controls by using non-
toxigenic strains, natural products such as neem extracts should be
explored further. However, the best options available to us are through
breeding and/or genetic engineering. Breeding for disease-resistant
crops is very time consuming and does not lend itself ready to combat
the evolution of new virulent fungal races. More over, availability of
known genotypes with natural resistance to mycotoxin-producing
fungi is a prerequisite for the successful breeding program. While it
is possible to identify a few genotypes of corn or peanuts that are
naturally resistant to Aspergillus we do not know whether these
antifungal factors are specific to A. flavus. In crops like cotton,
there are no known naturally resistant varieties to Aspergillus.
Availability of transgenic varieties with antifungal traits is extremely
valuable as a breeding tool. Use of fungicides or chemicals is costly
and can add to the cost of production. Moreover, the growing concerns
regarding environmental safety and ground water quality demand
less dependence on agrochemicals. Disease resistant transgenic
crops would not only control mycotoxin-producing organisms such
as A. flavus, A. parasiticus and Fusarium spp. but also several
microbial (fungal, bacterial and viral) diseases which cause significant
economic losses in crop production. Above all, transgenic crops
resistant to aflatoxin producing fungi offer the promise of negating
the adverse effects caused by the toxin on immuno-compromised
humans and animals. With the large volume of information reported
in this review with respect to proteomics of host and genomics and
field ecology of the fungus, novel strategies will emerge based on a
clear understanding of the aflatoxin contamination process, especially
at the molecular level.
457
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467
A GENOMIC APPROACH TO TOXICOLOGY IN THE
MODEL ANIMAL CAENORHABDITIS ELEGANS
Koichi Hasegawaa, Satsuki Miwaa and Johji Miwaa,b
a) Institute for Biological function, b) Dept. of Environmental
Biology,College of Bio Science & Biotechnology, Chubu University,
1200, Matsumoto-cho, Kasugai-shi-487-8501, Japan
INTRODUCTION
In April 2002, the Swedish National Food Agency (NFA) reported
that high concentrations of acrylamide (AA) (30-2300 µg/kg) were
produced during the frying or baking of many carbohydrate-rich
foodstuffs such as potato products and bread (NFA, 2002; Weiss,
2002; Tareke et al., 2002). Up to then, AA had been of concern as
an industrial hazard, causing central and peripheral nervous system
damage in vertebrates (Smith and Oehme, 1991) and inducing DNA
damage in lab animals (Bull et al., 1984). Because AA has been
classified as a Group 2A carcinogen by the International Agency for
Research on Cancer or IARC (IARC, 1994) and as a Category 2
carcinogen and Category 2 mutagen by the EU (Food Safety
Programme, World Health Organization, 2002), this finding of AA in
food constitutes an important public health issue.
Soon after the NFA issued their report, a project called "Basic
research for the development of food safety-evaluation systems"
was implemented in Chubu University, Japan (Hasegawa et al., 2003;
2004a). Several laboratories in the College of Bioscience and
Biotechnology have participated in this project, working in research
areas covered by three "-omics" technologies, that is, genomics,
proteomics, and effectomics.
In this paper, we introduce some results from our continuing
work, in which we are using the free-living soil nematode
Caenorhabditis elegans as a model organism for toxicological
research (Miwa et al., 1980; Miwa and Furusawa, 1982; Miwa et al.,
1982, 1983; Tabuse et al., 1989; Sano et al., 1995; Tabuse et al.,
1995), by describing studies on the effects of chronic exposure of
C. elegans to AA at various concentrations that covered those found
in common human foodstuffs.
C. elegans has proven to be a powerful biological research tool
because of its ease of handling, short lifespan, large brood size,
established genetics, and nearly transparent body composed of only
about 1000 cells, which marvelously possesses full-fledged metazoan
organs such as muscle, hypodermis, nervous system, reproductive
468
system, digestive system, and so on and generates complex and
highly regulated behaviours including memory and learning (Riddle
et al., 1997). And, now, it is well accepted as a model system for
conducting research on human problems. In addition to a large body
of genetic and cellular information, genomic information is freely
available through a unified Internet web site, Caenorhabditis elegans
WWW server, http://elegans.swmed.edu/. This site provides an easy
link to almost any C. elegans lab in the world, whereby it is possible
to request, directly from the lab bench computer, such valuable
research materials as mutant animals with a wide variety of gene
mutations including human gene homologues, transgenic animals
loaded with GFP markers, cDNA clones of expressed sequence
tags (EST clones), and RNAi feeding libraries of dsRNA expressing
E. coli.
The work presented here is a part of our efforts to find new
biomarkers with which we can monitor biological effects of toxic
substances contained in our foods on organisms and to invent a
highly sensitive biosensor that should be useful for identifying those
toxic substances as well as to search for foods or food supplements
that can remove such substances or reduce or counteract their toxic
effects.
Acrylamide in foods
The acrylamide (AA) monomer (CH2=CHCONH2; FW, 71.08),
industrially produced by the hydration of acrylonitrile (CH2=CHCN),
is a colourless and odourless solid substance with a melting point of
84.5ºC, easily soluble in water, methanol, ethanol, and acetone. AA
polymer, which is nontoxic, has a multitude of uses ranging from a
material in papers and fibers, a flocculant in the treatment of sewage,
and a soil stabilizer, to electrophoresis gels in research laboratories.
AA polymer is depolymerized under certain environmental conditions
to become a highly water-soluble toxic monomer (Smith et al., 1996).
The AA residue in some farm products, such as beans, corn,
potatoes, and sugar beets grown in polyacrylamide-treated soils,
has been indicated to be less than 10 ppb (Bologna et al., 1999).
Furthermore, in mushrooms (Agaricus bisporus) grown on
polyacrylamide-containing medium, AA monomer was not detected
at the detection limit of 0.5 µg/L (Castle, 1993). Thus, it appears
that AA does not bioaccumulate in mushrooms and plants.
AA or its metabolite glycidamide has been detected as an adduct
on the N-terminus of hemoglobin in AA-administered rats (Bergmak
et al., 1991), in occupationally exposed people (Bergmak et al.,1993),
and in smokers (Bergmak,1997). Furthermore, Tareke et al., (2002)
469
demonstrated that rats fed a fried diet had significantly high levels
of AA-adducted hemoglobin and suggested that the high background
levels of hemoglobin-adducted AA observed in people without
occupational exposure was derived from food (Tareke et al., 2000).
That report has since been followed by many reports that acrylamide
is formed during the frying or baking of foods and is present at high
concentrations in many carbohydrate-rich foodstuffs so prepared
(Tareke et al., 2002; Food Safety Programme, World Health
Organization, 2002; Tsutsumiuchi et al., 2004, Table 1). Two groups
have reported that this compound can be produced by the Maillard
reaction during heat treatment of foods (Mottram et al., 2002; Stadler
et al., 2002).
Table 1. Amounts of acrylamide (AA) in processed foods
Foods Main raw material Mean (ng/g)
Potato snacks Potato 64-3,570
Potato chips Potato 723-2,250
French fries Potato 457-458
Fried and sugar-coated dough strips Wheat 975
Wheat snack Wheat 52-222
Biscuit Wheat 207
Instant ramen noodles (dry) Wheat 138
Roasted green tea Tea 287-486
Green tea Tea 31
Roasted almonds Almond 452

Fried honeyed-sweet potato Sweet potato 304-375
Corn snacks Corn 262-363
Banana chips Banana 58
Roasted peanuts Peanuts 56

adapted from Tsutsumiuchi et al., 2004
Asking Nematodes Questions

Although an involvement of AA in some C. elegans neuronal
processes was first suggested by Kamiya et al., (1992), there has
been no follow-up on this work to study the details of the suggested
neuronal effects. As a matter of fact, until we began our work, no
other works on AA in nematodes had been reported.
470
Here we describe our research on the effects of AA on C.
elegans, an animal model for toxicology, by taking advantage of its
wide knowledge base in genomics and proteomics as well as our
own accumulated experimental and theoretical knowledge (Miwa
et al., 1980, 1982, 1983a, 1983b; Tabuse et al., 1989; Sano et al.,
1995, Tabuse et al., 1995).
Animals were grown on NGM (Nematode Growth Medium) plates
containing various concentrations of AA and examined for the three
parameters of growth, fecundity, and lifespan, which were then
compared with those of the control animals grown under the identical
conditions without AA (Hasegawa et al., 2004a, b). We used AA
concentrations ranging from the lowest measurable dose of 0.5 µg/
L to an assumed toxic dose of 500 mg/L. As for growth and fecundity,
essentially no effects were observed until the highest dose tested
of 500 mg/L AA, wherein the animals showed retarded growth with
significantly reduced body (Fig. 1) and brood size. The AA-unexposed
offspring from the 500 mg/L AA-exposed parents were also affected;
that is, these offspring also exhibited reduced brood size, even if
they were transferred to and incubated on AA-free plates prior to
hatching (Hasegawa et al., 2004b). The effect was clearly transmitted
from the parental generation to the next, and we term this "carry-
over effect." No AA accumulation was demonstrated in either plants
or mushrooms (Castle, 1993; Bologna et al., 1999). In animals,
however, AA accumulation may occur. Thus, it is interesting to
know what is causative for the carry-over effect: AA itself or its
metabolite.
A B
UT
C D
UT
UT
Fig. 1. Acrylamide (AA) effects on body size of C. elegans. Animals were grown on control plate
at 20ºC for three days (A and B), mean size was 1439±49µm (N=25). More than 10 fertilized eggs are
seen in one uterus (UT). Animals were grown on 500mg/L AA plate at 20ºC for three days (C and D),
mean size was 1113±84µm (N=21). Although the body size was about two-thirds that of the average
control animal, germ cells had matured and 2 to 3 fertilized eggs were seen in both uteri (UT). Arrowhead
indicates vulva. Orientation: anterior is left, dorsal is top. Scale bar: 200µm (A and C), 50µm (B and D)
471
With respect to the C. elegans lifespan, a curious dose-response
relationship was observed, whereby the AA concentrations over the
extremely low dose range of 0.5 µg/L to 50 µg/L reduced the animal's
lifespan severely, the moderate doses of 500 µg/L to 50 mg/L AA
had practically no effect on the animal's lifespan, and the highest
dose of 500 mg/L AA strongly reduced again the lifespan of the
animals (Fig. 2).
5
0
% cha nge of mea n lifespan
-5
-10 Exp. 1
-15
Exp. 2
-20
Exp. 3
-25
0 .0 0 5 5 5 5 5 5
5 u .5 ug ug /L 0 u g 00 ug m g/ 0 m g 00 m
g /L /L /L /L L /L g/ L
AA concentration
Fig. 2. Percent changes of the mean lifespan for the animals grown on different AA concentrations,
compared with the control animals. Percent changes were; Exp. 1, -11.8% on 0.5 µg/L, -12.3% on
50 µg/L, -3.0% on 5 mg/L, and 24.5% on 500 mg/L. Exp. 2, -22.2% on 0.5 µg/L, -22.8% on 50 µg/L,
-0.8% on 5 mg/L, and 20.2% on 500 mg/L. Exp. 3, -7.3% on 0.05 µg/L, -9.3% on 0.5 µg/L, -18.9%
on 5 µg/L, -14.1% on 50 µg/L, +3.7% on 500 µg/L, -4.8% on 5 mg/L, +3.8% on 50 mg/L, and -13% on
500 mg/L.
Biphasic Dose Response

We usually consider two models for the dose-response
relationship, the threshold model and the linear non-threshold model
(Calabrese and Baldwin, 2003a, b). The former is a more widely
accepted model: a larger amount of a chemical substance present
in an organism should exert more or greater influence on the
organism. Traditionally, the threshold model had been accepted for
describing much of the toxicological, pharmacological,
epidemiological, and clinical research. Recently, however, Calabrese
and Baldwin (2003a, b) reported that a hormetic dose-response model,
characterized by low-dose stimulation and high-dose inhibition is
more common. Our finding with the AA effect on the animal is a
better match for this model and has shown that the lower doses of
AA reduced the animal's lifespan more severely than did the higher
doses.
472
We have hypothesized that, over the lower concentration range
of 0.5 to 50 µg/L AA, a detoxifying agent would not have been
recruited to perform its function because the defense system of the
animal failed to detect incoming AA. Over increasingly higher
concentration ranges of 500 µg/L to 50 mg/L AA, however, the system
would have started working in response to AA, and finally at more
than 500 mg/L it would have been overrun and destroyed by AA.
Transcriptional analysis by using full genome DNA microarray
Here we would like to coin the word "toxicomics" to represent
the field of toxicology that integrates genomic/proteomic knowledge
and technology. Toxicomics evaluates and characterizes the entire
genome and proteome dynamics as a given organism is exposed to
toxic substances.
As previously described, since both the extremely low dose of
AA at 0.5 µg/L and the high dose of 500 mg/L significantly reduced
the C. elegans lifespan, we examined the effects of these two AA
doses on expression of the entire C. elegans genome by using the
full genome DNA microarray technology (Wang and Kim, 2003).
Two types of DNA microarray are now widely used; one is the
Stanford-type microarray, which consists of cDNAs or synthesized
DNAs spotted robotically on a glass slide (Schena et al., 1995). The
other is the Affymetrix-type DNA chip, which is composed of
oligonucleotides synthesized in situ on silicon wafers by
photolithography (commonly used in microelectronics and integrated
circuit fabrication) based on combinatorial chemistry (Lipshutz
et al., 1999). Both utilize the same basic principles as do Southern
and Northern hybridization; that is, extracted mRNAs are labeled
with probes, hybridized to their complementary base-pair-containing
spots/grids on glass slide/wafer, and scanned for detection of the
expressed signals. In the Stanford-type microarray, to see the
differences in gene expression between the control and experimental
samples, extracted mRNAs, from both control and experimentally
treated animals are labeled with fluorescence markers by reverse
transcription and are each hybridized onto the DNA microarray. When
control mRNAs are labeled with the red marker Cy3 and experimental
mRNAs with the green marker Cy5, green spots are interpreted to
indicate that the corresponding genes are up-regulated by the
experimental treatment. Conversely, red spots indicate that those
genes corresponding to the red spots are down-regulated by
experimental treatment. Yellow spots indicate the same levels of
gene expression for both control and experimental animals,
suggesting that the genes involved are essentially unaffected by
the experimental treatment (Fig. 3).
473
C on tro l A A trea ted
W orm s w orm s
R N A extractio n , an d
p o ly A selectio n
C y 3 la be le d C y 3 la be le d
Zoom
C y5/C y3> 2 U p -R eg ulated !!
C y5/C y3 < D ow n -R e gu lated !!
Fig. 3. Schema for microarray analysis. First synchronized L1 animals were

grown for three days on control or AA plates at 20ºC, second total RNA was
isolated, and third polyA mRNA was selected. Messenger RNAs (mRNAs) from
control animals were labeled with Cy3 (red fluorescence marker), and those
from the AA-treated were labeled with Cy5 (green fluorescence marker), and
each was hybridized onto the full C. elegans genome DNA microarray containing
21,120 gene spots. The green spot means that the green signal overrode that
for the red, indicating that the corresponding gene was up-regulated by AA
exposure. Conversely the red spot indicates that AA down-regulated the
corresponding gene.
Footnote: The Stuart Kim Lab at Stanford University (http://

cmgm.stanford.edu/~kimlab/index_welcome.html) has designed and makes a DNA
microarray that fully integrates almost all of the 21,120 known genes over the C.
elegans genome. This DNA microarray analysis had been offered free-of-charge
for non-profit organizations until the fall of 2003; but now those who request this
service are asked to pay several thousand dollars for the hybridization step.
Animals synchronized at L1 were grown on control or 0.5 µg/L

or 500 mg/L AA-containing plates at 20ºC for three days, and then
mRNA was isolated from the independently cultured lines. We
analyzed the expression patterns four times for each combination
of either of the two acrylamide concentrations vs. control. RNA
labeling and microarray hybridization were performed by the Kim
Lab. The data obtained from the quadruplicate experiments were
first normalized, and the normalized data were then statistically
analyzed to identify genes showing significant differences in
474
expression levels. We have framed the windows for statistically
significant differences in gene expression at more than two-fold levels.
In quite pleasant agreement with the lifespan profile, the extremely
low dose of 0.5 µg/L AA was found to affect a substantial number of
genes; that is, 14 genes were up-regulated and 56 genes were down-
regulated. And as was expected from not only the lifespan but also
other experiments, 500 mg/L AA up-regulated 438 genes and down-
regulated 344 genes (Hasegawa et al., 2004a). Some of those genes
that expressed more than 2-times as many transcripts in 500 mg/L
AA-treated animals as in the controls are shown in Table 2. Table 3
shows genes that were up- or down-regulated commonly by both 0.5
µg/L and 500 mg/L AA. Of the 438 genes up-regulated in 500 mg/L
AA-treated animals, 32 genes are family members of the glutathione
S-transferases (GSTs). Another 32 genes belong to a large family of
major sperm proteins (MSPs), sperm-specific proteins that bind one
another to form the sperm cytoskeleton required for sperm motility
(Italiano et al., 1999). They also function as signals to promote oocyte
maturation and ovulation (Miller et al., 2003). C. elegans
hermaphrodites make both sperm and oocytes: about 150 sperms
are produced in each of the anterior and posterior gonads during larval
development prior to oocyte production. AA may affect
spermatogenesis through major sperm proteins.
Table 2. Number of gene species up-regulated in 500 mg/L AA
Gene species Number

GST related genes 32
MSP family 32
Family of G protein-coupled receptors 15
Dehydrogenase 12
Protein phosphatase 12
Protein kinase 12
Collagen 10
UDP-glucuronosyltransferase 9
C-type lectin protein family 5
Superoxide dismutase 1
Cytochrome P450 1
475
Table 3. Genes regulated commonly by both 0.5 µg/L and 500 mg/L AA
A. Up-regulated genes
*Gene name Assigned **RNAi phenotype
T13B5.8 Protein of unknown function NE

E04F6.8 Protein of unknown function WT
lys-4 Member of an uncharacterized protein family
with similarity to Entamoeba histolytica lysozome WT
C18B10.1 Protein containing a DUF40 domain of unknown function WT
B. Down-regulated genes
dhs-5 DHS-5 generally resembles short

chain-type alcohol/other NE
dehydrogenases, but has two predicted
N-terminaltransmembrane sequences,
and its closest relatives in vertebrates are
known or putative steroid dehydrogenases,
such as hydroxysteroid (17-beta) dehydrogenase 12 from
mouse (also known as KIK-I or DHBK_MOUSE).
F55G11.5 Member of an uncharacterized protein family WT
fat-4/des-5 Delta5-fatty acid desaturase; has strong similarity WT
to H. sapiens Hs.132898 gene product
F55G11.5 Member of an uncharacterized protein family WT
ZK353.7 Protein of unknown function WT
C55B7.5 Protein of unknown function Emb, Pvl, Ste, Stp,
Rup, Gro, Unc
K04F10.6 Protein with strong similarity to C. elegans
F31C3.2 gene Product. WT
Y24F12A.1 Putative paralog of C. elegans Y37H2A.1 NE
C17H12.8 Protein of unknown function WT
C08B11.8 Protein with moderate similarity to dolichyl-P-Glc WT
:Man9GlcNAc2-PP- dolichylglucosyltransferase
(human ALG6), which functions in dolichyl
pyrophosphate-linked Glc3Man9 GlcNAc2 synthesis
R12C12.5 Protein of unknown function WT
T20D4.13 Putative ortholog of C. elegans F35F10.1 gene product WT
F35C8.5 Member of the sterol desaturase family,
which are involved WT
in cholesterol and plant cuticular wax
biosynthesis, has lowsimilarity to cholesterol 25-hydroxylase
(human CH25H), whichis involved in oxysterol production and
lipid and cholesterol metabolism
476
T08G11.4 Protein with unknown function Emb, Gro, Lva,

Lvl, Spn, Unc
byn-1 Protein with strong similarity to human Emb, Gro, Lva,
bystin, which is involved in cell adhesion Lvl, Pvl, Ste
F07C4.6 Protein containing one DUF18 domain of unknown function WT
spp-5 Protein with similarity to bactericidal amoebapores Lvl
that may act as an antibacterial agent
C42C1.9#2 Protein of unknown function WT
* Characterized genes are assigned three-letter names and uncharacterized genes assigned cosmid codes.
** RNAi phenotypes: WT, wild type; Emb, embryonic abnormal; Gro, slow growth; Lvl, larval lethal; Pvl, protruding
vulva; Rup, exploded; Spn, abnormal spindle orientation; Ste, sterile; Stp, sterile progeny; Unc, uncoordinated; NE, not
examined.
Glutathione S-transferases
GSTs, major cellular detoxification enzymes, form a superfamily
of ubiquitous and multifunctional dimeric proteins (heterodimers or
homodimers), which generally exist in every organism and play roles
to detoxify both endogenous and exogenous compounds, such as
therapeutics, carcinogens, and products of oxidative stresses by
either glutathione conjugation, glutathione peroxidase activity, or
passive binding (Salinas and Wong, 1999). In rats and mice, a major
pathway for AA metabolism and detoxification is GSH (Glutathione)
conjugation to AA by GSTs and eventual excretion in urine as
mercapturic acid (N-acetylcysteine S-conjugate) and thioacetic acid
derivatives (Odland et al., 1994; Sumner et al., 1999). To investigate
the relationship of the GST expression to the biphasic-dose response
against AA in the animal's lifespan, four different GSTs (gst-1, -4, -
23, -30) were chosen at random for semi-quantitative RT-PCR analysis
(Fig. 4). In accordance with the microarray results, all the expression
levels of the chosen gst genes in animals treated with 500 mg/L AA
were far greater than those for the controls. We may translate these
results to suggest that the chosen GSTs do not act as detoxicants
not only at the lowest range of AA concentrations as expected, but
also even at the middle-high-range concentrations of AA. Thus they
do not behave like defensive molecules the way we would like to
predict; namely, they are unresponsive to AA over the lowest
concentration range and increasingly responsive to AA over the mid-
and high-ranges.
At the moment we do not know the mechanisms underlying the
biphasic-dose response of the animal's lifespan. We are, however,
optimistic about finding such mechanisms operating in the reaction
of the animal to the presence of AA, for we have tools to overview
and analyze the dynamics of the whole genome and proteome, such
as DNA microarray for gene expression and multi-dimensional gel
477
Cont. 1. 2. 3. 4. 5. 6. 7. 8.
Total RNA
act-1
gst-1
gst-4
gst-23
gst-30
Fig. 4. GST expression analysis by semi quantitative RT-PCR. Total RNAs
were extracted from animals grown on AA plates for three days at 20!. AA
concentrations were , Cont, Control without AA; 1, 0.05 µg/L; 2, 0.5 µg/L; 3, 5 µg/
L; 4, 50 µg/L; 5, 500 µg/L; 6, 5 mg/L; 7, 50 mg/L; 8, 500 mg/L. Total RNA indicates
the quantity of extracted RNA applied to the gel, and act-1 indicates the internal
control.
electrophoresis for expressed protein profiling, just to name two,

although it will likely take much effort and time to reach the goal.
Practically, and no less importantly than the research on such
mechanisms, we should not forget to reiterate our interest in
developing new biomarkers that can be used to find minute amounts
of toxic substances in foods and our search to find common daily
foodstuffs that detoxify, eliminate, or reduce AA, its effects, or its
toxic metabolites. We aim to eliminate the fear of eating potato
chips, bread, or other AA-containing foods as long as we eat "AA-
detoxifying foods" together. And thus, we continue to search for
detoxifying foods among our daily food sources, again using the
nematode.
Acknowledgement
This work was supported by a grant from the High-Tech Research
Center Establishment Project from the Ministry of Education, Culture,
Sports, Science and Technology of Japan.
478
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481
PIONEERING CONTRIBUTIONS ON THE ROLE OF
RESISTANCE GENES, TRANSGENES AND
BACTERIAL BIOCONTROL AGENTS FOR THE
MANAGEMENT OF RICE DISEASES
Samuel S. Gnanamanickam
Professor, Centre for Advanced Studies in Botany,
University of Madras, Guindy campus, Chennai 600025,
India &Adjunct Professor, Division of Plant Pathology & Microbiology,
University of Arizona, Tucson, AZ, USA.
PRELUDE
It was an awesome experience to enter into the portals of the
then Agricultural College and Research Institute, Coimbatore back
in 1963. I am very grateful for the six student years I spent at the
institution during 1963-67 as an undergraduate student and 1967-69
as a post-graduate student (plant pathology) and another 4 yrs and
6 months I was able to spend as a research assistant before and
after my Ph. D at the University of Hawaii in the U.S (1969-72 and
1976-78). But for these formative years of training, I would have lost
contact with the agricultural community and her needs. In this paper,
I list research contributions that emerged from my 27 years (1978-
2005) of great career at the Centre for Advanced Studies in Botany
at the University of Madras. I submit these as a tribute to Tamil
Nadu Agricultural University during her Centenary.
Pioneering discoveries made by me and my research students
that relate to three major areas of rice disease management are
listed below:
Development of Bacterial Biocontrol Agents for Rice Pathogens
1. Introduction of Pseudomonas fluorescens to the nation as
a potential biocontrol agent that suppresses plant pathogens
(Unnamalai and Gnanamanickam, 1983).
From this very first introduction, several diseases of banana,
citrus, groundnut (peanut) and rice were suppressed by seed
treatments and foliar spray applications of Pseudomonas fluorescens
(Ganesan and Gnanamanickam, 1987; Sakthivel and
Gnanamanickam, 1987; Sivamani and Gnanamanickam, 1988;
Anuratha and Gnanamanickam, 1989). The bacteria also caused
enhanced yields in rice and groundnut (Savithry and
Gnanamanickam; Sakthivel and Gnanamanickam, 1987).
482
2. Biological control of rice blast by seed treatment of rice
with Pseudomonas fluorescens (Gnanamanickam and Mew,
1989). Blast (leaf and neck blasts) suppression was
mediated by the production of an antifungal antibiotic
(tentatively identified as phenazine-1-carboxylic acid (PCA).
3. Genetic analysis of antifungal antibiotic production by
Pseudomoans fluorescens Pf7-14 (Chatterjee et al, 1996;
Valasubramanian, 1994) (Fig. 1).
This led to the generation of Tn-5 mutants of the bacterium that
were altered in afa (antifungal antibiotic) production, cloning of ant+
DNA, and evaluation of the role of antibiotic production in the about
80% control of blast (leaf and neck blasts) (Fig. 1) and sheath blight
of rice.
4. Development of Pseudomonas fluorescens and P. putida
strains for the suppression of rice diseases. This research
carried out over a number of years is presented in Table 1.
Table.1. Bacterial biocontrol agents developed for major diseases of rice.
Center for Advanced Studies in Botany, University of Madras,
India.
Disease Pathogen (causal Biocontrol agent Reference

agent) developed
Blast (Bl) Pyricularia grisea Pseudomonas fluorescens, Gnanamanickam
(Teliomorph: Bacillus spp:
and Mew, 1992;
Magnaporthe B. polymyxa,
B. pumulus, Valasubramanian,
grisea)
B. coagulans, Enterobacter 1994; Kavitha,
agglomerans 2002.
Sheath blight Rhizoctonia solani P. fluorescens, Vasantha Devi et al,
(Teliomorph: P. putida, Bacillus
(ShB) 1989; Thara, 1994;
Thanetophorus megaterium,
B. polymyxa, Krishnamurthy and
sasaki)
B. pumulus, Gnanamanickam,
B. coagulans, Enterobacter 1996; Kavitha,
agglomerans 2002.
Sheath-rot Sarocladium oryzae P. fluorescens Sakthivel, 1987;
(Sh-R) Sakthivel and
Gnanamanickam,
1987, 1989.
Stem rot Sclerotium Elangovan and
oryzae/Helminthosp P. fluorescens
(St-R) Gnanamanickam,
orium sigmoideum
1992
(Teliomorph:
Magnaporthe
salvinii
Bacterial Xanthomonas Bacillus spp: Vasudevan, 2002;
Blight oryzae pv. oryzae B. lentus Velusamy and
B. cereus
(BB)(Fig.2) Gnanamanickam,
B. circulans, and
2003.
P. fluorescens
Tungro Rice Tungro virus P. fluorescens that kill the Ganesan, 1999
disease (RTV) leaf-hopper vector of RTV
483
More than 5500 strains of plant-associated bacteria have been
isolated, assembled and studied in Gnanamanickams laboratory at
University of Madras during 1983-2003.
Figures
[A]
[B]
Fig. 1. Blast control by Pseudomonas fluorescens strain Pf7-14
Fig. 2. Inhibition of Xanthomonas oryzae pv. oryzae by Bacillus lentus

ALP18 in laboratory assays
[A] Laboratory assay shows inhibition of Pyricularia grisea (rice

blast fungus) by Pf7-14.
[B] Rice panicles from a field experiments show suppression of
neck blast due to treatment with Pf7-14 (plants on the right) and
lack of protection against neck blast in plants treated with its afa-
mutant (plants on the left).
484
5. Identification of mechanisms involved in the biological
control of rice diseases by Pseudomoans fluorescens. As
a laboratory that carries out basic research, we were always
interested in elucidating the mechanisms involved in
biological disease suppression in rice. The following is a
summary of many years of research furnished in Table 2:
Table 2. A summary of mechanisms identified in the biological suppression
of rice diseases
Rice Bacteria used Mechanism(s) identified
disease
studied
Blast Pseudomonas Antifungal antibiotics

fluorescens Pf7-14 (phenazines, antifungal
proteins), induced systemic
resistance (ISR).
Sheath Pf7-14, Bacillus spp Chitinase, antibiotics, ISR
blight
Bacterial P. fluorescens, Bacillus Antibacterial antibiotics
blight spp (kanosomine) (Fig.2), 2,4-

(B. lentus, B. circulans, diacetylphloroglucinol
B. coagulans, Bacillus
sp.)
Rice tungro P. fluorescens Antibiotics that kill the insect
virus vector
6. A new and exiting discovery : Production of 2,4-

diacetylphloroglucinol [DAPG]
By Indian strains of Pseudomonas fluorescens (first report from
India by Velusamy and Gnanamanickam, 2003) and its implication
in the biological suppression of rice bacterial bacterial blight
(Velusamy et al, 2004).
Before 2004, production of DAPG has been implicated in the
control of important diseases of tobacco and wheat and became
increasingly well known as the agent that caused take-all decline
485
in wheat soils. Our report (first report for India) showed DAPG
production in the tropical soils of India and and its role in the
suppression of this major bacterial plant pathogen of rice,
Xanthomonas oryzae pv. oryzae (Velusamy and Gnanamanickam,
2003;Velusamy et al, 2004) (Table 3).
Table 3. Plant-associated fluorescent pseudomonads which inhibited
the growth of Xanthomonas oryzae pv. oryzae (Xoo) and
produced 2,4-diacetylphloroglucinol (DAPG). (Velusamy and
Gnanamanickam, 2003)
S. No Place of Code Diameter (in Produc Percent (%)

collection number cm) of tion suppression
of strain inhibition of of rice BB
zone of Xoo 2,4-
Net- Field2
DAPG1
house2
1 Karnataka KAD7 1.8 + 56.87 53.93
2 Karnataka IMV14 2.8 + 58.68 56.74
3 Karnataka IMV2 2.8 + 36.78 33.18
4 Karnataka BGR19 0.5 + 27.48 42.71
5 Kerala PTB9 2.1 + 58.78 64.46
6 Kerala MON1 3.3 + 19.70 37.13
7 Tamil Nadu TVM8 1.2 + 16.32 23.51
8 Tamil Nadu VEL17 2.3 + 23.33 54.08
9 Tamil Nadu VEL10 0.7 + 17.03 17.52
10 Tamil Nadu GDY4 2.1 + 30.73 41.44
11 Tamil Nadu GDY7 2.3 + 51.57 45.30
12 Tamil Nadu TRP5 1.7 + 33.68 34.54
13 Tamil Nadu TRP18 2.3 + 53.15 48.34
14 Tamil Nadu MDR9 2.1 + 30.68 23.29
15 Tamil Nadu MDR7 1.3 + 57.11 54.43
16 Tamil Nadu STR7 1.8 + 19.51 36.04
17 Tamil Nadu VGP13 2.5 + 55.39 51.62
18 Tamil Nadu MDR16 1.4 + 37.60 46.12
19 Tamil Nadu PDY5 1.8 + 58.83 56.88
20 Tamil Nadu VLB7 1.7 + 33.64 9.08
21 Tamil Nadu KVR5 2.5 + 55.92 49.75
22 Tamil Nadu TNI13 2.2 + 26.05 28.19
23 Tamil Nadu KOV8 3.0 + 38.69 9.71
24 Tamil Nadu RJP31 2.4 + 10.31 0.50
25 Tamil Nadu KOV3 1.8 + 21.18 49.21
26 Tamil Nadu PDU1 2.9 + 8.16 11.80
27 Tamil Nadu PDU9 2.7 + 16.94 2.04
28 Control - - - 0.00 0.00
486
1
Production of DAPG was identified through a PCR-based
screening procedure which amplified a 745 bp DNA fragment in these
strains.
2
Results of a replicated net-house/field experiment (RBD)
conducted at the Regional Agricultural Research Station, Pattambi,
Kerala. Each figure is a mean of 3 replications.
Rice Pathogens : Analysis of Pathogen Populations and their
virulence characteristics
[A] Blast pathogen: Magnaporthe grisea
1. Genetics of rice blast fungus, Magnaporthe grisea
Laboratory production of sexual structures of rice blast
fungus, Magnaporthe grisea. Although several scientists
had intensively studied the blast fungus in the laboratory,
the sexual structures of M. grisea [perithecium, ascus and
ascospores] could not be produced in the laboratory until
1995. Our laboratory was one of the two laboratories in the
country to successfully produce these structures (Viji and
Gnanamanickam, 1996) and demonstrate cross
compatibility.
The ability to produce the sexual stage of the blast pathogen
in the laboratory led to further studies on the genetics of M.
grisea.
2. Mating type distribution of M. grisea.
Studies by Viji and Gnanamanickam (1997), Brindha and
Gnanamanickam (1999) and Dayakar et al (2000)
demonstrated the prevalence of Mat1-1 and Mat1-2 in field
populations of M. grisea and identified Mat1-1 as the
dominant and functional mating type.
3. Fingerprint groups or lineages of M. grisea.
By the use of MGR (Magnaporthe grisea repeat element)

586, more than 600 isolates of M. grisea assembled from
the southern states of Tamil Nadu. Kerala, Karnataka and
Andhra Pradesh along with isolates also from Orissa and
Maharastra were analyzed by the DNA fingerprinting and
were grouped into 29 (named, A to Z) major genetic families
or lineages (Sivaraj et al, 1996; Sivaraj, 1995).
487
In subsequent analyses, MGR DNA fingerprinting of isolates
from northern states of India revealed the presence of 23
lineages. Isolates of the blast pathogen from the state of
Meghalaya showed maximum genetic diversity (Dayakar
et al, 2000).
In my laboratory, the DNA polymorphisms of M. grisea
isolates that are pathogenic to finger millet and rice was
analyzed by Viji et al (2000) by RFLP. In this analysis, DNA
probes such as MGR 586, grasshopper and probes for the
Avr-genes were used to distinguish the two pathogenic
populations. The results revealed that the pathogen
populations were distinct and did not show any shared
RFLPS among field isolates of the pathogen that infected
rice and finger millet. DNA fingerprinting analyses were
carried out in collaboration with Morris Levy, Purdue
University, USA.
4. Lineage-exclusion tests for M. grisea and gene pyramiding
for durable blast resistance. [Molecular marker-assisted
backcross breeding]
To identify blast resistance genes (R-genes) which would
afford durable blast-resistance in southern India,
representative strains from the above MGR lineages were
inoculated on to the near-isogenic rice lines of CO-39
developed at IRRI each of which contained a single major
R-gene for blast resistance. These tests showed for the
first time that a combination of Pi-1+Pi-2 genes for blast
resistance can be quite durable against blast in southern
India (Sivaraj et al, 2000). This information was very valuable
not only for India but also for the rest of Asia and China.
When a traditional backcross breeding method was used to
pyramid the Pi-1+Pi-2 genes for blast resistance (also in
combination with the use of molecular marker-assisted
selection, MAS), the rice pyramids thus constructed in elite
rice cultivars, CO39 and IR50 showed high levels of blast
resistance. These have been tested in hot-spot locations
for blast incidence in southern India and in IRRI, Philippines
(Sivaraj et al, 2000; Narayanan, 2001; Narayanan et al,
2002).
488
Table 4. Incidence of rice blast observed on rice cultivar CO39 (blast-
susceptible) and its near-isogenic lines carrying blast-resistance
genes, Pi-1 and Pi-2 and pyramid rice lines carrying both genes
planted in hot-spot locations. Field experiment, south India.
===================================================================
Rice cultivar/ Experimental locationa and year
line/pyramid ______________________________________________
Pattambi, Kerala Ponnampet, Karnataka
_______________________________________________
1996 1997 1996
______________________________________________________________________
CO39 S S S
C101LAC (Pi-1) S S R
C101A51 (Pi-2) R R R
Pyramid lines of
Pi-1+Pi-2 (seven lines) R R R
===================================================================
a
Proven hot-spot locations for natural incidence of rice blast.
Disease reactions to blast: R = resistance with severity scores
of 0 to 3, and S = susceptibility with severity scores of 4 to 9 in the
SES system for rice.
[B] Bacterial Blight (BB) Pathogen, Xanthomonas oryzae
pv. oryzae
Rice bacterial blight (BB) has been intensively studied in my
laboratory for several years (1994-2004). Our major interest was to
understand the genetic and pathogenic variability of the pathogen.
Detection of the seedborne inoculum of the BB pathogen has been
a debated issue. Whether the pathogen is successfully transmitted
through the rice seed to initiate fresh incidence of BB in rice has not
been answered satisfactorily (Gnanmanickam et al, 1996). Available
evidences did not demonstrate evidence for seed transmission of
the BB pathogen.
1. Use of monoclonal antibodies for grouping Indian strains of
X. oryzae pv. oryzae.
During 1994, in collaboration with Dr Anne Alvarez at the
University of Hawaii, USA, I initiated a study with pathovar-
specific monoclonal antibodies of the BB pathogen which
improved the detection of X. oryzae pv. oryzae in infected
rice seeds and also aided in making a serological
classification of the Indian strains (Gnanamanickam et al.,
1994).
489
2. DNA fingerprinting of Indian strains of X. oryzae pv. oryzae.
In collaboration with Dr P. K. Ranjekar, National Chemical
Laboratory, Pune, I fingerprinted a large number of Indian
strains of the rice BB pathogen (Rajebhosale et al, 1997).
In this study we used a set of hypervariable probes which
included microsatellites, a human minisatellite probe, avr
gene probe (avrXa10) and a repeat clone pBS101. Five major
clusters/ groups were identified at 56% similarity thus
suggesting high level of possible genetic polymorphisms
within the field populations of the BB pathogen.
3. Identification of R-gene Xa-23 in native accessions of wild
rice Oryza rufipogon as a new and valuable source of
resistance to Indian strains of Xanthomonas oryzae pv.
oryzae (Srinivasan and Gnanamanickam, 2004, 2005).
4. Gene pyramiding of BB-resistance genes [Marker-Assisted
Backcross Breeding].
Efforts were made to incorporate a combination of 4 BB
resistance genes, Xa4+xa5+xa13+Xa21 to improve the
genetic resistance of elite indica rice cultivars, IR50 and
Jyothi through backcross breeding in combination with
molecular marker-assisted selection. There were reasons
why we resorted to the use of a 4-gene pyramid. We identified
sub-populations of X. oryzae pv. oryzae in Kerala that could
overcome the resistance offered by the most useful BB
resistance gene, Xa21 (Brinda Venkatesan and
Gnanamanickam, 2000). This virulent sub-population was
not able to break down the resistance in the rice line NH56
[Xa4+xa5+xa13+Xa21]. Plants of IR50 and Jyothi improved
for their resistance to rice BB were obtained through
systematic backcross breeding combined with the use of
molecular markers linked to xa5, xa13 and Xa21 (Brindha
Priyadrisini et al, 2003; David Paul Raj, 2003).
C. Sheath Blight Pathogen: Rhizoctonia solani
Sheath blight used to be a minor disease but has recently
become one of the most important production constraints
for rice production both in India and many other rice-growing
regions of the world. R. solani [teliomorph: Thanetophorus
cucumeris (Frank)] is a fungus representing a collective
species which has been divided into 13 anastomosis groups
(AG1 to AG13). We have carried out detailed analysis on
the Indian isolates that belong to anastomosis group
pathogenic to rice, AG1 (David Paulraj, 2002).
490
In collaboration with Bruce McDonald (ETH-Zurich), recently
we evaluated the population structure of 96 Indian isolates of R.
solani AG1 1A using seven RFLP loci. The field population of Indian
R. solani AG1 IA has shown characteristics that are consistent to
their high levels of gene flow and frequent sexual reproduction (as
indicated by their Hardy-Weinburg equilibium) among populations
(Fig. 3) (Linde et al, 2005). Their RFLP profiles and a phenogram
showing them in 2 major clusters with 3 sub-clusters under each
major cluster which also compares them to a Texas (USA) population
of R. solani are shown in Fig. 3 a,b.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
- 3000
- 2000
- 1500
- 1200
- 1000
- 900
- 800
- 700
- 600
- 500
- 400
- 300
- 200
- 100
Fig.3a. Rep-PCR fingerprints of Rhizoctonia solani isolates from India
PTB
MC
KKD
KID
KKP
NP
IMV
NP
Colorado
Chambers
Jackson
Liberty
Matagorda
Wharton
0.30 0.25 0.20 0.15 0.10 0.05 0.00
Fig. 3b. Phenogram derived by UPGMA based on Neis genetic distance

between Texas and Indian populations of R.solani AG1 IA
491
Development of transgenic rices with resistance to both blast
and bacterial blight
In my laboratory, research towards the improvement of elite
indica rice cultivars, IR50 and CO39 for blast resistance and cv.
Jyothi and IR50 for bacterial blight resistance was carried out through
pyramiding of R-genes and marker-assisted selection of resistant
plants (as described in the previous section). In order to create
multiple resistance in these rices, blast-resistant pyramids of IR50
and CO39 available in my laboratory were transformed with Xa21
gene. The bacterial blight resistance gene Xa21 is known to confer
resistance to all known races of Xanthomonas oryzae pv. oryzae in
India and the Philippines
This work was carried out in collaboration with Dr Swapan Datta
of IRRI and was supported by the Rockefeller Foundation.
Starting materials for transformation
Target rice pyramids (carrying blast resistant gene/genes) for
the transformation were, IR50 (Piz-5) and CO39 (Pi-1+Piz-5). They
were used as the starting material for the rice tissue culture and
transformation with Xa21 gene using particle bombardment. Immature
embryos and mature seeds were used as explants in both the
varieties for tissue culture process.
Construct used for bombardment
The plasmid pC822 that contains the Xa21 coding sequence
was kindly supplied by Dr. P.C Ronald, University of California, Davis,
USA. The primer U1 and I1, developed to amplify a 1.4-Kb DNA
fragment of Xa21 that was polymorphic to fragments amplified from
other Xa genes were used for quick genetic analysis of the transgenic
progeny. Plasmid pROB5 contains the selectable marker, the hph-
coding region, flanked by the cauliflower mosaic virus (CaMv) 35S
promoter and polyadenylation signals (Poly(A). This plasmid provides
a selectable marker that confers resistance to hygromycin for
cotransformation with the pC822 plasmid.
Particle Bombardment and selection
Immature embryos (IEs), Immature embryo derived callus (IECs)
and Mature seed derived callus (MCs) were arranged and bombarded
with the Xa-21 + pROB5 plasmid (Purified by CsCl/EtBr method) by
the particle gun PDC-1000/He system (BIORAD, Hercules, CA)
following manufacturers instruction. After bombardment, the explants
were left in the dark overnight in the same medium. In the morning,
the cultures were transferred to MS + 30g/l Maltose + 7.5g/l agar
492
medium supplemented with 50mg/l hygromycin B for selection of
transformed calli and incubated in dark at 27 C. The newly developing
hygromycin resistant calli were subcultured in fresh media under
continued selection pressure at every fortnight interval for 5 cycles.
Plant regeneration
The embryogenic calli were carefully selected and transferred
to 50 ml flasks containing plant regeneration medium (For IR50, MS
medium with 2mg kinetin/L and 1 mg NAA/L and for CO39, MS
medium with 5mg kinetin/L and 1 mg NAA/L). The cultures were
incubated for 2-3 week in 16h photoperiod of 3000-lux intensity at 26
C. Three to four week old plantlets were transferred to MS basal
medium (MS0) for rooting. These plantlets with vigorous roots were
transferred to styrofoam boards with holes in a plastic tray containing
Yoshidas culture solution. The regenerants in the culture solution is
allowed to grow for 2 weeks for hardening and then it is transferred
to soil directly in the transgenic green house with a day/night
temperature regime of 29/23 C.
Molecular assays
These included, hygromycin phosphotransferase (hpt) assay,
PCR analysis and Southern blotting. The protocols have been
described adequately elsewhere (Narayanan et al, 2002; 2004).
Bioassay
The transgenic T1 plants were grown in an IRRI containment
greenhouse under the following conditions: 29 C and 85% humidity
during the day and 25 C and 90% humidity at night. Since the
plants contain both blast and blight genes, bioassay was done for
both the pathogens individually and in combinations to see the effect
of multiple genes in the genotypes. So, the bioassay was done in
three ways:
Bioassay for blast resistance
The set of test cultivars CO39, IR50 (susceptible), C101A51
(Piz-5), 20 lines from each transgenic plant were sown in plastic
trays. Inoculum preparation and inoculation was done as explained
above. Inoculated seedlings were incubated in a moist chamber for
24 hr and then transferred to the dew misty chamber at 22-25 C for
7 days till scoring. Disease was scored 10 day after inoculation
using a 0-to-9 scoring method.
493
Leaves of IR50 and CO39 (transgenic T1) plants showed high
levels of resistance to blast (Fig. 4). This observation is also
supported by data on percent diseased leaf area (DLA) presented in
Tables 5 and 6.
Table 5. Screening of IR50 transgenic plants (T 1) against the rice blast
fungus Magnaporthe grisea
Genotype Mean size of lesion (mm) DLA%a Scoreb
CO39 12± 0.8 65 9

