Biotech4 Agricultural PDF

Biotechnologies for
Agricultural Development
Proceedings of the FAO International Technical Conference
on Agricultural Biotechnologies in Developing Countries:
Options and Opportunities in Crops, Forestry, Livestock,
Fisheries and Agro-industry to Face the Challenges of Food
Insecurity and Climate Change (ABDC-10)
Biotechnologies for
Agricultural Development
Proceedings of the FAO International Technical Conference
on Agricultural Biotechnologies in Developing Countries:
Options and Opportunities in Crops, Forestry, Livestock,
Fisheries and Agro-industry to Face the Challenges of Food
Insecurity and Climate Change (ABDC-10)
FOOD A ND A GRICULTURE ORG A NI Z A TION OF THE UNITED N A TIONS - 2 0 1 1

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Foreword
Latest FAO figures indicate that the number of undernourished people in the world remains
very high at close to one billion in 2010. The fact that one in six people in developing
countries currently suffers from chronic hunger is not acceptable. Food security at local,
regional and global levels will need to be realized in the face of emerging challenges.
The first is the rapidly changing socio-economic environment. It is estimated that
the worlds population will increase from about 7 to 9 billion people by 2050; that the
proportion living in urban areas will increase from about 50 to 70 percent by 2050; and
that peoples diets will change, shifting to increased proportions of vegetables, fruits and
livestock products. The second is climate change, which is expected to have an increasing
impact on agriculture and food security.
Promoting sustainable agriculture in developing countries is key to achieving food
security, and here it is necessary to increase investment in agriculture; broaden access to
food; improve governance of global agricultural trade; and increase productivity while
conserving the natural resource base. For the latter, it will be necessary to substantially
increase investments in public agricultural research and development. Technologies to
increase productivity and conserve natural resources should be accessible, appropriate and
adapted to the needs of smallholders, and functional demand-driven extension systems are
essential for making this happen. The suite of technological options for farmers should be
as broad as possible, including agricultural biotechnologies, which represent a large range
of technologies used in food and agriculture for the genetic improvement of plant varieties
and animal populations, characterization and conservation of genetic resources, diagnosis
of plant and animal diseases, vaccine development and other purposes.
To highlight the potential role of agricultural biotechnologies, FAO, in close collaboration
with partners around the globe, organized the international technical conference on
Agricultural biotechnologies in developing countries: Options and opportunities in crops,
forestry, livestock, fisheries and agro-industry to face the challenges of food insecurity and
climate change (ABDC-10) that took place in Guadalajara, Mexico, from 1 to 4 March
2010. The conference was hosted by the Government of Mexico and co-sponsored by the
International Fund for Agricultural Development (IFAD).
The Consultative Group on International Agricultural Research (CGIAR), the Global
Forum on Agricultural Research (GFAR), the International Centre for Genetic Engineering
and Biotechnology (ICGEB) and the World Bank were also major collaborators in this
initiative. The conference brought together about 300 policy-makers, scientists and
representatives of intergovernmental and international non-governmental organizations,
including delegations from 42 FAO Member Nations.
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t v
This publication represents the ABDC-10 proceedings. It contains an extensive series
of background documents prepared for the conference, focusing on the current status
and options for biotechnologies in developing countries in crops, forestry, livestock,
fisheries/aquaculture and food processing/safety, as well as on related policy issues and
options, in particular regarding targeting agricultural biotechnologies to the poor; enabling
R&D for agricultural biotechnologies; and ensuring access to the benefits of R&D.
Member Nations reached at the ABDC-10 a number of key conclusions. They
acknowledged that agricultural biotechnologies help to alleviate hunger and poverty, assist
in adaptation to climate change and maintain the natural resource base; that agricultural
biotechnologies have not been widely used in many developing countries, and have not
sufficiently benefited smallholder farmers and producers and consumers; and that more
R&D of agricultural biotechnologies should be focused on the needs of smallholder farmers
and producers. They also acknowledged that governments need to develop their own
national vision and policy for the role of biotechnologies; that effective communication
and participation strategies with the public are necessary; and that stronger partnerships
among and within countries will facilitate the development and use of biotechnologies.
The Member Nations also agreed that effective and enabling national biotechnology
policies and regulatory frameworks can facilitate the development and appropriate use of
biotechnologies in developing countries and that developing countries should significantly
increase investments in capacity-building and the development and safe use of biotechnologies
to support, in particular, smallholders, producers and small biotechnology-based enterprises.
Finally, the countries agreed that FAO and other relevant international organizations and
donors should significantly increase their efforts to support the strengthening of national
capacities in the development and appropriate use of pro-poor agricultural biotechnologies.
International conferences such as ABDC-10 offer an essential neutral forum for FAO
Member countries to meet, to access high-quality, updated science-based information and
to discuss policy options on major food and agriculture issues.
We hope that the organization of ABDC-10 and publication of these proceedings will
contribute substantially to empowering developing countries to make informed decisions about
the application of agricultural biotechnologies to face the key challenge of food insecurity.
Jacques Diouf
FAO Director-General
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B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t
Contents
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Abbreviations and Acronyms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix
SECTION 1: BACKGROUND TO ABDC-10

Chapter 1: Current Status and Options for Crop Biotechnologies in Developing Countries
Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
A. Stocktaking: Learning from the Past. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.2 Defining Biotechnologies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1.3 Crop Biotechnologies and their Current Status in Developing Countries. . . . . . . . . . . . . . . . . . . 6
1.4 Analysis of Experiences with Biotechnologies in Developing Countries over the past 20 Years. . . 25
1.5 Case Studies of Experiences with Crop Biotechnologies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
1.6 Conclusions: Lessons Learned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
B. Looking Forward: Preparing for the Future. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
1.7 Key Unsolved Problems where Biotechnologies Can Help. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
1.8 Identifying Options for Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
1.9 Identifying Priorities for Action for the International Community . . . . . . . . . . . . . . . . . . . . . . 59
1.10 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Chapter 2: Current Status and Options for Forest Biotechnologies in Developing Countries
Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
2.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
A. Stocktaking: Learning from the Past. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
2.2 Overview of Conventional Technologies in Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . 83
2.3 Current Status of Application of Forest Biotechnologies in Developing Countries . . . . . . . . . . . 86
2.4 Analysis of Successes and Failures of Forest Biotechnologies in Developing Countries . . . . . . . 102
2.5 Case Studies of Applications of Forest Biotechnologies in Developing Countries . . . . . . . . . . . . 106
2.6 Key Issues where Forest Biotechnologies Could be Useful. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
2.7 Identifying Options for Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
2.9 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Chapter 3: Current Status and Options for Livestock Biotechnologies in Developing Countries
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
3.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
3.2 Conventional Technologies in Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
3.3 Animal Biotechnologies: Definitions and Historical Perspective. . . . . . . . . . . . . . . . . . . . . . . . . 129
3.4 Current Status of Application of Livestock Biotechnologies in Developing Countries . . . . . . . . . 136
3.5 Reasons for Successes and Failures in Livestock Biotechnologies in Developing Countries
over the last 20 Years . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
3.6 Case Studies of the Use of Biotechnologies in Developing Countries. . . . . . . . . . . . . . . . . . . . . . 164
3.7 Key Unsolved Problems in the Livestock Sector where Biotechnologies
Could be Fundamental to their Solution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
3.10 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
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Chapter 4: Current Status and Options for Biotechnologies in Aquaculture and Fisheries
in Developing Countries
Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
4.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
4.2 Overview of Main Areas where Biotechnologies are being Applied in Aquaculture and
Fisheries in Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
4.3 Current Status of Application of Biotechnologies in Developing Countries. . . . . . . . . . . . . . . . . 201
4.4 Case Studies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
4.5 Key Issues where Biotechnologies Could be Useful. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
4.8 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
Chapter 5: Current Status and Options for Biotechnologies in Food Processing and in Food Safety
Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
5.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
5.2 Biotechnology: Definition and Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
5.3 Current Status of the Application of Biotechnologies in Developing Countries. . . . . . . . . . . . . . 245
5.4 Analysis of the Reasons for Successes/Failures of Application of Biotechnologies in
Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
5.5 Case Studies of Applications of Biotechnologies in Developing Countries. . . . . . . . . . . . . . . . . . 262
5.6 Emerging Pathogens: A Key Issue where the Application of Biotechnologies Could be Useful. . . . 268