IR50 8± 0.7 60 9
C101A51 1 ± 0.2 0.5 0-1
13-T1 2 ± 0.4 0.3 0-1
14-T1 2± 0.7 0.6 0-1
15-T1 1± 0.8 0.8 0-1
a
DLA %, Percentage diseased leaf area
b
Score based on a scale of 0-9 (SES system, IRRI).
Table 6. Screening of CO39 transgenic plants (T1) against the rice blast
fungus Magnaporthe grisea.
Genotype Mean size of lesion (mm) DLA%a Scoreb
CO39 11± 0.6 65 9
IR50 7± 0.6 60 9
C101A51 1 ± 0.3 0.5 0-1
C101LAC 1± 0.4 0.5 0-1
18-T1 2 ± 0.4 0.3 0-1
19-T1 2± 0.7 0.6 0-1
a
DLA %, Percentage diseased leaf area
b
Score based on a scale of 0-9 (SES system, IRRI).
Table 7. Reactions of transgenic IR50 plants carrying Xa21 to races 2, 6,
and 10 of Xanthomonas oryzae pv.oryzae
Race 2 (PXO86) Race 6 (PXO99)

Genotype 7d 14d 7d 14d
MLL (cm) Rea MLL Reac MLL Reac MLL Reac
ctio (cm) tion (cm) tion (cm) tion
n
IR50 (C) 5.3 S 7.8 S 5.8 S 9.4 S
IR24 (C) 13.5 S 15.8 S 14.5 S 17.8 S

IRBB21 (C) 1.3 R 2.4 R 3.4 R 4.7 R
IRBB4 (C) 4.6 R 6.8 S 6.4 S 7.9 S
T 13 R-11 2.6 R 2.6 R 2.8 R 3.8 R
T 13 S-12 5.6 S 7.8 S 12.8 S 15.3 S
1
Average of 15/20 T1 progenies showing resistance to BB pathogen.
2
Average of 5/20 T1 progenies showing susceptible to BB pathogen.
C- non-transformed parental lines; R-Resistant; S-Susceptible; MLL-Mean Lesion Length.
494
Bioassay for bacterial blight resistance
The set of test cultivars IR50, IR24 (susceptible controls),
IRBB21 (near isogenic line for Xa-21), IRBB4 (near isogenic line for
Xa-4), and 20 lines from each transgenic line were sown in plastic
trays. Plants were tested against three different races of Xanthomonas
oryzae pv. oryzae (Xoo) to differentiate the genes Xa-21 and
endogenous Xa-4 such as PXO86 (race 2), PXO99 (race 6) and
PXO341 (race 10). The inoculum of each strain was prepared by
incubating the bacteria on Wakimotos medium (Medium composition:
Modified Wakimotos medium (MF-P): sucrose- 30 g, bacteriological
peptone- 5g, calcium nitrate- 0.5g, sodium phosphate (dibasic)- 0.82g,
ferrous sulphate- 0.05g, Agar- 15-17g pH- 6.0) for 72h at 30 C, then
suspending each pure culture in sterile distilled water and adjusting
the inoculum to about 109 cells per milliliter.
At the maximum tillering stage, each plant was inoculated with
the above three strains of Xoo using the leaf clipping method at the
transgenic greenhouse, IRRI. Plant reaction to each race of Xoo
was scored 14 days after inoculation.
Resistance to bacterial blight by T1 plants of IR50 and CO39
was observed (Table 7). Bacterial blight lesions of <2.0 cm length
observed in transgenic plants are characteristic resistance reactions.
The non-transformed BB-susceptible parent plants showed bacterial
blight lesions of >10.0 cm length.
Bioassays for blast and bacterial blight resistance
All 20 lines of transgenic plants showed enhanced resistance
to blast and bacterial blight (Fig. 4) similar to the results obtained in
separate bioassays for blast and bacterial blight. These transgenic
plants have to be evaluated in the rice fields in southern India under
strict biosafety precautions and their field performances have to
monitored carefully. These efforts are in progress.
Fig. 4. Reactions of transgenic T1

CO39 plants with Xa21 introgressed
with Piz-5 for blast resistance when
inoculated with IK81-3. Leaves 1 to 4
represent CO39, C101LAC, C101A51
(Piz-5), and transgenic CO39(Pi-1+Piz-
5+Xa21), respectively
C O 39 C 10 1 LA C C 10 1 A 5 1 CO29
( P i-1 + P iz -5 + X a2 1 )
495
Concluding Remarks
The list of contributions from my laboratory are documented as
a way of paying my tribute to TNAU. These contributions in three of
the major areas of rice disease management, 1. Pyramiding of R-
genes on the basis of molecular information on pathogen diversity
and their virulence characteristics, 2. Generation of blast and bacterial
blight-resistant transgenic indica rices (IR50 , CO39 and 3.
Development of bacterial biocontrol agents for major rice diseases,
have resulted in a whole new perspective on rice disease management.
While these are still a list of options and molecular tools made
available, they will have to be validated for field applications by
future generation of researchers and rice pathologists.
Acknowledgements
My contributions to agricultural research were made possible
by a number of research collaborations developed within India and
outside India. I am deeply thankful to Swapan Datta (IRRI), T. W.
Mew (IRRI), P. Ranjekar (NCL), A. Alvarez (U. of Hawaii), M. Levy
(Purdue U), B. A.McDonald and G. Defago (ETH-Zentrum, Zurich)
and M. Hofte (Ghent, Belgium).
I deeply appreciate the hospitality of Kerala Agricultural University
for the greenhouse and field facilities made available by the Associate
Director, Regional Agricultural Research Station, Pattambi, Kerala.
I acknowledge the financial support I received from the
Rockefeller Foundation, IRRI, ADB, Bayer CropScience (Belgium)
and the national funding agencies, DST, DBT and UGC.
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501
INDUCING RESISTANCE IN PLANTS TO
DISEASES INCITED BY MICROBIAL PATHOGENS
Prof. P Narayanasamy*
Former Professor and Head, Department of Plant Pathology,
Tamil Nadu Agricultural University, Coimbatore 641 003, India.
Resistance to diseases in plants may be enhanced by
incorporating resistance genes in susceptible cultivars and this
disease management strategy is considered to be the most desirable
one. But unavailability of reliable sources of resistance and the
requirement of long periods for development of cultivars with built-
in resistance have limited the usefulness of this approach. Employing
genetic engineering techniques for obtaining resistant cultivars
appears to hold promise. However, in the light of expression of
concern for the long term effects of genetically modified crops and
plant products in several countries, the feasibility of exploiting the
genetic engineering methods remains a question mark. In this
context, the possibility of inducing natural disease resistance (NDR)
mechanisms operating in existing cultivars with high yield potential
to provide protection to crops and harvested produce against
diseases, has attracted the attention of researchers in several
countries. This approach does not involve the introduction of any
foreign gene into the plant, but it regulates the expression of defense
genes in the susceptible plants. Furthermore, this approach is as
safe as the use of genetically resistant cultivars for the preservation
of environment, since the same mechanisms of resistance are
activated in plants with either genetic resistance or induced
resistance. Intensive research is being carried out to select effective
agents that can be used as inducers of resistance in crop plants to
contain various diseases, as alternatives to the development of
resistant cultivars through conventional breeding and genetic
engineering methods (Narayanasamy, 2002).
Two types of induced resistance were recognized by Ross (1961
a, b) in tobacco inoculated with Tobacco mosaic virus (TMV). The
resistance developed in inoculated leaves of Samsun NN tobacco
against reinfection by TMV was called localized acquired resistance
and the resistance induced in uninoculated leaves away from the
site of inoculation was designated systemic acquired resistance
(SAR).
*Present address: Grand Parade Apartments, 32D Thilagar Street,