5.9 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
Chapter 6: Learning from the Past: Successes and Failures with Agricultural Biotechnologies
in Developing Countries over the Last 20 Years - An E-Mail Conference
6.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278
6.2 Background to the Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
6.2.1 Overview of agricultural biotechnologies in developing countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
6.2.2 Specific points about this e-mail conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
6.3 Summary of an International Dialogue. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
6.3.1 Executive summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
6.3.2 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
6.3.3 Biotechnologies in crops. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
6.3.4 Biotechnologies in forestry. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
6.3.5 Biotechnologies in livestock and aquaculture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
6.3.6 Biotechnologies in food processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
6.3.7 Cross-sectoral discussions: Reasons for failures of agricultural biotechnologies in developing countries . . . . . . . . . . . . . 316
6.3.8 Cross-sectoral discussions: Suggestions for increasing the success of agricultural biotechnologies in developing countries. . . 320
6.3.9 Participation in the conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
6.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
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Chapter 7: Targeting Agricultural Biotechnologies to the Poor
Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
7.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
7.2 Agricultural and National Development Policy Contexts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334
7.2.1 National and international dimensions of agricultural policy-making and policies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
7.2.2 Towards comprehensive agricultural development policies and strategies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
7.3 National Biotechnology Policy/Strategy Frameworks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
7.3.1 Biotechnology issues from a policy perspective. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
7.3.2 Purpose and content of biotechnology frameworks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
7.3.3 Developing and approving national frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
7.3.4 Issues for policy consideration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
7.4 Governance Structures and Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
7.4.1 Leadership and coordination: Principles and options. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
7.4.2 Independent advice: Principles and options. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
7.5 Setting Priorities for R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
7.5.1 At the level of government. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351
7.5.2 For biotechnologies in food and agriculture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352
7.6 Annex: The processes of developing, approving and overseeing biotechnology policy/strategy frameworks and of
providing independent advice in selected developing countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
7.7 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
Chapter 8: Enabling R&D for Agricultural Biotechnologies

Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
8.1 Science and Technology Systems in Developing Countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374
8.2 Agricultural Science and Technology: Capacities and Investments . . . . . . . . . . . . . . . . . . . . . . 379
8.2.1 The global picture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
8.2.2 Examples of capacity building initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383
8.3 Funding: Instruments and Options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 385
8.4 Regulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
8.4.1 Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
8.4.2 Coverage of regulation within national biotechnology policies/strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390
8.4.3 Establishing national biotechnology regulatory frameworks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391
8.4.4 International harmonization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 398
8.4.5 Final considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
8.5 Annex 1: Building and funding biotechnology R&D and innovation capacities in selected
developing countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 403
8.6 Annex 2: Coverage of regulation within national biotechnology policy/strategy frameworks in
selected developing countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
8.7 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417
Chapter 9: Ensuring Access to the Benefits of R&D

Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
9.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
9.2 Intellectual Property Rights and Genetic Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
9.2.1 Coverage in national biotechnology policy/strategy documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424
9.2.2 The global context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
9.2.3 Establishing laws and institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
9.2.4 Intellectual property management: Options for research institutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
9.2.5 Options for national and international research funding and development agencies . . . . . . . . . . . . . . . . . . . . . . . . 447
9.2.6 Final considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
x B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
9.3 Public Awareness and Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
9.3.1 Participatory biotechnology R&D and extension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