R. S. Puram, Coimbatore 641 002, India. E-mail: [email protected]
502
The resistance induced by TMV was nonspecific and the leaves
became resistant to unrelated viruses and also to a fungal pathogen
infecting tobacco(Ross, 1966). The plant growth-promoting
rhizobacteria (PGPR) applied in soil are localized at the root surface
of treated plants, but they induce resistance in leaves and stems far
away from the root surfaces where they remain. This form of
resistance known as induced systemic resistance (ISR) is dependent
on the host plants physical and chemical barriers activated by biotic
and abiotic inducers of resistance to diseases (Kloepper et al., 1992;
Pieterse et al., 1996). Inducible plant defenses such as SAR/ISR
are a key component of a plants repertoire of disease resistance
mechanisms and are promising target to manipulate for improved
disease control.
Characteristics of induced resistance
The development of SAR and its effectiveness may be
influenced by the host plant species and the nature of resistance
inducer. It is possible to induce SAR by restricted inoculation of
microbial pathogens or attenuated/avirulent strains and treatment
with various chemicals and plant products such as antiviral principles
(AVPs) (Narayanasamy, 1990, 1993, 2003). The time required for
development of SAR depends on the crop plant/produce and the
type of inducer. SAR after its establishment may persist generally
for several weeks. A single primary inoculation of cucumber and
muskmelon was sufficient to protect the plants against many
pathogens, but a second booster inoculation 2-3 weeks later, protected
plants up to flowering. Induction of SAR in bean, tobacco, cucumber,
soybean, sugar beet, and tomato under field conditions has also
been observed (Madamanchi and Ku, 1991; Kloepper et al., 2004).
During SAR, plants successfully resisting a pathogen can become
highly resistant to subsequent infection not only by the same
pathogen, but also to a variety of other pathogens (Navarre and
Mayo, 2004).
Mechanisms of systemic acquired resistance (SAR) and induced
systemic resistance (ISR)
The mechanisms involved in the development of SAR have
been studied by various researchers and excellent reviews by Ryals
et al., (1994) and Sticher et al., (1997) are available. Hence only key
points are briefly discussed here. Two phases in the development of
SAR and ISR have been recognized. All events leading to the
establishment of resistance are included in the initiation phase which
is transient. During the second maintenance phase, the quasi-steady-
state resistance occurs as a result of events of the initial phase
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(Ryals et al., 1994).The resistance induced following inoculation is
considered to result from the translocation of systemic signals
produced at the site of primary infection. Following inoculation of
leaves , certain families of genes collectively known as SAR genes
are activated. The time taken for the expression of SAR gene(s)
may vary depending on the nature of the inducer. Both biotic and
abiotic agents induce the same spectrum of SAR gene expression
which is positively related to the development of resistant state in
plants. The mRNAs encoded by the SAR genes and the encoded
proteins have been characterized and the antimicrobial activities of
the proteins so formed have been established. Different classes of
SAR genes have been shown to encode chitinases and ß-1,3-
glucanases which can degrade the cell walls of fungal pathogens.
Thaumatin-like proteins (TLPs) are the products of another group of
SAR genes and they can disrupt membrane integrity earning the
nomenclature as permatins. Another group of SAR genes are
responsible for the accumulation of pathogenesis-related (PR)-
proteins. It is considered that different crop plants may possess
different sets of SAR genes evolved in response to evolutionary
pressure from the pathogens to which they are susceptible.
The recognition of the presence of the pathogen by the host
plant initiates the process of development of SAR. Signals are
released from the point of infection/penetration by the pathogen
triggering resistance in adjacent and also in distant tissues. Salicylic
acid (SA) is postulated as a putative endogenous signal of SAR.
Induced resistance pathways are regulated by key signal molecules
such as SA, jasmonic acid (JA) and ethylene which can alter gene
expression substantially and have complex crosstalk (Glazebrook
et al., 2003). The accumulation of SA is positively correlated to the
expression of SAR in tobacco inoculated with TMV exposed to
different temperatures that affect the development of SAR (Yalpani
et al., 1993). Root inoculation of Arabidopsis thaliana with
Pseudomonas fluorescens CHA0 resulted in partial protection of
leaves against Peronospora parasitca causing downy mildew disease.
Induction of ISR to P. parasitica required the production of 2,4-
diacetylphloroglucinol (DAPG) in P. fluorescens, as application of
DAPG at 10 to 100 µM mimicked the ISR effect, indicating the
possibility of similar mechanism operating in other pathosystems
also (Iavicoli et al., 2003). The studies using several strains of
Pseudomonas spp. showed that elicitation of ISR is typically
dependent on SA and does not result in activation of PR-1a gene
that encodes production of PR-1a protein ( van Loon and Glick,
2004). The possible involvement of jasmonic acid (JA) in disease
resistance has been suggested. Low concentrations of JA induce
504
the activities of chalcone synthase (Creelman et al., 1992),
phenylalanine-ammonia lyase (PAL) (Gundlach et al., 1992) and
lipoxygenase (LOX) (Bell and Mullet, 1991) which play an important
role in the development of resistance in plants. Treatment of plants
with methyl jasmonate results in the accumulation of an antifungal
defensin, but not PR-1 protein, the accumulation of which occurs
following treatment with SA indicating the operation of different
mechanisms of SAR development (Penninckx et al., 1997).
Cucumber plants expressing induced resistance were infiltrated with
inhibitors to evaluate the role of flavanoid phytoalexin production in
induced resistance. Elicited plants displayed enhanced levels of
induced resistance. On the other hand, down regulation of chalcone
synthase (CHS), a key enzyme of the flavanoid pathway following
application of inhibitors led to nearly complete suppression of induced
resistance. The results supported the view that induced resistance
in cucumber was primarily related to the rapid de novo biosynthesis
of flavanoid phytoalexin compounds ( Fofana et al., 2005).
Nonpathogenic microorganisms may induce defense reactions
through different mechanisms. Pseudomonas putida strain BTP1
induced systemic resistance in beans against gray mold pathogen
Botrytis cinerea. In the treated plants, higher levels of linoleic and
linolenic acids were observed with parallel increases in the activities
of the key enzymes lipoxygenase and hydroperoxide lyase involved
in the synthesis of these acids. The results strongly suggested that
oxylipin pathway may be associated with the development of
resistance in beans against this pathogen infecting several fruit and
vegetable crops (Ongena et al., 2004).
Following the expression of ISR, multiple potential defense
mechanisms are activated leading to the enhanced activities of
chitinases, ß-1,3-glucanases, peroxidases and accumulation of PR
proteins and phytoalexins with antimicrobial properties and formation
of protective biopolymers such as lignin, callose and hydroxyproline-
rich glycoproteins (HPRGs). These compounds may either directly
inhibit the pathogen development or reinforce natural barriers present
in the host plants. Elicitation of ISR in sugar beet by Bacillus
mycoides and B. pumilus was associated with higher peroxidase
activity and increased production of one chitinase isozyme and two
isozymes of ß-1,3-glucanase (Bargabus et al., 2002, 2004). In
investigations using B. pumilus strain T4 for the treatment of tobacco
against wildfire pathogen, Pseudomonas syringae pv. tabaci different
results were obtained. It appears that different pathways appear to
be in operation, when ISR is elicited by selected strains of Bacillus
spp. than when ISR is elicited by Pseudomonas spp. The specific
signal transduction pathway that is triggered during ISR by Bacillus
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spp. depends on the strain, the host plant and the pathogen to be
controlled (Kloepper et al., 2004). Application of the PGPR Bacillus
cereus protected the tomato plants against fungal and bacterial
pathogens. The dialysates obtained from the suspension of B. cereus
cells, when applied to the roots of tomato, offered protection to tomato
plants against the pathogens. The results indicated that the
macromolecules synthesized by the PGPR and released in the
environment may act as elicitors of systemic resistance (Romeiro
et al., 2005).
Applications of induced resistance for crop disease management
Various investigations carried out to assess the usefulness of
and feasibility for large scale application of induction of resistance
to field crop diseases and postharvest diseases caused by microbial
pathogens under natural conditions have provided encouraging
results. A wide range of biotic and abiotic (physical and chemical)
inducers of disease resistance has been tested for their efficacy for
the control of field crop diseases and postharvest diseases. The
effectiveness of the different kinds of agents in inducing disease
resistance is discussed in the following sections.
Inducing resistance using biotic inducers
Biotic inducers of disease resistance comprise of living avirulent
or attenuated strains of pathogens and antagonistic microorganisms.
In some pathosystems, the pathogens themselves may induce SAR
in uninoculated tissues/organs of the inoculated plants.
VIRUSES AS INDUCERS OF DISEASE RESISTANCE
Induction of SAR was first demonstrated in tobacco cv. Samsun
NN which develops local necrotic local lesions on leaves inoculated
with Tobacco mosaic virus (TMV). The resistance induced seems
to be related to the necrotic lesions caused by infection, irrespective
of the nature of infecting agent. The PR-protein induced by Tobacco
necrosis virus (TNV) in cucumber was a chitinase and the plants
inoculated with TNV were resistant to the bacterial angular leaf spot
disease caused by Pseudomonas syringae pv. lachrymans (Métraux
et al., 1988). Systemic induction of PR-proteins may be due to
enormous increase in the endogenous levels of salicylic acid (SA).
Following inoculation with TMV, there was a steep increase in the
SA levels (70 folds) in the leaves of Xanthi nc. tobacco. Application
of SA resulted in the production of PR-1 protein in Xanthi nc., but no
detectable change in the constitutive expression of high levels of
PR-1 protein in the hybrid (Nicotiana glutinosa x N. debneyi) could
be discernible. The results indicated the regulatory role of SA in
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disease resistance and PR-protein synthesis (Yalpani et al., 1993).
Inoculation of tomato plants with TNV induced resistance to the late
blight pathogen Phytophthora infestans. Accumulation of 6 PR-
proteins was detected by using specific antisera and the basic
fractions of these PR-proteins were inhibitory to P. infestans. In
addition, marked increase in the activity of peroxidase (PO) both in
the inoculated and uninoculated resistant upper leaf tissue was
observed prior to development of SAR. The synthesis of three new
PO and one ß-1,3-glucanase isozyme was induced in tomato plants
showing SAR (Anfoka and Buchenauer, 1997). The resistance
induced by TMV in tobacco against Peronospora tabacina appears
to depend on volatile or diffusible compound(s) (Xie and Ku, 1997).
Induction of resistance by viruses in other crops such as cucumber
by TNV against powdery mildew disease (Sticher et al., 1997) has
been reported. Infection by TMV induced resistance in tobacco cv.
Havana against powdery mildew disease. In the TMV-infected plants,
the cell wall hydroxyproline content increased significantly, suggesting
that accumulation of hydroxyproline-rich glycoprotein (HPRG) may
be associated with SAR-activation against powdery mildew pathogen
(Raggi, 1998).
Immunological techniques have been employed to detect and
quantify the defense proteins, in addition to the detection of the
microbial pathogens (Narayanasamy, 2001, 2005). The products of
defense genes include several enzymes such as peroxidase (PO)
and polyphenol oxidase (PPO) which catalyze the synthesis of lignin
and phenylalanine-ammonia lyase (PAL) required for the production
of phytoalexins and phenolics. These enzymes are considered to
have an important role in the development of disease resistance in
plants. The PR-proteins like ß-1,3-glucanases (PR-2) and chitinases
(PR-3) may degrade the cell walls of fungal pathogens resulting in
the lysis of cells. Thaumatin-like proteins (TLPs) (PR-5) have
antifungal property and enhance the resistance of plants to microbial
pathogens (Chen et al., 1999). A bacterially produced rice thaumatin-
like protein was inhibitory to several plant pathogens such as
Fusarium oxysporum f. sp. cubense, Botrytis cinerea, Drechslera
oryzae and Rhizoctonia solani causing economically important
diseases (Jayaraj et al., 2004). However, the usefulness of this
protein under field conditions has to be demonstrated.
FUNGI AS INDUCERS OF DISEASE RESISTANCE
Inducing resistance to field crop diseases
The possibility of inducing resistance in cucumber, muskmelon
or watermelon by employing the pathogen Colletotrichum lagenarium
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causing anthracnose was first demonstrated by Ku (1987, 1990).
The primary inoculation of cotyledons with this pathogen induced
SAR to several diseases caused by fungi, bacteria and viruses, in
addition to the anthracnose disease. Systemic induction of SAR
genes and formation PR- proteins has been observed in several
pathosystems such as tomato - Phytophthora infestans (Christ and
Mosinger, 1989), tobacco - Peronospora tabacina (Ye et al., 1990),
potato P. infestans (Schroder et al., 1992; Enkerli et al., 1993),
and French bean - Colletotrichum lindemuthianum (Dann et al., 1996).
Many of the PR-proteins including PR-1, ß-1,3-glucanases (PR-2),
chitinases, PR-4 and osmotin (PR-5) are known to have antimicrobial
activities. Resistance may be induced by nonpathogens in some
pathosystems. The operation of a general resistance mechanism
was observed in tomato against wilt pathogen Fusarium oxysporum
f. sp. lycopersici. Resistance to wilt disease was induced in tomato
inoculated with a nonpathogen Penicillium oxalicum resulting in
reduction in disease severity, area under disease progress curve
(AUDPC) and extent of stunting . Histological studies showed that
the treated plants did not lose the cambium, had lower number of
bundles and less vascular colonization by the pathogen. Renewed
or prolonged cambial activity in treated plants resulting in the
formation of additional secondary xylem may be a reason for the
reduction in disease severity. Since P. oxalicum did not cause any
symptom on the tomato cultivars susceptible and resistant to wilt,
it can be safely employed to protect tomatoes against this disease
(de Cal et al., 1997, 2000). Phytophthora cryptogea, a nonpathogen
of potato, induced resistance against P. infestans in the susceptible
St. Cecilia potato under field conditions (Quintanilla and Brishammar,
1998). The binucleate Rhizoctonia (BNR) species, induced systemic
resistance to Rhizoctonia solani causing root rot and Colletotrichum
lindemuthianum infecting bean, when inoculated on the hypocotyls
prior to challenge inoculation with the pathogen. This biotic inducer
elicited significant systemic increase in all cellular fractions of
peroxidases, ß-1,3-glucanases and chitinases. The increases in
peroxidases and glucanases (2-8 folds) showed positive correlation
with induced resistance (Xue et al., 1998).
Trichoderma hamatum strain 382 induced resistance in
cucumber to root rot, crown rot, leaf and stem blight caused by
Phytophthora capsici. The effectiveness of protection provided was
equal to that offered by the chemical inducer, benzothiadiazole (BTH).
The biotic inducer remained spatially separated from P. capsici in
plants in the split root and leaf blight bioassays, suggesting that the
resistance induced was systemic in nature (Khan et al., 2004).
Trichoderma virens, an effective biocontrol agent against cotton root
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rot disease, has been shown to induce defense-related compounds
in the roots of cotton. The effect of seed treatment with T. virens on
the elicitation of defense responses was assessed. The role of
terpenoid compounds in the control of root rot disease caused by
Rhizoctonia solani was studied by analyzing the extracts of cotton
roots and hypocotyls grown from T. virens-treated seeds. Terpenoid
synthesis and peroxidase activity were enhanced in the roots of
treated plants, but not in the untreated controls, The terpenoid
pathway intermediates deoxyhemigossypol (dHG) and hemigossypol
(HG) strongly inhibited the development of R. solani, indicating that
terpenoid production is the major contributor for the control of the
root rot disease. Furthermore, a strong correlation between the
biocontrol and induction of terpenoid was revealed, when the strains
of T. virens, T. koningii and T. harzianum were compared. The results
indicated that induction of resistance by T. virens occurred through
the activities of terpenoids acting as elicitors (Howell et al., 2000).
In the further study, it was observed that heat stable proteinaceous
compounds were elicited following treatment of roots with effective
strains of T. virens. One compound had a MW between 3 and 5 K
and was sensitive to proteinase K. Several bands could be
recognized in the gel after subjecting the active material to sodium
dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE).
One band exhibited cross reaction with an antibody to ethylene-
inducing xylanase from T. viride. Another band (18K) induced
production of terpenoids, in addition to increasing the peroxidase
activity in cotton radicles and this protein showed highest similarity
to a serine proteinase from Fusarium sporotrichoides ((Hanson and
Howell, 2004).
Inducing resistance to postharvest diseases
Induction of resistance to postharvest diseases using biotic
agents capable of eliciting resistance responses in fruits and
vegetables holds promise as a new technology and as an alternative
to the use of synthetic fungicides. Several species of yeasts have
been shown to be effective, since they are able to grow rapidly and
colonize wound sites present on the fruit/vegetable surface where
infections occur and out-compete postharvest pathogens for space
and nutrients. In addition, some of them may induce resistance in
host tissues resulting in significant reduction in decay development.
Antagonistic yeasts are capable of inducing resistance responses
as in the case of Pichia guilliermondii, as evidenced by the increased
production of defense-related enzymes and antimicrobial compounds
(Wisniewski and Wilson, 1992). Aureobasidium pullulans, another
yeast antagonist, could reduce the decay in apples due to Botrytis
cinerea and Penicillium expansum causing gray and blue mold
509
diseases respectively. The enhanced resistance of treated apples
was associated with the transient increase in ß-1,3-glucanase,
chitinase and peroxidase activities commencing from 24 hours after
treatment and reaching the maximum levels at 48-96 hours after
treatment (Ippolito et al., 2000). Enhancement of natural resistance
in strawberry to B. cinerea, following treatment with A. pullulans
was also reported by Adikaram et al. (2002).
The yeast species Candida oleophila included in the commercial
product Aspire as a basic component, induced systemic resistance
in grapefruit to Penicillium digitatum causing green mold disease.
Scanning electron microscopic observations revealed inhibition of
spore germination and germ tube growth to a great extent in wounds
made near the yeast-treated sites (Droby et al., 2002). Likewise, the
onset of systemic resistance in fresh apples to gray mold disease
coincided with the increase in the activities of chitinase and ß-1,3-
glucanase in systemically protected tissues (El Ghaouth et al., 2003).
Cytochemical studies on the changes in the exocarp tissues of citrus
fruits treated with Verticillium lecanii indicated the accumulation of
callose and lignin-like compounds at sites of colonization by the
green mold pathogen P. digitatum resulting in the restriction of decay
development in the treated fruits compared with the untreated control
fruits. The significant differences observed in the rate and extent of
colonization between control and treated citrus fruits, in addition to
the reduction in cell viability, demonstrated that V. lecanii and
chitosan, a natural compound extracted from crabshell, possessed
similar ability to induce transcriptional activation of defense genes
leading to the accumulation of structural and biochemical compounds
at strategic sites (Benhamou, 2004). Cryptococcus laurentii either
alone or in combination with methyl jasmonate (MeJA) significantly
reduced the intensity of brown rot and blue mold diseases in peach
caused by Monilinia fructicola and Penicillium expansum respectively.
In addition, the treatments induced higher activities of defense-
related enzymes, chitinase, B-1,3-glucanase, phenylalanine
ammonia lyase and peroxidase resulting in enhancement of
resistance in treated peach to these diseases (Yao and Tian, 2005).
BACTERIA AS INDUCERS OF DISEASE RESISTANCE
Inducing resistance to field crop diseases
Plant growth-promoting rhizobacteria (PGPR) are among the
various groups of microorganisms that can elicit defense responses
in treated plants. Induction of ISR by PGPR depends on the presence
of two bacterial determinants: lipopolysaccharides (LPS) and
siderophores. The O-antigenic chain of outer membrane LPS from
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Pseudomonas fluorescens WCS417r and WCS 374 was found to be
responsible for ISR induced in radish against Fusarium oxysporum
f. sp. raphani (Leeman et al., 1995). Salicylic acid (SA), a siderophore
produced by P. aeruginosa 7NSK2 was important for the induction
of ISR to Botrytis cinerea in bean and this resistance was iron-
regulated (Meyer and Höfte, 1997). The PGPR may induce a set of
plant defense reactions, culminating in the production of physical
barriers and creation of a fungitoxic environment that may adversely
affect the development of microbial pathogens. Bacterization of pea
roots with P. fluorescens strain 63-28, resulted in the wrinkled
appearance and collapse of hyphae of Pythium ultimum, as revealed
by electron micrographs. Significant modifications of epidermal and
cortical cell walls and deposition of newly formed barriers were
observed in roots challenged with F. oxysporum f. sp. pisi. The wilt
pathogen possibly failed to penetrate the cells of treated plants,
because of the depositions onto the inner surface of the cell walls of
callose-enriched wall appositions. The pea root bacterization resulted
in direct antifungal activity against P. ultimum, while the indirect
action by reinforcement of host cell walls and acceleration of
synthesis of phenolic compounds resulted in the inhibition of wilt
pathogen (Benhamou et al., 1996). In addition to the disease control,
PGPR may also improve the plant growth. These bacterial inducers
protected cucumber plants against anthracnose (Colletotrichum
orbiculare) and bacterial angular leaf spot (Pseudomonas syringae
pv. lachrymans) diseases and also increased the plant growth
significantly resulting in higher yields under field conditions (Wei
et al., 1996). Combined application of the chitinolytic PGPR, Serratia
marcescens strain GPS5 on groundnut foliage, followed by challenge
inoculation with late leaf spot pathogen Phaeoisariopsis personata
reduced the lesion frequency by 64% compared with chitosan alone.
In the pretreated groundnut leaves, enhanced activities of ß-1,3-
glucanase, peroxidase (PO), phenylalanine ammonia lyase (PAL)
and chitinase were observed up to 13 days after inoculation ( Kishore
et al., 2005).
Seed treatment with P. fluorescens reduced the damping-off of
sugar beet seedlings. The results of ELISA and microscopy showed
the presence of the bacteria on inoculated seeds and its inhibitory
effect on the development of both mycelial biomass and sclerotia
formation by the pathogen (Thrane et al., 2001). Treatment of
sugarcane setts with P. fluorescens and P. putida induced
accumulation of chitinase in germinating settling, whereas application
of these PGPR strains induced chitinase activity systemically in
sugarcane stalk tissues. The enhanced chitinase activity was related
to suppression of development of red rot disease caused by
Colletotrichum falcatum (Viswanathan and Samiyappan, 2001).
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Defense proteins and enzymes were induced following treatment of
tomato plant with P. fluorescens and inoculation with F. oxysporum
f. sp. lycopersici. (Ramamoorthy et al., 2002).
P. fluorescens strain 89B-27 induced systemic resistance to
Cucumber mosaic virus in cucumber cv. Straight 8 leading to
consistent reduction in mean numbers of symptomatic plants coupled
with delay in the symptom expression. No viral antigen could be
detected in the asymptomatic plants throughout the experimental
period (Raupach et al., 1996). The strains Pf 1 and CHA0 of P.
fluorescens were able to induce systemic resistance in rice against
rice tungro disease, when these strains were applied as seed
treatment, root dipping or foliar spray (Narayanasamy, 1995). Tomato
plants were protected by the treatment with P. fluorescens against
Tomato spotted wilt virus (Kandan et al., 2002). Enhancement of
the activities of defense-related enzymes such as peroxidase and
phenylalanine ammonia lyase was observed in many crop plants
treated with the PGPR (Narayanasamy, 2005a).
INDUCING RESISTANCE USING ABIOTIC INDUCERS
Resistance to diseases may be induced by applying various
kinds of abiotic inducers which may be classified into two groups: i)
physical agents and ii) chemical agents.
Physical Agents
Exposure to ultraviolet (UV) light, gamma radiation and high
temperatures has been demonstrated to increase the level of
resistance of host tissues/organs to several postharvest diseases
caused by microbial pathogens. Induction of resistance is confined
to the tissues/organs exposed to the physical agents and
development of systemic resistance in such cases has not been
observed in any of the pathosystems tested.
Ultraviolet (UV) light
Application of low doses (< 280 nm ) of UV-C light has been
effective in inducing resistance to several postharvest diseases
affecting many fruits and vegetables (Narayanasamy, 2005b).
Enhanced resistance of grapefruits cv. Marsh Seedless, following
UV irradiation against green mold decay caused by Penicillium
digitatum was noted by Porat et al. (1999). Immunoblotting analysis
using citrus-specific chitinase and ß-1,3-endoglucanase antibodies
revealed that UV irradiation, wounding of fruits or a combination of
these two treatments induced accumulation of a 25 kD chitinase
protein in the fruit peel tissue. Accumulation of the phytoalexins
scoparone and scopoletin in the flavedo tissues of orange and
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grapefruit exposed to UV-C was considered to result in the higher
levels of resistance to decay development during storage (Dhallewin
et al., 1999, 2000). UV-C treatment of apples provided the most
effective protection against blue mold caused by P. expansum due
to induction of resistance, as reflected by area under disease
progress curve (AUDPC) assessment (Capdeville et al., 2002).
Similar beneficial effects of UV-C treatment for the control of storage
rot of strawberry (Marquenie et al., 2002) and gray mold disease of
apples caused by Botrytis cinerea (El Ghaouth et al., 2003) have
been reported.
Heat treatments
The microbial pathogens causing postharvest diseases may
be eliminated by prestorage heat treatments for short periods,
depending on the location of the pathogens and their sensitivity to
temperatures below 60oC. Postharvest heat treatments is a potential
nonchemical disease management strategy acting directly by
inhibiting the pathogen growth, activating natural disease resistance
mechanisms of the host tissues and slowing down the ripening
process. A hot water brushing (HWB) technique developed by Porat
et al. (2000) involves a 20-second rinsing of fruits with hot water at
59oC or 62oC, as they move along a belt of brush rollers. The HWB
treatment effectively protected grapefruits against green mold
disease caused by Penicillium digitatum. In addition, the treatment
significantly reduced chilling injury (CI) index and percentage of fruits
displaying CI symptoms. Cleaning of fruits and improvement of
general appearance without any surface injury are the additional
advantages of HWB technique. Another method, hot water dip (HWD)
was also found to provide effective protection to lemons against the
blue mold disease (Nafussi et al., 2001).
Chemical Agents
A wide range of inorganic and organic compounds in addition to
natural compounds of plant and animal origin has been tested in
vitro for their efficacy to induce resistance to plant diseases. But
only very few of them have been demonstrated to have the potential
for large scale application under field conditions.
Inorganic compounds
Induction of resistance to a plant disease by using phosphate
salts was first demonstrated by Gottstein and Ku (1989). Cucumber
plants sprayed with phosphate developed resistance to anthracnose
disease caused by Colletotrichum orbiculare. Application of 0.1 M
phosphate salts on the upper surfaces of maize leaves induced
513
systemic resistance to Puccinia sorghi causing rust disease.
Preinoculation application of phosphates provided an additional
advantage of stimulating plant growth. Phosphates are considered
to generate an endogenous SAR signal, because of calcium
sequestration at the points of phosphate application (Reuveni et al.,
1994). Similar enhancement of resistance of cucumber plants to
powdery mildew pathogen (Sphaerotheca fuliginea), following the
application of phosphates was also observed. The activities of
peroxidase and ß-1,3-glucanase were increased in the protected
noninoculated leaves of cucumber plants (Reuveni et al.,1997). These
results indicate the possibility of exploiting the induction of SAR for
the protection of crops against microbial pathogens by using
inexpensive chemicals without obvious adverse effects on the crops.
In the case of postharvest diseases, vacuum infiltration of Ca into
the apple fruits was more effective than field application in protecting
the fruits against gray mold disease (Conway and Sams, 1983).
Exogenous application of silicon (Si) as sodium metasilicate reduced
the development of Penicillium expansum and Monilinia fructicola
infecting sweet cherry fruit at 20oC. The extent of reduction in decay
was correlated to the concentrations of Si applied. Treatment with
Si induced significant increase in the activities of PAL, PPO and
PO in sweet cherry fruit. In addition, the biocontrol efficacy of the
yeast antagonist Cryptococcus laurentii was markedly increased,
when it was combined with Si application (Qin and Tian, 2005).
Organic compounds
Among the organic compounds, salicylic acid (SA), 2,6-
dichloroisonicotinic acid (INA), jasmonic acid (JA) and methyl
salicylate (MSA) have been tested frequently for their efficacy to
induce systemic resistance to diseases. They appear to induce the
same spectrum of SAR gene expression to levels comparable to
that induced by biotic inducers. Resistance to Cumber mosaic virus
(CMV) was induced by SA and this resistance was due to the
restriction of systemic movement of CMV. SA-induced resistance
was abolished by the application of salicylhydroxamic acid (SHAM)
(Naylor et al., 1998). Several of the pathogenesis-related (PR) genes
expressed during the development of resistance, produce
compounds inhibitory to microbial pathogens. Potato has marked
differences in SA metabolism and signaling from tobacco, as
reflected by high basal SA concentration in all tissues examined
including roots and tubers. However, it responds to exogenous
application of SA, showing high levels of expression of PR-1 (Navarre
and Mayo, 2004).
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Application of INA on green bean (Phaseolus vulgaris) resulted
in marked increase in the activities of chitinase and ß-1,3-glucanase
and accumulation of SA (Dann et al., 1996). Postharvest application
of JA and methyl jasmonate (MJ) reduced decay due to P. digitatum
in grapefruit cv. Marsh Seedless following natural or artificial
inoculation, by enhancing natural resistance of the fruits at both
high (24 o C) and low (2 o C) temperatures (Droby et al., 1999).
Treatment of seeds of melon with MJ and ethylene significantly
enhanced the resistance levels against Didymella bryoniae (gummy
stem blight), Sclerotinia sclerotiorum (white mold) and Fusarium
oxysporum f. sp. melonis (wilt). MJ treatment increased exochitinase
activity in melon seedlings, whereas ethylene induced both
exochitinase and peroxidase activities. The results indicate that some
inducible defences and associated resistance are independently
enhanced in melon seedlings by the action of MJ or ethylene,
suggesting the coexistence of different resistance mechanisms (Buzi
et al., 2004). Application of MJ enhanced the populations of the
biocontrol yeast Cryptococcus laurentii and protected the peach fruit
against the brown rot and blue mold diseases caused respectively
by Monilinia fructicola and Penicillium expansum. The yeast and
MJ, when applied alone or in combination, induced resistance to
these diseases by activating the defense-related enzymes (Yao and
Tian, 2005). Field application of methyl salicylate (MSA) reduced
the decay caused by Botrytis cinerea by one third compared with
controls. MSA was converted into SA and increased the activity of
chitinase. Since MSA is one of the natural volatile compounds in
strawberry fruits, it can be applied as a nontoxic alternative to
fungicide application (Kim and Choi, 2002). Pretreatment of barley
leaves with indole-3-acetic acid (IAA), tryptamine and tryptophan
solutions protected the barley plants against blast disease caused
by Magnaporthe grisea (Ueno et al., 2004).
Natural products
Natural products of plant and animal origin have been found to
be effective against some economically important diseases affecting
both field crops and harvested commodities. Application of antiviral
principles from sorghum and coconut leaves has been demonstrated
to be effective against virus diseases affecting groundnut, rice and
tomatoes ( Narayanasamy, 1983; Narayanasamy and Ganapathy,
1986; Narayanasamy, 1990; Muthulakshmi and Narayanasamy, 2000;
Narayanasamy, 2003). Leaf extract of Datura metel was found to
have both antimicrobial activity and ability to induce resistacne
against rice pathogens Rhizoctonia solani and Xanthomonas oryzae
pv. oryzae (Kagale et al., 2004). The unsaturated fatty acids from
515
the zoospores of Sclerospora graminicola induced resistance in pearl
millet against the same pathogen (Amruthesh et al., 2005). Chitosan,
derived from crab-shell, has been shown to be effective against
several diseases. Chitosan applied as seed coating and substrate
amendment effectively protected tomatoes against the wilt disease
(Benhamou et al., 1994). The effectiveness of chitosan in protecting
crops such as cucumber against damping-off (El Ghaouth et al.,
1994) and tomatoes against late blight and wilt diseases (Oh et al.,
1998) has been reported. Treatment of fruits and vegetables prior to
storage provided effective protection against important diseases such
as Rhizopus rot ( Wilson and El Ghaouth, 1994) and gray mold
diseases (Reddy et al., 2000) in strawberry, brown rot in peaches (Li
and Tin, 2001) and green mold disease in citrus (Benhamou, 2004).
Chitosan treatment elicited various defense-related responses such
as reinforcement of structural barriers and production of antimicrobial
compounds.
Plant activators
The bio-efficacy of plant activators such as DL-ß-aminobutyric
acid (BABA), benzo-(1,2,3)-thiadiazole-7-carbothioic acid S-methyl
ester (BTH) and acibenzolar-S-methyl (ASM, derivative of BTH) in
protecting plants by inducing resistance to diseases has been
assessed. Treatment of grapefruit with ß-aminobutyric acid (BABA)
induced resistance to green mold disease caused by P. digitatum,
in a concentration-dependent manner, protection being most effective
at a concentration of 20 mM. Various defense-related responses in
grapefruit peel tissues, including activation of chitinase gene
expression, protein accumulation and increase in PAL activity were
observed (Porat et al., 2003). Induction of resistance by BTH in
several crops to various diseases has been demonstrated: in
sugarcane against red rot disease (Sundar et al., 2001), in cauliflower
against downy mildew (Ziadi et al., 2001), in rose against black spot
disease ((Suo and Leung, 2002), in rice against bacterial blight (Babu
et al., 2003), in melons against white mold and gummy stem blight
diseases (Buzi et al., 2004) and in pear against fire blight disease
(Sparla et al., 2004). The effectiveness of acibenzolar-S-methyl
(ASM, as Actigard 50 WG) a synthetic inducer of SAR and PR-
protein production, was assessed against fire blight disease in apple
trees. The severity of fire blight disease caused by Erwinia
amylovora on inoculated shoots of Fuji apple was reduced in a dose-
dependent manner and when it was combined with streptomycin,
the effectiveness of protection was enhanced (Maxson-Stein et al.,
2002). Likewise, induction of resistance to scab disease in Japanese
pear by treatment with ASM and production of defense-related
516
enzyme phenylalanine ammonia lyase in pretreated pear leaves
following inoculation with the pathogen Venturia nashicola were
observed (Faize et al., 2004).
The disease management strategy based on inducing resistance
in crops and harvested produce to diseases caused by microbial
pathogens has the potential for large scale application under field
conditions. Various kinds of biotic and abiotic inducers of disease
resistance have been identified and their usefulness as alternatives
to synthetic fungicides, bactericides and viricides has been indicated
by researchers. However, in certain pathosystems like groundnut -
late leaf spot(LLS) disease (Zhang et at., 2001) and citrus - canker
disease (Graham and Leite Jr., 2004), the inducers of resistance
tested, did not prove to be effective in protecting the plants. The
need for further screening and selecting the effective ones has to be
recognized to provide protection to such crops to the required level,
as in the case of groundnut LLS (Kishore et al., 2005). The
mechanisms of induction of resistance to different microbial
pathogens have not been understood clearly indicating that further
research is required to throw more light on them.
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UNCOMMON OPPORTUNITIES FOR PLANT
PATHOLOGY
S. Nagarajan1 and T. R. Sharma2
1
Indian Agricultural Research Institute, New Delhi -110012
2
National Research Centre on Plant Biotechnology, IARI, New Delhi
INTRODUCTION
Knowing pretty well that foretelling the course of development
invariably ends as a hopelessly wrong prediction, we continue to do
it for reasons of shear excitement. And if the prediction becomes
true then he becomes a visionary. To attain such a status many
work tirelessly and here is one such effort.
In the beginning, research in Plant Pathology was to establish
the etiology of the disease, understand the life cycle and in
establishing the taxonomic status of the causal agent. The next
phase was on designing various control measures that resulted in
the formulation of Bordeaux mixture and other complex fungicides.
Researches of Biffin led to breeding for disease resistance, a new
tool to contain plant disease, in understanding the genetic basis of
disease resistance and in varietal development. Stakman explained
the reason for the breakdown of such varieties and the concept of
races and virulence gained ground. The Gene-for Gene theory of
Flor, in our opinion is one of the landmarks in the development of
plant pathology. Both plant pathology and genetics became the
inseparable two sides of the coin. Vanderplank further sharpened
the skills of plant pathologists in handling disease control through
the resistant host.
The role of bacteria, virus, viroid, mycoplasma and an array of
submicroscopic disease causal agents, the role of vectors in
transmitting these organisms, ultra structure details, serodiagnosis,
and cleansing the material free of these organisms attracted global
research efforts.
The microbes provided several restriction enzymes, plasmids,
promoters, sequences and vectors as tools for gene transfer /
expression and strengthened fundamental molecular biology
research. Genomics, nanobiology, gene discovery, gene regulation,
understanding molecular basis of cell death, application of
computational science, sanitary & phytosanitary issues and risk
analysis are likely to gain more attention. We venture to probe into
what it is likely to be.
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Programmed cell death
In host-pathogen interaction in many plants host cell death leads
to disease resistance or susceptibility depending upon the lifestyle
of the pathogen. Suppression of programmed cell death (pcd) is
commonly caused by the invading pathogens in case of animal
systems. However, in case of plants, invading pathogen often triggers
pcd leading to disease resistance, in the form of hypersensitive
response. It is now clear that host cell death is intimately linked to a
number of signaling pathways that influence other defense processes.
In contrast, cell death also promotes the aggressiveness and also
helps in dissemination of some pathogens during pathogenesis.
Therefore, understanding cell death mechanisms is essential in both
host disease resistance and susceptibility responses. Depending
upon host- pathogen interaction, if cell dies by different mechanisms,
this information could be selectively used to target different
pathways, which could lead to the development of diagnostic tools.
This would help in the dissection of cell death and defense regulatory
networks. It has recently been reported that cell death associated
with pathogenesis in plants has common regulatory and mechanistic
features with apoptosis in animals (Liang et al., 2003).
Cell death mechanisms during resistance response
Disease resistance associated with hypersensitive response
(HR) is one of the most important cell death responses in plants
which involves coordinate activation of many defenses that limit
pathogen growth (Greenberg, 1997). It is now proved in most host-
pathogen interactions that HR is triggered because of the
correspondence between a dominant host-resistance (R) gene and
a dominant pathogen avirulence (Avr) gene as suggested in a
classical gene-for-gene hypothesis (Flor, 1971). This is due to either
direct or indirect interaction between the R-gene and Avr gene products
depending upon the R-Avr gene pairs. The direct physical interaction
between plant disease resistance gene (Pto) and AvrPto kinases
has been reported (Tang et al., 1996). In another study, Jia el al.,
(2000) showed direct interaction between blast resistance gene Pita
and Avr gene of Magnaporthe grisea leading to disease resistance.
It has been suggested that HR is an active process of the host
and may be a form of programmed cell death (pcd), hence host cells
must be metabolically active and in some cases, HR requires active
host protein synthesis for its induction by fungi (Heath, 2000). Genetic
control with positive and negative gene regulation of HR has also
been suggested in subsequent studies. Even morphology of cell
525
undergoing the HR at late stages suggests that it is a form of pcd
with some apoptotic features (Lavine et al., 1996). Ultra structural
analysis of morphological events that occur during the HR in
Pseudomonas syringe infected lettuce showed early changes in
mitochondrial morphology (Swelling and cristae disorganization) which
is similar to what occur in animal cells undergoing apoptosis
(Wakabayashi and Karbowski, 2001). At the later stages of infection,
membrane dysfunction and progressive vacuolization of the
cytoplasm have been reported. However, apoptosis related chromatin
condensation and endonucleolytic cleavage have not been reported
in HR of plants. To address some of these issues, Greenberg and
Yao (2004) analyzed interaction between Puccinia coronata and oat
and interaction between Arobidopsis and avirulent strains of P.
syringae. They observed that cells adjacent to the first cell that die
have the apoptotic features of chromatin condensation and
endonucleolytic cleavage but no evidence of oncosis in both the
interactions was obtained. They suggested that cells in an infection
zone might die by multiple mechanisms, which require further
investigations.
Simple experimental systems can be used to study the signaling
requirements and mechanisms of cell death during HR. Particularly,
pathogen-derived molecules like elicitors which induce HR have been
used either by applying them directly to plant cells or by expressing
the genes for these elicitors in plant cells. In some studies direct
infection of plant cell cultures with the pathogen propagules has
been used. Such systems are potentially very powerful for identifying
HR signaling components for determining the relationship between
cell death and other defense-related events and analysis of organelle
changes in cell death. These approaches have been used to study
the oxidative burst (Heath, 2000) and ion channel (Atkinson et al.,
1996, Wendenhenne et al., 2002) implicated in HR.
The contribution of HR, in resistance response can be studied
by selective inhibition of HR. This can be done by knowing the
components of cell death machinery and the selectivity of the
reagents used to inhibit the machinery (Greenberg and Yao, 2004).
For instance, in plants there is some evidence that the HR involves
the induction of caspase-like activities. If in plants these caspase-
like activities are truly specifically involved in activating pcd, then
they provide an ideal target to disrupt, in order to test the involvement
of the HR in resistance. However, to establish rigorously whether
these plant caspase-like activities are solely involved in the cell
death control, is a challenge for the future analysis of mechanisms
of cell death in susceptible host-pathogen interactions.
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In susceptible host-pathogen interactions, cell death leads to
successful colonization and replication of the pathogen. Induction
of cell death with apoptotic features has been reported in oat infected
by pathogens like fungi, viruses and bacteria (Yao et al., 2002).
They obtained apoptotic like events in the directly infected cells and
or in the neighboring cells depending upon the infectious agents.
These morphological features showed that cells die with same
mechanism. However, more rigorous and comprehensive tests of
the use of apoptotic cell death inhibiters should be performed to
examine whether it is because of the alteration of pathogen growth
or disease symptoms. A baculovirus protein p35 showed reduced
cell death in tomato tissues treated with a mycotoxin (Linoln et al.,
2002). These plants also showed reduced symptoms with a number
of pathogens. It has also been reported that tomato plant containing
N resistance gene and baculovirus protein p35 had less dehydrated
cell death and enhanced spread of the tobacco mosaic virus (del
Pozo and Lam, 2003). The alteration of both susceptible and
resistance responses by the same anti caspase protein suggested
that cell death pathway target is common to both the HR and
susceptible host responses.
There are still many unanswered questions about the role,
regulation and mechanism of pcd during host-pathogen interaction.
It is still unclear whether there exist multiple mechanisms of cell
death execution and regulation in infected genes and in different
plant species. Is cell death truly important for disease resistance or
susceptibility. Since, ectopic expression of anticaspase p35 protein
in plants affects cell death in both the HR and susceptible host-
pathogen interactions, it might be possible that common basal cell
death machinery is engaged during different responses. It might be
possible that if some pcd steps are common in between resistant
and susceptibility responses other aspects of pcd are different
(Greenberg and Yao, 2004). In future, analysis of the role of cell
death in plant pathogenesis by inhibiting cell death machinery
selectively and simultaneously and to monitor other defence and
pathogenesis-related events as well as contribution of pcd in
resistance and susceptibility should be established. This will help
in detecting the potential targets for genetic engineering of novel
resistance genes by modifying the expression of host genes that
facilitate susceptibility.
Molecular interaction among plant and pathogens
Many models have been proposed in the recent past to explain
the interaction between plant and plant pathogens. However, current
knowledge is insufficient to explain precisely these interactions
527
depending upon the nature of pathogen. Such interactions can be
explained both by pathogen and plant derived molecules. Pathogen
derived molecules such as avirulence gene products involved in
host-specificity and association of hrp gene products with
hypersensitive response are important in obligate pathogens. On
the other hand necrotrophic pathogen produced a wide range of extra
cellular enzymes, which enabled pathogen entry in the host cell by
degrading cell wall polymers. Besides, some plant produced
pathotoxins, which kills plant cells preventing them from responding
in a coordinated manner to resist infection.
Plant derived molecules specifically involved in plants
possessing resistance genes are specific to the pathogen races.
These are generally ineffective against other pathogens. Hence, a
very specific molecular signaling reaction should occur between
avirulence gene product and a resistance gene product i.e. receptor.
Resistance gene products have conserved protein domains involving
membrane-spanning regions leucine-rich repeat which are associated
with proteins involved in protein/protein binding. There are many R-
genes, which are involved in signal transduction e.g. transcription
factors, which are present as gene families. Hence, different family
members respond to different stimuli. Besides, pathogenesis related
proteins (PR-proteins) increase after infection and is thought to be
associated with resistance response.
Evolution of resistance genes
High variability in pathogens leads to break down of resistance
in many plants. This is because of the high mutation rate of many
plant pathogens. The mutants who have changed from avirulent to
virulent will have a selective advantage as their host-range has been
broadened and they will multiply more efficiently. Plants, however,
have a wide range of recognition specificity and susceptibility is the
exception, suggesting that co-evolution between host and pathogen
frequently occurs in nature. Genome organization of R-gene locus
in plants can provide clue to the mechanism by which sequence
diversification in plant resistance gene is promoted. Some R-genes
such as Hm1 and RPM1 (Johal and Briggs, 1992, Grant et al., 1995)
are only present as a single copy gene and are absent in susceptible
plants. However, most of the R-genes are organized in complex loci
and contain an array of homologous genes. These R-gene clusters
are, Rp1, Rpp5, Xa21, Pto, Dm3, I2, N, M, and the Cf genes. The
tandem array organization of homologous sequences probably
facilitates inter- and intragenic recombination events, unequal
crossing over and gene duplications (Michelmore and Meyers, 1998).
Therefore, decoding of complete plant genome sequences, i.e.
528
Arabidopsis (The Arabidopsis Genome Initiative, 2002) and Rice
(IRGSP, 2004) has opened a vistas of many new studies about
genome organization of specific R-locus in different plant species.
The future studies will thus be centered on the genome analysis of
model plant species and comparative sequence analysis of specific
locus as well.
Nanobiology
The technology, which deals with the nano-meter sized objects,
which is developed at materials, devices and systems, is called as
nano-technology. Future achievement in scientific knowledge and
its commercial application will be at the nanomaterial levels. This
nano-level technology would be having far reaching affects in all
walks of life and in scientific breakthrough as well. In biological
science, if we consider a single cell, it is made up of various sub-
micron size domains like proteins which is about 5nm in size and
can be easily compared with the smallest manmade nanoparticales.
Understanding complex macro-molecular structures at nano-scale
would be an exiting area of research in the biology. Many supra
molecular and self-assembly structures like various membranes and
protein complexes, being biological origin form an interface between
nanotechnology and biotechnology. The characteristics of these
biological structures can be exploited in nanostructure design and
development. The single molecules (DNA and protein) of these
nanostrctures, and their manipulations can be observed by Scanning
Tunneling Microscopy (STM) and Atomic Force Microscope (AFM).
In plant pathology, nanotechnological methods can be employed in
various applications. These includes, bio-detection of plant
pathogens, labeling of protein molecules with fluorescent probes to
study the protein-protein interactions, detection of specific proteins
expressed during host-pathogen interaction, identification and
detection of specific pathogen population dynamics in different types
of soils by using nanoparticales as biotags. For instances, biological
coating may include antibodies, biopolymers like Collagen (Sinai et
at., 2003) and making nanoparticales biocompatible by making
monolayers of molecules on them (Zhang et al., 2002).
During the post genomic era, when huge amount of protein and
DNA sequence data will be available for different organisms including
plants and plant pathogen, need for the development of high
throughput screening technologies will increase. Even various micro
array technologies being used during these days would likely to
reach up to saturation level when number of array elements exceeds
several million folds. In that case, a three dimensional approach,
based on optical bar coding of polymer particles in solution can
529
reliably be produced and detected by means of number of unique
tags (Han el al., 2001). The organic dyes used in various bio-tagging
applications have been successfully replaced with single quantum
dots of compound semiconductors (Park el al., 2003). Such bio-
tagging techniques would be very useful in pathogen detection at a
single cell level or even detecting traces of harmful chemicals in the
food and feed with greater precision and high throughput manner.
Basic understanding of host-pathogen interaction can be achieved
by studying the protein-protein interaction and analysis of various
defense responses at nano-scale levels. Being an important part of
living cells, structure and function analysis of specific proteins is
highly essential. We know that gold nanoparticles are widely used in
immuno-histochemistry to identify protein-protein interactions.
However, the multiple and simultaneous detection capabilities of
this technique are fairly limited. Single dye molecules can be easily
detected by using a well-established technique like, surface
enhanced Raman scattering spectroscopy (Cao et al., 2003). By
combining both methods in a single nanoparticle probe, one can
drastically improve the multiplexing capabilities of protein probes. A
sophisticated multifunctional probe built around a 13 nm gold
nanoparticle has been designed. They coated the nanoparticles with
hydrophilic oligonucleotides containing Raman dye at one end and
terminally capped with a small molecule recognition element (e.g.
biotin). Since, this molecule is catalytically active and can be coated
with silver in the solution of Ag (I) and hydroguinone. Once the probe
is attached to a small molecule or antigen it is designed to detect
the substrate, which is exposed to the silver and hydroquinone
solution. Silver plating is happening close to the Raman dye, which
allows for dye signature detection with a standard Raman microscope
(Cao et al., 2003). The major thrust in further development of nano-
materials would be to make them multifunctional and externally
controlled, so that these can be converted into nano-devices.
Functional genomics of pathogens and plants
Genome analysis of pathogens
Structural genomic studies of many plant pathogens are
underway in different international and national consortium. Complete
genomes of bacterial pathogens Xyllela fastidiosa (Simpson et al.,
2000) and Ralstonia solanacearum (Salanoubat et al., 2002 ) and
fungal pathogen Magnaporthe grisea (www.broad.mit.edu/ annotation/
fungi/ magnaporthe) have already been decoded. Besides, genome
sequencing of various pathogen genomes are underway in different
international genome initiatives. These projects also include
expressed sequence tags (EST) projects from a variety of
530
developmental and infection stages as well as targeted sequencing
of contigs of bacterial artificial chromosome clones representing
selected regions of the genomes. These large scale sequencing
approaches have great promise in understanding the molecular basis
of pathogenicity and specificity in pathogens by facilitating the
isolation of novel virulence and avirulence genes as well as by helping
in identifying targets for chemical control. Mining for the candidate
genes for above functions will be of great use in near future.
Gene silencing is a very popular technology currently being
used in different pathogens. Gene silencing can be associated with
a lack of specificity, if a family of closely related genes is targeted.
There are various approaches used for gene silencing in different
pathogens. Van West et al., (1999) showed that a promoter less full-
length cDNA clone of the inf 1 could be used without modifications
to transform Phytophthora infestans and to generate silenced strains.
Other methods for targeted gene knockout are being developed
(Kamann, 2000). In addition to loss of function assays, gain of function
or complementation assays can be set up by using heterogeneous
pathogen species. The candidate genes of interest that are known
to lack a functional copy of the gene often carry a mutated orthology.
Though lot of work on structural and functional genomic studies of
plant pathogens is underway world over, there is no report on these
aspects from India. There is a need to use genomics approaches
for the analysis of highly evolving wheat rust races, and other highly
variable pathogens. This will help in better understanding of the
molecular basis of pathogen virulence and avirulence gene.
Genome analysis of plants
After the complete genome sequencing of Arabidopsis (The
Arabidopsis genome initiative, 2000) and Rice (IRGSP, 2004) many
plant genome initiatives are now underway. We will get complete
blue print of important plant genomes in a few years time. The whole
genome sequence data are in public domain that can be used in
various ways for the development of superior genotypes of major
crops. However, once large sets of sequence data are available, the
research focus needs to shift to functional analysis of the newly
discovered genes. The major challenge in the post genomic era
would be to link a sequence to phenotypes with as little experimental
effort as possible. Using computational tools for data mining robust
high throughput functional assays would be used routinely.
Seed as the wrapped technology
Seed is an important input in agriculture. In the beginning, local
land races that were grown as a mixture were purified and released
531
as varieties since they had distinct yield advantage. Following this
crossing between two superior lines and selecting from the
segregating progenies, plants having superior traits adopting the
pedigree system of improvement came into practice. The
development of disease resistant varieties integrated into the seed
not only good agronomy but also plant protection more so the
fungicidal effects as many of these lines had inherent resistance to
diseases. So the use of fungicides for disease control became
unnecessary.
High seed moisture levels impair the seed quality and this favors
the growth of a number of microbial organisms on the seed surface
that interfere with the seed viability. When seeds are used for sowing,
these contaminated seeds rot in the soil or produce weak seedlings
that have low yielding potential. Also there are several bacterial,
fungal and virus diseases that are seed borne in nature. Through
them infection foci is established in a young crop and under congenial
weather, the pathogen spreads causing considerable crop loss. To
contain this, seed treating fungicides were developed and since the
organo-mercurials had environmental consequences, they were to
be withdrawn and replaced with better ones. Seed encapsulation
with beneficial biocontrol organisms, VAM, nitrogen-fixing organisms
are now becoming common.
There is a new opportunity now for the seed business to wrap
pesticide inside. The transgenic cotton (Bt cotton) carries inside
the gene fragment from Bacillus thuringiensis that produces
insecticidal proteins against Heliothis armegira (American boll worm).
By doing so now the cotton hybrid carries with it a good plant
protection weapon. By encapsulation techniques biocontrol agents
and beneficial organisms can be embedded to the seed exterior.
The Bt gene parked in the genome of cotton carries the specific
insectide and hence, seed has become a multiple delivery system
(transgenics, resistant varieties, cross protection).
Plant-Pharma is becoming a reality as plant genome has been
amended to produce vaccine against some of the human virus
diseases. So the delivery of vaccine for public health can be made
simple and Plant-pharma transgenic banana can reach-out to remote
corners of the country. The need to have refrigerated facilities to
store vaccine etc may become unnecessary. However our plant
pathologists and the seed industry is still not geared to reap the
benefit of this development. Plant virology has several things in
common with animal and human viruses, particularly the
serosystems.
532
Cropping system pathology
A specific cropping system can play important role in the
perpetuation, infection and spread of plant pathogens in different
epidemiological regions. Different cropping systems exist in different
agro climatic regions of India both in irrigated and dry land agriculture.
Even pathogen diversity and prevalence are also specific to the
both upland and low land areas. Hence, disease management
strategies would also be cropping system dependent. For instance,
northern plain zones of India has witnessed the grand success of
Green Revolution starting from the seventies because of a very
specific Rice-Wheat cropping system along with intensive use of
fertilizers, chemical pesticides and irrigation. Hence, pathological
problems were also specific to this cropping system. However, now
the agriculture is being diversified. Farmers are being attracted to
grow short duration cash crops like vegetables. This has also
changed the pathogen profiles in these areas leading to the study of
pathogens, specific to the changed cropping system. There is thus
complete shift in the disease management strategies. One has to
find new ways to tackle such problems for increased agricultural
production.
With the introduction of genetically modified (GM) crops, in the
existing cropping system, plant diseases have to the managed
differentially. Though in India only GM cotton hybrids MECH-12,
MECH-162 and MECH-184 developed by MAHYCO hybrid Seed
Company have been released for the commercial cultivation in March
2002, in the beginning, these 3 hybrids covered about 40,000 ha
area in the central and southern parts of the country. These GM
cotton contain Bt insecticidal gene derived from the soil Bacterium
Bacillus thuringiensis that impart resistance to the bollworm insects,
i.e. American boll worm (Hellicoverpa armigera), spotten bollworm
(Earias insulana / E. vitells) and pink bollworm (Pectinophora
gossypiella). Planting of Bt-cotton is expected to curtail excessive
use of broad-spectrum insecticides used every year for the control
of these pests. However, this technology is also not free from the
threat and concerns. Apart from the concerns of health and
environmental hazards, horizontal gene transfer and issues of the
development of antibiotic resistance, emergence of new insects and
diseases, which were otherwise virtually non-existence in nature
may become predominant. For instance, Bt-cotton hybrid MECH
162 was found more prone to the Para wilt during its first year of
cultivation in India (Bambabale et al., 2004). Where as another
transgenic Bt-cotton hybrid MECH12 is known to be sensitive to
jassids. Though it is very early to predict possible success or failure
of Bt-cotton in India, it is going to take a sizeable area under
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cultivation in the years to come. In near future, we can also expect
more number of GM crops in the cropping system in India. Hence,
one has to be cautious about the incoming new plant protection
problems. Though most of the GM crops, which are in pipeline for
their release in India, are targeted to insect resistance, we can expect
new disease problems in epidemic proportion specifically because
of the Vertifolia effect. The genetically uniform crops (specifically
GM) might be cultivated on a larger scale hence, occurrence of
devastating epiphytotics cannot be ruled out.
Therefore, a comprehensive plan should be developed for the
use of GM crops over time and space. We should combine more
than one gene in a cassette, possibly, insect and disease resistance
genes together, and then transfer them to the desirable genotypes.
Secondly, different genes, if used singly, can be deployed in different
zones as per well-known gene deployment strategy being followed
for the control of wheat rusts. Thirdly, GM crops can be successfully
used as one of the components of integrated pest management
programmes. It has already been demonstrated successfully for the
pest management in Nanded district of Maharastra, India (Bambawale
et al., 2004). With the increased awareness and health
consciousness, now pesticide free or organically grown crops are
being preferred in India. This will further add new or changed plant
pathological problems in the ecosystem. Organic farming though
considered environmentally safe, its effect on pathogen population,
specifically dynamics of soil borne pathogens have to be looked
differently. This will definitely help in finding new bio-control agents
from the ecological nitche and their formulations has to be improved
for integration in the production of chemical free plants. Are the new
types of crop cultivation suppressing or increasing particular types
of pathogen population, have to be studied more systematically and
comprehensively.
New pesticide application procedures
Application of pesticides for the management of biotic stresses
(diseases, insects and weeds) has great role in maintaining crop
health. Specific research efforts focused on the improvement of
pesticide application in agriculture is essential for crop protection
and environment safety as well. Foliar application of fungicides is
an important method used for the management of infectious plant
diseases by creating chemical barrier on leaf, stem or flower surfaces
against the incoming pathogens. A spray method must provide the
best combination of practical usefulness and good coverage to both
upper and lower surface of the leaves. A suitable spreader-stickers
or spray adjuvant can be added to the fungicides. In soil borne
534
diseases, drench applications of fungicide may be more effective.
For this, a very close attention should be paid to soil type, texture
and pH, which influence the efficacy of the fungicides. Proper timing
of fungicide application is another important consideration. In most
of the cases, fungicides are not effective in plant disease
management, if pathogen infection has already occurred in the plant
tissues.
Basic fungicide application strategy should be focused on
application system development, drift management, efficacy
enhancement and remote sensing. Future research on application
system should include, sensor controlled hooded sprayers, new
approaches to direct chemical injection and aerial electrostatic
sprayers. For the accurate field application, on-board flow controllers
should be used. Aircraft parameters such as boom position and
spray release height can be suitably altered to determine their effect
on the drift. The basic drift management research should be focused
on testing of low drift nozzles, evaluation of pulsed spray technologies
and evaluation of drift control adjuvant. After application, the fate of
fungicide in soil should be studied which is mainly dependent on the
soil properties. Soil characteristics heavily influence the fungicide
efficacy and dissipation in the environment. With the changing
agricultural practices, fungicide formulations have also been changed.
For the control release of fungicides in the target areas,
microencapsules of fungicides play an important role (Review, Tsuji,
2001). Micro encapsulation of pesticides has considerably improved
handling safety due to hazards and exposure reduction.
Recent advances in electronics, remote sensing and computer
application have resulted in the precision application of pesticides.
Advances in electronics has played an important role in the
developments related to the control use of pesticide by better
matching applications to the target requirements. This may require
spatial distribution of weed, pest or disease or methods by which
the target, particularly a crop canopy can be described with respect
to a given application (Miller, 2003). Hence, specific infected crop
patches should be identified and selectively sprayed with the
effective fungicides. Patch spraying can considerably reduce the
excessive use of pesticide in the target environment. In widely spaced
row crops like vegetables, fully automated detection system based
on image analysis can be developed which will guide the application
of pesticides only in crop rows. In case of cereal crops, studies
have been shown that saving in fungicide use may be possible,
particularly at earlier stages of growth by adjusting spray delivery to
measured canopy characteristics.
535
In many countries specifically in USA, Remote sensing systems
are being used to identify disease-infected areas in the field so that
spray can be directed only to those areas. In India too, this can be
employed specifically in those crops where fungicides are used over
a wide areas like Apple Scab or potato late blight for specific
application of fungicides in the infected patches.
Pesticide transport models are being used as a tool to develop
effective pesticide management studies by the use of Root Zone
Water Quality Model (RZWQM) as discussed by Malone et al. (2004).
The model RZWQM is a physically based agricultural systems model
that includes sub-models to simulate pesticide infiltration, run off,
water distribution and chemical movement in the soil, macro pore
flow and chemical movement through macro pores,
evapotranspiration, heat transport, plant growth, organic matter /
nitrogen cycling, pesticide process, chemical transfer to runoff and
the effect of agricultural management practices on the process. It
has been shown that if key input parameters are calibrated, RZWQM
models can adequately simulate the process involved in pesticide
in different agro climatic zones of India for effective and specific
use of fungicide in different crops.
With the increased emphasis on protected cultivation in India,
management of diseases in the green house environments could be
tackled by using specific fungicide application. A new approach to
fungicide application in green houses has been named as Envirosol
technology. This technology uses carbon dioxide to deliver pesticides
as aerosol droplets into enclosed spaces like green houses. Envirosol
products such as Permigas, Pestigas, and Insectgas are
commercially available. For instances, Floragas and Hortigas have
been developed as post harvest fumigants for the treatment of cut
flowers and asparagus (Carpenter and Stocker, 1992). Growers use
high volume spraying with motorized pumps and reduced-volume
spraying with thermal pulse-jet foggers in controlling green house
diseases and insect pests. These applications too have runoff of
excessive pesticide. Hence, specific user-friendly green house
fungicide application technologies have to be developed in the future.
Environmental pollution and increased health hazard linked to
the excessive use of pesticide would be the major concern in the
years to come. Therefore, effective regulation and risk management
of pesticide contaminants in the environment, development of reliable
pesticide monitoring technology is essential. Currently gas-liquid
chromatography (GLC) and liquid chromatography (LC) methods are
being used (Lee and Kennedy, 2001). However, immuno analysis
can provide a powerful monitoring technique, which is scalable for
536
high throughput, rapid, accurate and relatively inexpensive technique.
This technique is versatile in application, can be custom made for
different quantitative and qualitative analysis of pesticide residues
and tests can be conducted at field level. Immuno diagnostics and
their application in the monitoring of chemical contaminants in the
environments warrant immediate attention.
Judicious use of pesticide and improved methods of application
can greatly reduce the environmental and health hazards.
Chemigation, direct injection, closed system handling, and fertilizer
impregnation technology would be of great use in this endeavor.
Besides, fungicide should be used as an important component of
integrated pest management for reduced use of chemicals. An
effective education programme about the specific and judicious use
of pesticide can play an important role in future programmes on
pest-management and increased agricultural production.
Harmonizing trade related plant pathology SPS, PRA etc
Liberalization of world trade in agriculture with the advent of
WTO has thrown up challenges and has also opened up new vistas
for growth. The devastating effects of introduced diseases and pests
along with the movement of agricultural produce and products have
been known throughout history. However, global legal standards in
the form of sanitary and phytosanitary measures (SPS) have been
promulgated recently. The SPS measures include :
l to protect animal or plant life or health from risks arising
from the entry, establishment or spread of pests, diseases,
disease causing and/or carrying organisms,
l to protect human and animal life and health from risks arising
from additives, contaminants, toxins or disease causing
organisms in food, beverages or feedstuff.
It also recognizes Governments right to take sanitary and
phytosanitory measures but stipulates that they must be based on
science, should be applied only to the extent necessary to protect,
human, animal and /or plant life or health and should not discriminate
between members. We have to ensure that the member countries
do not misuse this agreement to act as a barrier to trade.
Possessing one of the largest and diverse agriculture, India
understands well the implications of SPS agreement and wishes to
apply it to our advantage to facilitate export and import of agri-
products. Due to removal of quantitative restrictions in import, there
might be a huge inflow of agricultural commodities for which the
matching testing facilities at our quarantine stations should be
upgraded. A network approach has to be worked out at national
level.
537
The SPS agreement also encourages the use of pest risk
analysis (PRA) on the basis of an evaluation of actual risks involved
and the appropriate level of protection defined. Survey and
surveillance of various pests and pathogens should be taken up as
per IPPC norms for identification and declaration of pest free areas,
which may be of great help in promotion of exports. This will require
regular and constant technical survey/surveillance, which needs
coordinated efforts by all States and UTs. Meeting the sanitary and
phytosanitory requirements of most of our developed country trading
partners also calls for substantial investments in developing adequate
infrastructure facilities. Standards have to be established for all
agricultural and food products and action should be taken to notify
them. We cannot prescribe higher standards for imports than that
are prescribed for domestic products. Also it is necessary to assess
the difference between Indian and International standards and analyze
the reason for the gap and work out the manner of harmonizing our
standards with the international standards wherever required.
Thus, though there are provisions for member countries to
control entry of materials according to their national standards yet
the sanitary and phytosanitary measures require a more concerted
effort from the less developed countries to protect their own interests
of export and import. Standards need to be established for all
agriculture and food products.
Summary
In the last 100 years, there has been an impressive growth of
plant pathology as a science in India. Plant pathology developed
into various spheres of activity beginning with an emphasis on the
correct diagnosis of the various causal agents, their culture
maintenance and taxonomic research. Simultaneously, disease
control strategies were developed through breeding for disease
resistance, agronomic manipulations, chemical control etc. Thus,
the science of plant pathology contributed significantly towards the
stability of agricultural output and in averting the outbreak of
epidemics.
In the last two decades there is a great deal of shift towards
molecular taxonomic characterization of the bacterial plasmid
downstream between the host and pathogen and signaling a pathway
in inducing host resistance. With the increased globalization of
agricultural trade and commerce issues related to quarantine
research, risk analysis, level of residue in food material has started
drawing attention. Transgenic technology offers great opportunity
for designing virus resistant plant and in the incorporation of resistance
to nematode and insect pests. There is no strict boundary between
disciplines now trans-discipline knowledge become essentiality to
be in the forefront of development.
538
Application of physical and computational sciences gives us
an opportunity to monitor crop damage and in making yield
assessment through simulations. Application of micrometeorology
has led to the development of accurate disease prediction systems
and by using the highly specific molecules that are fungicidal in
nature plant disease can be effectively kept below the economic
threshold. Application of nano-science and molecular biology and
plant-pharma are emerging new opportunities. The next hundred
years, therefore, will see a totally different development and will call
for an in-depth knowledge for making continued progress.
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540
DESIGNING VEGETABLES WITH IMPROVED
NUTRITIONAL CONTENTS
S. Shanmugasundaram
Deputy Director General-Research-(Retired)
AVRDC-The World Vegetable Center
Shanhua, Tainan, Taiwan 74151
INTRODUCTION
Vegetables are the major source of plant proteins, vitamins,
minerals, plant fibres and various functional nutrients. In addition,
vegetables also contain bioactive compounds such as simple phenols,
carotenoids, flavanoids, indoles, glucosinolates, organosulfides,
polyphenols, protease inhibitors, phytoestrogens, isothiocyanates
and others. Therefore, vegetables have an extremely important role
to play in human nutrition and health. It is well known that nutritionally
secure population is the engine for economic growth and
development. In Indian and Chinese culture different vegetables have
different functions, some are warm and others are cold. The Chinese
call it the Yin and Yang effect to the human body. In fact the
vegetarians in India and around the world depend on plants as the
main protein, vitamins and minerals source in their diet. In ancient
literature in India and in Indian medicine, vegetables, spices and
herbs are the key ingredients (Krishnaswamy, 2004). Vegetables
contain not only known healthy nutrients but also toxic chemicals
which when consumed in right amounts improve health and overcome
non-contagious nutritional disorders (Duncan, 1988). However, we
have to recognize that all nutrients (and antinutrients) in the food
play a collective role, synergistically, each nutrient playing a part in
a team (Gopalan et al., 1989). It will be a poor strategy to converge,
what is essentially an orchestra in to a solo. In this paper, the
genetic variability for nutritional traits in selected vegetables,
opportunities to make genetic improvement, progress made at
AVRDC-the World Vegetable Center and strategic role of
biotechnology in making nutritional improvements in vegetables will
be presented.
Food Security and Nutritional Security
Agricultural production of staples, especially that of rice and
wheat and to a lesser extent maize and millets, increased in all
countries (APO, 2001). In spite of it, each day 800 million people go
to bed hungry and 170 million children under 5 years of age are
541
malnourished. It has been branded as an avoidable tragedy (IFPRI,
2002). It is true that cereals are the mainstay of the poor people and
cereal production is essential for sustaining the livelihood of the
poor. In the past, to a large extent our policy framework and
investment priorities for agriculture were designed for addressing
the issue of food security in the country said Dr. Manmohan Singh,
the Prime Minister of India in a recent interview (IFPRI FORUM,
2005). Since the green revolution countries like India are no longer
in chronic shortage of staples. Therefore, the Governments policy
framework will focus on providing incentives to specific high value
crops. Vegetables and fruits are among those crops.
More than 2 billion people worldwide, especially those living in
poorer countries suffer from micronutrient deficiency (Graham and
Welch, 1996). A growing awareness for nutrition and health among
many segments of the population in developed and developing
countries is drastically changing the dietary habits of the people.
Obesity, heart disease due to high cholesterol, cancer due to lack of
fiber in the diet, HIV AIDS among other things are motivating people
to increase the proportion of fruits and vegetables in their diet.
Furthermore, in recent years frequent outbreaks of animal diseases
such as mad cow disease, avian flu, SARS, foot and mouth disease
and mass poisoning of seafood have created insecurity about food
safety among the public. As a result more and more people are
becoming partially or wholly vegetarians. The demanding and
discriminating public is becoming very critical when purchasing food.
The consumers are very conscious about the nutritional information
of vegetables that they consume. Commodities with less or no
cholesterol, vegetables rich in vitamin A or C and those with high
iron or antioxidant properties are gaining rapid entry into public
nutrition. Therefore, at present the vegetable breeders are not only
looking for higher yields, adaptation and resistance to biotic and
abiotic stresses but they are also focusing on vegetables with better
nutritional composition that meets the palates and fancies of the
consumer. Since consumers are still not ready to pay a premium
price for vegetables with better nutritional composition the breeders
try to improve the nutritional composition retaining the high yield
and other desirable traits.
Food and nutritional security are the key targets of the Millennium
Development Goals of the United Nations. In terms of nutrition, the
intake of vitamin A, iron, iodine, zinc, riboflavin, vitamin B-12, Vitamin
B-6 and calcium are grossly insufficient compared to the
recommended daily allowance (RDA) in poorer section of the
population around the world. In addition these poor people who cannot
542
afford fruits and vegetables may also be deficient in folic acid and
vitamin C, especially children, women of reproductive age and elderly.
Such malnutrition makes them vulnerable to debilitating diseases
such as anemia, aging and premature death (Flores and Gillespie,
2001). The 1992 International Conference for Nutrition, The World
Food Summit in 1996, and The World Summit for Children in 2002
identified the following eight major nutritional challenges requiring
concerted efforts: They are low birth weights, child hood under-
nutrition, under-nourished adults, pandemic anemia, extensive chronic
vitamin A deficiency, chronic diseases due to childhood malnutrition,
increasing obesity, and iodine deficiency (Rajagopalan, 2004). In
addition to food supplements, and food fortification it is essential to
consider food-based approach, especially through increased
consumption of appropriate vegetables and fruits to reduce the
micronutrient malnutrition substantially. Plant-based foods prevent
diseases such as cancer, heart attack, and premature aging and
also promote positive health (Johnston, 1994).
The Major Nutritional Traits
In the developing countries major micronutrient problems were
due to deficiency in vitamin A, resulting in blindness, iron resulting
in anemia and iodine. Of the above, iodine has been conveniently
corrected by adding iodine to the salt. Since there are many
vegetables and pulses that are rich in vitamin A and iron respectively
the plant breeders try to look at the opportunity to select for higher
nutritional content. From the medical side vitamin pills were
distributed to the vulnerable groups to overcome the deficiency
problem. However, the food-based approach was considered as more
sustainable, natural, low cost alternative compared to distribution of
pills through aid. In the western countries, especially in the USA the
plant breeders looked at the proximate concentrations of vitamins
A, C, niacin, riboflavin, thiamine, potassium, phosphorous, calcium,
iron, and sodium (Steven, 1974; Munger, 1988). The major focus
was on vitamins A and C. However, recently the attention is also
given to zinc and iron. The phytochemicals that are present in various
vegetables and their action in human body is given in Table 1.
Table 1. Various phytochemicals in vegetables and their role in human
nutrition (modified from Leslie Kay, 2005)
Phytochemical Food Action
Allylic sulfide (allicin) Garlic, Onion Intercepts and detoxifies

Beta-Carotene Carrots, Squash, Protects the immune
Tomato, Chilies, system
Peppers, Sweet potato
Canthaxanthin Paprika Antioxidant
543
Capsaicin Cayenne peppers, Prevents toxic
chilies, red peppers molecules from
invading and damaging
cells, anti-inflammatory
Carotenoids (600 Dark green, colored and Blocks carcinogen from
identified) orange colored entering the cell; helps
vegetables such as repair DNA
tomatoes, peppers,
spinach, amaranth, etc.
Cumarin Curry leaf, turmeric, Antioxidant
mustard
Diadzein (isoflavone) Vegetable soybeans, Blocks estrogen from
soybeans, tofu binding to receptors
Flavonoids Many vegetables, Prevents carcinogenic
vegetable soybean hormones from
attaching to cells
Folic acid Vegetables, vegetable Anticarcinogenic
soybean
Genistein (isoflavone) Tofu, soy milk and inhibits the formation of
vegetable soybeans blood vessels that
assist tumors to grow
Gingerol Ginger antioxidant
Isoflavones Soybeans, beans, peas, interferes with harmful
tofu estrogen action and
may reduce the risk of
breast and ovarian
cancer
Isothiocyanates, Indoles Broccoli, cauliflower, blocks carcinogens
cabbage, kale from damaging a cell;
interferes with the
action of a pre-
cancerous form of
estrogen
Lutein Spinach, collard greens, reduces blindness in
kale the elderly (prevents
age-related macular
degeneration)
Lycopene Tomatoes may decrease risk for
prostate cancer
Monoterpenes Kale Inhibits cancer cell
growth and detoxifies
carcinogens
544
Omega-3 fatty acids Portulaca oleracea may decrease the risk
of heart disease
Organosulfur Brassicas, onion, garlic, health promoting and

compounds leek cancer fighting
(Glucosinolates, ACSOs
and their degradation
products
Phenolic acids ferulic Potato, beans antioxidant
and chlorogenic
Polyacetylenes Carrot, Parsnip, green health promoting,
including falcarinol tomato, lettuce antioxidant
Saponins Vegetables, soybean
Tannins, catechin, Lentils, black-eyed peas antioxidant
epicatechin polymers
Zeaxanthin Kale, mustard, Antioxidant, enhances
horseradish, collards immune function
Vijayalakshmi,et al. (2003) recommended four strategic choices for

food-based approaches to alleviate micronutrient deficiency: 1)
increasing the production of micronutrient-rich foods; 2) increasing
intake of micronutrient-rich foods; 3) improving bioavailability of
micronutrients; and 4) developing varieties with increased
micronutrient contents, decreased content of inhibitors and increased
contents of substances that promote absorption and bioavailability
of micronutrients. In addition to improving the nutritional composition
of the vegetables the above strategies are equally important not
only to increase the populations access to micronutrient-rich foods
but also to increase the consumption and ensure that the
micronutrients can be absorbed and utilized by the body (Ruel, 2001)
Vegetable Breeding Objectives
In the past the vegetable breeders, as well as the major food
grain breeders, focused their research attention primarily on yield,
resistance to fungal, bacterial and viral diseases, tolerance/resistance
to insects, tolerance to various abiotic stresses such as temperature,
moisture, soil acidity, soil alkalinity and other hedonistic traits to
produce economically productive vegetables. Vegetable breeders
did recognize the importance of improving the nutritional value of
vegetables as early as 1940 but none of the improved varieties with
higher vitamin content became popular in the market (Munger, 1988).
In the early days consumers were more interested in the appearance,
flavor and taste rather than nutritional value of vegetables. As a
result the vegetable breeders did not pay much attention to nutritional
545
quality (Stevens, 1974). Furthermore, vegetables are sold by weight,
volume or number and not by the amount of nutritional value. Even
though a variety may be highly nutritious, it will fail if its yield and
disease resistance is not as good or better than the existing varieties.
Since the cost involved in selecting for a specific trait increases in
a breeding program exponentially with increasing number of genes,
unless there is a guaranteed return for such a trait the plant breeders
had hard time to get funds for such a program. In developing a
vegetable variety ultimately the farmers must grow and make a profit.
The processors must buy, process and market it. And the consumers
are willing to pay the right price and consume it. Therefore, in setting
breeding objectives and priorities the early plant breeders have to
keep the nutritional quality improvement in the back burner.
Variability for Micronutrients in Vegetables
Among the vegetable crops, tomato, carrot, potato, peppers,
legumes, sweet potato, crucifers and spinach were studied more
intensively for the nutritional composition. Variability for vitamin A
and C were reported by a number of authors (See White and Selvey,
1974 and Quebedeaux and Bliss, 1988). In carrots the carotene
concentration varied from 0.12 to 9.6 mg/100 g. In sweet potato the
content varied from 0 to 18 mg/100 g. In tomato the highest amount
observed was 10.1 mg/100 g and 88% of which was b-carotene
which is 20 times higher than the common tomato (Stevens, 1974).
Green bell peppers had only 500 IU/100 g whereas red chili had
11,000 IU/100 g. The vitamin C content in tomato varied from 6.4 to
119.4 mg/100 g. Early breeders try to understand the variability for
micronutrients and minerals, try to develop rapid, precise, dependable,
repeatable, efficient and economical assay methods to identify the
superior ones in the population. They also studied the gene action
and heritability of the traits and paved the way for developing varieties
with improved nutritional qualities (Gabelman, 1974; Gabelman and
Peters, 1979; Simon and Peterson, 1979; Simon, 1988; Stevens,
1979).
AVRDC-the World Vegetable Center focuses its research on
those selected micronutrients, which have been determined to be
deficient among most vulnerable sectors of the population in the
world, specifically children and women. They are vitamins A, C and
iron. A few other micronutrients, which come primarily from
vegetables such as folic acid, antioxidants and isoflavones are also
considered. AVRDCs nutrition laboratory conducts research in close
concert with the plant breeders and other scientists in screening the
breeding materials for nutritional contents. Screening a number of
vegetables from a home garden program at AVRDC revealed that
there is sufficient variation in micronutrient contents both within and
between vegetable species (Table 2).
546
Table 2. Variation in nutrient contents in vegetables included in the home
garden in 1998 at AVRDC (AVRDC, 1999)
Name Dry Fibre Sugar Vitamin Calciu Iron Caroten
matter (%) (%) C m (mg/100 e
(%) (mg/100 (g/100 g)b (mg/100
g)a g) b g) a
Amaranth 7-12 10-13 -- 4-84 1.7-2.5 15-43 3.6-10.9
Basil 9 -- -- 44 -- 18 5.8
Carrot 10 -- -- -- -- 10 7.1
Chinese kale 8-11 11-13 8-20 93-153 1.3-3.2 15-45 2.4-6.1
Chinese radish 6-8 8-12 14-19 73-133 1.4-2.7 18-42 3.2
Choy-sum 6-9 8-11 13-23 31-104 1.7-2.3 68-107 2.3-5.1
Chrysanthemum 7 -- -- 26 -- 20 3.5
Common 5-6 12-13 31-33 52-63 0.7-1.0 9-21 0.0-0.1
cabbage
Coriander 13 -- -- 137 -- 12 6.6
Fennel 5 -- -- 9 -- 7 --
Indian mustard 6-11 10-13 14-26 62-112 2.0-2.9 6-53 1.5-5.9
Kale 7-8 10-13 -- 47-132 1.7-2.4 12-38 2.9-5.8
Kangkong 5-11 13-14 9-26 62-112 2.0-2.9 34-57 2.4-5.9
Leaf-beet 6 -- -- 150 -- 16 2.9
Sweet potato 11 -- -- 52 -- 18 3.0
leaf
Chien-pao-tsai 6 12 18 81 2.2 34 1.9
Mustard 6-7 11-12 -- 72-111 1.1-2.0 13-36 3.2-4.8
Non-heading 5-7 10-13 12-28 23-112 1.4-3.4 24-69 1.3-3.3
Chinese
cabbage
Paitsai 5-7 10-12 -- 31-83 1.6-2.7 18-40 1.3-4.2
Pakchoi 5-8 8-12 16-26 52-120 1.9-3.4 21-97 2.3-5.0
Peppers 17 -- -- 219 -- 5 3.3
Rape 7-9 10-13 -- 43-90 1.7-2.5 13-43 2.6-5.8
Spinach 7 -- -- 40 -- 26 4.3
Sweet peppers 5 -- -- 62 -- 9 0.4
Vegetable 28 -- -- -- -- 12 --
soybeans
a. Values based on fresh weight
b. Values based on dry weight
AVRDCs research efforts, in addition to screening, include 1)

identification of opportunities where nutritional improvements can
be made without compromising the requirements for the producers,
547
processors and consumers, 2) developing simple, efficient, reliable,
rapid and economical screening methodologies, 3) determining the
bioavailability and developing simple, socially and culturally
acceptable methods to enhance the bioavailability of micronutrients
and 4) assessing the impact of nutrient rich vegetables in the
community.
To answer the question whether there is genetic variability for
micronutrients available to exploit and develop improved varieties,
the resounding answer is yes. Based on a number of surveys carried
out in China it is estimated that at least 50% of the soils used for
crop production worldwide is low in availability of one or more
micronutrients (Han, et al. 1994). Under such conditions of
micronutrient deficient soils growing micronutrient efficient varieties
of crops represents a strategy of tailoring the plant to fit the soil
compared to the strategy of tailoring the soil to fit the plant (Foy,
1983). The physiological mechanism by which the micronutrient
efficient plants absorb the micronutrients has also been well
understood (Graham and Rovira, 1984 and Brown, et al. 1994).
Anti-nutritional factors like phytates, tannins, neurotoxins,
glycoalkaloids, oxalates, flatulence and trypsin inhibitors have been
observed in vegetables and beans. It is possible to minimize or
remove some of these negative nutritional factors. A new germplasm
is used to develop resistance to diseases, insects or abiotic stress
factors. In so doing there is a danger of increasing the level of
unacceptable toxic or nutritionally deleterious compounds (Kerr,
1974). Since lowering of some of these factors will have an
unacceptable effect on production this route of lowering the negative
factors such as phytates and tannins may not be a desirable
proposition at least in some crops (Graham and Welch, 1996).
Genetic Improvement of Nutritional Factors
Tomato is one of the principal crops of AVRDC and it is also
one of the economically important vegetables around the world.
According to Food and Agricultural Organizations 2004 estimate
about 100 million t are produced from about 4 million ha. The annual
per capita consumption of tomatoes in South Asia is estimated to
be around 5 kg or 14 g per day.
In 1974 Stevens stated that the b-carotene content of red and
yellow fruited tomatoes, Lycopersicon esculentum ranged from 0.10
to 1.91mg/100g. The content in L. pimpinellifolium was 0.66 to
1.92mg/100g and that of green fruited L. peruvianum was 0.07 to
548
0.36mg/100g. Stevens (1974) reported that Lincoln in 1943 found
the b-carotene content of a cross between red L. esculentum and
green fruited L. hirsutum x L. esculentum varied from 0.06 to 6.75mg/
100g. In another similar study by Kohler a cross between tomato
variety Baltimore and L.hirsutum and between Rutgers and
L.hirsutum a selection was found to have 10.1mg/100g crude
carotene of which 88% was b-carotene which is about 20 times the
b-carotene level of the common tomato varieties like Rutgers. From
the latter cross the variety, CaroRed with ten times the b-carotene
level as that of Rutgers have been developed (Stevens, 1974).
CaroRed had a distinct red- orange color, which was not preferred by
the consumers, although when the color was masked the consumers
liked the flavor and taste.
Tomato has significant quantities of b-carotene and vitamin C
and therefore, ranks high as a source of vitamins A and C due to
high consumption in many countries (Davies and Hobson, 1981).
Lycopene, the major carotenoid in tomato fruit along with b-carotene
and ascorbic acid are powerful antioxidants and they help lower the
risks of certain cancers, heart disease and age-related diseases
(Bramley, 2000; Clinton, 1998; Heber and Lu, 2002; Rao and Agarwal,
1998). Therefore, improvement of tomato for content of antioxidant
(AO) and overall antioxidant activity (AOA) could benefit health of
people in both developing and developed countries (Hanson, et al.
2004). At AVRDC in Taiwan they evaluated 50 L. esculentum and
three L. pimpinellifolium (L.) Mill. entries for contents of lycopene, b-
carotene, ascorbic acid, total phenolics and two assays for AOA(anti-
radical power (ARP) and inhibition of lipid peroxidation (ILP)) for two
years. They found high levels of genetic diversity for the AO and
AOA. The group means of the wild species, L. pimpinellifolium entries
were significantly higher than L. esculentum group means for ARP,
ILP, lycopene, ascorbic acid, phenolics and soluble solids
concentration. Results showed that ranking of entries were consistent
in both the years and there was no year by varieties interaction. The
study has also found that lycopene, b-carotene, ascorbic acid,
soluble solids and total phenolics were all positively correlated with
ARP (r=0.90**) and ILP (r=0.83**) suggesting that the phenolics are
major contributors to AOA in tomato fruit. They found that the fruit
size was negatively correlated with ARP (r= -0.74**) and ILP (r= -
0,71**) and therefore, it is a challenge to combine large fruit size
with high AOA. The ILP and ARP used to assay AOA can be
effectively adopted by plant breeders to improve AOA in tomato
(Hanson, et al. 2004).
549
AVRDC has developed high b-carotene, multiple disease resistant
productive cherry tomato lines. The Hualien District Agricultural
Improvement Station released AVRDCs cherry tomato lines CHT1200
and CHT1201 as Hualien ASVEG No.13 and 14 respectively. Their
b-carotene contents were 2.14 to 3.00 and 2.38 to 2.89 mg/100 g
respectively. Both the lines were orange colored and sweet to taste
with a brix value of about 11 to 14 in the production areas (Chen,
2004).
AVRDC has also developed fresh market tomatoes with high b-
carotene. Line CLN1314F, a high beta fresh market tomato, has a
beta-carotene content of 6.55 mg/100 g fresh weight. There is a
modifier to the Beta gene called Mo that enhances the effect of
Beta. It should be mentioned here that b-carotene tastes bitter if the
content gets too high (> 4 mg/100 g) (Peter Hanson, personal
communication). A single dominant gene B (linked to indeterminate
growth habit) favors b-carotene biosynthesis (at the expense of
lycopene). Genes that enhance lycopene (crimson gene, ogc) results
in decreased provitamin A content (Tigchelaar, 1988). The linkage
between indeterminate growth habit and B has been broken and now
determinate tomatoes with B gene are available. It is possible to
increase total carotenoid content with genes such as high pigment
(hp) or dark green gene. High pigment and dark-green genes were
mutations found in tomato, not derived from interspecific crosses.
The Beta gene in CaroRed originated from L. hirsutum but the same
gene is found among segregants from interspecific crosses with L.
cheesmanii and probably L. chilense too (Peter Hanson, personal
communication).
In Bangladesh, where vitamin A deficiency is one of the major
problems, the vegetable breeders screened AVRDC breeding lines.
Six high beta entries and local check variety, Ratan, were tested in
replicated trials at six stations of the Bangladesh Agricultural
Research Institute (BARI) and Mennonite Central Committee station
in Noakhali. Most entries produced yields comparable to Ratan.
Generally fruit firmness and shipping quality of the high beta entries
were superior to Ratan; consequently, the high beta lines were more
amenable for transport to distant markets. Subsequently, the
Bangladesh Agricultural Research Institute officially released the
high b-carotene line CLN1314G as Apurba. The b-carotene content
of Apurba was 6.59mg/100g and the fruit size was 182g. Even
though the fruit color is orange both the home gardeners and the
school garden programs readily accepted the variety and it is gaining
popularity. The pedigree of CLN1314G is (CLN399-19-6-18-17-17 x
CRA84-26-3) x Stock-Beta-Beta alcobaca-alcobaca. The Beta line
was received from the Tropical Agricultural Research Station-
550
Mayaguez, Puerto Rico (Peter Hanson, personal communication-
Thrasher Foundation Final Report from AVRDC). A new set of
determinate, high b-carotene tomato lines with code name CLN2110/
CLN2112/ CLN2366 lines showed better fruit set than CLN1314 but
lower bacterial wilt resistance. Because of their high acid content
the CLN2110/2112/2366 may be welcomed in parts of South Asia
where sour-tasting tomato is preferred for cooking (Peter Hanson,
personal communication). A number of private seed companies have
used both AVRDC and other pre-breeding materials and developed
high lycopene and high beta tomatoes. Taking advantage of our
lines the processing companies like Kagome in Taiwan developed
high lycopene varieties and used them to make High Lycopene
tomato juice as a health drink since lycopene is a powerful
antioxidant. It has gained popularity among the public.
Pepper (Capsicum sp.) is an important condiment in India and
in many countries around the world. It is also a major source of a
number of antioxidants (AO) including carotenoids, ascorbic acid,
tocopherols and phenolics. From AVRDC-the World Vegetable
Centers Capsicum core collection 46 accessions were evaluated
for content of nine AO (five carotenoids, ascorbic acid, tocopherols
a and g, and total phenolics) and two AOA assays for 2 years in
Taiwan (Hanson, et al. 2004). Of the 46 accessions evaluated 36
were C. annuum (of which 7 were pungent and 29 had varying levels
of pungency) and 5 each were C. baccatum and C. chinense. The
study found that on a dry weight basis , non-pungent C. annuum as
a group had higher concentrations of ascorbic acid (65%), total
phenolics (36%), a-tocopherol (11%), and b-cryptoxanthin (36%)
compared to the group mean of pungent accessions. But comparisons
based on fresh weight basis indicated that pungent C. annuum as a
group contained significantly higher contents of all AO except
ascorbic acid compared to non-pungent C. annuum. The authors
recommend the inhibition of lipid peroxidation assay (ILP) for
characterization or selection for AOA in Capsicum breeding. They
also found that phenolics and ascorbic acid make important
contributions to AOA of pepper fruit. Since, brown fruited bell peppers
were found to have the highest content of provitamin A (Simonne et
al. 1977) including carotenoids b-carotene and b-cryptoxanthin,
inheritance of carotenoid contents in brown-fruited peppers would
facilitate developing high carotenoid peppers (Hanson, et al. 2004).
Several researchers observed high levels of AO and AOA in Ancho/
Poblano peppers/chilies (Mejia et al., 1988; Lee et al., 1995; Hanson
et al., 2004). Therefore, more germplasm from that group may be
worth further examination for breeding purposes.
551
Carrot was one of the first vegetables studied for its carotene
content as early as 1932. The variability for carotene content in 10
varieties was 0.12 to 9.6 mg/100 g (Stevens, 1974). The b-carotene
and a-carotene ratio varied considerably among varieties. The color
of carrots varies from red, orange, yellow and violet. The red and
orange colored varieties have more b-carotene than the yellow and
violet colored varieties. The carotene content in carrot varieties, on
a fresh weight basis, varied from 41 ppm in the popular old variety
Chantenay to 475 ppm in HCM. Mass selection was successful in
selecting for high carotene levels >700 ppm (45 to 80% b-carotene)
(Simon, 1988). At least seven different genes controlling the type,
amount and distribution of carotenes in carrot have been identified
(Imam and Gabelman, 1968, Umiel and Gabelman, 1972; Buishand,
J.G. and W. H. Gabelman, 1979; Simon, 1988). Fourteen genes
controlling color in carrots have been identified (Gabelman, 1974).
To fulfill the adult RDA of 1000 retinol equivalent vitamin A with an
80 ppm carotene 100 g carrot need to be consumed (assuming 1/6
carotenes and 1/12 of other provitamin A are converted to Vitamin A
(Simson, 1983). If we improve the carotene content to 400 ppm then
only 20 g carrot would be able to meet the RDA. Similar to tomato
the processing companies are taking advantage of high carotene
carrots in making high b-carotene carrot juice and mixed vegetable
juices rich in vitamin A and C, all of which are gaining popularity
among the health conscious consumers.
Vegetable soybeans are harvested when the pods are still green
but the green beans fill the seed cavity. They are marketed with
pods attached to the stem or pods detached from the stem. Green
pods are sold fresh or frozen. The shelled beans are also sold fresh
or frozen. Green pods and beans are shown in Fig. 1. Normally
vegetable soybeans are large seeded (>30 g for 100 seeds dry
weight), sweet to taste (about 12% sugar content). From planting to
harvest it takes only about 75 to 85 days depending on season and
location. In countries like South Asia and Africa people do not like
the flavor of soybean. Therefore, AVRDC looked at the genetic
variability for flavor in vegetable soybean. A group of soybeans called
Dadachamame in Japan have a unique taro or jasmine flavor similar
to aromatic rice. It is reported that the flavor is due to the chemical,
2-acetyl-1 pyrrolin, similar to the chemical found in rice (Fushimi
and Masuda, 2001). At AVRDC we found that the flavor (presence
of the chemical) in soybean is governed by a single recessive allele
and therefore in its homozygous state it has taro or jasmine flavor
(AVRDC, 2003). AVRDC has incorporated the desirable flavor into
the vegetable soybeans and they are ready for testing and
popularization in South Asia and Africa. Vegetable soybeans are
also rich in isoflavones, vitamin E (a powerful antioxidant) and lecithin,
which are all good for health.
552
Pods attached to the stem
Pods detached from stem

and shelled bean
Fig .1. Soybean Pods and Beans
AVRDC has recognized that a large number of local vegetables

in different Asian and African countries are neglected over the
introduced exotic vegetables such as tomato and pepper. In India
as many as 1800 plant species belonging to 180 botanical families
are being used in Ayurvedic and Siddha medicine from which over
30,000 efficient and safe medicines are prepared (Paroda, 2004).
553
Improving consumption of crops that are already rich and high
in nutritional content would be more effective and less expensive
than breeding for higher nutritive contents (Munger, 1988). For the
developing countries in the tropics and subtropics crops like vegetable
Amaranth (Amaranthus sp), Choi Sum, (Brassica chinensis
parachinensis group), Kangkong (Ipomoea aquatica) and Drumstick
(Moringa oleifera) are efficient nutrient producers and they should
be given serious consideration for the developing countries (Munger,
1988). Therefore, in order to conserve and utilize the biodiversity
AVRDC has launched an initiative to collect, characterize, evaluate,
document and utilize the indigenous vegetables in Asia and Africa
with financial support from the Asian Development Bank, GTZ/BMZ
(in Germany) and USAID. In screening these indigenous vegetables
for nutritional composition tremendous variability was observed both
within and between species collected so far in Asia as well as in
Africa (AVRDC, 2003, 2004a). Moringa (Moringa oleifera) is a common
indigenous vegetable in South and Southeast Asia and Africa. But it
is not known in East Asia and other countries. Recently it has become
very popular in Taiwan due to its health benefits. From a survey of
over 120 species of Asian vegetables for nutrient contents, AOA
and indigenous knowledge of their medicinal uses AVRDC found M.
oleifera to be one of the most promising ones (Yang et al., 2005). All
four species examined namely, M. oleifera, M. peregrina, M.
stenopetala, M. drouhardii from India, Arabia, Kenya and Madagascar
respectively were high in AO, AOA and vitamins A, C and E ; iron,
calcium, and low in oxalates. Cooking enhanced the bioavailability
of iron from both Moringa and mungbean when cooked together (Yang
et al., 2005). Among the four species evaluated the leaves of M.
oleifera had the highest amount of b-carotene (15 mg/100 g), and
iron (9.2 mg/100 g). M. stenopetala was rich in protein (5.8%),
ascorbate (400 mg/100 g). M. peregrina had the highest tocopherol
content (28 mg/100 g). M. drouhardii had the highest content of
calcium (745 mg/100 g).
Biotechnology and Nutritional Improvement in Vegetables
From the time of the rediscovery of Mendels laws of heredity,
in the past 100 years the science of genetics has risen to identify
the chemistry of genes and the ability to isolate genes and transfer
to desired plant. Biotechnological methods commenced with simple
tissue culture in the 1950s and 60s have advanced to an unbelievable
development of single nucleotide polymorphic markers based on
high density DNA arrays, a technique popularly known as gene chips
(Chee et al. 1996). Using gene chips the microarray technology will
facilitate marker-assisted selection (MAS) in vegetable breeding
554
(Ortiz, 1998). The advances in plant transgenics, genomics,
proteomics, bioinformatics and metabolomics all point to the era of
tailoring vegetables to meet the needs of nutrition and health
conscious consumer through biotechnology assisted by conventional
breeding. Within the above major areas nutritional genomics has
emerged recently. Nutritional genomics is a general approach to
gene discovery that is most relevant to compounds of nutritional
importance that are synthesized or accumulated by plants and other
organisms (e.g. vitamins and minerals). It is a powerful approach for
dissecting and manipulating essential micronutrient pathways in
plants (Sattler and Penna, 2004).
The genetic potential to improve the protein content, oil content
and quality, starch biosynthesis, dietary fiber and functional food
value has been reviewed in detail (Murphy and Peterson, 2000). In
addition papers in the same review describe the intellectual property
rights to protect the value of the value added designed crops and
the market and marketing aspects of designer crops. The combined
forces of biotechnology and conventional breeding continue to aim
at enhancing crop yields, improving the nutritional quality of the
vegetables while preserving the environment. As the society
becomes wealthier and as the gap between the haves and the have-
nots narrows the nutritional and health quality of foods that we eat
will become more important than the food productivity (Ortiz, 1998).
As long as the scientific community is honest and can weigh the
risks and explain the various pros and cons of the transgenic crops
and convince the public and the authorities with sufficient
documentation on ecological and health aspects the controversy
against GMO among the public and consumer will gradually
disappear. The urban and periurban farmers have to change their
vegetable production to meet the demands of the populations with
improved wealth and conscious about health and longevity. Vegetable
varieties rich in vitamins, minerals, antioxidants and health promoting
compounds will be in greater demand than before. The higher income
will enable them and they will be willing to pay a better price for
vegetables they consume. The public will view biotechnology as a
scientific advancement to fight hunger and malnutrition around the
world.
CONCLUSION
From the above brief review it is clear that vegetables can be
designed to meet the demands and needs of the consumers. A
World Bank report estimated that deficiencies in Vitamin A, iron and
555
iodine alone, cause economic losses equal to 5% of GNP each year
due to sickness, poor work output, lost education and other factors
in South Asia. High quality vegetables with improved nutritional and
health characteristics could be developed through a multidisciplinary
cooperative effort among plant breeders, biotechnologists,
biochemists, nutritionists, plant pathologists, entomologists and
others. Researchers should carefully study and respond to market
forces, user demand and public views. There is sufficient heritable
genetic variability present in the germplasm of various vegetables
for different nutrients. Simple, efficient, reliable, rapid and economical
methodologies to evaluate them for screening the breeding
populations have been developed for some of the nutrients. With
concerted efforts vegetables with higher contents of the most
important micronutrients such as vitamin A, C, iron, calcium, folic
acid, isoflavones, antioxidants and lower contents of undesirable
nutrients such as oxalates, nitrates, neurotoxins and others can be
developed to meet the demands of the consumer. The bioavailability
of some of the nutrients and how to enhance the bioavailability have
also been studied. Biotechnology and information technology
combined with powerful computers will play a major role for
conventional breeders to efficiently develop improved crop varieties
in the future. Periurban and urban gardening farmers will be required
to adapt varieties with improved nutritional and health traits to meet
the demands of the urban population with higher income. Improved
income of the poor people allows them purchase more expensive
vegetables, which help to diversify diet and nutrition. Extensive
expansion of the supermarket chains around the world is expected
to demand for high quality vegetables year round. They will scout to
obtain such quality produce from anywhere in the world.
Supermarkets will serve as sourcing agents and likely dictate the
variety to be grown to meet the demands of the discriminating
customers. The vegetables should have consistent quality regardless
of location where and when it is grown and shipped. It is a challenge
indeed for the plant breeders to develop varieties, which have such
wide adaptation. Specific location adapted varieties have little value
for international shippers. The quality of vegetables should be
duplicated in diverse locations with varying agroclimatic conditions
with the same variety (Shanmugasundaram, 2003). In addition to
improving the nutritional quality of existing vegetables such as tomato,
peppers, carrots and vegetable soybean it is extremely important to
identify indigenous and underutilized vegetables with improved
nutritional and health qualities to serve as the vehicle if micronutrients
556
are introduced in a cost effective way without affecting the local
tastes and traditional farming practices to the nutrition and health
conscious consumers. Through biotechnology it is also possible
that such nutritional and health promoting genes from indigenous
vegetables can be isolated and conveniently introduce them to the
existing consumer accepted popular vegetables.
Since the modern consumers are well aware of the importance
of micronutrients and phytochemicals for nutrition, health and
longevity the dietary recommendations include greater diversity of
vegetables and fruits (Peters et al., 2003; Weisberger, 1999). Although
it is difficult in the tropics and subtropics, where vegetable supplies
are highly seasonal and daily per capita availability falls drastically
below the recommended level of 200 g (Ali and Tsou, 1997), the
potential for achieving such diversity is bright. Increased intake of
diverse nutrient and phytochemical rich vegetables require multiple
strategies including development and adoption of tropically adapted
varieties with higher densities of micronutrients and health promoting
phytochemicals, overcoming seasonality of vegetable production
so affordable vegetables are available to poor consumers throughout
the year and developing and extending better methods of preparation
and processing in order to improve micronutrient bioavailability.
AVRDC-the World Vegetable Center will continue to serve as a
leader in each of these areas to collaborate with public and private
sector in the national program in order to fulfill its mission to improve
nutrition and reduce poverty in the tropics (AVRDC, 2004b).
Designing vegetables with improved nutritional and health
promoting factors will become a routine objective in the future for
the new robotic era consumer along with high yield, disease and
insect resistance to protect the environment and stress resistance
to tailor the plant to exploit the unexploited natural habitat.
557
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NEW VISTAS IN IMPROVING PRODUCTIVITY AND
UTILIZATION OF TROPICAL TUBER CROPS *
Dr. S. Edison
Director Central Tuber Crops Research Institute
(Indian Council Of Agricultural Research)
Thiruvananthapuram, Kerala
INTRODUCTION
Inadequate supply of food which can alleviate hunger and
combat malnutrition of a sizeable percentage of Indians will be one
of the future threats for the country, when viewed against the scenario
of the rapid population growth. The World Food Conference (1974)
made a resolution that every man, woman and child has an
inalienable right to be free from hunger and malnutrition.
According to a survey conducted by the National Sample Survey
Organization (NSSO, 1993-94), approximately 5% of the rural families
and 2% of the urban families of India do not get two square meals a
day and the situation would have certainly worsened in the past five
years. Although serious efforts have been made in the recent past
to improve food supply to the poor by way of introducing the Targeted
Public Distribution System (TPDS) and other programmes, the
progress achieved in ensuring nutritional security by supplying what
the people need for a healthy life, is inadequate. The World Food
Summit (1996) stated that Food security exists when all the
people, at all times have physical, social and economic access
to sufficient safe and nutritious food which meets their dietary
needs and food preferences for an active and healthy life, which
emphasizes that food security and nutritional security are two
intermingled terms. It is in this new paradigm of growth vs food
supply that root and tuber crops become increasingly significant as
energy and nutritional storehouses.
Food security from tuber crops
The International Food Policy Research Institute (IFPRI)
forecasts that the foodgrain demand in developing countries will
increase by75% between1990 and 2020 and the parallel increase
for livestock products will be 155%. The IMPACT projections made
by IFPRI in July, 1999 suggest that global demand for roots and
tubers will increase by 37 percent between 1995 and 2020. The
world-wide demand for cassava and other minor roots and tubers is
projected to increase by 49 per cent and for sweet potatoes and
yams by 30 per cent. A rapid expansion in the demand for roots
562
and tubers for livestock feed has been experienced in Asia and is
likely to continue as demand for meat products will increase rapidly
in the coming years besides a sharp increase in export of animal
feed.
Tropical root crops have been classified as the third most
important food crops of man and possess high photosynthetic ability
coupled with the capacity to yield under poor and marginal soils,
adverse weather conditions etc. These attributes make tuber crops
ideal for cultivation in the Less Developed Countries (LDCs) of the
world. Cassava and sweet potatoes account for about 30% of the
total production of root crops from developing countries, the rest
being made up of potatoes, cocoyams and others (Scott et al., 2000).
It is estimated that about 6% of the worlds dietary energy is supplied
by root crops, especially potatoes, cassava and sweet potatoes.
Although root crops have generally been branded as poor mans
crops supplying low cost energy and bulk to the diet and little else
by way of nutrition (Horton, 1988), their potential as nutritionally rich
sources of b - carotene, anti-oxidants, dietary fibre and minerals
like calcium has begun to be recognized as a result of the multifarious
research programmes worldwide.
Root and tuber crops are plants which produce structures that
are used as human or animal feed. They are the third important
food crops of human kind after cereals and grain legumes and
constitute either staple or subsidiary food for about a fifth of the
world population. Tropical Root and Tuber Crops (TRC) have their
own role as an important staple in several countries in South America,
Africa, South-East Asia, etc. Inspite of the near satisfactory level
of production of cereals and grain legumes, the socio economic
condition of small and marginal farmers in most countries in the
above region necessitated them to depend on TRC as their staple.
Tuber crops have a higher biological efficiency as food producers
and show the highest rate of dry matter production per day per unit
area among all the crops. The crops involved are cassava, sweet
potato, yams, aroids and few minor tuber crops. These crops are
rather less understood (perhaps less seen above the ground !) and
have the capacity to withstand adverse biotic and abiotic stresses.
These crops are very important in the context of food and nutrition
security and assumes great relevance due to the ever increasing
population.
They are also recognized as the most efficient converters of
solar energy, Cassava producing 250 x 103 Kcal/ha and Sweet
potato 240 x 103 Kcal/ha as compared to 176 x 103 for rice, 110 x 103
for wheat and 200 x 103 for maize. These crops are known to supply
563
cheap source of energy especially for the weaker sections of the
population. Tuber crops can be broadly classified as temperate and
tropical groups. Potato is primarily a temperate crop whereas all
other edible tuber crops come under tropical tuber crops. Having
been classified as the third most important food crops of man, they
possess high photosynthetic ability coupled with the capacity to
yield under poor and marginal soils, adverse weather conditions etc.
Indias population having touched 1000 million a few months
ago still depends on agriculture as the primary occupation, some
60% depending upon the same. The population growth is expected
to reach 1560 million by 2020 AD and still there will be 23% people
below poverty line. Inspite of the increasing production and availability
of food grains, there will be a net shortage of nearly 26 million tonnes
by 2020 AD. This is an equivalent of 80 tonnes of root and tuber
crops. In order to meet this unfortunate scenario, tuber crops
constitute the important link to fit the food security gap and they can
accept the challenge.
In times of famine, TRC have come in handy to overcome
catastrophies and provide relief from hunger. The ever increasing
population levels coupled with rapidly shrinking cultivable area and
increasingly fragile resources lead to a vast scope for diversification
and value addition of tuber crops and hence they offer a great
opportunity for increasing the production and productivity.
Research on TRC is being concentrated in Brazil, Colombia,
Peru, Nigeria, Vietnam, Indonesia, the Philippines, China, the South
Pacific Islands besides India; post harvest aspects of TRC are also
being considered in the advance laboratories in UK, USA, etc. The
global importance of the research achievements on TRC has been
emphasized in various meetings of the FAO, IFAD, IFPRI, etc. There
is also an increasing concern and awareness for the use of TRC for
other uses viz. Cattle feed, poultry feed and industrial uses. There
has been active industrial utilization like production of sweeteners
(maltose, fructose, malto-dextrins etc.), modified starches, fermented
products (Foods, beverages, alcohol, organic acids etc) which are
technologically possible and further attempts need to be made to
refine economical & technical feasibility of these processes.
Medicinal properties of tuber crops have not been exploited so far in
full.
Social & nutritional security
The size of farm holdings show a peculiar trend and in fact the
number of small and marginal holdings go on increasing and has
constituted nearly 76% of the total agricultural holdings during
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1990-91. The landless agricultural labourers, landless people and
other weaker sections are denied the much needed social security
because of lack of land for cultivation or access to modern
technologies or both. This vulnerable group of people deserve to
be attended by adequate food so that they become socially
acceptable. Root and tuber crops like cassava and sweet potato
help in bridging the social security gap. Besides, being easy to
grow even in sub marginal lands and wastes lands, the input
requirements are extremely low hence within the rich of even socially
deprived group of people.
The WHO estimates show that in many of the under developed
and developed countries, several nutritional disorders are prevalent.
Deficiencies due to protein, Vitamin A, Vitamin C and Calcium could
be easily alleviated by taking precaution to consumption of root and
tuber crops like cassava, sweet potato, yams and aroids. There are
specified RDA (recommended dietary allowance) which is possibly
met by the root and tuber crops @ 500 gms per head per day.
Diseases like night blindness could be corrected by consuming
Vitamin A rich cassava and sweet potato. Since these crops are
affordable to the poor people, the nutritional balance can be easily
achieved.
Role of tuber crops
There are 15 odd tuber producing crop species which form the
mandatory crops of the Central Tuber Crops Research Institute,
India. There are two major crops Cassava and Sweet potato, three
Yam species (Dioscorea alata, D. esculenta and D. rotundata),
five Aroids species (Colocasia esculenta, Xanthosoma sagittifolium,
Amorphophallus paeniifolius, Alocasia macrorrhiza, Cyrtosperma
chamissionis) and five minor tuber crops (Solenostemon rotundifolius,
Pachyrrhizus erosus, Maranta arundiacea, Psophocarpus
tetragonolobus, Canna edulis).
Research on tuber crops in India is undertaken mainly at the
Central Tuber Crops Research Institute (CTCRI) under the aegis of
the Indian Council of Agricultural Research (ICAR). Since inception
in 1963, CTCRI has contributed enormously to the research and
development of tuber crops and is presently an internationally
recognized Premier Institution, dedicated solely to tropical tuber crops
research. Nearly four decades of research have led to several
innovations such as improved high yielding/ early maturing varieties,
cropping systems for various agro-ecological zones, integrated pest
and disease management packages for better production,
technologies to reduce post harvest losses and enhance the
prospects of utilization in the food, feed and industrial sectors etc.
565
Tuber crops are cultivated in India mainly in the southern,
eastern and north-eastern states. Cassava is grown in India in an
area of 2.6 lakh hectares with a total production of 1.06 million tonnes.
Cassava production is mainly from the states of Kerala, Tamil Nadu
and Andhra Pradesh. Trends in the area and production of cassava
in these states during 1992-97 present a grim picture of only a
marginal increase in 1996-97, the principal reasons being increased
per capita income leading to better purchasing power of people,
surplus availability of cereals to a major section of the society,
shrinkage in area due to shift in cultivation to more remunerative
crops etc. Lack of adequate expansion to non-traditional and
backward areas is another factor , which has culminated from the
poor awareness on the potential of tuber crops in meeting hunger
and alleviating poverty. Sweet potato is cultivated mainly in the states
of Bihar, Orissa, West Bengal and Eastern Uttar Pradesh. Area (1.2
l ha) and production of sweet potato also has indicated a declining
trend which points to the imperative need for improvement of market
prospects through value addition and product diversification. Other
tuber crops like yams and aroids are not yet commercially cultivated,
being confined only to the home gardens in almost all the States.
However, all the favourable attributes, there is a temporary set
back of this group of crops in terms of its status in agricultural
economy of our country. The earlier emphasis on cereals to cope
up with the food production calls for a rethinking in the wake of
disproportionate population growth and rapidly shrinking cultivable
areas and increasingly fragile resources. Consequently, striking at
alternate crops as sources of energy would lead to tuber crops as
an inevitable choice to play the role. Further, tuber crops as such
provide a vast scope for diversification and value addition, offering
a great opportunity for non-traditional uses within the country and for
exports, definitely posed to open the gates of market economy for
these crops.
History of tuber crops research
Though the tuber crops are alien in nature and were introduced
into India, their potential as a staple food or secondary staple has
been identified during the early part of the 19th century. Organized
research and development work on potato was initiated by some of
the Indian States during the first quarter of the 19th century mainly in
the erstwhile provinces of Bombay and Madras. The early
investigations included variety evaluation, standardization of
agrotechniques, studies on major pest and diseases and storage of
seed materials. The crop spread to different states in India viz.,
Assam, Bengal, Bihar, Uttar Pradesh, Punjab and Himachal Pradesh.
566
However, research on potato was started in 1935 when the Imperial
Agricultural Research Institute, New Delhi established a research
station at Shimla and the potato research got a fillip with the
establishment of the Central Potato Research Institute at Shimla.
At present more than 95% of the research work on potato is handled
by the Central Potato Research Institute and All India Coordinated
Research Project on Potato functioning in the State Agricultural
Universities. Similar is the case with tropical tuber crops and organized
research on cassava was initiated initially, followed by other crops.
The first step in this direction was the initiation of a scheme in the
fifties on cassava under the aegis of the erstwhile Travancore
University at Thiruvananthapuram with major emphasis on varietal
evaluation. From then onwards between ICAR and Travancore
Cochin Government, collaborative programmes on cassava, sweet
potato, yams and aroids were in operation. This was followed by
the establishment of Central Tuber Crops Research Institute (CTCRI)
at Thiruvananthapuram (in 1963) to carry out research on all aspects
of tropical tuber crops. At present research on these crops are
conducted at CTCRI at Thiruvananthapuram, its Regional Centre at
Bhubaneswar and the centres under the All India Coordinated
Research Project on Tuber Crops (other than potato) functioning in
10 different State Agricultural Universities and 3 ICAR Institutes/
Regional Centres.
The CTCRI, an organ under the Indian Council of Agricultural
Research (ICAR), Ministry of Agriculture, Government of India has
the mandate to conduct extensive and intensive research
programmes for the overall improvement of root and tuber crops in
the country. The laboratories of CTCRI located at Sreekariyam,
Thiruvananthapuram have been able to generate a large number of
technologies for production and post harvest handling aspects
besides acting as the Centre for training in modern research
methodologies and technology upgradation of scientific manpower.
The CTCRI has to its credit, released nearly 35 varieties on various
tropical root and tuber crops for cultivation in the country (list placed
elsewhere). The CTCRI also functions as the service centre for the
All India Coordinated Research Project on Tuber Crops (other than
potato) which has the mandate to conduct location specific and
multi-location adaptation trials on various TRC to suit the different
agro-climatic regions of India.
AREA, PRODUCTION AND PRODUCTIVITY
The average yields for roots and tubers in most of the developing
countries are far below the potentials. Better yields for tropical root
and tuber crops would bring significant benefits to the food systems
567
of the developing countries. R & D support is therefore, very crucial
and investments in research both at national and international levels
will be highly rewarding.
Most of the tropical tuber crops are positively correlated with
area under rainfed agriculture and are development shy. These crops
find place mainly in those areas where other crops may not be
cultivated profitably. For eg., analysis made in India (Khatana and
Arya, 1999) for sweet potato crop reveals that it is grown in the area
which gets sufficient rains and are inhabitated by poor and tribal
farmers. Its positive correlation with area under paddy shows that it
is grown more under rice based cropping systems, where farmers
plant sweet potato after the harvest of paddy in the same field to
take the advantage of the residual moisture and fertilizers. Increased
profitability in growing other crops and increased income due to
improved agriculture linked with availability of irrigation water and
inorganic fertilizers will push tropical root and tuber crops to less
productive fields, marginal and frazile sites. Under such
circumstances and background, research agenda for root and
tuber crops have to be drawn very carefully to generate more
eco-friendly technologies that can be transferred effectively.
Research system both in India and abroad have developed many
technologies on tropical root and tuber crops but most of them could
not be transferred successfully. A shift in approach for flagging
more relevant research issues is, therefore, essential at this juncture.
Cassava
Cassava is grown in an area of 16.37 m. ha globally with an
annual output of 164.75 m. tonnes of tubers. Nigeria occupies first
position in area under cassava accounting for 16.5% of the world
area producing 18.5% of world cassava. Congo (2.1 m ha), Brazil
(1.91 m ha), Thailand (1.26 m ha) and Indonesia (1.3 m ha) are the
major cassava growing countries of the world constituting 50% of
the area under cassava, producing 64% of the world cassava. The
world average productivity is 10 t/ha. Here it is interesting to note
that though India is not having a major area under this crop, its
productivity is the highest in the world (24.5 t/ha). Area, production
and productivity under cassava has been showing stagnation for
the past five years
In India cassava is cultivated in an area of 0.24 m ha producing
6 m tonnes. Area and production under cassava followed the global
568
trends in the early nineties and at present, stagnation is being
observed. Kerala where the crop was first introduced in India
accounted for 50% of area under cassava (0.13 m ha). Tamil Nadu
accounts for 32% of area (0.08 m ha) and 9% of area is in Andhra
Pradesh (0.02 m ha).
New end uses for Cassava
Cassava starch has got high viscosity which enables its use
as a binding material in pelleted fish feeds. Sustainable aqua-culture
systems are essential for the progress of fisheries developing
countries in the next millennium. This depends to a large extent on
the development of alternate economical fish feeds with cassava
and its desirable attributes like high energy content and adhesive
quality of starch can be a forerunner.
Research conducted at CTCRI has highlighted the use of sago
(granulated cassava starch) as a solidifying agent (nay, agar-agar)
in plant tissue culture media. Biodegradable plastics & cold water
miscible starch are 2 new technological innovations from CTCRI
and deserve appreciation. Augmentation of the domestic demand
through findings like this will be helpful. The setback faced by Thai
cassava industries after 1995, consequent to the decreased
opportunities for export to European Union, also hinges on the need
to diversify the use and enhance internal demand for sustainability
of industries.
Sweet potato
Approximately 80% of the world sweet potato are grown in
Asia, just under 15% in Africa and about 5% in rest of the world.
Among the Asian countries, China is the largest producer leaving
far behind Indonesia. Sweet potato is cultivated in an area of 9.2 m
ha with an annual production of 138.4 m tonnes in China which
occupies first position in area globally accounting for 68.3% of the
world area producing 87% of world sweet potato. Remaining area is
under countries like Uganda, Vietnam, India, etc. Area, production
and productivity of sweet potato is showing an increasing trend
globally. In India, it is grown in an area of 0.14 m. ha producing 1.17
m tonnes with a productivity of 8.3 t/ha. Sweet potato area is
concentrated mostly in Orissa, Bihar, West Bengal and Uttar
Pradesh.
Lack of stability in tuber production as seen in various seasons
and locations is the major problem in the cultivation of sweet potato.
Studies are initiated to assess the causes of non-tuberization,
uneconomical yield performance as well as integrated nutrient
569
management. Studies will be undertaken to identify the most
compatible and profitable cropping system involving sweet potato
suiting major sweet potato growing States.
Sweet potato weevil is a menace. Integrated Pest Management
(IPM) practice has been developed with sex pheromone as one of
its component. A further efficient and refined IPM practice will be
developed by including Kairomone, Parasitoids and Pathogens. A
wide range of virus and virus like symptoms were observed of late
in Sweet potato fields. A detailed study will be made on yield loss
due to virus diseases, identification of viruses, etiology of the virus
disease, virus purification and developing serodiagnostic system
for the virus diseases.
Sweet potato : a potential pigment crop
There is an increasing public concern on the health hazards
when using synthetic colouring agents day by day. This has
gradually led to an increased effort to identify and extract natural
pigments, which are safe for use in food products. Sweet potato is
a promising crop with lots of variability in pigment content in
germplasm collections. This can be favourably put to use in selecting
high pigment cultivars and also developing cultivars with enhanced
pigment levels. Ayamurasaki, a high pigment Japanse cultivar, is
popularized in Japan for extraction of anthocyanins for food industries.
An understanding of the biochemical mechanisms underlying pigment
synthesis in sweet potato can also open up the gates for genetic
transformation to produce pigment-rich varieties. What has been
globally possible in the use of Paprikas in chilli is true for sweet
potato as well.
Yams & Taro
Yams are largely grown in Nigeria with 66% of global area and
65% of global production. It is cultivated in an area of 3.28 m ha
with a productivity of 9.1 t/ha in the world. World area and production
under yams is showing increasing trend while the productivity is
showing the declining trend. Yams are mostly cultivated in the African
countries like Burkino Faso, Cote Devoire, Ghana, etc. In India, it
is mostly cultivated in Southern India in homestead gardens. In
some pockets of Tamil Nadu and Andhra Pradesh, it is cultivated in
large areas. There is an urgent need to introduce high yielding varieties
in yams and improve the production.
Standardization of agro-techniques of Yams in relation to the
existing cropping system as well as sole crop of Yam will be
undertaken. Studies on standardization of agro-techniques of Aroids
570
has already been initiated and will be evaluated in the existing
cropping system involving annuals and perennials. Production,
evaluation, multiplication and distribution of quality planting materials
of Yams has been initiated in collaboration with the State Department
of Agriculture/ Horticulture.
Taro blight is the major threat to the taro growers. Studies on
influence of various factors on disease development and its
epidemiology will be undertaken to evolve a suitable prediction and
forecasting. Further studies will be on screening of new accessions
for resistant sources and identification of suitable bio-control agents.
LEADS MADE IN THE R & D FRONT
Regardless of the above situations of advantage, the tuber crops
could also be helped through the R & D efforts of CTCRI which has
resulted in the following hi-tech achievements.
Crop Improvement
• CTCRI has a rich diversity of germplasm of all tuber crops
consisting of 1741 accessions of Cassava, 1268 of Sweet
potato, 1443 of Aroids, 976 of Yams and 336 of other tuber
crops; in all we have about 5764 accessions.
• Thirty new varieties of tuber crops have been released so
far. A high yielding triploid clone Sree Harsha was released,
which is ideal for the industrial belt of Tamil Nadu. Two
short duration (6-7months) varieties in Cassava viz Sree
Jaya and Sree Vijaya, the worlds first hybrid Sree Shilpa in
Dioscorea alata, Gouri & Sanker in Sweet potato (for eastern
region) and Sree Padma in Amorphophallus have been
released very recently and these are simultaneously tested
and popularised in several districts in the South.
• A novel dwarf genotype of White yam (D. rotundata), Sree
Dhanya has been released; this dispenses with the Trail-
support system and reduces the cost of cultivation by 40%.
• A variety of Coleus Sree Dhara with large tubers has been
released.
Production Technology
• Short duration legumes like bunchy variety of groundnut
and vegetable Cowpea were found to be ideal inter crops
for Cassava.
571
• Multiple cropping systems have been developed for low land
and upland.
• Amorphophallus is an ideal inter crop for Coconut gardens
besides banana.
• For single crop Paddy fields, Rice followed by short duration
Cassava is profitable.
Crop Protection
• A very effective IPM package for the control of sweet potato
weevil with synthetic sex pheromone as the principal
component was developed.
• Crop rotation sequences for low land situation for the
management of Sweet potato weevil are evolved.
• Tissue culture protocols were developed for all tuber crops
as well as for disease elimination.
• Importance of using healthy, virus free planting material for
Cassava mosaic disease has been standardised and the
healthy nursery programme is recommended in disease
prone areas.
Post Harvest Utilization
• Some of the important technologies developed include
process for the production of alcohol, cassava starch based
biodegradable plastic, cold water soluble starch from
Cassava, technique to extract starchy flour with modified
textural attributes from Cassava, ensiling technology for
the in situ utilisation of Cassava as animal feed, by-product
utilisation of Cassava starch factory waste as poultry feed
etc.
• Processing equipment developed include hand-operated,
pedal-operated and motorised chipping machines, electrical
and solar dryers, mobile starch separation plant for Sweet
potato etc.
• Two types of harvesting tools and peeling knife were
developed for cassava.
• An effluent treatment system for the decontamination of
effluents from starch/sago factories was developed.
572
YIELD SUSTENANCE THROUGH QUALITY PLANTING MATERIAL
Decline in Area
It has been observed that there is a considerable decline in the
area of cassava in India over last two decades. The cassava area
which was 3.90 lakhs ha during 1975 has declined to 2.43 lakhs ha
1991 thus registering a negative growth rate to the tune of 5%. The
major factors contributing to this situation area the increasing
availability of cereals coupled with an organized public distribution
system and crop preference of farmers in favour of commercially
more paying and less labour intensive crops like rubber, coconut,
etc. The classic case is the phenomenal growth in area of rubber
even in small holdings from mere 2.17 lakh ha during 1971 to nearby
double the area during 1991 in Kerala. Similar is the case with
coconut which ahs displaced the cassava area considerably. The
decline in area is also attributed to availability and preference for
high status food commodities like rice, wheat, etc. The major
factor affecting the differential pattern of cassava consumption in
rural and urban areas in Kerala include cassavas rapid post harvest
deterioration, the increased demand for convenience foods and
improved availability of rice (Baulch,1989).
Scope for Area Expansion
Meeting the challenge of additional production, could be
achieved by area expansion both under traditional areas by fitting in
existing cropping system or by extending to non-traditional areas.
The biological advantages like thriving well in marginal and rainfed
conditions come in its favour for area expansion in the non-traditional
regions of the country like Andhra Pradesh, Maharashtra, Gujarat,
Orissa and Karnataka. The sequential cropping involving cassava
in lowland situations and as inter crops in upland either adjusting the
age or spacing of the plantation crops could increase the area in
Kerala. The projections for the X Five Year Plan (area and
requirement of QPM) are tabulated below:
Table 1. Projections for the X Five Year Plan with regard to Tuber Crops
area and production
Crops Present Status Projected for Xth plan