9.3.2 Participatory policies for regulation of biotechnology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
9.3.3 Coverage in national biotechnology policy/strategy documents and regulatory frameworks . . . . . . . . . . . . . . . . . . . . 454
9.4 Agricultural Extension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
9.5 Annex: Coverage of IPR and genetic resources issues in national biotechnology policy/strategy
frameworks of selected developing countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 460
9.6 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463
Chapter 10: Agricultural Biotechnologies for Food Security and Sustainable Development:
Options for Developing Countries and Priorities for Action for the International Community
Context. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467
10.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468
10.2 Lessons Learned and Options for Developing Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
10.3 Draft Priorities for Action for the International Community . . . . . . . . . . . . . . . . . . . . . . . . . . 480
10.3.1 Policy priorities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481
10.3.2 Capacity development. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
10.3.3 Coordination options. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487
SECTION 2: OUTCOMES OF ABDC-10

Chapter 11: Summary Reports of Sector-Specific Parallel Sessions
11.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 492
11.2 Reports of Sessions on Sector-Specific Background Documents . . . . . . . . . . . . . . . . . . . . . . . . 492
11.2.1 Crops. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
11.2.2 Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 494
11.2.3 Livestock. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496
11.2.4 Fisheries and aquaculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497
11.2.5 Agro-industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498
11.3 Reports of Sessions on Sector-Specific Case Studies of Successful Applications of
Biotechnologies in Developing Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
11.3.1 Crops. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500
11.3.2 Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
11.3.3 Livestock. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502
11.3.4 Fisheries and aquaculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 503
11.3.5 Agro-industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 504
Chapter 12: Summary Reports of Cross-Sectoral Parallel Sessions

12.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 506
12.2 Reports of the Parallel Sessions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507
12.2.1 Development of genomic resources: Current status and future prospects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507
12.2.2 Genomic applications: Molecular breeding for developing countries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 508
12.2.3 Conservation and sustainable use of genetic resources for food and agriculture . . . . . . . . . . . . . . . . . . . . . . . . . 510
12.2.4 Prioritizing the role of the farmer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511
12.2.5 Ensuring equitable access to technology, including gender issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 512
12.2.6 Empowering public participation in informed decision-making. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
12.2.7 Public-private partnerships. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
12.2.8 Biosafety in the broader context of biosecurity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
12.2.9 Intellectual property rights in agricultural biotechnology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519
12.2.10 Policy coherence in biotechnology at the national and regional levels: The experience of COMESA, ASEAN and
CARICOM regions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520
12.2.11 Utilization of plants for non-food uses: Challenges and perspectives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522
12.2.12 Enhancing human capacities: Training and education. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xi
Chapter 13: Summary Reports of Regional Parallel Sessions
13.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 526
13.2 Reports of the Parallel Sessions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
13.2.1 Latin America and the Caribbean. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
13.2.2 West Asia and North Africa. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529
13.2.3 Sub-Saharan Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531
13.2.4 Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
13.2.5 Europe and Central Asia. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534
Chapter 14: Keynote Presentations

14.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
14.2 Modibo Traor, FAO. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
14.3 Mariano Ruiz-Funes Macedo, SAGARPA, MEXICO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539
14.4 M.S. Swaminathan, Honorary Chair of ABDC-10 Steering Committee. . . . . . . . . . . . . . . . . . . . . . . 542
14.5 Rodney Cooke, IFAD. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545
Chapter 15: ABDC-10 Report

15.1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 554
15.2 Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 554
xii B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
Acknowledgments
The planning and build-up to the conference as well as the actual four-day event in
Guadalajara were all hallmarked by a highly participatory approach, and it is not possible
here to do justice to all the contributions of time, energy and expertise made by so many
organizations and individuals to the processes of preparing for and convening ABDC-10;
to writing and reviewing the background documents; and to creating the rich presentations
and discussions that took place during the parallel and plenary sessions held during ABDC-
10. FAO would like to take this opportunity to express its sincere appreciation for the kind
and sustained cooperation of all concerned.