Area Production Area Production
('000 ha) ('000 m.t.) ('000 ha) ('000 m.t.)
Cassava 245 5868 500 10000
Sweet Potato 140 120 400 500
Yams 100 1500 200 6000
Colocasia 80 800 200 2400
Amorphophallus 60 1500 120 4000
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With the targeted area and production at the end of the X Five
Year Plan as projected above, it is envisaged that planting material
production has to be oriented as proposed below.
Table 2. Projected planting material requirement for the X Plan period
Crop Area Planting material required

('000 ha)
Cassava 500 1 million stems
Sweet Potato 400 35 million vine cuttings
Yams 200 800 tons
Colocasia 200 300 tons
Amorphophallus 120 1500 tons
A major problem in increasing tuber crop productivity is non-

availability of disease free quality planting materials. Rate of
multiplication in most of these tuber crops is also very low. Hence it
takes a long time for quality planting materials to reach farmers if
the traditional method of multiplication is followed. Another hindrance
in the availability of quality planting material of tuber crops is its low
storage life. Dormancy period varies from crop to crop with zero or
no dormancy in colocasia to 2-3 months in yams and amorphophallus.
Low cost technologies need to be generated to prolong the storage
life of planting material, which should easily be adoptable, by farmers.
Most of the tuber crops are prone to various viral, fungal and
bacterial diseases, which cause enormous economical losses. Such
diseases have been found to propagate through vegetative planting
material and hence production of healthy and disease free planting
material is very essential. The major disease problems and the
measures adopted to tackle/combat them are presented here.
In order to obtain the desired and sustainable levels of production
of tuber crops, the most important component will be the production
and distribution of high quality planting material. In this direction,
the CTCRI has initiated several steps as detailed below:
MODERN CONCEPTS IN QPM PRODUCTION
Meristem culture
CTCRI has initiated work on elimination of virus through
meristem culturing of cassava in the 1980s. The concentrated efforts
have resulted in production of virus free mericlones of all the popular
varieties of cassava. Over 90 percent of the meristem cultured
seedling were free from the disease. These virus free mericlones
were taken to field and multiplied in large quantities. Meristem culture
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has been found effective for cleaning off systemic infection like
virus in vegetatively propagated crops. The procedure involved in
this method is micro dissection of meristem from shoot buds and
growing them on growth media containing specific levels of growth
regulators. The medium used for meristem culture was Murashige
and Skoog along with growth regulators. The media comprised of
organic and inorganic salts, Vitamins and sucrose dissolved in
distilled water. Plant growth regulators were also added to the medium
(0.1 NAA mm, 0.1 BA mm, 0.1 GA mm). pH of the medium was
adjusted to 5.7. Agar 8g/l was dissolved in the medium by boiling
and this was then transferred to culture tubes. The culture tubes
were then covered with aluminium foil and sterilized in an autoclave
at about 15 PSI for 20 mts.
The buds after sprouting were collected from nursery beds,
surface sterilized in 0.1% HgCl2 (mercuric chloride) for about 2 mts.
These were then thoroughly washed with distilled water to remove
any traces of the sterilant. The sterilized buds were than subjected
to micro dissection by which all the scale leaves and leaf primordia
were removed till the meristematic dome along with one leaf
primordium was exposed. This was then slowly separated by an
oblique cut just below the base of the dome and was inoculated into
the culture tube containing the medium. Inoculation was carried out
under aseptic conditions inside a laminar flow hood to prevent
contamination from external sources. 5 cultures were inoculated
per each accession. The cultures were then incubated at 25-28oc
and 8 hours light (3000 lux). Meristem culture was also carried out
with apical buds collected directly from plants growing in field in
order to compare its effect with those collected from nursery plants.
Meristem cultures were found to develop within 7-30 days. A total
of about 985 accessions have so far been established in in vitro
through meristem culture.
Micropropagation
Cultures showing shoot development were transferred to MS
basal medium for further growth. The triploid variety Sree Harsha
showed a drastic delay in regeneration, taking more than a month.
150 healthy cultures of the released variety Sree Harsha completely
infested with CMD has been cleaned and multiplied for hardening
and transfer. Nodal cultures originated from nursery explants showed
better growth than those from field grown plants Hardening was done
prior to the transfer of in vitro grown plants to field conditions, mainly
to give the plant time to adjust to the hard conditions of temperature
and light on transfer to field. Micro propagated plants (2-3cms height)
having short internodes, green leaves and healthy growth with roots
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were transferred. The plants were slowly removed from the media
without damaging the roots and washed to remove the media and
were planted into plastic cups (dia 8 cm) filled with vermiculite. For
providing the plants with high humid environment, they were placed
on trays filled with wet soil and covered with a bell jar. After 2-3
weeks, the plants having attained a height of 10-15 cms were
transferred to the field.
133 cassava accessions (200 cultures) which included cassava
indigenous-83, cassava exotic-23, inbreds-15 and popular varieties-
12 were subjected to hardening procedure of which about 80
percentage of the cultures were successfully transferred and
established in field. The in vitro active gene bank functioning at
CTCRI has 1224 accessions (Table 3).
Table 3. In vitro Active Gene Bank in tuber crops
Sl. No. Crop No. of accessions
1 Cassava 618
2 Sweet potato 296
3 D.rotundata 115
4 D.alata 122
5 D.esculenta 48
6 Colocasia 4
7 Wild species of Dioscorea 12
8 Chinese potato 2
9 Other tuberous species 7
Total 1224
PRODUCT DIVERSIFICATION AND VALUE ADDITION

The global population is projected to reach 7.5 billion by 2020
which is expected to catalyse the production and utilization of tuber
crops. Population growth leads to decline in farm size and thus
necessitates the cultivation of crops that can yield more energy in
shorter periods. It is also estimated that keeping pace with the dietary
habits of people, there is likely to be an increased demand for
processed food products in developing countries. A vision statement
to the year 2020 states by 2020, roots and tubers will be
integrated into the emerging markets through efficient and
environmentally sound production of a diversified range of high
quality competitive products for food, feed and industry.
Although there has been remarkable increase in the quality and
quantity of global food supplies during the second half of the twentieth
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century, about one out of five people in the developing countries are
unable to meet their basic nutritional needs for a healthy life.
A greater use of crops like cassava and sweet potato in specially
processed forms is thus envisaged in the coming years.
Two decades of research at CTCRI on processed products from
tuber crops have led to a number of on farm-friendly technologies
for making stable and marketable food products. Cassava rava (a
product simulating wheat semolina) and porridge are two novel
products made from cassava tubers at CTCRI. The relative ease of
preparation and low product cost make them ideal processed
products capable of ensuring economic security to the producers.
Other cassava products which do have market potential include
fried chips, starch based wafers, pappads etc. Research at CTCRI
has also shown that sweet potato is ideal for making nutritionally
rich products like jam, soft drinks and pickles. Cassava is exclusively
used for the production of approximately 3.0 lakh tonnes of starch/
sago annually and the factories are spread over the districts of Salem
and Dharmapuri in Tamil Nadu as well as East Godavari in Andhra
Pradesh.
Cassava silage for cattle feeding and broiler feed from cassava
starch factory waste are two other value added products from
cassava, the technologies perfected at CTCRI. Cassava silage
prepared from chopped cassava tubers and rice straw (90:10) has
extended shelf life (over 12 months) and could increase the milk
yield by about 20% and improve the growth of calves (14% increase
in body weight). Thippi or cassava fibrous waste discharged from
the starch and sago factories is a major pollutant in the (1100 odd)
factory premises. Thippi can be effectively converted into broiler
feed by simple low cost methods. Economic broiler farming is
possible by switching over to this feed. Nevertheless, awareness
on such processed products, which can add enormous value to the
produce and simultaneously elevate their economic status, is low
among the tribal/rural population. Creating such an awareness is
thus an imminent need of the hour, in order to achieve the goal of
food and economic security for India.
Processing and harvesting equipment
Several equipment suitable for the processing small and large
scale processing of tuber crops have been developed at CTCRI
which help reduce the post harvest losses and the tedium associated
with harvesting and processing. These include chipping machines,
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harvesting tools, peelers, dryers, mobile starch extraction plant,
rasper for starch extraction etc.
Eco-friendly innovations
Tropical tuber crops, which were once regarded as the
sustenance crops of man , especially the resource poor are gradually
changing their role in the new paradigm of development in India. In
order to cope up with this emerging scenario, CTCRI has developed
a plethora of technologies which can help retain tuber crops in the
agricultural system of India and ultimately elevate the socio-economic
status of the producers.
India produces about 1.26 million tones of commodity plastics
per annum against a demand of 1.83 million tones. Agricultural and
packaging sectors consume about one-half of the plastics produced.
Due to the increased use of disposable plastics, their ultimate disposal
is all the more difficult. In the look out for environmentally degradable
polymers, CTCRI has developed a novel cassava based
biodegradable plastic product incorporating cassava starch. The
technology was commercialized in India through NRDC and
transferred to four manufacturers in Haryana, Himachal Pradesh,
Delhi and Karnataka.
Cassava is primarily an industrial raw material for the extraction
of starch in Tamil Nadu and around 1100 starch factories are spread
over the Salem belt. These factories have provided job security to
about 5 lakh people of the State. Nevertheless, the effluent
discharged into the nearby ponds and fields end up with high BOD,
COD and cyanogens and thus pose a continuous threat to the flora
and fauna. Many factories were at the verge of closing down due to
the strict pollution control measures (enforced by the Government)
to be adopted to resolve this problem. Realising the urgency of the
situation, CTCRI has perfected a novel low cost effluent treatment
technology which makes the effluent water safe for irrigation or
aquaculture. The treatment system developed is environmentally
safe as it involves only anaerobic treatment of such wastewater.
The quick perishability of cassava tubers demands its rapid
processing into some dried form, to reduce the post harvest losses.
Nevertheless, the sun dried chips, as is stored in the godowns, are
susceptible to attack by a number of insect pests, which necessitates
periodic insecticidal sprays to ward off the insects. CTCRI has
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developed an eco-friendly storage technology viz., cassava ensiling
so that a product with good shelf life and quality can be obtained for
feeding cattle especially the milch animals
NETWORKING CONCEPT & EPILOGUE
Tuber crops are poised to play a major role in the food and feed
requirements of our country in the coming years. This group of
crops offers a great promise in terms of export subject to production
costs and export policies. Fulfilling this goal needs cost effective
techniques in production and processing. To achieve this demand,
a strategic tuber crops genetic resources management, production
technologies, novel and quality of value added products appropriately
backed by human resources developments activities for Scientists,
extension personnel and the users system are needed.
International Collaboration
The CTCRI being the world leader on research on Tropical
Root and Tuber Crops has established linkages with various
International Organisations in furtherance of excellence in our
research agenda; they are:
1. Centro International de Agriculture Tropical (CIAT), Cali,
Colombia
2. International Institute of Tropical Agriculture (IITA), Ibadan,
Nigeria
3. International Potato Centre (CIP), Lima, Peru
4. Brazilian Agricultural Research Institute (EMBRAPA), Brazil
5. Asian Vegetable Research and Development Centre
(AVRDC), Shanhua, Taiwan
6. International Laboratory for Tropical Agricultural Biotech
(ILTAB), St. Louis, USA
There has been frequent exchanges of our Scientists visiting
the above Institutes for Faculty Improvement, exchange of
germplasm, advance studies/training on modern scientific
methodology etc. Thanks to these collaborations, we have been
steadily organising International Seminars/Conferences as well as
Training Programmes to benefit, by and large, the developing
countries. However, specific goal oriented network programmes are
to be worked out for the enhancement of Tuber Crops Research and
development.
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Table 4. Current status of germplasm of tuber crops at CTCRI
Crop CTCRI HQ CTCRI TOTAL

RC
Cassava 1681 33 1714
Manihot sp (8 No.) 27 - 27
Sweet potato 934 243 1177
Ipomoea sp 13 78 91
Greater Yam 296 44 340
African Yam 258 - 258
Lesser Yam 114 - 114
Dioscorea sp 264 - 264
Taro 1063 120 1183
Colocasia (wild) 19 - 19
Xanthosoma sagittifolium 67 - 67
Elephant foot yam 110 32 142
Amorphophallus sp 28 28
Giant Taro 2 2
Swamp Taro 2 2
Chinese potato 87 1 88
Coleus sp 9 - 9
Costus 5 - 5
Curcuma 45 - 45
Canna 8 1 9
Arrow root 6 1 7
Yam bean 63 45 108
Alocasia 1 0 1
Vigna sp 1 1
Zingiber sp 5 5
Typhonium 5 5
Asparagus sp 6 6
Alpinia sp 7 7
Tacca sp 2 2
Other tuberizing sp 38 - 38
Total 5166 598 5764
National level
At national level the All India Coordinated Research Project on
Tuber Crops has been initiated to generate location specific tuber
crops technologies through a network involving coordinated centres
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located in 10 State Agricultural Universities and one each in ICAR
Research Complex for North East Hill Region of India (Shillong) and
the Central Agric. Research Institute, Port Blair, A.N. Islands. The
CTCRI and its Regional Centre also serve as voluntary centres of
the project. This approach has helped in generating a number of
location specific technologies.
It is nice to conclude with a statement of Gelia T. Castillo that
while rice and wheat crops are grown on superior lands with irrigation
or better moisture, secondary crops like root and tubers are grown
in the upland or rainfed areas mainly by resource poor small farmers.
Development of these crops is therefore, basic to poverty alleviation
and equitable development of society. Therefore, it is hoped that
the networking of Research & Development Organizations working
on tuber crops will go a long way to play the role of poverty alleviation
and utilize the available advanced technologies to upgrade/enhance
the production and productivity of TRC.
Table 5. High yielding varieties released from CTCRI
Sl. Variety Average Yield Special attributes

No. (t ha-1)
CASSAVA
1 H-97 25-36 Drought tolerance
2 H-165 33-38 Popular in industrial belt, duration :8-9
months, Starch : 33-.38%.
3 H-226 30-35 Popular in industrial belt, Starch : 28-
30%.
4 Sree Sahya 35-40 Hardy and highly resistant to drought
5 Sree Visakham 36-38 Rich in carotene
6 Sree Prakash 30-35 Early maturing (7-8 months) and shallow
bulking
7 Sree Harsha 35-40 Triploid, high starch content (38-41%)
8 Sree Jaya 26-30 Early maturing (6-7months)
9 Sree Vijaya 25-28 Early maturing (6-7months)
10 Sree Rekha 45-48 Suited to both upland and low land
cultivation
11 Sree Prabha 40-45 Suited to both upland and low land
cultivation
SWEET POTATO
1 H-41 20-25 Excellent cooking quality
2 H-42 22-25 Excellent cooking quality
3 Varsha 17-22 Drought tolerant, recommended for
Konkan region of Maharashtra
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4 Sree Nandini 20-25 Drought tolerant, Early maturing (100-105
days)
Suitable for paddy fallows as a catch crop
5 Sree Vardhini 20-25 Early maturing (100-105 days), dual purpose
variety
6 Sree Rethna 20-26 Early maturing (90-105 days) , excellent
cooking quality,
7 Sree Bhadra 20-27 Early maturing (90 days) with excellent
cooking quality, used as trap crop against
root knot nematode
8 Gouri 19 A medium duration variety (110-120 days)
with high carotene conten,can tolerate mid
season drought
9 Sankar 14 A medium duration variety , excellent
cooking quality
10 Sree Arun 20-28 Early maturing (90-100 days), spreading
type, fusiform short/spherical tubers with
pink skin and cream flesh
11 Sree Varun 20-28 Early maturing (90-100 days) spreading
type, fusiform short/spherical tubers with
cream skin and cream flesh
12 Sree Kanaka 12-15 Short duration hybrid rich in carotene
( 8.8-10 mg / 100g fresh tuber)
13 Kalinga 26-29 Open pollinated selection that matures in 105-

110 days recommended for cultivation in Orissa
state
14 Goutam 18-32 Clonal selection that matures in 105-110 days,
suitable for upland and hilly areas in both
Kharif/Rabi season
15 Kishan 16-26 Clonal selection with medium duration (110-120
days) and high dry matter and starch contents,
Kharif/Rabi season
16 Sourin 16-32 Clonal selection that matures in 105-110 days,
Kharif/Rabi season
YAMS
GREATER YAM
1 Sree Keerthi 25-30 Large sized conical tubers
2 Sree Roopa 25-30 Excellent cooking quality, digitate tubers
3 Sree Shilpa 28 Medium sized oval tubers , easy harvestability
4 Sree Karthika 30 High yielding selection with good cooking
quality and keeping quality
5 Orissa Elite 22-25 Suitable for rainfed/ irrigated conditions of
Orissa, matures in 180 days, tubers have white
flesh and good cooking quality
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WHITE YAM
6 Sree Priya 35-40 Drought tolerant, novel flavour, suitable for
intercropping in mature coconut garden
7 Sree Subhra 35-40 Drought tolerant, novel flavour
8 Sree Dhanya 20 First dwarf bushy variety
LESSER YAM
9 Sree Latha 25-30 High yield & wide adaptability
10 Sree Kala 20 Good tuber shape and excellent cooking quality
AROIDS TARO
1 Sree Pallavi 15-18 A tall variety with large number of small sized
tubers
2 Sree Rashmi 15-20 Taro selection that matures in 7 months, acrid
free, good cooking quality.
3 Muktakesi Taro variety tolerant to leaf blight
4 Sree Kiran 18 First taro hybrid from India, good cooking
quality
5 Pani Saru-1 15 Clonal selection from variety Kantilo local,
suitable for water logged/ submerged conditions
of Orissa, duration 6-7 months
6 Pani Saru-2 13 Clonal selection from variety Vegunia local,
suitable for water logged/ submerged conditions
of Orissa
ELEPHANT FOOT YAM
1 Sree Padma 40 High yield potential : 80.2 t ha-1
CHINESE POTATO
1 Sree Dhara 25 Excellent culinary quality, duration : 5months
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ROLE OF FORESTRY RESEARCH IN POVERTY
ALLEVIATION -TAMIL NADU
Dr.G.Kumaravelu
Additional Principal Chief Conservator of Forests &Managing
Director, (TAFCORN) Tiruchy, Tamil Nadu, India
INTRODUCTION
Forestry Sector in India is undergoing a continuous
transformation since independence. Though the objective of the
sector, which is primarily concerned with conservation of forests,
remains stable and constant, the strategies adopted to achieve this,
is undergoing continuous changes. From time to time, the values
and importance attached to specific focal areas of Forestry activities
at the international and national level have been shifting from
production and post harvest technology to protection of biodiversity
and poverty alleviation.
For the effective implementation of the National Forest Policy
to its letter and spirit, the Tamil Nadu Forest Department had geared
itself adequately by ensuring appropriate back up support through
evolving problem solving, cost effective, adoptable, acceptable and
location specific action research programmes. Such technical
innovations have been dovetailed to the mega programme of the
Tamil Nadu Government, namely Tamil Nadu Afforestation
Programme and Tamil Nadu Wasteland Development Programme.
Apart from enhancing the biomass productivity, these programmes
ensure poverty alleviation and downstream employment generation.
Ensurement of forward and backward linkages have added to the
success of these programmes. This is done by bridging partnership
of the Forest Department with the people living in the vicinity of
Reserved Forests, marginal and sub marginal farmers living even in
far-away lands, NGOs, self-help groups, wood based industries and
rural artisans.
The structure of employment in Tamil Nadu has more or less
mirrored the structural transformation that has taken place in the
State's economy over the years. For, the number of persons
employed in the primary sector has shown a decline while that in the
secondary and tertiary sectors has gone up in the 1991-2001 period.
Tamil Nadu's economy has undergone a major transformation over
the last few decades, from being a primary producing economy to
one dependent now on the services sector. The Primary sector's
share of the Gross State domestic product has dropped from 43.5
per cent to about 17 per cent now, while the secondary sector's
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share increased from 20.3 per cent to about 33 per cent and that of
the tertiary sector went up from 36 per cent to about 50 per cent
now. According to a report on employment perspectives for Tamil
Nadu, prepared by the Department of Evaluation and Applied
Research, a State Government Department, primary sector
employment has declined at an annual rate of 0.50% from 153.42
lakh in 1991 to 145.80 lakh in 2001. According to the evaluation
study, primary sector employment, which accounted for a dominant
share, 55-60% to the total employment had declined in 1999-2000
as compared to that in 1993-94. A host of factors have resulted in
the number of persons employed in the agriculture sector drop,
especially the increasing modernization of agricultural operations,
which has reduced the need for a large number of workers.
Tamil Nadu, the southern state of India has a geographic area
of 13 million hectares, which constitutes 3.96 % of the land area of
the country. The total population of the state is 55.86 million (1991
census) accounting for 6.60% of the country's population. The
recorded forest area is 2.26 million hectares, which makes 17.40%
of the land area of the State. But the actual forest cover is only 1.71
million hectares, a mere 13.13 % of the land area. Not only that, half
of this actual forest cover has a crown density of less than 0.4 (FSI
1999).
There are 15822 village in the State of which about 3000 are
forest abutting. The total population of these villages is estimated to
be 3.11 million. Though no separate consumption or income data
are available, it is a known fact that these forest abutting communities
are the poorest of the Poor. Because of remoteness, thin and
scattered population, modem developments and amenities have not
reached them.
Over 77% of the Tamil Nadu population, directly or indirectly,
are indulging in agriculture more as a way of life than as an economic
enterprise. Next to Rajasthan, Tamil Nadu is the driest state receiving
lowest rainfall in India, average being 934 mm per annum. The total
dependence of the majority of the agriculturist on the unpredictable
and undependable monsoon rains result in the cultivation of cereals
and pulses, many a time total wasteful expenditure and exercise.
Out of the 6.21 crores population of Tamil Nadu, 4 crores reside
in the urban areas and 22 crores live in the rural areas (2001 census
figure). Out of this population. 57 lakhs of people have been identified
as cultivators. Out of the total area of about 80 lakh hectares, 30
lakh hectares are put into use for rainfed agriculture. The income
generations from these marginal and sub marginal lands are getting
reduced steadily and considerably year after year. This is because
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of the depletion in the soil fertility due to non-replenishment of organic
manure to the soil. The average net profit per acre per year of these
marginal and sub marginal farmers of Tamil Nadu with their rainfed
agriculture is less than Rs.1000/ acre/year. Many times, because of
the failing monsoons, they incur heavy losses. Agriculture has
become a way of life than an economically viable venture. This has
resulted in the younger generations not taking up agriculture as an
enterprise and moving away to the cities and towns. It is significant
to note that the number of towns has been increasing over the years
- 434 in the year 1981 to 469 in the year 1991 and 832 in 2001. It is
to be noted that the growth rate of the rural population has for the
very first time shown a negative trend in the last decade (-5.20%).
More and more rainfed agricultural lands are being left as fallows.
This exodus has to be prevented. Because of these phenomena in
Tamil Nadu, the rural resources are under utilized and the urban
environs are over exploited.
Natural resources are being exploited by people recklessly. As
the population grows, demand for energy increases, the forests and
watersheds are often over exploited. Both the upland soils and the
lowlands have become degraded leading to erosion loss of topsoil
and thereby impoverishment of ecology and economy of the
dependent people. Therefore, technological interventions are needed.
Both large scale and small-scale changes are taking place in the
eco-system and also in the quality of the life of the people due to the
loss of biological wealth. Therefore, an appropriate forest strategy
to cope with the problems of the people is needed.
Forest Research in Tamil Nadu has been focused in the last
five years so as to strengthen the conservation of the natural
resources and at the same time addressed the issues of the rural
poor. Research to strengthen bio-productivity, by strengthening tree
cultivation practices in private lands has been the area of attention
by the forest department. There have been many advances in
forest management and practices due to the technological inputs,
which have been utilized for bio-productivity enhancement and bio-
diversity conservation, and thereby paving way for the improvement
of the quality of the life of the rural people.
Technology intervention in forestry programmes
Various research projects are undertaken in the 66 Research
centres, 6 modern nurseries located in 7 different agro climatic zones
of Tamil Nadu to address the issues of rural development and poverty
alleviation through forestry. Improving the forest cover, the quality
of forest and doubling the tree cover are critical areas into which
new technologies and new skills have been incorporated. The
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experience gained by forestry research in various thrust area as
listed below are put to advantageous use in bio- productivity
enhancement, bio-diversity conservation thereby ensuring the rural
upliftment.
Tamil Nadu being a State deficit in water potential has utilised
every drop of water available for agricultural, domestic and industrial
needs. This State depends mostly on the northeast and southwest
monsoon. The vagaries of nature causes enormous loss to the
farmers. Therefore, it is imperative that the water holding capacity
of the soil has to be increased to ensure high productivity. The
indiscriminate uses of chemical fertilizers have deteriorated the soil
texture and structure over the years. This has lead to the diminution
in the population of the Rhizosphere microflora and fauna. Therefore,
enhancement of bio productivity can made into reality only if this
malady is remedied on priority basis.
During 1998-99, six modern nurseries were established by the
Research wing of the Tamil Nadu Forest Department. In these modern
nurseries, facilities for production of Vermicasting, VAM (Vesicular
Arbuscular Mycorrhiza) and bacterial bio fertilizers like Azospirillum,
Phosphobacteria, Rhizobium and Psudomonas etc. were created.
During the last four years, more than 3000 tonnes of vermicasting,
800 tonnes of VAM and 500 tonnes of bacterial bio fertilizers have
been produced in these modem nurseries. Till date more than 5
crore-tree seedlings raised by the Forest Department have been
inoculated with this bio nutrients and bio fertilizers. Experiments
were carried out to arrive at the optimum dosage of their combination
for highest biomass production. This has resulted in cost-effective
treatment models, which have increased the total bio mass of 6
months old seedlings of more than 30 species from 95 to 350% than
the untreated ones.
These findings were immediately transferred to the nursery
components of the two mega tree based programmes of Tamil Nadu
namely Tamil Nadu Afforestation Programme and Comprehensive
Wasteland Development Programme.
Identification, Isolation and Multiplication of high yielding plant
propagules from the Natural Forests:
Tree growing proposition could be an economically viable one,
only if superior varieties are planted. Trees have the greatest
advantage of enduring the prolonged drought periods due to its deeper
root system. Therefore, superior phenotypes of Non-wood Forest
produce like Tamarind, Gallnut, Soap nut, Gooseberry and Neem
were identified by undertaking thorough genetic combing. These has
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resulted in the isolation and production of more than 110 plus tree
propagules of Tamarind yielding annually 800 to 1200 kg fruits.
Vegetative propagation like air layering, grafting, rooting of sprigs
etc. were standardized and about 300 malis were trained in the clonal
multiplication technology. More than 150 mist tents have been erected
all over the State and macro propagation is on in a big scale.
Similarly, high yielders in Soap nut, Gall nut, Gooseberry, Neem
etc. have been multiplied and their performance have been evaluated
under multi location trials spread all over the 7 agro climatic zones
in Tamil Nadu. These trials have resulted in the identification of
zones specific high yielders. These are multiplied and supplied to
the farmers and also utilized in the planting programme of the Tamil
Nadu Forest Department. So far, more than 10 lakh grafts of these
superior yielders have been produced and utilized in the State in the
past 2 years. The enhanced productivity of utilizable biomass from
these high yielding plant propagule will accelerate the pace of income
generation for the rural poor. Concomitantly down stream employment
generation is also envisaged.
Hybrids and transgenic plants
Realizing the uniqueness of tree species as a cost-effective
contrivance for sun energy harvesting, appropriate species,
provenance and hybrids of very fast growing, less demanding
varieties have been evolved by the Tamil Nadu Forest Department
over the past two decades. To site one example, Casuarina
equisetifolia. a species which is taken up for cultivation by the farmers
in Tamil Nadu on a very large scale as block plantation at
approximately 10000 ha. per year was concentrated upon for tree
improvement from 1982-84 onwards. More than 120 superior
phenotypes of female trees and 40 superior male trees were identified
from among the cultivated population at selection intensity of one in
50,000. A clonal seed orchard was established during 1985.
Continuous tree improvement programmes undertaken with these
families have resulted in the production of intraspecific hybrids,
which have exhibited 40% more yield than the normal cultivars.
High quality seeds obtained from second-generation seed orchards
established during 1999 - 2000 are being utilised for "ONFARM
TRIALS' to demonstrate their efficiency. Superior clones from these
progenies are being subjected to transformation into drought tolerant
transgenic plants by incorporating 'Proline' producing genes by the
Research wing under Collaborative Research with Madurai Kamaraj
University.
Unlike Casuarina equisetifolia, Casuarina junghuniana is a
species that can grow very fast even under rainfed conditions.
Appropriate fast growing provenances of these species have been
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identified under provenance trial experiments in the past two years.
Fast growing phenotypes are vegetatively propagated for establishing
clonal plantations. Similarly interspecific hybrids of Eucalyptus
tereticornis x Eucalyptus alba, Eucalyptus citridora x Eucalyptus
toreliana have been produced and the hetrotic vigour is captured by
resorting to clonal propagation.
Farm grown Teak seed orchard progenies were screened and
plus trees were identified from the 10 year old population which
exhibited higher rate of growth with larger proportion of heartwood.
These have been clonally multiplied and are being established as
clonal banks in all the research centres. These are also planted in
farm lands as demonstration plots.
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Silviculturally suitable, fast growing high yielding marketable
tree species - "introduction to farmers"
The reluctance of the farmers in taking up of tree cultivation is
due to its long gestation period between planting and harvesting. It
was, therefore, aimed at introducing appropriate species and
technique that could culminate harvestable, profitable biomass within
100 months after planting. Two bamboo varieties - Bambusa
arundinacea & Dendrocalamus strictus - are natural to Tamil Nadu.
The presence of thorns in Bambusa arundinacea and the lesser
biomass production of Dendrocalamus strictus prohibit the adoption
of these species by the farmers. Therefore, about 50 species of
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Bamboo, out of the 139 found in India, were introduced during the
year 2000 at various Forest Research field centres in Tamil Nadu
and evaluated for their suitability and different agro climatic zones.
Very positive results emanated from these trials indicating the
profitability of cultivating species like Bambusa nutans, Bambusa
tulda, Bambusa polymorpha, Bambusa mukalba and Bambusa
balcooa. All these species are thornless and have great utility value
and therefore, highly marketable. Large-scale vegetative propagation
of these species are undertaken in all the research centres. They
are of high utility value in basket making, mat, veneer, splints, screens,
small construction etc. More over, Bamboos have got the capability
to convert sun energy into bio mass much more rapidly within shorter
span of time than any other tree species. Therefore, they are of
great demand by the farmers. The harvested bamboos will certainly
generate huge employment generation in the rural areas thereby
accelerated the pace of poverty alleviation.
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More than 15 lakh of people are employed in the match industries
in Tamil Nadu and the industrialists are suffering due to the depletion
of the raw materials. 90% of the total labourers involved in Match
Industries of India are living in Tamil Nadu. Ailanthus excelsa is a
very fast growing tree species found naturally occurring in the
rainfed lands of Tamil Nadu. Since the Match industries require light
coloured Ailanthus excelsa wood, very fast growing superior
phenotypes with desirable characters have been identified and
seedlings are raised. The farmers are supplied with the high yielding
varieties of Ailanthus.
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So far as Tamil Nadu is concerned, this species is a great
boone to the marginal and sub marginal land holding persons as
they exhibit fastest rate of growth, yielding upto 40 tonnes per acre
per year. Income augmentation in these rural areas through such
profitable sun light harvesting strategies are the need of the hour for
the State of Tamil Nadu which is facing continuous depletion of
irrigation water.
Ailanthus excelsa
Two year old Simaruba glauca One year old

State Forestry Research Institute Kaya senegalensis
595
Exotic species like Simaruba glauca, Kaya senegalensis,
Acacia elata and Swietenia macrophylla have proved their potential
to be a great asset for protective irrigated lands. Trials conducted
out side the forest areas, in these rural landmass have resulted in
identification of hither to unknown or under-exploited, cultivated tree
species like Acrocarpus fraxinifolious, Astonia scholarise. Albizia
procera, Melia dubia, Anthocephalus cadamba into limelight. Their
rapid rates of growth, under the cost-effective profitable package of
practice like one cu.m. pit saucer rim planting with bio nutrient and
bio fertilizer inputs evolved by the Research wing holds great promise
for a profitable tree husbandry proposition for the farmers. Since
there is a total mismatch between the demand and supply of veneer,
plywood, construction wood, match stick etc., these hold great
potential to bridge the gap. Such recourse to enhance primary sector
productivity will pave way for poverty alleviation and through down
stream employment generation.
Forestry extension
All these cost effective, adoptable, acceptable location specific
action research findings are demonstrated in the 19 forestry extension
centres established in Tamil Nadu during the past four years.
Forestry Extension Centre
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Training for farmers
Emblica-Demonstration Plot
Training to farmers, self-help group, publics and school
children on Vermicompost and VAM production, Vegetative
propagation like graft production, nursery technique etc. being given
in these forestry extension centres. About 500 on farm trials with
these superior tree varieties have been established to serve as
Demonstration Plots all over the State in the past 3 years. This will
help in the primary sector productivity enhancement and accelerate
597
the pace of poverty alleviation. All the adoptable, profitable package
of practice standardized by the Research wing is being transferred
to the farmers through these extension centres.
Joint forest management (TAP)
The National Forest Policy of India has been revised in 1988
with the principal aim for environmental stability and ecological
balance, which are vital for the sustenance of all life forms, human,
animal and plant. In India, forests meet nearly 40 per cent of the
energy needs of the country of which more than 80 per cent is utilized
in the rural areas and about 30 per cent of the fodder needs of the
cattle population. Forest products also play a very important role in
the rural and tribal economy as many of the non-wood forest products
(NWFP) provide sustenance to the rural poor. For landless families
and marginal farmers forest related activities often represent the
primary source of income. It is estimated that about 270 million
tonnes of fuel wood, 280 million tonnes of fodder, over 12 million m3
of timber and a large number of non-wood forest produce are removed
from the forests annually. At a conservative level of pricing (Rs.500
or 10US$ per tonne of fuel/fodder) the value of these commodities
will approximately aggregate to over Rs.3, 00,000 million or 6000
million US $.
Realizing the fact that there exists intricate, inter-dependence
of forests and people, strategies were evolved to manage the forests
with the participation of people.
Contribution of research to poverty alleviation oriented forestry
programmes
In a developing country with high human and cattle population
like India, applied research' could contribute immensely than
fundamental research'. Specifically this is applicable to land and
life based programmes like Forestry. Realizing the importance of
such action research' findings in enhancing the quality of out put of
Forestry Programmes, the following research interventions were
implanted in the two mega programmes of the State of Tamil Nadu,
namely- Tamil Nadu Afforestation Programme (TAP) and Tamil Nadu
Wasteland Development Programme(TNWLDP).
Tamil Nadu afforestation programme
This programme is being implemented from 1998 onwards. About
1000 villages abutting the degraded reserve forests, situated mostly
on the fringes of Eastern and Western Ghats were taken as focal
598
points. About 300 ha. of micro watersheds of degraded forests
adjoining each selected village are the treatment areas. In tune with
the strategy of managing these forests on participatory basis with
the people, microplans were prepared.
The entire treatment area was divided into three zones, the
upper or steeper terrain as Eco restoration zone, the middle zone as
Asset creation zone and the third one, as Utility zone.
Eco-restoration zone
Bio-diversity conservation and amplification are the twin
objectives governing the treatments proposed for this zone. This
could be achieved only by ensuring the happy life of 'Pollinators'
and 'Seed dispersers'. Therefore, Silviculturally suitable species for
those locations that could serve as ideal habitat for Bees, Butterflies,
Bats and Birds were identified by the research wing of the Forest
Department. Nursery techniques for raising many such uncommon
species were standardised by the Research wing, from seed
collection and processing till transplanting to the field and planting
up. Many varieties of Ficus species, which serve as 'Keystone'
species for habitat amelioration of the pollinators and seed disperses
are being raised in millions in all the Research Modern Nurseries in
the State. These are planted in these zones. Research is contributing
not only in the selection of species but also in raising and supplying
invigorated seedlings infused with bio-fertilizers.
599
Asset Creation Zone
Though the primary objective of this project is Ensurement of
ecosystem Services, only by meeting the fundamental needs of
people this could be achieved. Therefore, the species that yield
utilizable biomass of economic value like tree species yielding
valuable timber resources are planted in this zone. Seedlings are
raised from seeds collected from seed stands, seed production areas
600
and seed from the "Forest Tree Seed Centre' maintained by the
Deputy Conservator of Forests, Research wing. This centre handles
seeds of over 120 species of plant varieties and annually 55 tonnes
of seeds on an average are processed. Total annual stock is about
90 to 100 tonnes.
Utility zone
This zone, which is in close proximity to the human habitation,
is dedicated for raising plants that are of direct consumptive utility
value in the day- today life of villagers. Very high yielding plant
propagules, fast growing superior phenotypes sourced from the
research wing are utilized for planting. More than 350 indigenous
medicinal plants have been assembled in the research centres and
cultivation practice for the unknown varieties have been standardised.
Medicinal plants suitable for the locality, which have market demand,
are raised in this zone.
Joint farm management
The findings of research on the conditions required for
maximizing growth, with bio-nutrient and bio-fertilizer inputs of
economically important tree species are translated into practice on
the farmlands of the peasants. Clones and grafts of valuable trees
like Teak, Sissoo, Mahogany, Gallnut, Soapnut, Gooseberry, Neem,
Tamarind and Bamboos are made available for planting as block
planting or for planting on the field bunds.
Productive potential enhancement
All these seedlings raised under TAP, annually around 20 million,
are inoculated with Vermicasting, VAM, Phosphobacteria,
Azospirillum, Rhizobium etc. These inoculants not only enhanced
the biomass to more than 100 to 350%, but also will be contributing
to the proliferation of these beneficial microbes in the depleted forest
soils. These sustainably contribute to the enhancement of the
productive potential of the soils. Thus apart from bio-productivity
enhancement is also ensured. These research interventions have
resulted in mitigating loss of topsoil, increase in the organic content,
water holding capacity, infiltration rate etc. Water harvesting structures
like checkdams and percolation ponds created in the watersheds
have resulted in raising of the water table in the wells of the farmlands.
The availability of adequate water for irrigation had led to the increase
in the cultivation of cash crops like paddy, banana, vegetables, etc.
Lands that were left as permanent fallow so far, are being converted
into cultivable lands due to increased water availability.
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Tamil Nadu comprehensive wasteland development programme
(TNCWLDP)
Another mega programme of the State of Tamil Nadu launched
during the year 2002-2003, is Tamil Nadu Comprehensive Wasteland
Development Programme, under which 60 watersheds in 10 Districts,
covering an area of 50,000 ha are being taken up for development.
About 54 lakhs numbers of agro forestry tree seedlings are raised
by the Forest Department for this programme. All these seedlings
are planted in the farmlands on their request and choice. Very high
quality seeds from superior sources like Seed Production Areas or
Seed Orchards or from selected phenotypically superior trees were
collected by the Deputy Conservator of Forests (Genetics) of the
Research wing were used for raising these seedlings.
Detailed experimentation and trials with 30 species in different

poly bag sizes with varying inputs of Vermicasting, VAM and Bacterial
bio-fertilizers carried out by Tamil Nadu Forest Research wing, had
resulted in identifying the most optimum mix for maximum biomass
yield. This finding was translated into action by adopting it for the
raising the 54-lakh seedlings. The entire nursery programme was
implemented and monitored by the research wing. For the planting
programme of Tamil Nadu Comprehensive Wasteland Development
Project, 1340 tonnes of Vermicasting, 267 tonnes of VAM, 80 tonnes
of Bacterial bio-fertilizers were produced by the Forest Department
Research wing during 2002-2003.
The effect of this innovative strategy was evaluated by
estimating the growth of treated and untreated six months old
seedlings from all the nurseries. The results indicated that, compared
to control, the treated seedlings have exhibited higher biomass from
95% to 350%, depending oh the species raised.
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Apart from these, forest research in Tamil Nadu is engaged in
Post Harvest Technology, processing and market research that are
also contributing considerably to the alleviation of poverty of the
people. Realizing the importance of research, training and extension
in achieving the objectives of the National Forest Policy, more
attention is paid to this sector in Tamil Nadu Forest Department.
603
EMERGING FOOD TECHNOLOGIES A REVIEW
OF MAJOR DEVELOPMENTS
R. Paul Singh
Professor of Food Engineering
Department of Biological and Agricultural Engineering
Department of Food Science and Technology
University of California
Davis, CA 95616
INTRODUCTION
Consumer demands for high-quality foods that are fresh-tasting
and nutritious have created considerable interest in the development
of new food-processing techniques. Traditional food-processing
technologies such as freezing, canning, and drying rely on heating
or cooling operations. Although these technologies have helped to
ensure a high level of food safety, the heating and cooling of foods
contributes to the degradation of various food quality attributes.
The color, flavor, and texture of foods processed solely by heating
may be irreversibly altered. To ameliorate the undesirable thermal
effects on foods, considerable effort has been made in commercial
and academic circles to develop nonthermal technologies that rely
on techniques other than heating or cooling operations.
During the past two decades, numerous papers have been
published in the literature that describe research using these
emerging technologies (Barbosa-Canovas, et al., 1998). Because
these processing techniques have little or no thermal effects on
foods, they are commonly called nonthermal preservation
technologies. Among these emerging technologies, the most
promising ones for food application are high-pressure processing,
use of pulsed-electric fields, and application of pulsed light. This
review provides a technical description of each of these
technologies, along with a discussion of their applications in food
processing.
High-pressure processing
High-pressure treatment of foods involves subjecting food
materials to pressures as high as 9,000 times the atmospheric
pressure. Pressure is applied uniformly throughout a food material,
independent of its mass and time. Use of high pressure in food
processing is an extension of a technology that is commonly
employed in many other industrial processes, notably in the
manufacturing of ceramics, diamonds, super-alloys, and sheet metal
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forming. Similarly, high isostatic pressures are routinely used in
the manufacturing of polymeric compounds, such as for the
synthesis of low-density polyethylene and in chemical reactors for
the manufacturing of quartz crystals. Although commercial interest
in the use of high-pressure technology in food processing has
occurred only since the early 1990s, the effects of high pressure in
inactivating microorganisms have been known for more than a
century.
In 1899, one of the earliest investigations using high pressures
in food processing involved the application of pressures in the range
of 5,000 to 7,000 kg/cm2 (see Table 1 for unit conversions) to reduce
microbial levels in milk and meats (Hite, 1899). It was shown that a
five- or six-log-cycle reduction in bacterial count was possible in
milk when it was subjected to a high pressure of 6,800 kg/cm2.
Increased shelf life of meats was also observed when meat samples
were pressurized to 5,400 kg/cm2.
Table 1. Factors to convert units of pressure
Unit atmosphere MPa bar kg/cm2 psi

standard
atmosphere 1 0.101325 1.01325 1.0332 14.69594
standard
MPa 9.8692 1 10 10.197 145.0377
bar 0.98692 0.1 1 1.0197 14.50377
kg/cm2 0.9679 0.0981 0.9807 1 14.2236
psi 0.068046 0.006894 0.068947 0.0703 1
Around the turn of century, the effect of high pressure (6,000

kg/cm2) on coagulation of egg albumin was observed. Other studies
showed that high-pressure processing was beneficial in extending
the shelf life of processed fruits. These early studies demonstrated
that application of high pressure had effects similar to the use of
high temperature on proteins and microbial population in foods.
Equipment Considerations
The key components of a high-pressure system are the pressure
vessel, pressurizing system, and ancillary components.
Pressure Vessel
A high-pressure vessel, in which products under treatment are
subjected to pressure, is the key component of this technology.
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Pressure vessels are generally made of low-alloy steel and
are routinely used in the ceramic and metal industries. However, in
the case of food applications, a unique requirement for the high-
pressure vessel is that it must undergo several thousand processing
cycles per year to process large volumes of foods. The large number
of required pressurized and depressurized cycles increases metal
fatigue and reduces the life of the vessel. Furthermore, the vessel
itself must be protected from any corrosion due either to the food
material itself or to any liquids used for cleaning.
Pressurizing Systems
Two types of pressurization systemsindirect and direct
are commonly employed in the industry.
In an indirect pressurization system, the pressurizing medium
(e.g., water) is first pumped through an intensifier, where its pressure
is raised. The pressurized medium is then pumped to the pressure
vessel. The intensifier is a high-pressure pump used to increase
the pressure to desired levels. The intensifier is separate from the
high-pressure vessel. This system requires high-pressure tubing
and appropriate fittings to convey the pressurized medium to the
pressure vessel.
In a direct pressurization system, the pressure intensifier is
located within the pressure vessel. In this system, both pressure
intensifier and the vessel are fabricated as a single unit, and the
total size of the vessel can be quite large. A piston is used to
deliver the high pressure to the product. This system requires heavy-
duty seals that must withstand repeated opening and closure without
leakage. A major limitation of this method is the need for efficient
seals between the pressure vessel and the piston.
The isostatic pressure system, where products are uniformly
treated to high pressure, may be operated under different
temperature regimes. The cold isostatic system is commonly used
in the plastic, metal, and ceramic industries. Pressures in the range
of 500 to 600 MPa are applied using two techniques. In the wet bag
configuration, which is more suitable for food processing, a mold is
first filled with the material outside the pressure vessel. The filled
mold is then moved into the pressure vessel containing a pressure
medium. With cold isostatic pressure, water is used as the pressure
medium. In the dry bag configuration, the mold is fixed in place
within the pressure vessel. The material to be treated is filled into
the mold. The mold remains separated from the pressure medium
by an elastomer tool.
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The warm isostatic system involves application of isostatic
pressure at temperatures up to 200ºC. This system is more
applicable when desirable chemical reactions must occur at high
temperatures while the material is under high pressure.
Another method used in high-pressure technology is to
pressurize the test material by heating a pressure medium that
surrounds it. This method is based on the principle that liquids
expand when they are heated. However, this procedure is suitable
only when high temperatures can be used without damaging the
material being processed.
In high-pressure processing, inert gases or water are the most
commonly used pressure media. The relative uncompressibility of
water compared with gases makes it the prefered pressure medium
in many applications. The decrease in volume of water is about 5%
when its pressure is increased from 0 to 4,000 kg/cm2 at 22ºC. This
volume reduction is much smaller compared with inert gases, where
high-volume reductions can make operations more hazardous. When
water is used as a pressure medium when subjecting food materials
to high pressure, there is instantaneous and uniform transmission
of the pressure throughout the product being treated. Typically, small
amounts of oil may be added into the water for anticorrosive and
lubricant purposes.
Modes of Operation
In a high-pressure process, the pressure vessel is filled with a
food product and pressurized for a desired time, followed by
depressurization.
The time required to pressurize the vessel is influenced by the
compressibility of the pressure medium and the food material. If
water is used as the pressure medium, for most food materials
compressibility is similar to that of the pressure medium. Typically,
the pressurization time of foods is independent of the amount of
food placed inside the pressure vessel. However, if the food material
contains any air, then the pressurization time is increased, because
air is considerably more compressible than water. After
pressurization, the food is kept under high pressure for the required
process time, which may be for several minutes. Upon completion
of the pressure exposure, depressurization can be done quite rapidly.
Batch Processing Mode
Operating high-pressure equipment as a batch process has
several advantages. Different types of foods can be processed
without cross-contamination, there is no need for clean-up between
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runs, the equipment is relatively simple, and there is no risk of
large quantities of foods becoming contaminated in case of
equipment malfunction. Several pressure vessels may be operated
in a controlled sequence to minimize any time lag associated with
the time required for pressurization of vessels.
Most of the high-pressure equipment used currently operates
under batch mode. Because the pressurizing and depressurizing
steps can be accomplished rapidly, the low efficiency associated
with batch processing is therefore minimized. However, such rapid
cycles also can cause metal fatigue and reduce the life of equipment.
Above 4,000 kg/cm2, the weight of equipment increases significantly,
as does its cost.
Semicontinuous Processing Mode
Another approach to high-pressure treatment of liquid foods is
the use of a semicontinuous processing mode (Moreau, 1995). This
system involves a combination of multiple pressure vessels that
are sequenced to provide a continuous flow. While one vessel is
being pressurized, another may be in a decompression mode. This
type of approach has been used commercially by companies such
as the Wakayama plant in Japan, to treat tangerine juice, where
three 50-liter pressure cells are sequenced to achieve a production
rate of 4,000 liter per hour (Moreau, 1995). The pressure system,
known as ACB high-pressure liquid processor (GEC Alsthom ACB,
France), has a chamber with an internal volume of 4 liters. The
compression process is done with water up to a maximum pressure
of 400 MPa. Programmable pressure controllers are used to adjust
pressurization and decompression rates. Appropriate temperature
controls are used to maintain temperature from -20ºC to +80ºC.
This unit has been used in selected processing steps in wine
production. The reduction in cost of a semicontinuous process is
about 27% over a batch process for 500-liter-per-hour production
(Moreau, 1995).
Another continuous high-pressure system involves 5-m-long
stainless-steel pipes that are wound like a coil with a pressure
resistance of 700 MPa (Itoh, et al., 1996). Each pipe has an internal
volume of 10 ml. An air-driven hydraulic pump is used to introduce
liquid product into the pipes. A plunger pump can deliver 800 MPa.
With the outlet valve closed, the liquid is subjected to pressure.
The coiled pipes are placed in thermostatically controlled water
baths, where temperature is controlled between 5 and 80ºC. The
outlet valve is gradually opened to release the pressurized product
in a continuous manner.
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Other innovations in high-pressure system design include the
use of pulsating high pressures (Itoh, 1996). The pressure vessel
is similar to those used in cold isostatic pressing. A unique feature
in this new system is an air-driven pressure-increasing device that
allows instantaneous change in pressure. Additionally, a pressure-
reducing valve attached to the pressure vessel is useful in releasing
pressurized water. By manipulating the pressure-reducing valve,
desired pulsations are obtained. The pressure vessel is contained
in a thermostatically controlled water bath. The investigators were
able to achieve 500 MPa in 10 seconds. Reduced process times at
high pressures were obtained when used in combination with higher
temperatures. These studies emphasize the synergistic benefit of
pressure and temperature in selected food applications.
The cost of high-pressure processing is dependent upon the
combination of pressure, pressure hold time, and temperature at
which the product is processed (Olsson, 1995). Therefore these
variables must be carefully selected. The cost per unit of production
is lower for a large production unit than when several small-size
pressure units are used in parallel (Olsson, 1995). This cost saving
is possible because the capital cost of manufacturing a large
pressure unit is lower than several small units.
Examples of Industrial-Scale High-Pressure Systems
The following two examples of industrial equipment for high-
pressure applications are provided for illustration purposes. High-
pressure equipment, manufactured by ABB Pressure Systems AB,
has been largely used for synthetic diamond manufacturing, sheet
metal forming, and for the extrusion of metal. Equipment developed
specifically for food processing includes the QUINTUS Food Press.
The pressure vessel is prestressed using a spring steel wire and
remains in a prestressed state even under pressure. A replaceable
liner is inserted inside the cylinder for additional safety of operation.
To keep the top and bottom closures safely in place, the press
uses a retractable frame, fabricated of prestressed wire winding.
The press is pressurized with an external pressure intensifier. Other
designs involve a pump built into the press to obtain a wide range
of pressure. A laboratory unit (QFP-6) has a capacity of 1.4 liters at
pressures up to 900 MPa. As a total system, the QUINTUS Press
may be incorporated in a bulk processing line, where the product is
kept inside large bulk containers during processing and storage.
As an alternative, food in retail-size packages, placed in a loading
basket, may be processed under pressure and later transported
directly for retail sales.
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A pilot-size ultra-high-pressure food processor is manufactured
by Flow International Corporation (Kent, Washington). This unit is
developed for pumpable products. Under computer control, the food
is pumped into the pressure vessel, the pressure is raised and held
for the required time, and the food is discharged into filling
containers. An ultra-high-pressure pump (FLOW WaterNifeâ) is used
to pump the food into the chamber. In a multi-chamber system, the
filling, pressurizing and discharging operations can be appropriately
sequenced to achieve maximum production rates.
Commercial Applications of High-Pressure Technology in Food
Processing
Some of the requirements for the suitability of a high-pressure
system for food applications are as follows:
l Short cycle time for inactivating microorganisms and
enzymes
l Safe to operate
l Easy to clean
l Accurate and reliable pressure control
l Low capital and operating costs.
Commercial application of high-pressure processing was first
realized in Japan in 1992, when a Japanese company, Meidiya
Foods, introduced jams processed with this new technology into
the Japanese market. The products were well received by the
consumers. Since then, other products processed with this
technology in Japan have included fruit juices, ice cream, Japanese
unrefined rice wine, and rice cakes containing herbs, such as
Yomogimochi (Hayashi, et al., 1992). These commercial
applications have also spurred interest in conducting research on
high-pressure processing. More than 70 food companies and
governmental institutions in Japan had acquired laboratory-scale
equipment for testing as of 1992 (Hayashi, et al., 1992).
During the last decade, numerous publications have appeared
in the literature that describe the influence of pressure on various
constituents of foods such as spoilage microorganisms, food
pathogens, enzymes, proteins, and lipids. A diverse range of foods
have been subjected to high-pressure treatments, including fruit
juices, jams, vegetables, milk, yogurt, cheese, fish, pork, and beef
(Table 2). In contrast to thermal treatment, high-pressure processing
does not break covalent bonds in foods, and as a result flavors are
generally preserved. The effect of high pressures on enzymes is
610
largely due to denaturation of proteins. The role of high-pressure
processing on enzyme kinetics, other chemical reactions such as
the Maillard reaction (which causes browning), and lipid oxidation
(which leads to off-flavors in fat-containing foods) are the focus of
current research.
Table 2. Some examples of products processed using high-pressure
technology and changes in quality attributes other than microbial
changes
Product Process and Quality Attributes Reference
Avocado Prevent discoloration. Inhibition of (8)

Puree undesirable browning reactions in
presence of low pH.
Banana Prevent discoloration. Reduction in (8)
Puree Polyphenoloxidase activity when
combined with blanching.
Black Beans Cooking. Increased water absorption and (8)
reduced cooking time.
Cheese Rennet coagulation. Reduction in rennet (9)
coagulation of milk.
Jam Commercial Production (Meiji-ya, Japan). (10)
Improved retention of color and flavor of
fresh fruit.
Meats Thawing. Reduction in drip loss and (11)
minimal color change
Meats, Commercial production (Fuji Chiku and (10)
tenderized Mutterham, Japan). Improved retention of
sensory characteristics.
Orange juice, Preservation. Retention of color and cloud (8)
fresh- stability during storage.
squeezed
Pink grape Preservation. Retention of color and cloud (8)
fruit juice, stability during storage.
fresh-
squeezed
Pork sausage Manufacturing. Moister, denser, and more (8)
tender sausages with more retention of
color than if heat treated.
Potato Freezing. Reduction in freezing time in (8)
potato cylinders
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Rice paste Commercial Production (Japan). More (7)

with herbs desirable sensory properties than if heat
(Yomogimochi) treated.
Soya proteins Manufacturing. Less firm but more elastic (12)
and extensible gels. Improved
preservation of color and initial aroma.
Surimi Control of Enzyme activity. Enhanced (8)
activity of transglutaminase in surimi with
increased gel strength
Surimi,Pacific Gelation. Increased gel strength in surimi. (8)
Whiting
Tofu Freezing. Production of small-size ice (13)
crystals.
Tomato juice Juice production. Modification of physical (8)
and sensory characteristics deemed
desirable.
Yogurt Storage. Reduced syneresis. (14)
Most studies indicate that the beneficial effects of high-

pressure processing of foods are evident only when applied
pressures are above 400 MPa. Vegetative organisms such as fungi
and mold are inactivated by pressures between 400 and 600 MPa.
The cell membranes of these organisms are damaged by high-
pressure processing, and they cannot reproduce. Once damaged,
the cells are unable to control the transport of water and ions across
the membranes, leading to collapse of the cells. However, under
favorable conditions, the cells may repair themselves; for example,
recovery was observed after 60 days of storage at refrigerated
temperatures (Nadathur, et al., 1997). Much higher pressures,
greater than 800 MPa, are required to inactivate bacterial spores
and a pressure of 408 MPa for 2 minutes was sufficient to achieve
a 6-log reduction of APC, yeast, and E. coli in apple juice (Ting,
1998).
Food materials may be subjected to high pressures either as
packaged foods or they may be processed in bulk. The advantages
and disadvantages of these procedures have been discussed in
the literature (Deplace, 1995). When foods are first packaged and
then pressurized, either as liquids or solids, there is no danger of
post-processing contamination. However, packaged foods require
more complex handling procedures. The filling efficiency in a
pressure vessel is generally 50 to 70%, because of the geometrical
shape of the packages. In addition, considerable time is required
612
for loading, unloading, filling, and venting of the vessel. Common
packaging materials used are EVOH and PVOH.
With bulk processing, the batch method is more suitable for
pumpable foods, because the handling of these foods is simple.
After processing, the product can be packaged using a variety of
packaging materials such as glass or metal. The vessel is more
fully utilized (up to 90% with food material), and minimum time is
required for loading and unloading. Furthermore, the vessel does
not require opening and closing. This method can also be made
semicontinuous with the use of multiple pressure vessels operated
in a desired sequence. Often there is a need for aseptic filling to
avoid post-processing contamination, and all contact between food
and equipment components must meet aseptic standards.
Another interesting application of high pressure is to store food
materials at subfreezing temperatures under high pressure without
actually freezing the food (Knorr, 1998). The freezing point of water
decreases with increasing pressure. Thus, a food under pressure
may be kept at subfreezing temperature in an unfrozen state,
minimizing the deleterious effects of ice crystal formation on food
quality.
Because high pressure is transmitted instantly throughout a
food system, the size and geometry of the object being treated is
not as critical as in the case of traditional thermal processing (Knorr,
1998). In high-pressure processing, the need for size reduction may
be eliminated, thus minimizing losses of nutrients and the
consequent environmental pollution. Similarly, high-pressure
processing offers potential advantages due to low-temperature
processing. A significant reduction in the leaching of cell constituents
from potato cubes when blanched under pressure was achieved
compared with traditional blanching (Estiaghi et al., 1994). In high-
pressure processing, the gelling phenomenon in proteins is different
from that obtained with thermal treatment. This uniqueness provides
new opportunities to create desired functionality of engineered foods.
The increase of membrane permeability achieved with high pressure
can be effectively used in controlling mass transfer in many food
processes such as frying, blanching, and dehydration (Estiaghi
et al., 1994).
As seen in Table 2, applications of high pressure processing
include increasing the shelf-life of foods and creating unique
structural changes in foods that provide benefit for desired functions.
Many of these changes influence the quality characteristics of foods.
At present, there is a lack of sufficient data to describe completely
the mechanisms and kinetics of reactions that influence the quality
613
of foods when they are processed under high pressure. These are
topics of current and future study.
Pulsed electric fields
Similar to high-pressure processing, the beneficial effects of
pulsed electric fields on inactivating microbial levels in foods have
been known for several decades. The pasteurizing effects of electric
fields in foods were first observed in the early 1900s. According to
Beattie and Lewis (Beattie and Lewis, 1924), in electrically treated
milk supplied to the city of Liverpool in England, the bactericidal
effects of the treatment were due not only to heat that was
generated, but also to the electric field itself.
During the 1960s, procedures were developed to create pores
in cell membranes by subjecting cells to high voltage. A natural
pressure gradient exists across cellular membranes, so that when
a cell is placed in an electric field, the transmembrane potential
increases. If the applied electrical field is more than a certain critical
value, then the cell wall ruptures. While the complete mechanism
of cell wall breakdown in an electric field is not clearly understood,
this observed phenomenon is used regularly in creating pores in a
cell membrane. The technique is known as electroporation, and it
has been used in the field of biotechnology to introduce foreign
DNA into a cell.
In another application, cells are fused together when placed in
an electric field. A process called electrofusion has been used in
the food industry to convert nonflocculant brewers yeast to
flocculant yeast (Knorr et al., 1994). It has been shown that when
wheat dough is subjected to 50 kV for 20 minutes, there is a
decreased water loss during baking and increased shelf-life of bread
(Knorr et al., 1994).
Technical Considerations
The main components of a pulsed electric field (PEF) system
are the high-voltage generator, switch, capacitor, and electrodes.
The microbial inactivation in foods due to an imposed electrical
field depends on the length of time the field is applied and the
number of pulses. Several technical issues that are important in
the industrial application of PEF have been noted (Zhang et al.,
1995). These include :
l Determining the optimum electric field strength for
inactivating bacteria
l Provision to cool the food material that heats up due to
Joule heating effect
614
l Dielectric breakdown in foods
l Proper selection of power and flow rates
l Operational safety issues.
Pulse Generation
A food material contains ions that make it a good conductor of
electricity. When a large flux of electrical current flows through a
food material, a high-voltage pulsed electric field is generated within
the food. The electric current is allowed to flow through the food
object for a very short period of time, on the order of microseconds.
Therefore, a capacitor is needed to generate pulses. The capacitor
slowly charges and then quickly discharges its stored electrical energy.
Two types of pulses have been considered for PEF applications,
namely exponential decay and square pulses. An electrical circuit
may be used to generate an exponential decay pulse (Zhang et al.,
1995) or a square pulse. In square pulses, the voltage increases
instantaneously to a peak value, where it is held for some time
before decreasing to zero almost instantly. With exponential pulses,
the long tail section of the pulse is not effective in killing bacteria.
On the other hand, it generates excess heat. Square pulses can
maintain their peak voltage for a longer time than exponential pulses,
and they generate less heat. Although the generation of square
pulses needs more complex circuits, it is preferred for its advantages
in food applications.
Research shows that structural changes in cellular membranes
caused by about 1 V cause irreversible loss of membrane function
(Sale and Hamilton, 1967).
While PEF is desirable for microbial inactivation, it causes
undesirable arcing or dielectric breakdown in a material. Arcing
occurs when the applied field strength becomes equal to the dielectric
strength of the material. When a liquid food is subjected to PEF,
any presence of vapor bubbles causes arcing. Gases or vapors
have a much lower dielectric strength than do pure liquids. Any
roughness of electrode surface also causes dielectric breakdown
of the food material. Zhang et al.,1995 recommend considerations
of the following points to avoid arcing :
l Using electrodes that are smooth
l Carefully designed treatment chambers to provide uniform
electric field strength
615
l Degassing
l Pressurizing the liquid in the treatment chamber to prevent
bubble formation.
Design of PEF Treatment Cells
Several different designs of PEF treatment chambers have
been investigated (Qin et al., 1996). A static chamber was used by
researchers at Washington State University. The disk-shaped
electrodes (area 27 cm2) are made of stainless steel polished to
mirror-like surface, with a gap that could be set at either 9.5 or 5.1
mm. Electric field strengths of up to 70 kV/cm could be used.
Electrodes contain built-in jackets that allow circulation of water to
maintain low temperatures. A modified version of this static cell
has been used for continuous application. To continuously pump a
liquid food through the cell, baffled flow channels were added inside
the treatment chamber. A pulse width of 2 to 15 microseconds with
a repetition rate of 1 Hz has been tested, and the flow rate of the
test liquid food through this cell was reported to be either 1,200 or
600 cm3/min.
In studies conducted with PEF systems, it is recommended
that high electric field and short time pulses be used to minimize
heat generation due to Joule heating effect. Otherwise, the benefits
of PEF are lost due to thermal degradation of the treated food.
There are operational problems with the use of monopolar pulses
(Zhang et al., 1995). Because many constituents of a food material,
such as electrolytes, protein, and living cells, have a net electric
charge, they tend to accumulate on the charged electrode surfaces.
A shielding layer is therefore created on the electrodes that makes
the electric field nonuniform. The undesirable shielding layers are
prevented when bipolar pulses are used (Zhang et al., 1995).
Applications of PEF Treatment in Food Processing
Recently, a PEF unit for treatment of fresh orange juice at a
pilot scale has been described (Qiu et al., 1998). This system
involved a continuous pilot-scale PEF unit integrated with an aseptic
packaging machine. The investigators used a 40,000 V/17 MWp
high-voltage pulse generator with a multiple state co-field PEF
treatment chamber. The aseptic packaging machine was used to
package PEF-treated food under either nitrogen or sterile air
headspace. The pumping system (Moyno pump) was used to
transport juice at a uniform rate from 75 to 200 liters per hour. The
pulse generator had a 40-kV command charging power supply. For
switching, they used a 0 kV/5 kA hollow anode thyratron. The
maximum repetition rate of the pulse generator was set at 1,000
616
Hz. The network could be changed to generate different pulse
shapes, namely, square wave, exponential decay wave, and an
under-damped RLC waveform. They used a set of co-field tubular
treatment chambers with cooling capabilities. The diameter of the
treatment zone was 0.48 cm, and the separation between the
electrodes was set at 0.48 cm. The system was operated at 30ºC,
and the feed flowed through 12 PEF treatment chambers. A system
flow rate of 75 liters per hour was obtained, with an average of 3.3
pulses delivered to the feed stream in each cell. The authors
concluded that the PEF treatment inactivated 99.9% of microbial
flora, with the square waves being most effective. Compared with
heat pasteurization, the PEF-treated orange juice retained more
vitamin C and flavor.
As seen in the preceding example, the goal of many studies
using PEF treatments is to extend the shelf-life of foods by
minimizing spoilage caused by microbial growth. In these studies,
Table 3. Examples of foods processed using pulsed-electric fields and

change in their quality attributes other than microbial
Apple Juice, Pasteurization. No change in solids (1)

fresh and concentration, pH, and vitamin C. Loss of
reconstituted Calcium, magnesium, sodium and
potassium. No sensory differences between
processed and untreated juices.
Commercial Preservation. Better flavor and appearance (8)
cheese sauce, than comparable products
reformulated
Green Pea Soup Cooking. No difference in sensory (1)
properties after 4 weeks storage at 4°C.
Liquid Whole Pasteurization. Prevention of coagulation, (8)
Egg superior quality
Orange juice Preservation at pilot-scale. Less than 6% (8)
flavor loss, negligible vitamin C and color
change.
Orange juice, Pasteurization. Minimal loss of flavor (8)
fresh-squeezed compounds, color and vitamin C.
Salsa Preservation. Better flavor and appearance (8)
than comparable products
Spaghetti Sauce Aseptic processing. Acceptable after 2 (8)
years and 80°F storage.
617
the rate of microbial growth is a key parameter that is compared
between foods treated with PEF or traditional technologies.
Some illustrative examples of foods treated with PEF are shown
in Table 3. These applications are still under development stage.
Considerable more research is necessary to obtain data on the
effects of PEF treatments on the sensory properties as well as
nutritional content of foods.
Pulsed-light treatment
Pulsed-light treatment involves the use of a flash of high-
intensity light for the purpose of killing microorganisms on the
surface of food or packaging materials. This procedure, developed
under the trade name PureBright (PurePulse Technologies, Inc.,
San Diego, California, USA), uses a light spectrum containing
wavelengths from ultraviolet to near-infrared. The light spectrum
generated with this equipment is similar to that of the sunlight
reaching the earths surface. The peak of intensity is in the blue-
violet region, and the PureBright spectrum contains wavelengths in
the 200 to 300 nm, not present in sunlight reaching the earths
surface. Sunlight, on the other hand, has more radiation in the infrared
region than PureBright. The intensity of PureBright is 20,000 times
that of sunlight measured at earths surface. The intense flashes of
light produced by PureBright system are used to destroy
microorganisms.
Equipment
There are essentially two components of the pulsed-light
system, the power unit and the lamp unit.
The power unit is used to generate high voltage. The resulting
high-current pulses are then employed in the lamp. First the AC
power is converted to high-voltage DC power, which is then used to
charge a capacitor. After the capacitor is charged to certain voltage,
a high-voltage switch discharges the capacitor into a lamp. The
system is properly contained to protect personnel from high voltage.
Cooling water is used to minimize any heating of the treated product.
The treatment unit has one or more inert gas lamps. When a
high-current pulse is applied to the lamp, the gas in the lamp emits
an intense pulse of light. The frequency of flashing, number of
lamps, and flashing configuration depend on the treatment
application.
618
Monitoring Controls
Monitoring of the lighting system is extremely important to
ensure that the treatment area is properly treated. The PureBright
system uses two types of diagnostic monitors, the lamp output
(fluence) and the lamp current. Fluence is the measure of incident
light energy per unit surface area (J/cm2). The lamp fluence is
measured to ensure that the lamp is producing sufficient ultraviolet
fluence to inactivate microorganisms. This is accomplished with
the use of a silicon photodiode that detects whether the lamp has
the required output of ultraviolet light. A decreasing output would
signal that the lamp needs replacement. This control is also
necessary to shut down the operation in case the objects do not
receive treatment above some predetermined threshold level.
A second monitoring control used in the PureBright system
measures the lamp current for every flash. The current level is an
indication of the intensity and spectrum of radiation. If the current
level falls below a preselected threshold, the operation is shut down.
Operating Procedures
The PureBright system involves illuminating the desired
treatment area with 0.1 to 3 J/cm2 per flash, with total accumulated
fluences of 0.1 to 12 J/cm2. The flashes are applied at a rate of 0.5
to 10 Hertz, generally for a duration of several hundred
microseconds. This type of system has been used for treating
packaging materials.
Applications of Pulsed Light System in Food Processing
Results indicate that application of pulsed light can reduce up
to 9 logs of vegetative microorganisms and more than 7 logs of
bacterial spores on smooth, nonporous surfaces such as those of
packaging materials. When the surfaces are more complex and
porous, such as in case of food materials, then the microbial
reduction is only 2 to 3 log cycles.
The pulsed light systems use only the surface of the product
being treated. Any photoproducts produced due to this treatment
are much fewer than those produced by thermal treatments, thus
minimizing product degradation. Extension of shelf life of various
foods such as bread, shrimp, and meats has been reported (26).
Pulsed light is effective for treating water, because water is
transparent and permits penetration of light. The reported costs of
equipment amortization, lamp replacement, electricity, and
maintenance indicate expenditures of only a few tenths of a cent
(U.S.) per square foot of treated area (Dunn et al., 1995).
619
Oscillating Magnetic Fields
Published studies in the literature show contradicting results
on the inhibition of microorganisms when placed in oscillating
magnetic fields (OMF). Some studies indicate that magnetic fields
have an inhibitory effect on the microbial population, while others
note no effect or in some cases even a stimulating effect.
Mechanisms describing these observations are under scientific
inquiry. In one study, foods with high electrical resistivity were placed
within a magnetic coil in an apparatus and subjected to one or more
pulses of OMF with an intensity of 2 to about 100 Tesla and a
frequency of 5 to 500 kHz (Hofmann, 1985). It was observed that
a single pulse of magnetic field generally decreased the microbial
population by at least two orders of magnitude. OMF involves little
thermal energy input, thus avoiding thermal denaturation of food
constituents during treatment. However, more research is needed
to understand the changes in microbial population and other
constituents of foods when treated with OMF.
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621
POSTHARVEST TECHNOLOGY IN THE FOOD
SYSTEM
G.S.V. Raghavan
Department of Bioresource Engineering
McGill University, Ste. Anne-de-Bellevue, H9X 3V9, Quebec, Canada
INTRODUCTION
Throughout the history of mankind, food security has been a
challenging issue. Over the last century, the rising demand for food
due to the increased population has been met by different measures
to varying degrees of success. Larger areas of land have been
brought under the plough in combination with increased productivity
using high yielding varieties, increased inputs and better
management techniques. Consolidation of the produce with
postharvest management practices developed alongside, but at a
slower pace than the thrust for production. Over the years, the
decreasing marginal returns from the inputs of production have
shifted the direction of food security towards postharvest practices.
Better management, storage, preservation, product transformation
and value addition have been increasingly under focus. The changing
nature of global agriculture from subsistence, local market-oriented
approach has also forced the players to pay more attention towards
maximizing the returns through diversified products and practices.
Throughout the world, the importance of postharvest technology is
being realized more and more. The field has grown over the past
few decades and the research and development efforts continue to
shape the agri-business to the needs of the global market.
Historically, many fundamental postharvest practices have
been practiced in different parts of the world. Form conversion of
agricultural produce for longer storage and palatability is a common
practice. However, the enormous potential of postharvest technology
in agri-business is being realized only lately.
The 1990s were turbulent years in the recent history of mankind
when the world changed radically over a short period of time.
Economically, the dismantling of market barriers in many parts of
the world due to either the weakening of the USSR or the relaxed
communist policies of China, lead to the creation of a new
environment that is dominated by capitalist forces. The cascading
effects of this new global regime have been felt in almost all facets
of life. New markets with enormous purchasing power opened up
for private enterprise and reduced restrictions for movement of
capital encouraged foreign investment worldwide. The vigorous
622
pursuit of wealth since then has resulted in an economically stratified
society. The broad spectrum of consumers has the über rich, highly
discerning segment at one end and the economically deprived at
the other, who have nothing to claim except human capital. In
countries like India, there lies in-between a huge chunk of middle
class a vibrant component of the consumer profile that exerts a
very powerful influence on the nations economy, often steering to
set new paths and destinations.
The sweeping economic changes have had their impact on the
lifestyles and food habits of the people world-wide. The general
trend is to desire for quickto-prepare, ready-to-eat, healthy foods.
As the income level rises, there is a tendency for the consumers to
move away from staple foods and obtain the nutrients from
wholesome or fresh products. Similarly, in the developed countries,
people prefer the availability of exotic and seasonal agri-products
throughout the year. Year-round demand for fresh produce is still
evolving in the less developed and developing countries. Seasonal
agri-produce is released into the domestic markets soon after
harvest, causing gluts. Hence there are narrow but non-lucrative
windows for marketing the produce locally.
In the face of such conditions, the producer has to look for
alternative markets and marketing strategies. Traditional agricultural
approaches are no longer sufficient or appropriate to perform
satisfactorily in the business. Efficient postharvest management
of the produce, processing and value addition are the means by
which profitable solutions can be formulated.
The global perspective of postharvest technology can be
considered for its different components Research and
Development, Education (awareness and adoption) and Institutional
support (government policies). Of these, research and development
has gained more attention over the recent past while the
dissemination of the results among the beneficiaries is gaining ground
slowly. Most developed nations are far ahead in the aspects of
value addition compared to the less developed and developing
countries. The governmental policies also mirror this state of affairs
in different parts of the world. It is a perplexing paradox in some
nations where it is hard to identify which should come first
governmental policy or field awareness.
Research & Development
Research in the area of postharvest technology has different
priorities in different parts of the world. Significant work has been
done and adopted by the producers in the US and Canada where
623
the severe winters restrict the growing period. Due to the demanding
climatic conditions, technological solutions have been developed
to utilize the harvest throughout the year by the means of effective
storage and transportation techniques.
Drying of grains is a common practice in the US and Canada.
However, it is not very effectively utilized in Asian countries. The
humid conditions often are not conducive to economical drying and
loss of grains during storage is quite common. However, the efforts
in the West to economize drying could hold promise to the Asian
scenario. Use of heat pump dehumidifiers to recover the latent
heat from dryer exhaust stream and hence reduce the energy cost
is being pursued in many parts of North America. Heat pump
dehumidifiers have been commercially employed for drying of various
agri-food products in Europe. The same technology can be
beneficially utilized in Asian countries for drying of grains with the
enthalpy in the humid air. On the other hand, some of the traditional
and indigenous techniques of the developing countries are being
applied in North America. Use of particulate media for heat transfer
in thermal processing is one of the finest examples. Which ever
the technology, the emphasis is on effective utilization of the energy
input by efficient heat and mass transfer as well as reduction and
recuperation of waste heat. Western technologies try to be eco-
friendly with less dependence on fossil fuels and reduced emissions.
In the developing countries, the technologies need to be self-
sustaining as well.
Form conversion is the major value addition in the sector of
food grains. Drying, though a method of preservation could be
considered as value addition from the perspective of the producer.
Food grains are converted into flour, semi-processed products such
as parboiled rice, and processed food products such as flakes,
pasta and puffed rice. Western markets have developed over the
years to support such agri-processing industry. A large proportion
of the grain purchased and consumed in North America is in the
form of processed foods. Conditions are developing in other parts
of the world for similar systems and India is a good example. With
less time available for food preparation, the consumers prefer to
purchase semi-processed and processed foods including staple
foods. This huge, promising and remunerative market needs to be
tapped by the agri-processing industry.
Processing of fruits and vegetables is a weak area for most of
the leading producers such as China and India, which along with
Brazil account for almost 30% of world fruit production. Due to
specialization in citrus fruits, Brazil do minates international trade
624
in frozen orange juice concentrate. On the other hand, over half
the vegetable and fruit consumption in developed countries is in
the processed form, and the demand keeps increasing, especially
for exotic or foreign foods. Hence there exists an enormous potential
for the processing industry to perform well.
With global integration of the fruit and vegetable trade, the
demand for year-round supply of seasonal perishable products is
increasing. Significant technical expertise in postharvest technology
is essential for exploiting the huge horti-produce markets opened
up by the new trade agreements. Ability to store the produce longer
and transport it over longer distances has been strengthened in
many fruit exporting nations of the West. A continuous cold chain
coupled with modified and controlled atmosphere storage techniques
has enabled the producers and marketers to increase the storage
life of products from two weeks to eight months for different
products. The R & D efforts in these parts are focused on reducing
the energy, material and handling costs to make the business more
profitable.
However, in many tropical countries, cold chains for horticultural
products are patchy, if not non-existent. India, for instance, has a
well developed cold chain system for milk but not for agri-products
in spite of being one of the major producers of fruits and vegetables
in the world. The market for the products has been mostly local
with a large percentage being lost or wasted. Energy and capital
costs are the major constraints for establishing an efficient cold
chain. The solutions in these parts of the world have to come from
innovative and indigenous methods. For instance, evaporative
cooling based storage chambers could be used in tropical countries
for precooling on field, which is the first link in a cold chain. The
rapid removal of field heat itself can extend the life of the product
significantly and is a simple but effective value addition process.
Many years of research have gone in to the development of
controlled and modified atmosphere storage techniques and the
success is being enjoyed by many producers in countries like the
US, Canada, Australia and New Zealand. These techniques are
still being tried out in the labs of many other parts of the world. The
research is being carried out using membranes and diffusion channel
assisted storage for different exotic products. However, there is a
different dimension to research in this area. Having discovered the
advantages of the techniques, the next step is to search for similar
materials that are cheaper and more easily accessible. Selection
of the material, study of its properties and subsequently, its
suitability for use in storage are to be explored. Even in the West,
625
where membranes are used for large scale storage, the quest is for
a design where the material could be used for small packages,
even individual units, and recycled economically.
Most of the R & D efforts in future will have to be carried out in
the light of the advances in biotechnology. Genetic and
biotechnological manipulations can be used to develop products
with desirable characteristics. High quality, longer storage life,
delayed ripening, a chemical profile that suits processing, resistance
to diseases and spoilage etc. are some of the postharvest related
changes that could be brought about by the application of
biotechnology. Modifications can be done to control undesirable
physiological processes such as chilling injury to mangoes or
browning of fruits as well as ensure a closer match between product
and processing requirements, such as the development of
characteristics in wheat more suited to manufacture of pasta.
Education and Institutional Support
The burning importance of postharvest management and food
processing for value addition is yet to be realized by many of the
potential beneficiaries. In case of India, after years of success in
increasing production during the Green Revolution, the gains are
being consolidated slowly. Yet, the awareness of fundamental
postharvest management principles is lacking in the general farming
community. The agents of change, the government departments
as well as the agricultural universities are not geared to move in
this direction and the required changes are coming about gradually.
The benefits of value addition and food processing are also not well
impressed upon the domestic enterprises. Hence, most of the large
units that are involved in this sector are multinational firms with
large capital absorbing capacities.
Human resource development at all levels is one of the key
approaches to bringing about satisfactory consolidation of food
security. Beginning from the curricula in the universities right up to
training the staff in government departments, the importance of
postharvest management needs to be inculcated for effective results
on the field.
Integration of postharvest principles in educational curricula,
training of university staff at all levels in research, teaching and
extension, Agricultural Extension activities, farmer and industrial
entrepreneur training programs as well as consumer education is
essential for broader realization of food security. Management
Institutes also need to address the issue by inculcating the subject
in their curricula.
626
The wheels can be put in motion only by institutional support.
Government policies and support are essential for the benefits to
influence the national economy. Similarly, the financial institutions
also need to support the cause by adopting policies sympathetic to
the human enterprise. Some of the steps taken by the Government
of India in this direction are very encouraging. Quality and safety
are the key areas that need regulation, especially in the export
market. Policy guidelines and regulatory mechanisms have to
evolve to respond to the global situation.
Levels of Food Security
The problem of hunger and nutritional security can be visualized
at different levels in scale, each varying not only in the magnitude
but also in the factors influencing the management. At the bottom,
the problem appears at the household level in both rural and urban
areas. Food is grown by individual farmers mostly for sale and
partly for consumption by themselves. Moving up, the problem
appears at the village level, wherein community action becomes
necessary to tackle the operational challenges. The next dimension
is a slightly complex one, involving densely populated urban centres
linked with rural production areas for their food supply. And finally,
the problem appears at the national level where the solutions are
linked to government policies and macroeconomic factors.
Household food security
Prolonged storage of cereals, grains and horticultural crops for
subsistence consumption is the main challenge at the household
level. In case of subsistence farming, all or most of the produce
has to be stored till the next season as well as a buffer stock needs
to be maintained for emergency situations. With commercial
farming, a part of the stock is needed for consumption at home. In
the latter case, small farmers are under pressure to market a major
share of their produce in order to meet their economic commitments
and often, a lower grade of the produce is retained for self, thus
increasing the risk of spoilage of the food stock.
Indigenous storage methods have been followed by people in
different parts of the world to store food products. Most of these
techniques are disappearing over time; it is a matter of great concern
as not many of the indigenous technology practices have been
scientifically studied and documented. These techniques need to
be evaluated in the light of the current understanding of modern
storage principles and refined, if necessary. Underground storage
of tubers and grains in sealed chambers, a storage technique based
on modified atmosphere, can be traced back to the early pyramids
627
in Egypt. Well sealed underground pits are still used in parts of
India for storage of grains. Standardization of the techniques aided
by scientific studies and their documentation is required to popularize
their widespread adoption. Traditional and indigenous material such
as earthen pots, rattan baskets, plant leaves and coconut fibre
used in storage structures have favourable aeration properties that
need to be scientifically described and standardized. Similarly, the
shapes of some of the indigenous containers need to be modified
to suit modern transport and storage requirements. Simple and
inexpensive devices to reduce pest infestation have been developed
in some parts of the world and these are found to be more effective
at the household storage level. The devices exploit the physiological
and behavioural features of the pests to contain them in reusable
traps. Along with physical methods, biochemical control of pests
with the application of biological extracts is also being studied.
Use of active components from neem is one good example. There
are various other underutilized plant material that could be safely
mixed as well as separated from grains for pest control and
subsequent consumption. These are used as powders, tubers,
tablets and extracts. Physical methods of control such as storage
under layers of sand, coating of pulses with soil, oil etc. have also
been developed for pest control.
Food processing and preservation on a small scale in the form
of drying and osmotic treatments are well placed for household
nutritional security. Preservation of excess perishable produce by
drying is a well known technique. However, the use of dried products
in the diet may not have been traditionally established and hence
not followed in some societies. In these cases, utilization of the
excess food as well as the easily available energy resources should
be encouraged by introducing the novel products for consumption.
Converting roots, tubers, cereals and pulses into flour is another
common food processing operation on a small scale. In some
parts of the world, further processing to produce dry ready to eat
bread (eg. Sorghum breads in South India) is also practiced with
great success. Fortification of such flours or breads with other
ingredients such as minor millets, vegetables and herbs could be
effective in enhancing the nutritional status of the food by providing
micronutrients.
Village Level
Use of mechanical equipment for postharvest operations is
not an economically viable option for small-scale, household level,
even though there are some health benefits in the form of reduced
drudgery and better quality of food produced. In developing
628
countries, strategies that involve community and cooperative action
have been successful to a large extent in fighting economical and
social problems. Ensuring food sufficiency at village level requires
dealing with the combined resources at that level to ensure the
supply. Use of mechanized equipment, refrigerated storage,
improved transportation containers etc. for storage and processing
of the produce can be implemented by communities for efficient
use of the local production. One of the major problems in South
Asia is the harvest of the late crop during rains when the relative
humidity is high. Mold-induced spoilage and loss in quality is a
serious problem with rice, sorghum and green gram in parts of India,
Philippines and Vietnam. Harvesting of grains at physiological
maturity and subsequent artificial drying using heat pump
dehumidifiers is a solution that requires high initial investment for
individual producers for modest land holdings. Community and
cooperative ownership would be helpful in solving the problem of
high initial investment as well as the operating expenses, besides
making the exercise economically feasible. Application of low-
cost technologies such as solar drying, underground and cellar
storage can also be practiced at this level more effectively with
sharing of resources. Some aspects of food safety such as hygienic
processing can be better practiced at a village level. Use of closed
cabinet solar dryers, storage of unthreshed grain in improved storage
structures to protect them from pests, use of mechanical threshers
and decorticators, graders, attrition mills to produce flour etc. are
some of the postharvest operations that become more economically
viable in such cases.
The Urban market and its supply network
Throughout the world, rapid urbanization has lead to the
development of dynamic relationships between the urban, peri-urban
and rural areas. Urbanization has created a wider consumer
spectrum that adds to the complexity of food requirements. On
one hand there is a teeming mass of urban poor who live under
very challenging conditions, barely able to sustain their livelihood,
and then on the other, there is a miniscule percentage of discerning
consumers who demand a wide range of characteristics in their
food. In between, there is a fast growing middle class that has
created demand for ready-to-eat and convenience foods that are
also nutritious and healthy.
There is no doubt that urbanization has encouraged the growth
of food processing and value addition and hence, a wide range of
postharvest technology practices in agriculture. However, the
cascading effect of such development on the rural poor has not
629
been as expected. Most of the major food processing units are
situated in the urban areas, a trend that has contributed to the
growth of the cities. Even though the rural agricultural sector has
supplied the raw materials, it has not benefited much from the value
addition industry. Unless the rural population is actively involved
and is benefited directly from the processing operations, the
imbalance in food sufficiency will continue to grow. Partial value
addition such as grading operations, conversion of grain to flour,
preparation of semi-processed material (eg. Dough for bread making,
cut vegetables, fruit pulp), packaging of minimally processed
horticultural products etc., should be located closer to the production
areas in order to provide employment and access to food, required
to achieve food sufficiency. Lack of infrastructural facilities such
as electrical power, water supply and technical support services
are often the drawbacks that shift the location of the industries to
the urban fringe. In places such as India, there is a growing
awareness among the people about income-generating opportunities
in food processing sector that is being translated into small-scale
industrial operations. However, village-based processing activities
need good HRD programs to support effective management and
marketing.
Transportation and handling losses are enormous (20-45%) in
the horticultural products supplied to the urban market from rural
areas. Often, these losses could be reduced to a large extent by
spreading awareness among the workers who handle the material
at different stages of transit (Fig. 1). Proper packaging of the
material, loading, stacking in the vehicle, use of good cover and
insulation in the vehicles used for transportation, gentler unloading
and heaping at the market and use of shades could result in
appreciable reclamation of the produce that is otherwise rejected
due to physical damage. Human resource development is a very
essential factor in achieving food sufficiency through postharvest
management, and education of the workers at different levels of
the food supply chain is a tool to work in that direction. Concepts
such as rapid precooling soon after the harvest, gentler handling of
the produce, use of appropriate containers for transportation, shade
and film covers to reduce water loss etc. should be understood and
followed by the producer. Periodic cleaning of storage structures
and containers to prevent incipient contamination during off season
is a healthy practice for ensuring food safety and reduction of pest-
related losses.
630
100%
75%
50%
25%
0%
n st ge n t
Prod
uctio Harve Stora istributio er Marke
D u m
Cons
Marketable Normal losses Other losses