The conference brought together about 300 policy-makers, scientists and representatives
of inter-governmental organizations (IGOs) and international non-governmental
organizations (NGOs) from 68 countries, including governmental delegations from 42
FAO member countries. Special acknowledgements go to the Government of Mexico
which generously hosted the conference and provided excellent logistical and personnel
support. The national organizing committee met several times in the run up to the
conference and its members, and their representatives, are gratefully acknowledged for
their invaluable support: the Colegio de Postgraduados, Comisin Intersecretarial de
Bioseguridad y Organismo Genticamente Modificados (CIBIOGEM), Consejo Nacional
de Ciencia y Tecnologa (CONACYT), FAO Office in Mexico, Gobierno del Estado de
Jalisco, Instituto Nacional de Investigaciones Forestales, Agrcolas y Pecuarias (INIFAP),
Secretara de Agricultura, Ganadera, Desarrollo Rural, Pesca y Alimentacin (SAGARPA),
Secretaria de Relaciones Exteriores (SRE) and Sistema Nacional de Investigacin y
Transferencia de Tecnologa para el Desarrollo Rural (SNITT). The national committee
was kindly chaired by Vctor M. Villalobos, the Coordinator of International Relations
at SAGARPA, and later the Officer in Charge, Lourdes Cruz Trinidad, with the support
of Elas Reyes Bravo.
Grateful appreciation is also expressed to the staff at the FAO Office in Mexico for all
their work before and during the conference, especially to the former FAO Representative
Norman Bellino, the Assistant Representative Maria del Carmen Culebro, the communications
officer Barbara Lazcano and programme officer Alicia Ituarte.
Special thanks also go to the International Fund for Agricultural Development (IFAD)
which co-sponsored the conference; and to the Consultative Group on International
Agricultural Research (CGIAR), the Global Forum on Agricultural Research (GFAR), the
International Centre for Genetic Engineering and Biotechnology (ICGEB) and the World
Bank who were major partners in the initiative.
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xiii
We would also like to thank all the members of the international Steering Committee (SC),
established to act as an advisory board as well as to guide and oversee the process leading up
to the conference. These included individuals invited in their personal capacity because of
their expertise in one or more areas of agricultural biotechnologies, as well as representatives
of relevant stakeholder groups, including UN and non-UN intergovernmental organizations,
civil society organizations, private foundations and private sector organizations. M.S.
Swaminathan, from the M S Swaminathan Research Foundation in India, is also thanked for
kindly accepting to serve as the Honorary Chair of the SC.
The contributions of all the FAO colleagues who made organization of such an
international conference possible are gratefully acknowledged, including those who
assisted with the ABDC-10 website, webstreaming of the conference, media issues and
press releases, translation of conference documents, sending out official invitations to FAO
Member States, IGOs and international NGOs and with numerous other tasks. Central
to the whole process was the FAO Interdepartmental Working Group on Biotechnology
(IDWGB) whose members provided the overall technical expertise and logistical advice and
support necessary for the organization of this cross-sectoral initiative. Special appreciation
is expressed to its Chair, Shivaji Pandey, for his tireless support and total dedication to the
initiative. The former Chair of the IDWGB, James Dargie, is also especially thanked for
his many contributions to the conference and these proceedings.
The commitment and hard work of the ABDC-10 Secretariat are also gratefully
acknowledged. The Secretariat consisted of Andrea Sonnino (IDWGB Secretary) who,
inter alia, coordinated preparation of these proceedings and John Ruane and Preetmoninder
Lidder, who, in addition to other tasks, commented on numerous drafts of all the FAO
background documents. The Secretariat also consisted of Germana Borsetta, Charlotte
Lietaer, Adriana Pierconti and Sandra Tardioli, whose assistance with the innumerable
logistical issues regarding the conference and travel was invaluable.