Figure 1. Typical postharvest losses
National Level
The last two decades have seen enormous changes in the
world political order. The stable but apocalyptic calm that existed
under two distinct blocs have given way to a rather chaotic but
optimistic uncertainty that is passing around the globe. The greater
shift towards free market has brought a mixed bag of results.
However, the role of governments and their policies are extremely
important in the fight against hunger. While the macroeconomic
policies influence the quantity of food availability, the social policies
affect the distribution among the needy.
Growing world trade in food grains has influenced the diet and
food demand in developing countries. During 1995-97, almost 9%
of the cereal consumption in the developing countries was obtained
from food imports or aid. However, there is a growing realization
that traditional crops that are well suited to the tough growing
conditions can play a defensive role in the fight against hunger. In
many parts of Asia and Africa, research into the innovative use of
traditional food products from Sorghum, millets, yam, sweet potato
and cassava has shown that these products can contribute
handsomely to nutritional security. These products can help achieve
sustainable livelihoods through household food security by improved
home-based processing and storage practices. Traditional foods
also add nutrients as well as variety to the diet and have the potential
to be ideal convenience foods for lower income groups of urban
631
populace. But increasing imports of staple foods due to globalization
and international trade have seriously affected the chances for
traditional foods. The traditional foods will have to compete with
the imports which set the price ceiling. Only foods that have unique
characteristics will enjoy support in a supply-demand equilibrated
market.
Maintenance of buffer stocks and public distribution systems
are two common characteristics among the developing nations.
Despite the garb of free market economies, farmer subsidies
continue to be issued in almost all parts of the world in one form or
the other. In case of countries with different degrees of socialistic
leanings, the public distribution systems continue to make food
available to the needy millions at affordable prices due to
government intervention. However, the food collection and storage
systems of almost all of these countries suffer from poor
postharvest technology management. Recently, it was reported
that more than 233 million people in India suffer from hunger even
though the country has been maintaining impressive buffer stocks
for over two and a half decades. The lack of efficient storage,
monitoring and decision making systems in the postharvest sector
lead to the wastage of a large percentage of the food grains grown
in the country. National governments are in a very strong position
to adopt modern postharvest storage and management technologies
to consolidate the food production and ensure food sufficiency.
The awareness and implementation will provide a major boost to
the efforts being put in at the lower levels.
Post-harvest handling of horticultural products
Proper storage is an important part of the marketing and
distribution of horticultural commodities. The storage of produce
has two main objectives: 1) to provide short-term storage to balance
the daily fluctuations of supply and demand, and 2) to provide long-
term storage to extend the marketing season. Three factors involved
in the deterioration of perishable commodities must be controlled
to meet these objectives. The natural rate of respiration must be
reduced as much as possible by controlling temperature and, for
many commodities that respond positively to low O2 and/or high
CO2, the composition of the storage atmosphere. Moisture loss
should also be minimized, and pathogenic micro-organisms not be
permitted to proliferate. Storage facilities may also be used for
special treatments, such as the curing of potatoes or the de-greening
of oranges prior to shipment.
There are many technologies available to create and maintain
optimal temperature, relative humidity and atmospheric composition
632
for harvested horticultural products. This is partly due to the
differences in recommended storage conditions over the range of
products that are marketed as fresh, a partial list of which is given
in Table 1. The choice of system is therefore a function of the
range and type of products to be stored in a given facility, the
volume handled and a number of other factors that will be explained
in the major sections of this chapter: pre-cooling, cooling and
refrigeration, and modification of atmospheric composition.
BACKGROUND
Temperature
Temperature is the single most important factor affecting the
deterioration rate of harvested commodities [Kader, 1992]. The rate
of deterioration is proportional to the respiration rate of the
commodity, and the respiration rate is temperature-dependent. For
each 10ºC reduction in temperature, the respiration rate of a wide
range of produce can be reduced by a factor of 2 to 4 [Wills et al.,
1998]. Moreover, the activity of post-harvest pathogens and insects
is also suppressed by low temperatures. Therefore, cooling and
refrigeration are important for preserving the quality of fresh fruits
and vegetables and in extending their storage lives.
The ideal storage temperature varies from product to product,
and the temperature maintained in the storage area should be within
1ºC of that level [Wills et al., 1998]. Lower temperatures may cause
chilling injury and higher ones will reduce the storage life of the
product. The refrigeration unit must be able to handle the maximum
refrigeration load that is expected. If the load is too great for the
refrigeration unit then the temperature will rise. There should also
be sufficient air circulation to keep the product at a uniform
temperature and to prevent condensation, thus, uniformity of airflow
around all of the produce is an important design consideration. Flow
rates of 0.06 to 0.12 m3/min of air per metric ton of product are
generally adequate [Wills et al., 1998].
Temperature may be controlled by placing thermostats in
positions that represent the effective cooling temperature. They
should not be placed near sources of heat or cold, such as doors,
exterior walls, or air discharge areas of the cooling unit.
The timing, degree and type of cooling that can be used depend
on the commodity to be stored and its end use since there are
important differences in composition and physiology among the
fruit and vegetables species used as foods. For example, leafy
vegetables are cooled soon after harvest to maintain turgor, whereas
tubers (potatoes, yams, sweet potatoes) are not. Potatoes, for
633
instance, are held at 15 to 25ºC for up to 15 days to permit
suberization [Dennis, 1984]. Many commodities are susceptible
to chilling injury (eg. banana, cranberry, cucumber, green pepper
and tomato), whereas others are sensitive to high CO2 levels (pear,
lettuce). Chilling injury can result in several sources of postharvest
losses, including: surface lesions, water-soaking of tissues, internal
discoloration, breakdown of tissues, failure to ripen normally,
accelerated senescence, greater susceptibility to decay, and
compositional changes [Morris, 1982]. Tropical and subtropical fruits
are more likely to experience chilling injury than temperate climate
produce.
Relative Humidity
Relative humidity is another important factor for the long-term
storage of perishable commodities. Low relative humidity will allow
excessive moisture loss from the produce, resulting in quality loss.
The recommended humidity level for the storage of fresh fruits and
vegetables is commodity specific, but the levels are generally in
the range of 85% to 95%. Wilting and shrivelling are likely to occur
in most vegetable crops when stored at low humidity. However,
relative humidity close to 100% can be ideal for the growth of micro-
organisms and can cause surface cracking in some produce [Wills
et al., 1998].
Atmospheric Composition
The deterioration of harvested produce can further be reduced
by limiting the available oxygen in the storage atmosphere, usually
combined with higher carbon dioxide levels (Fig. 2). This can be
done by active means (controlled atmosphere storage, or CA), or
by passive means (modified atmosphere storage, or MA). It is
generally accepted that limiting the O2 supply reduces the respiration
rate by approximately 50% at temperatures of 20 to 25ºC [Raghavan
et al., 1996]. If the product is refrigerated, the additional reduction
due to low temperature is approximately 24%. These are equivalent
to storage life increases of 100% and 33%, respectively under the
two temperature regimes [Raghavan et al., 1996]. Higher CO 2
concentrations in the storage enclosure can also inhibit the
respiration mechanism, however some commodities are sensitive
to higher-than-ambient CO2 concentrations and can develop off-
odours, discolouration and other disorders [Raghavan et al., 1996].
Therefore the type of system used to provide optimal conditions is
dependent on the commodity. Finally, the control of ethylene (C2H4),
a plant growth regulator involved in ripening and senescence, is an
important consideration in the storage of certain commodities.
634
Relative post-harvest life 4
0
Room temp.(20-25 C) Cold Store (0-14 C)
Air MA
Figure 2. Advantage of modified atmosphere storage
PRE-COOLING
Cooling is the process of removing heat. The rate of cooling of
a product is often referred to its 1/2 cooling rate. The 1/2 cooling
rate is the time required to reduce the difference between the mean
temperature of the product and the temperature of the cooling medium
by one-half. It is expressed as a constant for a particular set of
precooling conditions. Reduction of the temperature difference by
7/8 is usually three times that referred to as the 1/2 cooling rate,
and is often used as a commercial standard for the total time of
cooling.
The sooner produce is cooled down, the better its chances at
a relatively long storage life. Some fresh fruits and vegetables may
deteriorate as much in one hour at 26ºC as in one week at 1ºC [Boa
and Lindsay, 1976], particularly if they have naturally high respiration
rates. The distinction between pre-cooling and cooling is that pre-
cooling refers to any method of removing field heat more rapidly
than if the produce were simply placed in a storage chamber set at
the desired temperature and allowed to cool.
Pre-cooling can significantly extend the storage life of fresh
fruits and vegetables, particularly when large quantities of produce
harvested in warm temperatures are involved. In many situations,
the bulk could take several days to cool down to the final storage
temperature if alternative means are not used.
635
Hydrocooling
Hydrocooling is the cooling of produce with cold water. This
method is very effective for a wide range of products. Some
hydrocooling facilities can handle up to 30 000 crates per day during
the peak season [Ashrae, 1986]. One of the advantages of
hydrocooling over other methods is that the commodity does not
lose moisture during the process [Sargent et al., 1991]. There are
two methods of hydrocooling : 1) immersion in a cold water bath,
and 2) shower cooling [Wills et al., 1998]. Immersion systems are
continuous flow and are most useful for products that have a higher
density than water and therefore remain submerged [Thompson,
1995]. Lower density produce such as cucumbers, squashes, and
tomatoes is cooled by flotation in circulating water. However, when
the produce is immersed in cool water, the air contained inside
some commodities decreases in volume, creating a suction pressure
which may facilitate the entry of pathogens into the tissues. It is
therefore important to ensure that the circulating water is and remains
clean.
Shower coolers involve overhead spraying of the produce with
cold water and may be batch or continuous (Fig. 3). The water is
either pumped onto an overhead perforated pan and allowed to drip
on to the produce or it is showered through spray nozzles. When
water is applied from overhead, the distance the water falls before
hitting the produce should be kept below 15 to 20 cm [Thompson,
1995]. Drop heights that exceed this range can damage some produce.
Figure 3. A typical showering hydrocooler
636
In a batch operation, palletised containers are placed in a room
and water is sprayed from the top. For shallow product depth, the
water should be provided at a rate of 280 to 490 L/min per m2 (litres
per minute per meter squared) [Thompson, 1995]. The water is
collected in drains on the floor or in an underfloor reservoir, cooled
and then sprayed on the produce again. This cycle continues until
the precooling is finished. If this is done in a refrigerated room, the
produce may be stored for a short time in the same room after the
precooling operation [Ashrae, 1986].
In a continuous flow shower system, the produce is transported
on a conveyor. The time that the produce spends in the hydrocooler
can be adjusted by changing the conveyor speed. Water is sprayed
on the produce from overhead.
The water must be sanitised, especially if it is reused. It should
be taken from a clean source, either a well or a domestic supply
[Thompson, 1995] and should be disinfected by adding chlorine to
the extent that the free chlorine level is 100 to 150 ppm [Sargent et
al., 1991]. The water should be drained out of the hydrocooler at
least daily and the system sanitised. Extremely dirty products
should be washed before hydrocooling to decrease the amount of
dirt that enters the system.
Water used for hydrocooling is generally kept between 0 and
0.5ºC using mechanical refrigeration [Thompson, 1995]. Produce
that is sensitive to chilling injury may be cooled in water at 0ºC as
long as the cooling time is limited [Thompson, 1995]. Ice is often
used to assist the mechanical refrigeration system [Wills et al.,
1998] and is usually added to a water tank to cool the water or is
used in an ice-accumulator refrigeration system. Financial costs
for energy can be reduced by building the ice supply during off-
peak hours and using the ice for cooling when the energy costs are
high.
Hydrocooling is suitable for bulk or packaged produce. It is
commonly used for melons, root vegetables, stem vegetables and
many types of tree fruits [Thompson, 1995]. Commodities that are
hydrocooled must be tolerant to contact with water and to the levels
of chlorine in the sanitised water. Commodities such as grapes and
most berries must be ventilated after hydrocooling to remove surface
water which can otherwise encourage decay [Thompson, 1995].
Contact-icing
One of the oldest and simplest cooling methods is contact-
icing, a method which is well-suited to produce that is tolerant to
long periods of cold (0ºC) wet conditions [Wills et al., 1998]. This
637
involves filling packed containers or pallets with ice or covering
pallets with ice. The contact between ice and produce causes rapid
cooling. In general, reduction of product temperature from 35ºC to
2ºC requires a mass of ice equal to 38% of the product weight
[Hardenburg et al., 1986].
There are several different methods of filling the containers
with ice. Individual package top icing is the simplest method. Ice is
shoveled, raked or blown on top of the product in the container.
Cooling by this method is rather slow since the ice is only in contact
with the top layer [Sargent et al., 1991]. It is not efficient for large
operations due to the amount of labour involved in opening the
containers, adding the ice and then closing the containers. The
coating of ice may block vent spaces, thereby restricting air
movement and leaving the centre of the load warm [Sargent et al.,
1991]. Individual package top icing should be used only after
precooling and prior to shipping, to assist in cooling and in maintaining
high relative humidity [Sargent et al., 1991].
An improvement to top icing is pallet box icing by layer. This
method of icing is more labour intensive than top icing but the
cooling is faster and more uniform [Sargent et al., 1991]. Crushed
ice and produce is alternately layered in the pallet box. Thus, the
produce is better surrounded by ice and cools faster.
Liquid-icing provides much faster cooling than individual
package top icing. A slurry of cold water and ice is either drenched
over the pallet of produce or is pumped into the containers through
the hand holds (Fig. 4.). The water slurry causes the produce to
float until the water drains out the bottom of the container. As the
water drains out, ice is distributed throughout the container. This
method creates very good contact between the ice and the product,
resulting in good heat removal. The cold water of the slurry has a
substantial effect on the cooling of the product. It has been shown
that the cold water can contribute up to 40% of the cooling effect
on broccoli [Boyette and Estes, 1992].
A greater financial investment is required for liquid-icing than
for the other methods of contact-icing. Equipment includes an ice
crusher, a slurry tank with mixer, a pump and delivery hoses. With
the manual equipment, two workers can liquid-ice a 30-container
pallet in 5 minutes [Boyette and Estes, 1992]. Automated systems
exist which can process five times more produce within the same
time, but they are expensive and require power. Recently, smaller
scale systems have been developed to process 200 containers per
hour with power requirements of only one fifth of that required by
automated systems [Vigneault et al., 1995].
638
Figure 4. Injection of liquid ice in palletized containers
Careful container selection is necessary if contact-icing is to

be used. The containers must be water resistant and large enough
to accommodate the amount of ice required to cool the product.
Waxed fibreboard cartons are acceptable for contact icing since
they have few openings and provide some insulation from the
surrounding environment, however, they do not retain their strength
over long periods of time when wet [Boyette and Estes, 1992].
Reusable plastic containers were specially designed for uniform
ice distribution, ice retention, and resistance under very wet
conditions [Emond and Vigneault, 1998].
The ice that is to be used for any type of ice cooling should be
no larger than 9.5 mm so that the ice particles can fill the voids
between the produce [Boyette and Estes, 1992]. Small particles of
ice are less likely to damage the produce than larger ones.
Furthermore, ice particle sizes ranging from 4.5 to 5.1 mm used for
liquid-ice systems provide the most uniform ice distribution and
greater icing efficiency regardless of container type [Vigneault et
al., 1995]. The equilibrium temperature of a slurry of melting ice
and water is 0ºC [Gast and Flores, 1991] and 335 kJ (316.8 Btu) of
heat are required to melt 1 kg (2.2 lbs) of ice.
Vacuum Cooling
Vacuum cooling is one of the most rapid cooling methods.
This method is suitable for produce that have large surface area to
mass ratios and easily release water. Commodities such as lettuce,
sweet corn, celery, green beans and mushrooms can be cooled in
20 to 30 minutes. Vacuum cooling is recommended for leafy
639
vegetables such as lettuce since the overlapping leaves create
insulating air pockets that reduce the efficiency of other cooling
methods. The main drawback of vacuum cooling is limited capacity
due to space and vacuum requirements. Vacuum cooler capacities
range from 4 to 20 pallets per batch [Wills et al., 1998].
Produce is placed in an air tight chamber and the pressure in
the chamber is decreased to the point that water boils at the desired
cooling temperature. For example, a pressure of 0.610 kPa (4.6
mm Hg) permits water to boil at 0ºC [ASHRAE, 1986]. Since the
energy needed for the phase change of water from liquid to vapour
comes from the sensible heat of the produce, the produce will cool
close to the boiling temperature in a very short time. The evaporation
of water also causes a weight loss in the produce. Generally, each
1% reduction in the weight of the produce due to moisture loss
results in a temperature decrease of 6ºC. Since this can have
detrimental effects on product quality, the product can be wetted
before vacuum cooling [ASHRAE, 1986] or sprayed with a fine
mist during cooling [Wills et al., 1998].
Forced-air Cooling
Forced-air cooling is a method of precooling that can be used
on a wide range of produce. It can cool produce four to ten times
faster than room cooling [Mitchell et al., 1972] and gives a more
uniform temperature distribution in the pallet (Fig 5.). This method
works well for small-scale operations due to its cost effectiveness,
compared to hydrocooling or vacuum cooling, and its high cooling
rate [Fraser, 1991]. Cold air is forced through the product, rather
than just surrounding the produce containers as is done in room
cooling. Fans are used to create a static pressure difference across
the two sides of the product containers. This results in the air being
pulled through the containers, thus removing the warm air around
the produce by convection. The static pressure that is created
across the produce containers is in the range of 3 to 25 mm of
water gauge, with a typical value of 12 mm [Fraser, 1991]. An air
flow rate of 0.5 to 3 litres of air per second per kilogram (L/s per kg)
of warm produce is needed for adequate heat removal [Fraser,
1991].
The position of containers must be such that the vents which
are in adjacent containers are lined up in the direction of flow. These
vents should be evenly distributed on the containers to allow for
even air distribution throughout the produce [Fraser, 1991]. It is
recommended that the total area of these vents be at least 5 to
10 % of the surface area of the sides of the container [Fraser and
MacKinnon, 1992] and that the produce inside the containers not
640
be wrapped so that optimal heat transfer conditions can be achieved
[Ryall and Pentzer, 1974]. It should be noted that increasing the
amount of vent surface on a container by over 6% of the side
surface results in a decrease in the strength of the container.
Reusable plastic containers allow up to 40% of the side surface of
the containers to be used as vents. However, an opening percentage
of 25% seems to be the optimum, taking into account cooling
efficiency and physical support the container provides to the produce
[Emond and Vifneault, 1998].
Forced-air cooling is very attractive to small operations that
harvest many types of produce, as it is suitable for a wide range of
produce. It is believed that forced-air cooling can dry out some
products, such as lettuce, spinach, mushrooms and peaches.
However, forced-air cooling of these products can be successful if
the cooling is rapid and the relative humidity of the air is kept high
[Fraser, 1991].
Figure 5. Temperature in forced-air cooling
Forced-air tunnel systems are the most used form of forced-

air cooling. Two rows of palletized containers are placed parallel to
each other with a space between them. The aisle formed is covered
on the top, along with one end to create a tunnel. A fan is placed at
the free end to pull the air out of the air plenum tunnel, creating a
static pressure difference across the containers. The cooled air
641
around the outside of the pallets is pulled through the produce and
into the plenum by the pressure difference. The costs associated
with this type of forced-air system are minimal. The fan may be a
portable unit that returns the air to the room or a permanent fan that
directs the air back directly to the cooling coils.
Cold wall cooling systems are a more complex form of forced-
air cooling, but are very flexible with regard to the time that different
types of produce require for adequate cooling. The main constraint
is that pallets need to be moved as soon as they are cooled in
order to prevent dehydration of the contents. A false wall is
constructed, creating a permanent air plenum between the real wall
and the false wall. This plenum is equipped with exhaust fans that
circulate air across the cooling coils. Air inlets are located on the
false wall but are not opened until a pallet load is placed up against
the wall. Dampers control the air inlets so that they remain closed
until a pallet load or a stack is placed up against the false wall.
Serpentine cooling is a modification of the standard cold wall
cooling method and it is used for cooling pallet bins. Although the
bins must have bottom ventilation, side ventilation is not necessary
[Wills et al., 1998]. Several rows of bins are pushed up against the
false wall, each row having several layers. The number of rows that
can be used is dependent on the desired cooling speed and the
flow rate that is available. The openings on the pallet bins for the
forklift are used as air supply and return plenums. Every second
layer of the forklift openings that are facing the cold room are covered
to prevent air from entering. Likewise, every second layer facing
the false wall is covered. The coverings of the forklift openings are
staggered, so that a layer which is covered facing the room is not
covered facing the wall. When the fans are turned on, the fans pull
air from the forklift openings that are against the false wall, causing
a static pressure difference. Cold room air is forced into the forklift
openings. The air then travels up or down through the produce to a
forklift opening which returns it to the air plenum. This system has
a few advantages over regular cold wall cooling. It provides very
quick cooling because the air travels through a very shallow layer
of produce, the rows are not limited in height [Wills et al., 1998],
and large volumes of produce may be cooled at one time.
COOLING AND REFRIGERATION
Room Cooling
Room cooling is one of the most widely used forms of cooling,
primarily because the room in which the produce is cooled also
serves for storage, thus reducing overall handling requirements and
642
costs. Since room cooling is quite slow compared to the methods
described in the previous section, it has not been categorized as a
pre-cooling technique. It is not recommended for crops that have
high respiration rates or are harvested in the warmer months, since
significant quality deterioration may take place during the cooling
period.
Produce that is room cooled must be tolerant to slow heat
removal, as heat transfer is by conduction through the container
walls rather than by convection. In general, crops that are harvested
in the cool season or have low base respiration rates are suitable
for this method. The time to cool the produce to the recommended
storage temperature may range from a few hours to several days.
Field containers filled with fresh produce are placed into a
refrigerated room. Cold air from evaporators near the ceiling travels
across the top and between containers before returning to the
evaporator. An air flow of at least 1 to 2 m/s is needed to remove
field heat effectively [Wills et al., 1998] and this should be reduced
to 0.05 to 0.1 m/s for subsequent storage to prevent excessive
moisture loss thereafter [Mitchell et al., 1972]. Space should be
left between all bins and the bins should be oriented so that the
openings for forklifts run in the same direction as the air flow.
The type of packaging has an effect on how quickly the produce
will cool. Cooling time can be reduced by providing ventilation in
the containers. For example, a side venting area of 5% on boxes
can reduce the cooling time by 25% compared to similar containers
that are not vented [Mitchell et al., 1972]. However, the addition of
venting to containers decreases their stacking strength, depending
on the size and location of the vents. Using 5 % venting area will
reduce the fibreboard container strength by 2-3 % as long as the
vents are not situated in the corners [Mitchell et al., 1972]. It is
more efficient to use a few large vents than numerous small vents
[Mitchell et al., 1972]. Plastic containers do not have this
disadvantage of lost strength and can be designed to support the
load of produce with up to 25% of the container surface area
dedicated to venting [Emond and Vigneault, 1998].
Mechanical Refrigeration
The vapour-recompression cycle is the most commonly used
form of mechanical refrigeration. Four major components are
required: an expansion valve, an evaporator, a compressor and a
condenser. High pressure refrigerant passes through an expansion
valve where it is suddenly reduced in pressure. This results in
flashing, a term used for a sudden drop in temperature caused by
a sudden pressure drop. The flashed refrigerant should be at a
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lower temperature than the desired storage temperature, since it
must be able to absorb heat from the storage room as it passes
through the evaporator coils. The evaporator is a series of coils
that are designed to promote heat transfer from the storage area to
the refrigerant in the coils. The evaporation temperature of the
refrigerant should also be below the desired storage temperature
for maximum cooling capacity, due to the latent heat of vaporization.
The refrigerant vaporizes as it collects heat during its flow through
the evaporator, providing the cooling effect in the storage room.
The vaporized refrigerant is then recompressed and its temperature
increases. The high pressure vapour thus enters the condensation
coils at a vapour temperature higher than ambient temperature. As
heat is transferred from the hot vapour to the air outside the storage
room, the vapour condenses back into a high pressure liquid. This
high pressure liquid enters the expansion valve and the cycle is
repeated.
The expansion valve plays a major role in the vapour-
recompression cycle, as it is used to control the amount of refrigerant
that enters the evaporation coils and in smaller systems controls
the pressure of the refrigerant. The valve aperture may be controlled
manually or automatically by temperature or pressure sensors. There
are many different types of expansion valves but the two most
often used are capillary tubes and thermostatic expansion valves
[Wills et al., 1998].
The evaporator is responsible for allowing heat to vaporize the
refrigerant. The two designs most often used in storage systems
for fruits and vegetables are the bare-pipe and the finned-tube
evaporators. The bare-pipe evaporators are the simplest form and
are easy to clean and defrost. The finned-tube evaporators have
fins to increase the surface area of the evaporator and thus provide
a higher heat transfer rate. Evaporators are also classified as direct-
expansion or flooded types. In direct-expansion evaporators, there
is no recirculation of the refrigerant in the coils before returning to
the compressor. The flooded type re-circulate any liquid refrigerant
in the coils until it vaporises before returning it to the compressor.
Evaporative Cooling
In some parts of the world, the climate is suitable for the use
of evaporative cooling to provide some or all of the necessary
refrigeration for cooling or storage. Evaporative cooling is a very
economical and energy efficient technique. For evaporative cooling
to be effective, the air used should have a relative humidity lower
than 65% [Gast and Flores, 1991]. An airstream is passed through
a water spray or a membrane that is saturated with water. Due to
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the low relative humidity of the air passing through a zone of high
moisture, the air acquires more water vapour. The added water
vapour must evaporate from the surface of the membrane or from
the spray, which requires energy. This energy comes from the
water and the air stream, resulting in a reduced temperature of
both. Theoretically, the lowest temperature that can be obtained
from a single stage evaporative cooler is the wet bulb temperature
of the incoming air. Evaporative coolers can be designed to be 85
to 90 % effective, or in some cases even more [ASHRAE, 1984].
A multiple-stage evaporator can be used to obtain temperatures
that are below the wet bulb temperature of the incoming air. In a
two stage system, water is cooled to the wet bulb temperature of
the air using an evaporative system. This water is then used in a
water-to-air heat exchanger to reduce the temperature of the outside
air without adding moisture to it. The dry bulb and wet bulb
temperatures of the outside air subsequently decreases. The cool
air can be passed through an evaporative cooler for further cooling
if desired, down to its wet bulb temperature. The theoretical
minimum temperature that can be obtained from a multiple-stage
evaporator is the dew point temperature of the air [Wills et al.,
1998].
CO2 Cooling
Liquid CO2 is a refrigerant that requires relatively low equipment
investment with high cooling capacity; however operating costs
are higher than for conventional vapour-recompression refrigeration
systems. The latent heat of CO2 (2068 kPa and -17ºC) is 265.2 kJ/
kg [Gamache and Desilets, 1987], at which point the CO2 vapour is
at a temperature of about -78.9ºC. It will absorb more heat as it
increases in temperature. The specific heat of the CO2 vapour is
0.804 kJ/kgºC. If the vapour temperature increased to 0ºC, an
additional 65.53 kJ/kg of heat would be extracted from the
surrounding environment, bringing the total to 328.6 kJ/kg of heat
removed.
ALTERNATIVE METHODS
Nighttime Cooling
In some parts of the world there is a large diurnal temperature
swing and, where the nighttime temperature is low enough, outside
air may be used as a source of refrigeration. Natural ventilation
during the night is usually sufficient if the outside temperature is
below the required range for 5 to 7 hours each day [Wills, R. et al.,
1998]. In such climates it is advantageous to harvest the product
645
when its temperature is lowest (early in the morning or at night),
thus reducing the refrigeration load.
Well Water
Groundwater temperature usually does not vary by more than
1ºC during the year for any given location [Braud, 1979] if taken at
a depth at which soil temperature is nearly constant. This depth
varies with geographical region and can range from 2 to 9 m [1985].
The water can be used as a heat sink to cool produce if circulated
through some type of heat exchanger.
MODIFICATION OF ATMOSPHERIC COMPOSITION
Controlled Atmosphere (CA) Storage
CA storage implies precise control of the gas concentrations
inside the storage room. Modification of atmospheric gas levels
may reduce the respiration rate of fresh produce, as well as control
the level of ethylene (C2H4) and thus retard ripening. The gas
concentrations of ambient air are 78.08% N2, 20.95% O2, and 0.03%
CO2 [Wills et al., 1998]. In most CA storage systems, the O2 level
is decreased and/or the CO2 level is increased. Either of these will
generally cause a decrease in product respiration rate. Different
types of produce respond differently to these two gases, and thus
the proper atmosphere for a given commodity should be
predetermined experimentally. In some cases, ideal concentrations
of these gases for long-term storage of one commodity may prove
harmful to another. For example, cauliflower stored in 10% CO2 at
5ºC will be injured after a week in storage, whereas broccoli in the
very same environment would remain in excellent condition [Ryall
and Pentzer, 1974]. Some recommendations of the proper storage
requirements are given in Table 1.
TABLE 1 Recommended precooling methods and storage conditions for
various fruits and vegetables
Produce Precooling Methoda Storage Conditions
Apples RC, FA, HC 0 to 5ºC, 1-3% O2, 1-5% CO2

Asparagus HC, PI 0 to 2ºC, 95 to 100% RH
Apricots RC, FA 0 to 5ºC, 95% RH, 2 to 3% O2,
2 to 3% CO2
Artichokes HC, FA, PI to 5ºC, 90-95% RH, 2-3% O2,
2 to 3% CO2
Banana no precooling 5ºC, 90-95 % RH,2 to 5% O2,
2 to 5% CO2
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Beans, snap RC, FA, HC 8ºC, 2 to 3% O2, 4 to 7% CO2
Beets RC 0 to 4ºC, 95% RH
Blueberry FA 1º C (1-4ºC), 90% RH
Broccoli FA, HC, PI, LI 0ºC (0-5ºC), 90-95% RH, 1-3%
O2, 5-10% CO2
Brussels Sprouts FA, HC, PI 0ºC, 95-100
Cabbage RC, FA 0º, 92% RH
Cantaloupes HC, FA, PI 2-5ºC, 95% RH
Cauliflower HC, VC 0ºC, 95-98% RH
Carrots RC, PI 0 to 2ºC, 95% RH
Chinese Cabbage RC, FA, HC 0ºC, 95-100% RH
Celery FA, HC, VC, WV -5ºC, 90-95% RH, 2-4% O2,
3-5% CO2
Cucumbers RC, FA 10-13ºC, 50-55% RH
Eggplant RC, FA 8-12ºC, 90-95% RH
Figs RC, FA, HC 0-5ºC, 5-10% O2, 15-20% CO2
Garlic RC 0ºC
Grapes FA -1 to 0ºC, 85% RH
Kiwifruit FA, RC, HC -0.5 to 0ºC, 90-95% RH,1-2%
O2, 3-5% CO2
Leeks HC, PI 0ºC, 95-100% RH
Lettuce HC, PI, VC 0ºC, 95+% RH
Longan RC 4-6ºC, 90-95% RH, MA packing
3-5%O2, 5%CO2
Lychee RC 4-6ºC, 90-95% RH, MA packing
2-3%O 2, 5%CO2
Mango no precooling 10-13ºC, 90-95% RH, 3-5%O2,
5-8%CO 2
Mushrooms FA, VC 0ºC (0-5ºC), normal O2,
10-25% CO2
Nectarines FA, HC -0.5-0ºC, 90-95% RH
Okra RC, FA 7-12ºC, 90-95% RH, normal O 2,
4-10% CO 2
Onions No precooling 0ºC, 75% RH
Peaches FA, HC -1 to 0ºC, 85% RH
Pears FA, RC, HC -1.5 to -0.5ºC, 90-95% RH
Peas, green FA, HC 0ºC, 95-98% RH
Peas, southern FA, HC 4-5ºC, 95% RH
Peppers, chili (dry) RC, FA, VC 0-10ºC, 32-50% RH
Peppers, sweet RC, FA, VC 7-13ºC, 45-55% RH
Pineapple no precooling 7-13ºC, 85-90% RH, 3-5% O 2 ,
5-8% CO2
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Plums FA, HC -0.5-0ºC, 90-95% RH
Potatoes RC, FA 3-10ºC, 90% RH
Pumpkins No precooling 10-13ºC, 70% RH
Radish PI 0ºC, 90-95% RH, 1-2% O2, 2-3%
CO2
Raspberries FA 0 to 0.5ºC, 90% to 95% RH
Rutabagas RC 0ºC, 98-100% RH
Spinach HC, VC, PI 0ºC, 95-100% RH
Squash, summer RC, FA 5-10ºC, 95% RH
Squash, winter No precooling 10ºC, 50-70% RH
Strawberries RC, FA 0ºC, 95% RH, 5 to 10% O2, 15 to
20% CO2
Sweet Cherry RC, FA, HC 0-5ºC, 3-10% O2, 10-15 %CO2
Sweet Corn HC, VC, LI 0ºC, 95% RH
Sweet Potatoes No precooling 10-15ºC, 85% RH
Tamarillos RC, FA 3-4ºC, 85-95% RH
Tomatoes RC, FA 12ºC (12-20ºC), 3-5% O2, 0-3%
CO2
Turnip RC, HC, VC, P I0ºC, 95% RH
Watermelons No precooling 4-10ºC, 80-85% RH
The choice of CA system to use depends primarily on the gas

composition that is desired, and the rate at which it is to be achieved.
The standard free volume (SFV) is the ratio of the volume of air to
the volume of commodity. The SFV in typical warehouses range
from 1.5 to 3.0 and is a function of the stacking arrangement, room
geometry, commodity shape and density, and the method of packing,
either in bulk or crate [Raghavan et al., 1996]. CA rooms with a
higher SFV result in more stable gas composition with time but
also requires more intervention to modify the gas composition. For
example, a storage room with a SFV of 3.0 requires approximately
twice as much time to reach its equilibrium gas composition than a
room with a SFV of 1.5, since twice as much O2 must be removed
by the respiration of the produce or by the control system.
Generally, the largest benefits of CA storage come from the
rate of decrease in the O2 level. Rooms that require very low O2
levels, 1 to 2%, or that require a very fast pull-down should have a
very efficient CA system and a low SFV. The system must also
take into consideration the level of CO2. High levels of CO2 can
cause damage to some types of fruits and vegetables. For example,
it has been shown that some apple cultivars may be damaged by
3% CO2, while lettuce cannot tolerate any CO2 [Lidster et al., 1990].
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Methods of CO2 scrubbing therefore need to be considered when
designing CA storage for produce that are susceptible to CO2 injury.
Finally, attention should be given to the control of C2H4 levels in the
storage room if the produce is susceptible to hastened ripening
from increased C2H4 concentrations. Thus, there are three main
control systems that may be used to obtain the desired gas
concentrations: 1) O 2 control systems, 2) CO2 control systems,
and 3) C2H4 control systems.
O2 Control Systems
If product respiration does not decrease the O2 level quickly
enough, one of four active methods may be used: 1) external
burners, 2) liquid or gaseous nitrogen (N2), 3) gas separator systems,
or 4) hypobaric storage. External burners use the combustion of
propane or natural gas to remove O2 from air that enters into the
storage room. The combustion process produces a mixture of CO2
and water vapour, and usually requires a CO2 scrubber to prevent
high accumulations of the gas. The air should be cooled after
combustion and before it is injected into the room. Open flame or
catalytic burners may be used. The open flame burner has the
disadvantage of not permitting air recirculation due to the risk of
extinguishing the flame by the O2-depleted recirculating air stream.
Catalytic burners are therefore preferred. Furthermore, catalytic
burners provide more complete combustion and can bring O2 levels
down to 3%. Catalytic burners are more expensive to install if
used in a recirculating system but this is compensated quickly by
lower operating costs. Overall, external burners are inexpensive,
but may be safety hazards if they use highly flammable fuels.
Flushing with liquid or gaseous N2 is an effective rapid O2 pull-
down technique. The amount of N2 needed to reduce the O2 level is
a function of the desired O2 level and the SFV. Usually, liquid N2 is
injected into the room through spray headers which atomize the N2
into a fine mist. It is best to have the spray headers placed in front
of the evaporator fans. This method also assists in refrigerating the
room due to the latent heat of evaporation of the liquid N2; however,
this advantage may be offset by the cost of insulating the N2 supply
lines. This method should not be used on unpacked produce since
freeze-burning may occur, and adequate venting should be used to
prevent over-pressurization of the room [Singh and Heldman, 1993].
Nevertheless, liquid N2 can create appropriate CA conditions very
rapidly with a purge rate of up to 35 m3/h [Singh and Heldman,
1993].
Gas separator systems may also be used for O2 control. The
different gas separator systems are: 1) pressure swing absorption
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(PSA), 2) hollow fibre membrane separators (HFMS), and 3) high
temperature ammonia cracking (HTAC). PSA systems are used to
generate a stream of air that is very high in N2 and low in O2. This
system compresses dry air and forces it through a bed of pelletized
carbon material (molecular sieve) which absorbs O2 and yields an
N2-enriched stream [Singh and Heldman, 1993]. The bed pressure
is typically 830 kPa (120 psi) [Singh and Heldman, 1993]. The
purity of the N2 stream can range from 90 to 99.9%, depending on
factors such as the pressure, temperature and the air flow rate.
After a few minutes of operation the molecular sieve becomes
saturated with O2. The O2 may be removed by decreasing the
pressure and venting the sieve [Singh and Heldman, 1993]. Two
molecular sieves are usually connected in parallel so that the
operation can be continuous, one being regenerated while the other
is depleting O2 from the supply stream. PSA systems can provide
rates of 105 to 385 m3/h at 98% purity with compressors ranging
from 30 to 112 kW, respectively [Singh and Heldman, 1993]. The
initial cost of the system is fairly high, and the system requires
regular inspections.
HFMS works on the principle that some gases can diffuse
through membranes at higher rates than others. In the case of air,
CO2 and O2 have much higher permeation rates than N2. In HFMS,
compressed hot air is forced into a hollow fibre membrane chamber.
The O2 and CO2 quickly pass through the membrane and are vented
to the ambient air. The concentration of N2 increases, since N2
does not pass through the membrane as quickly. The stream leaving
the chamber is nearly pure N2 and is fed to the storage room. The
purity of the output may be changed by modifying the rate at which
the N2 stream leaves the chamber [28]. For CA storage, the aim is
to produce an airstream of 97 to 99% N2 [Singh and Heldman, 1993].
The initial cost and the cost of replacement of an HFMS is very
high, but maintenance costs are lower than for a PSA system. This
method may also be used for scrubbing by recirculating air from
the CA rooms [Singh and Heldman, 1993] since water vapour and
CO2 permeate through the membrane walls.
Ammonia cracking is another type of O2 control system. High
temperature anhydrous ammonia (NH3) gas is reacted with air brought
from the CA room. The reaction involves the splitting of the NH3
into hydrogen and inert N2 gas. The hydrogen then reacts with the
O2 present in the air to form water vapour. The air returning to the
room consists of N2 and water vapour, but is free of CO2, carbon
monoxide (CO), and hydrocarbons. The returning air stream is cooled
before it returns to the room. The operating costs are high and the
use of ammonia gas can be extremely dangerous since the gas is
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toxic at concentrations of 0.5% by volume in air. In addition to
these disadvantages, processes of ammonia manufacture require
a lot of fossil fuel energy simply to combine the inert atmospheric
N2 with hydrogen in the first place.
Hypobaric storage involves storing the produce at reduced
pressure, usually between 10 and 80 mm of mercury. The air in the
reinforced, airtight refrigerated room is continually removed by a
vacuum pump [Raghavan and Gariepy, 1984]. When the pressure
in the room reaches the desired level, air is allowed to enter the
room at a rate that will create one to four air changes per hour
[Raghavan and Gariepy, 1984]. This system provides relatively easy
manipulation of O2 concentration and relative humidity. CO2, C2H4
and other volatile gases of metabolism are also removed, making it
possible to store commodities together that are otherwise not
normally compatible in storage [Raghavan and Gariepy, 1984]. The
costs associated with providing a room with acceptable structural
strength for the required vacuum is very high. It is also difficult to
permit accumulation of CO2 to levels that would be beneficial to
product quality. Finally, hypobaric storage can affect the flavour of
the produce and can cause unsatisfactory ripening after storage.
Carbon Dioxide (CO2) Control Systems
There are five commercially available scrubbing systems for
the removal of excess CO2. These are based on: 1) caustic soda,
2) hydrated lime, 3) water, 4) activated charcoal, and 5) molecular
sieves. The level of CO2 in the room is controlled by adjusting the
gas or liquid flow rate through the scrubber. The atmospheric
composition of the room should be measured to determine the flow
rate required.
Caustic soda (NaOH) dissolved in water can be used to remove
CO2 from the air of the storage room by circulating it in open tubes.
The amount of CO2 removed can be adjusted by changing the
duration the caustic soda solution is exposed to the rooms
atmosphere. The use of caustic soda has been largely discontinued
due to its corrosiveness and the potential danger in handling.
The hydrated lime (CA(OH)2) scrubber is one of the simplest
and most effective systems for controlling the level of CO2. Hydrated
lime is placed in an insulated and airtight box outside the storage
room to which it is connected by two pipes. One pipe is an inlet
which allows air from the storage room to enter the box containing
the lime. The other pipe is a return through which CO2-depleted air
is brought back to the CA room.
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The box is usually large enough to contain sufficient lime to
last the entire storage period. The lime should be placed on a pallet
with a 10 cm space between layers of 25 kg bags to allow for good
air circulation. The effectiveness may be further increased by having
the bags only partially filled due to the fact that less than 2% of the
lime in a 25 kg bag is consumed due to the hardening of the outer
layer. The amount of lime required depends on the amount of
produce in the storage room, the respiration rate and the rate of
CO2 addition to the room. Some O2 scrubbers produce CO2 as a by-
product, which must also be removed by the lime. A 25 kg bag of
lime has a volume of approximately 0.1 m3 [Bartsch and Blanpied,
1984] and roughly 10 bags would be needed for every 19 tonnes
(1000 bushels) of fruit, while about 40 bags are needed for 100
tonnes of vegetables [20]. The hydrated lime and the CO2 react in
a 1:1 ratio to form limestone (CaCO3) and water. The lime that is to
be used can be agricultural or chemical hydrated lime as long as it
is fresh, high in calcium and is fine enough to pass through a 100
mesh sieve [Bartsch and Blanpied, 1984].
Water CO 2 scrubbers use the inside to outside differential
pressures of CO2 to remove it from the CA room. A brine solution is
pumped or sprayed over the evaporator coils in the CA room. As
the brine is exposed to the atmosphere in the CA room it absorbs
CO2, since the CO2 partial pressure is very low in the incoming
water and very high in the atmosphere of the CA room. The brine
solution is collected in the room and allowed to travel into a reservoir
located outside of the room. Here the brine solution is pumped to
aerators where the CO2 is dissipated to the air due to a differential
pressure between the CO2 in water and that in air. Water scrubbers
have some disadvantages that have made their popularity decline.
Small amounts of O2 are added to the room since there is a higher
partial pressure of O2 in the incoming water solution than there is in
the CA room [Bartsch and Blanpied, 1984]. This addition of O2
makes the control of the atmosphere more difficult, especially if
the room is not already perfectly airtight.
Activated charcoal and molecular sieves scrubbers are based
on the adsorption of CO 2. They consist of a unit filled with an
adsorbent material, two blowers, and four solenoid valves dedicated
to a control unit. Air from the CA room is blown through the absorbing
unit, and the CO2-depleted stream is then directed back to the CA
room. The adsorbent loses its ability to trap CO2 due to saturation
of active sites, and thus after some time must be reactivated. This
is done by purging the adsorbent with ambient air. The control unit,
generally based on timers, shuts off the valves that are connected
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to the CA room and opens other valves to force outside air through
the absorbent material to remove the CO2 (reactivation process).
Molecular sieves should be heated during the reactivation phase to
enhance the rate of CO2 removal [Bartsch and Blanpied, 1984].
Since purging with ambient air can add O2 back into the CA room,
the absorbing unit is often purged with pure N2.
C2H4 Control Systems
C2H4 will induce ripening in many fruits and can also cause
some physiological disorders in vegetables [Ryall and Pentzer,
1974]. The amount of C2H4 produced by the commodity can be
reduced by decreasing the surrounding O2 level and increasing the
CO2 level [Ryall and Pentzer, 1974]. Low temperature levels, 0 to
4.4ºC, can prevent the production or inhibit the action of C2H4 [Ryall
and Pentzer, 1974]. Nonetheless, C2H4 levels less than 1 ppm can
produce physiological responses in many fruits and vegetables.
For example, kiwi fruit may be affected by C2H4 concentrations as
low as 0.1 ppm [Bishop, 1990]. Therefore, removal of C2H4 from
the storage environment is important. It should be mentioned that
C 2H 4 sensitive commodities should not be stored near or with
commodities that produce high levels of it, such as climacteric fruit
(e.g. apple). Most of the C2H4 may be removed if N2 generators or
gas flushing methods are used. This may be acceptable for types
of produce that have low C2H4 production rates, but other control
systems are often required for commodities that have high C2H4
production rates. Commercial C2H4 scrubbers include: 1) the heated
catalyst scrubber, 2) C2H4-absorbing beads, and 3) ozone.
A heated catalyst can be used to maintain relatively low levels
of C2H4. Air from the CA room is forced through ceramic packings,
which are used as heat exchangers, and contacts a heated catalyst.
The catalyst is electrically heated and the high temperature promotes
the oxidation of C2H4 to CO2 and water vapour. Up to 87% of the
C2H4 can be removed from the air in one pass through the catalyst.
The system is set up so that flow reversal through the ceramic
packings occurs at timed intervals. The energy requirements for
heating the air and then cooling it after breakdown of C2H4 are the
main disadvantages of the heated catalyst approach.
C2H4-absorbing beads are small spherical particles of aluminum
silicate impregnated with potassium permanganate (KMnO4). The
beads are placed in a sealed unit and air from the CA room is
circulated through the unit. The C 2H4 reacts with the KMnO4 ,
changing the colour of the beads from purple to brown as they
become saturated with C2H4. Once saturated, the beads must be
replaced. The cost of the bead system is similar to that of the
653
heated catalyst [Thompson and Reid, 1989], and is a function of
the required rate of C2H4 removal. For long-term storage of a product
that has a high C2H4 production rate, it is less costly to use a heated
catalyst. On the other hand, if the production rate of C2H4 is low, it
is cheaper to use a KMnO4 scrubber [Thompson and Reid, 1989].
Some research has been done on the use of ultraviolet (UV)
radiation as a means to remove C2H4. UV light reacts with O2 to
form ozone (O3), which has the ability to destroy C2H4 [Thompson
and Reid, 1989]. The reaction rate between O3 and C2H4 is very
slow, therefore a fairly large reactor is needed for efficient removal
[Thompson and Reid, 1989].
Modified Atmosphere (MA) Storage
MA storage differs from CA storage in that the atmospheric
composition is not actively controlled. Most MA systems use semi-
permeable membranes to regulate gas exchange between the MA
and the ambient air. The composition of the air changes due to the
respiratory action of the produce and the permeability characteristics
of the membrane used (Fig. 6). For example, silicone membranes
allow the gases to diffuse at different rates, which are determined
by the chemical and physical characteristics of the gases [Gariepy
et al., 1986]. Other important factors in the amount of gas diffusing
through the membrane include temperature, membrane surface area,
permeability of the membrane, and the gas partial pressure difference
across the membrane. Generally the membranes are more permeable
to CO2 than they are to O2. Therefore, the concentration of CO2
increases and the concentration of the O2 decreases, as O2 is
consumed and CO2 is released as a by-product during respiration
of the produce. Although MA storage does not achieve the same
degree of atmospheric control as does the CA approach, it is less
expensive [Mannapperuma et al., 1989]. The membranes can be
made of polymeric films or wax, or may be edible coatings of
individual fruits. MA storage is often a better approach for short-
term storage of small quantities of produce than is CA storage
[Mannapperuma et al., 1989], and this is often used in association
with packaging.
The time it takes for the gas composition to stabilize to quasi-
steady-state is an important factor in MA storage. The stabilization
period is a function of the designed gas composition, commodity
respiration, relative stacking volume, and air tightness of the system.
The time required to reach the stable gas levels may be in the order
of days to weeks. If the stabilization period is too long, the product
may deteriorate more than desired. In this situation, it may be
654
advantageous to use a rapid O2 pull-down method for the initial
modification of the atmosphere.
MA storage systems are widely used in European countries,
whereas they are only beginning to be popular in North America
[Gariepy et al., 1986]. Several silicone membrane-based systems
have been conceived since the early 1970s, with the most popular
being the Marcellin system. This system consists of a series of
silicone rubber bags that are connected in parallel. Air from the
storage room is circulated through the exchanger, resulting in an
exchange of gases as they diffuse through the silicone rubber bags.
The amount of diffusion taking place can be changed by changing
the number of bags that are being used. The maintenance of 5%
CO2 and 3% O2 requires 50 m2 of silicone membrane for every 100
tons of fruit at a bulk density of 200 to 250 kg/m3 [Raghavan and
Gariepy, 1984].
Oxygen, 3% Oxygen, 21%

CO2, 5% CO2, trace
Nitrogen, 92% Nitrogen, 79%
Figure 6. Typical gas exchange in membrane storage
A pallet MA package system also exists and has been used

successfully for fruits and vegetables during transportation and
storage. It requires little initial investment and involves wrapping
individual pallets of produce with a polyethylene wrap of a thickness
of 80 to 150 ìm. An area of the polyethylene wrap is replaced by a
silicone membrane window, which allows for gas exchange.
Calibrated orifices are also used to allow for pressure regulation
within the pallet package. This system has a lot of flexibility, as
the produce may be moved from place to place while still under
modified conditions, though extra care must be taken to avoid
655
damaging the packages. The produce can be stored under optimal
atmospheric composition without any modifications to pre-existing
buildings or investment into expensive equipment to change the air
composition. This system allows for easy management of produce,
small quantities of produce may be marketed without disturbing the
atmospheric composition of all the pallets as would occur when a
sealed room is opened. However, there are a couple of
disadvantages to the system: the space required to store the produce
is greater due to the need to provide adequate ventilation around all
the pallets; and the time and material required to wrap the pallets
and install the correct size of membrane add to the storage cost of
the produce.
Some produce may be packaged in permeable film wraps or
bags. These wraps or films allow the passage of gases at different
rates, much in the same manner as other MA storage techniques.
These films have been tested on many commodities, such as
apples, avocados, kiwifruits, peaches, and tomatoes [Gariepy et
al., 1986]. However there are situations where damage can occur
to the produce due to a very high CO2 or very low O2 concentration
[Watkins and Thompson, 1992]. A solution to this problem is the
addition of micro-perforations to the polyethylene bags.
CONCLUSION
The deteriorating environment due to the short sighted
development approaches has forced us to rethink the path along
which the world is moving. Many exciting developments are taking
place in different parts of the world that may influence the life on
earth. Ensuring food security to the teeming billions of human
beings is a daunting task that needs effective management of
resources.
The global picture of postharvest technology presents a striking
contrast between the developed and the developing nations. It
also presents the enormous opportunities that can be used
beneficially for ensuring a better life in both parts. It is a challenge
that needs to be taken up by the professionals to influence the key
players and bring to fruition the numerous possibilities.
The solutions to the problem of food sufficiency need to be
multidimensional and approaches are required at all levels of the
issue. Starting from increasing the awareness about the problems
and the available opportunities for solving them at the fundamental
level in households, governments have to work their way upwards
till their policies and support programmes are synchronized to deal
with the issue at the national level. Efficient use of the resources
656
for production and consolidation can be achieved by a concerted
effort, both by the producers and the different levels of consumers.
Sufficient efforts have been put into the fundamental research and
by passing on the knowledge to the potential beneficiaries, the
scientific community also gets an opportunity to find new areas for
applied research.
ACKNOWLEDGEMENTS
The author wishes to acknowledge the contributions of Dr.
Valérie Orsat,
Dr. Venkatesh Sosle and Mr. Yvan Gariépy and the financial
support of the Natural Sciences and Engineering Research Council
of Canada (NSERC) and the Canadian International Development
Agency (CIDA).
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659
CONVERSION OF BIOFUELS TO A HIGH-GRADE
POWER UTILIZATION*
Yohannes Kiros
Department of Chemical Engineering & Technology, Division of
Chemical Reaction Engineering, Royal Institute of Technology,
S-100 44 Stockholm, Sweden
INTRODUCTION
One of the vital forms of life and human development and
progress is practically associated with the utilization of the available
energy resources in our everyday endeavours and activities. The
generation of energy in the form of electric power and its coverage
is often taken as a measure of the advancement and well being of
a nation. The per capita energy consumption and realization of the
energy demands of a society have therefore been detrimental for
economic growth and prosperity. Hitherto, non-renewable energy
sources based on fossil fuels such as oil, natural gas and coal
have dominated the energy supply and demand for the technological
and industrial development. However, owing to the adverse
environmental repercussions caused by these energy sources in
the form of green-house gases and global warming with long-term
effect on human health, agriculture, forest and natural ecosystems,
alternative energy sources that to replace on a global scale are
sought. Not only the recent price hike of oil and similar reserves
and the impact this might have on the economies of the developed
and developing countries, but also the ever-depleting reserves of
these supplies are of concern for switching to sustainable and
renewable energy sources. Though controversial depending on how
the global energy reserve for each type of fossil fuel is made, the
fossil fuels as a group and given the current consumption rate are
likely to last for less than 100 years (Chadwick and Lindman). This
is a rough figure and subject to a wide range of uncertainty mainly
due to factors affected by a) world and regional forecasts of economic
development; b) correlation of economic growth with energy
consumption; c) physical, economic, environmental and geopolitical
constraints applying to energy production and consumption; d) future
prices of different sources of energy; e) future availability of different
sources of energy and the appropriate technologies developed for
their use; f) public awareness and acceptance of the energy sources
and the conservation measures (Lindström, 1988).
Fig. 1 shows a chart representing the main fuels of the worlds
total primary energy supply during the year 2000. Fossil fuels account
660
for almost 80% of the worlds energy consumption and supply, while
renewables were mainly composed of 11.0% combustible
renewables, 2.3% hydro and 0.5% others (geothermal, wind, solar
and tide). The combustible renewables or biofuels derived from
plant matter in the form of wood, crop and forestry residues and
energy crops, biogas, municipal and industrial wastes, though
showed an upsurge in energy utilization for the last 30 years through
combustion, have the potential in providing much more share in
energy supply by replacing fossil fuels. The environmental
advantages are profound due to the fact that biofuels in a biocycle
for energy production do not introduce extra carbon or are not net
contributors of CO2 into the atmosphere, as does the combustion
of fossil fuels. Secondly, energy harnessed this way and with proper
policies brought in, the price tag for energy production may
significantly be reduced compared with todays price for fossil fuels.
In addition to the merits above, biofuel harvesting gives job
opportunities extending to the village level, thus benefiting the
majority of the people in most countries of the world.
13.80%
21.10%
Gas
6.80%
Oil
Coal
Nuclear
Renewables
23.50%
34.80%
Fig. 1. Fuel shares of world total primary energy supply under year
2000. (source IEAs fact sheet Nov. 2002).
The conversion of biofuels to useful electricity either has to

take place by means of thermochemical processes in engines and
gas turbines or by electrochemical processes in a fuel cell. The
primary advantages of both systems are that the plant sizes for
both processes can be made flexible either as small or large units
as well as they can be installed both in isolated places or remote
areas away from the national or regional grid system for electric
delivery. However, fuel cells due to the non-limitation by the Carnot
cycle, which is the case in combustion engines, permit high
661
efficiency of the amount of electricity generated for a given input of
biofuel compared to corresponding power plants using combustion
engines.
Energy conversion by fuel cells
Energy conversion in fuel cells is straightforward and simple
compared to the sequences of chemical and mechanical steps in
heat engines. A fuel cell is an electrochemical device, which unlike
the conventional galvanic cell directly converts the chemical energy
from a continuous flow of a fuel into electricity. In the fuel cell,
oxidation of fuel (hydrogen) takes place at the anode while reduction
of the oxidant (oxygen) proceeds at the cathode. The theoretical
energy conversion efficiency ç (equation 1) is given by the ratio of
the Gibbs free energy (ÄG) of the cell reaction shown in equation
2) to the reaction enthalpy change at the standard state ÄHo:
η= ∆Go
∆Ho 1)
H2+ ½ O2 → H2O + Electricity+ Heat 2)

Depending on the enthalpy of reaction at 298 K and the product
water either being liquid or gas, the theoretical conversion efficiency
for a fuel cell is 94.6% based on lower heating value (LHV)* or
83.2% on high heating value (HHV)*.
Moreover, a fuel cell runs quietly and instantly with no moving
parts. It generates sustainable energy with no pollutants except
harmless water as a product. Co-generation of power in conjunction
with the heat developed during the reaction further increases the
overall efficiency of the fuel cell to a significant level. Being efficient
for direct fuel conversion and having no emissions, fuel cells are to
become the next generation of power sources to be applied in broad
spectra of installations ranging from stationary power plants for
uninterruptible power supply (UPS) and backup, transportation for
small and heavy-duty propulsion to small portable electronic devices.
The performance of the fuel cell electrodes mainly depends on
the requirements of the materials used for both the cathodes and
anodes used to carry out the electrochemical reactions. The stability
*∆Ho =242kJ/mol & ∆Go=229 kJ/mol for LHV gaseous product) or

∆Ho =285 kJ/mol & ∆Go=237 kJ/mol (aqueous product)
662
and activity of the electrocatalysts to increase the rate of reactions
and the electronic properties as well as the morphological factors
are very important in order to realize high current densities at
substantial voltages. Porous structure of the electrodes is needed
in order to allow the gases to diffuse and react on the reaction sites
within the bounds of the three-phase interface of gas, solid and
electrolyte. Gas diffusion and ion conduction is of great concern in
the design of the electrodes (Contreras et al., 1999). The electrolyte,
which allows ions or protons to be transported to or from the
electrodes has to be stable in the fuel cell environment or does not
corrode the materials used for the construction of the fuel cell parts.
The nomenclature of fuel cells depends on the type of electrolyte
or can be referred to as low, medium or high temperature fuel cells
according to the temperature range in which they are operated.
Alkaline (AFC) and polymer electrolyte (PEFC) are typically low
temperature, phosphoric acid (PAFC) medium temperature, while
molten carbonate (MCFC) and solid oxide (SOFC) are high
temperature devices. The product gas, water is depleted from the
cell either on the anode or cathode depending on the flow or direction
of the ions or protons as depicted in the schematic Fig.2 for all the
types of fuel cells.
Load
-
e
AFC H2O O2
_
H2 OH
--------------------------------------------------------------------------
+
PEFC H2 H O2
H2O
--------------------------------------------------------------------------
+
PAFC H2 H O2
H2O
--------------------------------------------------------------------------
MCFC H2O O2
2-
CO2 CO3
H2 CO2
--------------------------------------------------------------------------
SOFC H2O O2
2-
H2 O Oxidant
------------------------------------------------------------------------------------------------------------------
Fuel
Fig. 2. Main types of fuel cells with directions of the flow of reactants,
product water and ions/protons
663
Cells are configured in modules and are stacked together either
in series (bipolar) or in parallel (monopolar) connections so that
desired units of different sizes are designed. Existing state-of-the-
art of fuel cells, though in small scale have started to make market
entries for demonstrations either for power supply by the power
supplying utilities, for tractions by the car industries or for portable
electronic device applications. Long-term projections and strategies
are formulated to introduce fuel cells as viable and sustainable
commercial products in the coming years. In this demonstration
stage, fuel cells are produced of varying sizes (<50W-5MW) for
demonstration purposes to gain experience, public awareness,
market-readiness and assessment of the characteristic qualities in
terms of performance, durability and reliability. Thus, R&D on
materials is carried out in many labs to cut the current price per kW
product in order to materialize wide-scale applications.
Hydrogen is one of the most promising energy carriers for the
future. Owing to its abundance bound in the form of compounds,
such as water, plants and animals, it is estimated that over 75% of
the mass of universe is composed of it (Barreto et al., 2003).
Introduction of hydrogen would mean in the mid- to long-term,
facilitation and transition from non-renewable hydrocarbon energy
resources to the use of renewable sources, which could play an
essential role in the decarbonisation of the energy system,
contributing to substantial decrease in the emission of greenhouse
gases. Thus, the available resources of hydrogen from renewables
with its combustion product in the form of water makes it strategically
important in the pursuit of environmental benign, cleaner and
sustainable energy system (Kiros et al., 1999). The future
technology roadmap for the production of hydrogen from water
through electrolysis or photoelectrolysis and from biofuels is
therefore, an essential challenge for the realization of the green
energy
Biofuel feeding presents an attractive option for high-grade
power utilization by connecting to a fuel processor whereas hydrogen
enrichment occurs in a series of chemical reactors to be oxidised
at the anode. It is a technological challenge to pass the producer
gas after gasification or biogas through beds of steam reformers,
shift reactors, oxidation steps and gas cleanup to obtain the fuel
qualities to generate electricity. Department of Bio Energy, College
of Agricultural Engineering, Tamil Nadu Agricultural University
(TNAU) as one of the participants in the joint ICAR-SAREC
programme (1990-1997) of the Stand Alone Fuel Cell Power Plants
for Rural Electrification in India, was one of the major contributors
for the realization of the project objectives in a biofuel-fuel cell
664
application. A fuel processor unit in combination with an alkaline
fuel, the first of its kind was demonstrated at the Asian Seminar on
Fuel Cell Technology, Coimbatore and organised by TNAU during
25-26 April 1996 (Samapthrajan and Ramanathan, 1997).
Feedstocks, pertaining to biofuels, such as agro-residues, wood
charcoal, wood species and biogas were used for the production of
hydrogen and other process gases with subsequent shift
conversions and removal in well-defined tasks and activities [Jain
et al., (1996), Myren (1996), Ramanathan et al., (1996), Naumann
and Myren (1995), Jain (1997)]. Furthermore, a fuel cell lab, equipped
with modern equipment has been installed in TNAU in order to carry
out R&D of excellence on fuel cells and related issues of fuel
treatment and enrichment.
Fuel Processor, Gas Cleaning and Fuel Cell Module Test
The fuel processor unit for biogas, tested at KTH and PAU
(Punjab Agricultural University) constitutes a steam reformer for
conversion of methane into hydrogen in a nickel catalyst bed and a
high and low temperature shift reactors, which are common for
both biogas and producer gas for the generation of hydrogen rich
gas. Prior adsorption of hydrogen sulphide or sulphide compounds
is necessary in order to limit the poisoning effect on the catalysts,
which thereby decreases the conversion or selectivity for the
reactions. Fig. 3 shows a schematic flow sheet of the set-up with
common reactors and reactant feed for the fuel processing of biogas
and gasifier with subsequent clean-up of the of the steam-reformed
methane and producer gas as well as the AFC generator as
demonstrated in TNAU and KTH.
Steam reformer
Biogas digester H2O PROX CO2 scrubber
air
AFC
Air
Anode Cathode
Gasifier
Air
Char-filter ZnO HT shift LT shift CO2 scrubber
Fig. 3. Flow sheet diagram of the fuel processor and gas cleanup
with the AFC generator
665
The gas compositions after the various steps of reactions in
the fuel processor with or without gas cleanups and different
feedstocks are shown in Table 1. The variation of the gas
compositions is mainly dependent on the fixed carbon of the
biomass species, airflow rate and operating temperature for the
gasifier or on the steam to carbon ratio, space velocity and
temperature for the steam reformer.
Table 1. Gas compositions for biofuels with or without fuel processor or
gas removal in the respective process steps for different feedstocks
Feedstock H2 CO CH4 CO2 N2

Biogas in1 0.9 - 60.3 38.0 <1.0
Biogas after treatment1 70.85 0.85 0.24 28.91
Biogas in2 60 40
Biogas after treatment2 70.6 0.2 0.3 28.9
Wood charcoal after gasifier 2 3-6 15-21 1 8-12 65-70
Wood charcoal2 20-30 90 0-15 70-80
ppm ppm
Leucaena Leucocephala 16.4 20.4 2.0 11.0 52.2
wood3
Wood4 39.3 NA 2.5 NA 57.5
Maize cob charcoal5 6-8 1-2 1-2 8-9 79-84
Coconut shell charcoal5 3-7 1 2-4 8-10 78-86
Groundnut shell charcoal5 7-10 2-4 2 2-3 81-87
Bagasse charcoal5 6-8 1-2 2-4 6-10 76-85
Acacia nilotica charcoal5 4-5 3-4 1-2 8-16 73-84
Casuarina Equsettifolia 3-5 6-12 1-3 7-11 69-83
charcoal5
Prosopis juliflora charcoal5 3-5 5-8 2-4 6-8 75-84
Pine charcoal5 5-9 8-15 3-4 6-15 57-78
Pine charcoal6 20-28 4-10 NA 0.06-0.1 72-80
ppm
NA-non-available 1. At PAU after LT shift reactor without the

steps of PROX and CO2 scrubber; 2. At KTH; 3. At PAU gasifier
without shift reactors; 4. At PAU after shift reactors; 5. At TNAU
with / without shift reactors and gas removal.
After a series of steps where CO and steam are converted in
shift reactors into hydrogen, the rest CO is oxidized in a preferential
oxidation reactor (PROX) to ppm levels and the CO2 removed in a
soda lime bed, the hydrogen is fed to the anode, while air or oxygen
is supplied to the cathode of the fuel cell. An Elenco module with a
nominal power output of 320 W was a circulating 6.9 M KOH as
electrolyte at 65oC was used for the assessment of the fuel cell
666
performance. Groundnut shell, bagasse and maize cob charcoals
as shown in table 1 are suitable feedstocks as their biochars contain
high concentrations of hydrogen as well as lower CO content
compared with the other wood species. The charcoal consumption
rate of the gasifier varied between 0.14 and 0.16 kg h-1 with gas
production rates of 0.35 to 0.58 Nm3 h-1 depending on the type of
the feedstocks.
Reformed hydrogen/pristine hydrogen gas and air/oxygen were
fed to the fuel cell module in order to substantiate the power output
and open cell voltages (OCV) for respective gas combinations.
Table 2 summarises the type of gases, OCV, current loads,
voltages, total power outputs and the percentages of power
developed as compared to the nominal power of the fuel cell.
Table 2. Characteristics of the fuel cell with different gas inlets to the
anode and cathode
Type of OCV (V) Current Voltage (V) P (W) %

gases (A)
O2/H2 5.75 60 4.89 293.4 91.7
Air/ H2 5.63 60 4.85 291.0 90.9
Air/P-gas 5.60 60 4.83 289.8 90.6
P-gas-hydrogen from a producer gas
The main discrepancy in the power output compared to pure

hydrogen and oxygen lies in the electrode kinetics of the catalysts,
where the presence of nitrogen (79%) in air decreases the available
reaction sites for the oxygen molecules to a significant level.
Furthermore, the flow rate of air has to be raised in order to meet
the required stoichiometric amount of oxygen to carry out the
cathodic reaction. The studies on the integrated biofuel to fuel cell
clearly show the verification of the system and the possibility of
decentralised power production. Another interesting aspect of biofuel
to fuel cells is the current ongoing project of Bio-FC, a Swedish-
Asian Research Partnership Programme, funded by SIDA-VR
(Swedish research Council), which entails a study of producer gas
in combination with LTSOFC (Low temperature solid oxide fuel cell).
This project is particularly interesting in that the gas cleanup is not
necessary. Gases, for example CO2 is either inert or diluent in the
fuel cell and the CO may serve as a fuel together with hydrogen.
Here too, the indelible experiences in gasification, tar removal,
electrode preparation, test assembly and analyses of TNAU
researchers are of utmost importance for the project.
667
CONCLUSION
Conversion of biofuels as renewable energy sources to high-
grade power utilization is imminent in order to meet the energy
requirements and needs of the future. The extensive exploitation
and use of fossil fuels with ever dwindling reserves followed by
environmental degradation have to pave way for the replacement
by sustainable development with the environmentally friendly biofuel
and hydrogen economy. Fuel cells for conversion of fuels with high-
energy efficiency have shown to be one of the realistic options
towards this end. TNAU as one of the partners in our joint projects
has shown the competencies in fulfilling and accomplishing the
tasks for research, development and technical demonstration by
supplementing the knowledge-base gathered over the years. TNAU
as one of the leading institutions of India not only works on education
and close exchange of ideas and results with the society and
collaboration with other Universities and Institutes in India and other
countries but also contributes to the betterment of the environment
through research, development and introduction of renewable energy
production by wind, solar, gasification of biomass, esterification of
oil seeds, etc.
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Barreto, L., Makihira, A., Riahi, K., Int. J. Hydrogen Energy, 28 (2003) 267.
Chadwick, M. J., Lindman, N., Environmental implications of expanded coal utilization,
Pergamon Press Ltd, Oxford, England.
Contreras, A., Carpio, J., Molero, M., Veziroglu, T. N., Int. J. Hydrogen Energy, 24
(1999) 1041.
Jain, A. K., Jindal, S. L., Panesar, B. S., Proceedings of the Asian Seminar on Fuel
Cell Technology for Rural Electrification, Coimbatore, India, April 25-26,
1996, p. 15.
Jain, A. K., Status Report on the Indo-Sarec Project, PAU, Ludhiana, India, March
1997.
Kiros, Y., Myrén, C., Schwartz, S., Sampathrajan, A., Ramanathan, M., Electrode
R&D, Stack Design and Performance of Biomass-based Alkaline Fuel
Cell Module, Intern. J. Hydrogen Energy, 24 (1999) 549.
Lindström, O., Chemtech, 18 (1988) 490.
Myrén, C., Proceedings of the Asian Seminar on Fuel Cell Technology for Rural
Electrification, Coimbatore, India, April 25-26, 1996, p. 31.
Naumann, S. T., Myrén, C., Power Sources, J., 56 (1995) 45.
Ramanathan, M., Samapthrajan, A., Sreenarayanan, V. V., Proceedings of the
Asian Seminar on Fuel Cell Technology for Rural Electrification,
Coimbatore, India, April 25-26, 1996, p. 1.
Samapthrajan, A., Ramanathan, M., TNAU, Coimbatore, Progress Report on ICAR-
SAREC project (1997).
668
EMERGING POST HARVEST TECHNOLOGIES
AND VALU E ADDITION IN RICE
A. Dakshinamurthy
Director, Paddy Processing Research Centre,
Thanjavur
India has achieved an enviable position among the countries
of the world due to its surplus food production, within a short time
from the status of a food importing country. This is due to the great
efforts of the Scientists, extension personnel and the farmers. As
the production technology is an interdisciplinary approach, the post
production technology or post harvest technology is also equally
interdisciplinary in nature including the disciplines of Entomology,
Engineering, Microbiology, Biochemistry, Economics, Food Science
and Extension. Out of 120 million tonnes of paddy produced in
India every year, nearly 60-70 percent is utilised within the country
and considerable quantity is exported to other countries. As the
people have become quality conscious, production of quality rice
has become inevitable. The significant role played by the production
agencies in making the country secure in food should be matched
by the post production agencies to avoid the losses in quantity and
quality and ensure the nutritional security as well.
Harvest, drying and storage of paddy
The appropriate stage of harvest in paddy has a tremendous
influence on the field yield of paddy and the yield of raw rice. Rice
is mostly preferred in the form of head rice or whole kernel. The
delayed harvest in paddy crop leads to the formation of cracked
kernels or sun checks. The preferred stage of harvest is when a
few grains in the lower part of the panicle are green and the
approximate moisture content of grains are 20-22 per cent. At a
very late stage of harvest more and more of multiple transverse
cracks and irregular cracks are found in the kernels. The improper
use of threshers for paddy also lead to breakage and damage to
paddy grains affecting the yield and quality of rice to a great extent.
Cracks or fissures are the single largest source of breakage during
milling. The harvested paddy at 20-22 per cent moisture content
has to be reduced to 13-14 per cent gradually keeping in mind that
it should be handled as a grain and not as a seed. Improper drying
either manually in yard or mechanically in driers lead to heavy
breakage, reducing the rice out turn and the market value. Thus, a
potential yield of 72 per cent rice from 100 kg of paddy is seldom
achieved in our country, even in modern rice mills. The storage of
paddy is normally done for a period of six months to one year.
669
However, paddy stored for more than a year and upto three
years are considered to be valuable, especially in case of Basmati.
If the moisture content of stored paddy is above 14 per cent or if
the ambient humidity is more than 70 per cent, the grains get heated
up, germinate and become discoloured. They are also infected
with microbes, leading to caking up of grains and production of
aflatoxin. When the grain is infested with insects, even slight nibbling
by the larvae weakens the rice kernel, resulting in more brokens.
Parboiling and milling of paddy
The paddy is soaked in water for hydration, steamed for thermal
treatment to obtain gelatinization and then dried. Thus parboiling
hardens the grain and the cracks or sunchecks in the kernel are
fused due to which the milling quality is improved yielding 2 per
cent more of rice out turn. This is the major advantage in parboiled
rice, apart from some of the nutritional improvement. Hence, one
fifth of the world paddy production and 50 per cent in India is
estimated to be parboiled. There are number of technologies to
produce the parboiled rice of desired quality from thousands of
paddy varieties available from various parts of the country. Some
of the examples are cold soaking method, hot soaking method,
single steamed parboiled rice, double steamed parboiled rice,
pressure steamed parboiled rice, white core parboiled rice, fully
gelatinized rice, Sela Rice, Golden rice, cured or steamed rice
and so on. Since millions of paddy grains are obtained from the
primary tillers and subsequent tillers of the paddy plant, the maturity
vary from grain to grain and in turn the behaviour of grains for various
processing treatments. All these variations should be taken into
account and produce the rice of nearly uniform quality.
Milling of paddy is the mechanical removal of husk to yield
brown rice and in turn polish the brown rice to remove some amount
of bran and yield milled rice. This can be done by hand pounding or
using a huller with metal shaft or by rubber rolls followed by friction
or emery polishers. The extent of polish given to brown rice is
generally 5-6 per cent so that the rice is nutritious and safe for
insect free storage, as brown rice is highly susceptible to insects.
However, in the commercial market, rice is polished even 8-10 per
cent to make it white and shiny in appearance which reduce the
outturn and nutritional quality. The polish should be in two or three
passes with a bran removal of 2-3 per cent in each pass. The initial
polish can be given by an abrasive polisher and the final one with a
friction polisher. Silky rice can be produced by humidified polisher
or water mist polisher. Grading and removal of discoloured rice can
be done by using a colour sorter.
670
Value addition in rice
The processing at every stage after harvest of paddy leads to
value addition such as conversion into rice and upto final produce
ready for consumption. The major quantity of paddy after primary
processing is consumed as whole kernel and the remaining quantity
is either used after secondary or tertiary processing into products
like expanded rice, flaked rice, popped rice, quick cooking rice,
fermented products, noodles, infant foods and extruded products.
In India there are about 1,40,000 rice mills, out of which nearly
one lakh are traditional and 40,000 are modern rice mills. About 60
per cent of the paddy produced is milled in modern mills and the
traditional mills process about 30 percent of the production. The
traditional huller mills either process 5-10 tonnes per day or on
custom basis. The cost of a huller mill may be Rs.50,000
Rs.60,000 and that of a minimum capacity modern rice mill (300-
400kg/h) may be Rs.1 lakh. Nowadays, there is an increasing
demand for minimally processed rice, equivalent to hand pounded
rice. Irrespective of the type or quality of rice, from any variety of
paddy including basmati / aromatic superfine varieties can be
processed in any milling machinery, provided the processing
technology is adopted properly and the man behind the machine is
capable of.
Expanded rice is a value added product from paddy, involving
cumbersome steps. This is a cottage industry processing about
100 kg paddy / day by sand roasting, the preconditioned rice as a
fully gelatinized one. However, higher capacity units are prevalent
in West Bengal and Gujrat. In West Bengal, the modern rice mills
produce pressure paraboiled rice in large quantity and such rice is
used in higher capacity sand roasters to produce expanded rice.
All paddy varieties are not suitable for expanded rice and some of
the preferred varieties are Intan, Bhavani, Jaya, IR 64, ADT 38, Co
37 and so on. In general 100 kg of paddy may yield 60 kg of
expanded rice, but the expansion in volume of rice may be about
10 times.
Similarly, flaked rice is another value added product, involving
the expertise of technologists and use of machineries like edge
runners or flaking machines. Commercial flaked rice units
processing 10-20 tonnes per day are common in Gujarat and
Karnataka. Some of the best suited varieties of paddy for flaked
rice are IR 8, Gujri, CO 43 and TRY 1. Thin, medium and thick
types of flaked rice are produced and the out turn varies from 65-70
per cent. Popped rice is yet another value added product prepared
671
from raw paddy. However, the production of popped rice is
comparatively less and mostly used in religious ceremonies. Quick
cooking rice a precooked and gelatinized product and its cooking
time is 7-10 minutes compared to 20-25 minutes for raw rice. Similar
to wheat vermicelli, rice vermicelli can also be prepared and used
for various food preparations. Weaning foods, using rice flakes as
the ideal base material and fortifying with protein, minerals and
vitamins are some of the value added products of rice meant for
the use of specific target groups. The fermented products of rice
like Idli and Dosa are quite popular and widely used. The instant
Idli mix without the need for wet grinding has become quite
convenient for the city dwellers. In the recent past, the production
of high volume, crispy products prepared by extrusion of rice alone
or in combination with other foods grains as snack foods has
become a tremendous success in value addition of rice. The
cumbersome process, the need for specific variety of paddy and
the quality of rice as whole kernels are dispensed with, for preparation
of a product similar to expanded rice by the use of extruders.
Apart from the rice, its byproducts like brokens and rice bran
are profitably utilized for production of alcohol and extraction of
bran oil respectively.
672
NUMBER OF RICE MILLS AS ON 01.01.2002
S. Name of State Hulles Shelles Hullers Modern Total
No. Shelles Rice
Mills
1. Andhra 4609 1776 2364 12995 21744
Pradesh
2. Assam 431 14 2133 242 2820
3. Bihar 4749 63 9 51 4872
4. Gujarat 1890 159 67 1045 3161
5. Haryana 807 - - 990 1797
6. Himachal 890 1 3 222 1116
Pradesh
7. Jammu & - - - - -
Kashmir
8. Karnataka 9131 462 1103 3674 14370
9. Kerala 13664 - 13 2533 16210
10. Madhya 3918 201 262 1761 6142
Pradesh
11. Maharashtra 8199 273 541 1759 10772
12. Manipur 838 - - 660 1498
13. Meghalaya 252 - 8 - 260
14. Nagaland - - - - -
15. Orissa 6398 125 289 552 7364
16. Punjab 4416 442 - 1965 6823
17. Rajasthan 152 2 6 193 353
18. Sikkim 17 - - - 17
19. Tamil Nadu 13684 448 1324 3922 19378
20. Tripura 1030 6 8 1 1045
21. Uttar Pradesh 5707 562 150 145 7834
22. West Bengal 9554 3 72 926 10555
23. Andaman & 116 - - - 116
Nicobar
24. Arunachal 1 - - - 1
Pradesh
25. Chandigarh 16 - - 11 27
26. Dadra & Nagar 8 1 - - 9
Haveli
27. Delhi 2 - - 27 29
28. Goa 670 - 25 56 751
29. Mizoram - - - - -
30. Pondicherry 138 - 8 88 234
31. Lakshadweep - - - - -
TOTAL 91287 4538 8385 35088 139298
673
List of Rice Mill Machinery Manufacturers
M/s.Mill more Engg. Pvt Ltd M/s.Jayalakshmi Engineering Works

289, Old Mahabalipuram Road 12-B, Big Mill Street
Sholinganallur, Chennai 600 119 Tiruvarur 610 001
M/s Damu Agencies M/s Zaccaria

Shop No.6, Ishwar Trade Centre Rice Milling Machinery and
Opp Dr. Nanjappe Road Church Grain Drying Systems
Grey Town, RUA LARANJAL,
Coimbatore - 641 018 180-C, Posta/54-CEP 13484-016
M/s.Bulher (India) Pvt Ltd M/s Satake Corporation

13D, KIADB Industrial Area 11th Floor, Dr. Gopal Das Bhavan
Attibele 562 107 Bharakhamba Road
Bangalore New Delhi - 110 00
Sri New Tech Milling M/s.Sahara Milling System Pvt.Ltd.

Plot No: 41, Ekambara Naicker 9, Sardar Colony Main Road
Indl. Estate Ekkaduthangal
Chennai 600 097
Alapakkam, Porur
Chennai 600 116
M/s.Millstroes (Madras) Pvt Ltd M/s.Agro Mech Engineers

Mew No. 236-A,Angappa Naicker 374, Patil Road
Street, PO Box No. 4 Coimbatore 641 009
Chennai 600 001
M/s.Binny Engineering Limited M/s.Photons

Meenambakkam 19, Rajeshwari Nagar
Post Box No. 8677 Thanjavur 613 005
Chennai 600 114
M/s.Perfect Equipments M/s.Samdan Industrial

No.7, Multi Industrial Estate S-8, Sidco Industrial Estate
Gerugambakkam Nanjikkottai Road
Chennai 602 101 Thanjavur 613 006
M/s.Southern Milling Systems M/s. G.G.Dandekar Machine Works Ltd

479, Bangalore High way Dandekarwadi
Nazarathpet, Poonamalle Bhiwandi 421 302
Chennai 600 103 Thane Dist. (M.S.)
674
Milling capacity and approximate cost Year : 2000
Description 1t/h 2t/h 3t/h of paddy
capacity
Paddy cleaner 2 HP 2 HP 2HP
RR sheller with 7.5HP 10HP 10HP
husk aspirator
Paddy separator 2 HP 2 HP 2 HP
Primary polisher 15 HP 25 HP 2 Nos-25 HP x
2
Final polisher 10 HP 20 HP 20 HP
Aspirator cum sieve 2 HP 3 HP 3 HP
Double elevators 3 Nos-1 HP x 3 Nos-1 HP x 3 Nos-1HP x
3 3 3
Bran separator 1 No-2 HP 3 HP 5 HP
Mill cost Rs.5,25,000/- Rs. 6,00,000/- Rs. 7,00,000/-
Electricals cost Rs.3,00,000/- (95 HP) - 100 HP-
cable, control panel, (50HP) 4,00,000/- 5,00,000/-
etc.
Space required for 11x7x7m 11x7x7m 11x7x7m
milling height height height
Recommended size 25x12x7m 25x12x7m 25x12x7m
of building height height height
(82x40x23)
Land Rs.25/- sq.ft. 1,00,000/-
Building Rs.300/- 10,00,000/-
sq.ft.
Total cost 20,00,000/- 23,00,000/- 25,00,000/-
675

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PERSPECTIVES OF AGRICULTURAL

RESEARCH AND DEVELOPMENT

Ramasamy, C. Ramanathan, S. and Dhakshinamoorthy, M.

Published by : Tamil Nadu Agricultural Univesity

Cover Design By : Dr. R. Venkatachalam

Printed at : Sri Sakthi Promotional Litho Process

On this occasion of the centenary year of the AC & RI,

August 30, 2005

1. Agricultural Research and Education:

2. Search New Genes to augment Agricultural

3. From food security to market driven growth in

4. Challenges to Indian Agriculture in a Liberalized

5. Designing Agricultural Research for

6. Emerging issues in management of Agricultural

7. Avenues for achieving sustainable soil productivity

8. Emerging trends in Agricultural Extension

9. Performance - Oriented Evaluation System for

11. Agricultural Education : Historical Perspective

12. Experience of Teaching Sustainable Development

13. Plant Breeding : Translation, Transgression or

14. Para-nodulation of non-nitrogen fixing plants

15. Dynamics and remediation of heavy metals in

16. Application of weather forecast for different sectors

17. Pottassium, an integral part for sustained soil

18. Changing face of soil fertility and

19. SSNM for rice : Progress and Opportunities

21. Micronutrients Deficiencies in Indian Crops

22. The emergence of ICT as a tool to help farmers:

23. Emerging Need for Better Extrapolation of

24. Herbicide Resistant Crops in India - Potential

25. Enhancing Food Safety : Prevention of Preharvest

26. A genomic approach to toxocology in the model organism

27. Pioneering contributions on the role of resistance

29. Uncommom opportunities for Plant Pathology

30. Designing Vegetables with Improved Nutrition.

31. New vistas in improving the productivity and

32. Role of Forestry Research in Poverty

33. Emerging Food Technologies - A Review of Major

34. Post harvest technology in the food system

35. Conversion of biofuels to a high grade power

36. Emerging post harvest technologies and

• Milk and egg production has decelerated. There is however

1. Pregnant Mothers Food for Nutrition to avoid maternal and

Meteorological Ecological Factors Marketing

Commodity 1991-93 2000-02 Annual growth rate:

With national surpluses and downward pressure on farm gate

Size Category of Number and Percentagea of Total Operational Holdings

Small (2.5  4.99) 9.25 11.48 12.77 13.72 16.63

a. Percentages are in parentheses

§ Changes in the national diet. With the accelerated national

§ There are also good opportunities for generating greater value

(US$ billion in constant 1997 prices)

Commodity 1990-92 2002-04 Annual growth rate

as a whole. Additional jobs will be created in marketing,

Sector 1950-51 1950-51 1965-66 1980-81 1980-81 1992-93

(ii) Rainfed Agriculture

Household Gini Head Per cent Per cent

Small Farmers(<1.0 ha) 0.280 45.80 57.48 49.16

Large Farmers (>= 1.0 ha) 0.309 29.47 28.13 37.40

Small (2.5 4.99) 9.25 11.48 12.77 13.72 16.63

Oilseeds 0.13* -0.0083 -0.030* -0.0030 -0.0025 0.027 0.53* 0.98

Fruits -0.7* 1.14* 4.2* 2.9* 14.01* 7.9***

Indias export of agricultural commodities has been on the

Figure 1. Continuum of agricultural research technology

Needless to say, todays requirement is to manage agricultural