The convening of ABDC-10 would also not have been possible without the generous
supplementary financial support provided by a number of organizations, whose contributions
are gratefully acknowledged. The majority of the funding came from FAO and IFAD.
The remainder came from the United States Mission to the UN Agencies in Rome, the
Government of Mexico, GFAR, the Iowa State University Biosafety Institute and the Japan
International Cooperation Agency. The ICGEB, International Union for Conservation of
Nature (IUCN), United Nations Industrial development Organization (UNIDO) and World
Intellectual Property Organization (WIPO) also funded participation of all the panellists
for the parallel sessions that they organized and a number of other organizations funded
participation of some of the panellists for their parallel sessions.
xiv B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
These proceedings were edited by James Dargie (former Chair of the IDWGB) and
John Ruane, IDWGB. Contributions to the individual Chapters are now acknowledged.
Seven technical documents were prepared under the responsibility of FAO for presentation
at ABDC-10. Five were sector-specific and are provided here in Chapters 1-5. One dealt with
policy options for agricultural biotechnologies and was organized in three main Sections.
For these proceedings, the Sections are presented in Chapters 7-9. The seventh document,
which builds upon and integrates/synthesizes information from these six documents, is
provided in Chapter 10.
For each of the FAO documents, there was an FAO focal point, a lead consultant and a
working group (consisting of volunteers from the SC) to which the documents were circulated
for comments. The seventh document was circulated to the entire SC for comments. The
FAO focal point was responsible, with assistance from the lead consultant and the ABDC-
10 Secretariat, for circulating the document to the working group and members of the
IDWGB and, after receiving their comments, for finalizing the document. Here we gratefully
acknowledge the contributors to these Chapters.
For the Chapter on crops (nr. 1), the FAO Focal Point was Andrea Sonnino (ABDC-10
Secretariat) and the lead consultant was Denis Murphy (University of Glamorgan, United
Kingdom). Comments from the following SC members are gratefully acknowledged: Denise
Dewar (CropLife International, United States); Dominic Glover (Wageningen University, the
Netherlands); Kathleen Jones (Food and Drug Administration, United States); Pat Mooney
(ETC Group, Canada); Olivier Sanvido (Agroscope Reckenholz Tnikon Research Station,
Switzerland); and Roberto Tuberosa (University of Bologna, Italy). Comments from the
following FAO colleagues are gratefully acknowledged: Karin Nichterlein and John Preissing
(both from the Office of Knowledge Exchange, Research and Extension); Kakoli Ghosh, Elcio
Guimares, Philippe Le Coente, Annie Monard, Tom Osborn and Shivaji Pandey (all from
the Plant Production and Protection Division); and Erik Busch-Petersen, Qu Liang, Chikelu
Mba and Minh-Long Nguyen (all from the Joint FAO/IAEA Division, Austria).
For the Chapter on forestry (nr. 2), the FAO Focal Point was Oudara Souvannavong (Forest
Conservation Service) and the lead consultants were Daniel Baskaran Krishnapillay (Pulau Banding
Foundation, Malaysia) and Claire Williams (Silver Springs LLC, United States). Comments
from the following SC members are gratefully acknowledged: Rowland Burdon (New Zealand
Forest Research Institute Ltd, New Zealand) and E.M. Muralidharan (Kerala Forest Research
Institute, India). Comments from the following FAO colleagues are gratefully acknowledged:
Zohra Bennadji (visiting scientist from the Instituto Nacional de Investigacin Agrupecuaria,
Uruguay), Nuria Alba Montfort (visiting scientist from the Instituto Nacional de Investigacin
y Tecnologa Agraria y Alimentaria, Spain) and J.A. Prado (Forest Management Division).
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xv
For the Chapter on livestock (nr. 3), the FAO Focal Point was Paul Boettcher
(Animal Production and Health Division) and the lead consultant was Harinder Makkar
(University of Hohenheim, Germany). Comments from the following SC members
are gratefully acknowledged: James Dargie (former Chair of the IDWGB), Elisabeth
Erlacher-Vindel (World Organisation for Animal Health, France), Kathleen Jones (Food
and Drug Administration, United States), Arthur da Silva Mariante (Brazilian Agricultural
Research Corporation, Brazil) and Catherine Monagle (United Nations University
Institute of Advanced Studies, Japan). Comments from the following FAO colleagues
are gratefully acknowledged: Samuel Jutzi and Irene Hoffmann (both from the Animal
Production and Health Division) and Adama Diallo, Mario Garcia-Podesta, Kathrin
Schaten, Hermann Unger and Gerrit Viljoen (all from the Joint FAO/IAEA Division,
Austria). Appreciation is expressed to the following people who contributed to the
case studies in the Chapter: P.S. Brar and A.S. Nanda (Guru Angad Dev Veterinary and
Animal Sciences University, India), John Crowther (Joint FAO/IAEA Division, Austria),
Jos Fernando Garcia (So Paulo State University, Brazil), Mohammed Shamsuddin
(Bangladesh Agricultural University, Bangladesh) and Chanda Nimbkar (Nimbkar
Agricultural Research Institute, India).
For the Chapter on aquaculture and fisheries (nr. 4), the FAO Focal Points were
Rohana Subasinghe and Doris Soto (both from the Fisheries and Aquaculture Management
Division). Lead consultant was Victor Martinez (Universidad de Chile, Chile). Comments
from the following SC members are gratefully acknowledged: John Benzie (University
College Cork, Ireland) and C.V. Mohan (Network of Aquaculture Centres in Asia-
Pacific, Thailand).
For the Chapter on food processing and food safety (nr. 5), the FAO Focal Points were
Rosa Rolle (Regional Office for Asia and the Pacific), who coordinated parts relevant to
biotechnology applications in food processing, and Masami Takeuchi (Nutrition and Consumer
Protection Division), who coordinated parts relevant to biotechnology applications in food
safety. Lead consultants were Olusola Oyewole (University of Agriculture, Abeokuta, Nigeria)
and Ruud Valyasevi (National Center for Genetic Engineering and Biotechnology, Thailand).
Comments from the following SC members are gratefully acknowledged: Kathleen Jones
(Food and Drug Administration, United States), Marci Levine (International Life Sciences
Institute, United States), Haruko Okusu (CGIAR Independent Science and Partnership
Council, Italy), Masashi Kusukawa (Codex Alimentarius Commission, Italy) and Jrgen
Schlundt (World Health Organization, Switzerland). Comments from the following FAO
colleagues are gratefully acknowledged: Maria de Lourdes Costarrica, Sridhar Dharmapuri
and Annika Wennberg (all from the Nutrition and Consumer Protection Division) and
Adama Diallo (Joint FAO/IAEA Division, Austria).
xvi B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
For the Chapter (nr. 6) on the e-mail conference held as part of the build up to ABDC-10,
the Background document to the e-mail conference (Part 6.2) was prepared by John Ruane
and Andrea Sonnino (both from the IDWGB). Comments from the following external
referees are gratefully acknowledged: Harinder Makkar (University of Hohenheim,
Germany); Victor Martinez (Universidad de Chile, Chile); Denis Murphy (University
of Glamorgan, United Kingdom) and Rajeev Varshney (International Crops Research
Institute for the Semi-Arid Tropics, India). Comments from the following FAO colleagues
are gratefully acknowledged: Zohra Bennadji (visiting scientist from the Instituto Nacional
de Investigacin Agrupecuaria, Uruguay), Nuria Alba Montfort (visiting scientist from
the Instituto Nacional de Investigacin y Tecnologa Agraria y Alimentaria, Spain) and
Preetmoninder Lidder (IDWGB). The Summary Document to the conference (Part 6.3)
was prepared by John Ruane, and grateful appreciation is expressed to Harinder Makkar
(University of Hohenheim, Germany) who provided the first draft of this document. Special
thanks are extended to the 834 people who subscribed to the conference, in particular to the
83 people living in 36 different countries who contributed the 121 messages that were posted.
For Chapters 7-9, focusing on policy options (covering respectively targeting agricultural
biotechnologies to the poor; enabling R&D for agricultural biotechnologies; and ensuring
access to the benefits of R&D), the FAO Focal Point was John Ruane (IDWGB) and lead
consultant was James Dargie (former Chair of the IDWGB). Comments from the following
SC members are gratefully acknowledged: Bertrand Dagallier (Organisation for Economic
Co-operation and Development, France); Denise Dewar (CropLife International, United
States); Dominic Glover (Wageningen University, the Netherlands); Sharon Bomer Lauritsen
(Biotechnology Industry Organization, United States); Susan Owens (Department of
Agriculture, United States); Decio Ripandelli (ICGEB, Italy); Olivier Sanvido (Agroscope
Reckenholz Tnikon Research Station, Switzerland); and Rajeev Varshney (International
Crops Research Institute for the Semi-Arid Tropics, India). Comments from the following
FAO colleagues are gratefully acknowledged: John Preissing (Office of Knowledge Exchange,
Research and Extension); Dennis Bittisnich, Sridhar Dharmapuri and Masami Takeuchi
(all from the Nutrition and Consumer Protection Division); and Nuria Urquia (Plant
Production and Protection Division). Appreciation is expressed to M. Karembu and D.
Wafula (both ISAAA AfriCenter, Kenya) for information concerning biotechnology policies
in African countries and to N. Beintema (International Food Policy Research Institute,
Italy) for providing the information on agricultural science and technology investments
used in Chapter 8.
For the final FAO background document (Chapter 10) which built upon and
integrated/synthesized information from the previous documents, the FAO Focal Point
was Andrea Sonnino (ABDC-10 Secretariat) and the lead consultant was Charles Spillane
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xvii
(National University of Ireland, Galway, Ireland). Comments from the following SC members
are gratefully acknowledged: James Dargie (former Chair of the IDWGB); Denise Dewar
(CropLife International, United States); Kathleen Jones (Food and Drug Administration,
United States); Harinder Makkar (University of Hohenheim, Germany); E.M. Muralidharan
(Kerala Forest Research Institute, India); Denis Murphy (University of Glamorgan, United
Kingdom); Susan Owens (Department of Agriculture, United States); and Olivier Sanvido
(Agroscope Reckenholz Tnikon Research Station, Switzerland). Comments from the
following colleagues in FAO Headquarters are gratefully acknowledged: Christine Deane
(CGIAR Independent Science and Partnership Council), Eva Hain (Commission on Genetic
Resources for Food and Agriculture), May Hani (Office of Knowledge Exchange, Research
and Extension) and Shivaji Pandey (Chair of the IDWGB).
Regarding the outcomes of ABDC-10, we wish firstly to express our sincere gratitude
to Jeffrey McNeely (formerly of the International Union for Conservation of Nature
(IUCN), Switzerland) who chaired the Conference, as well as to Fernando Gmez Merino
(Colegio de Postgraduados Campus Crdoba, Mexico) who was the Rapporteur and
Richard Laing (FAO consultant, Canada) for assistance in drafting the report (Chapter
15) that was adopted by the FAO member countries on the final day of the Conference.
We also gratefully acknowledge the vice-chairs of the meeting: Marilia Nutti (Brazilian
Agricultural Research Cooperation, Brazil) and Priyanjalie Wijegoonawardane (National
Aquatic Resources Research Development Agency, Sri Lanka).
Opening remarks were kindly presented on the first day by Alvaro Garca Chvez,
Secretario de Desarrollo Rural del Gobierno del Estado de Jalisco; Modibo Traor, FAO
Assistant Director-General, Agriculture and Consumer Protection Department; and Mariano
Ruiz-Funes Macedo, Subsecretario de Agricultura, SAGARPA. Closing statements on the
final day were kindly given by Modibo Traor; Victor M. Villalobos, Director General,
Inter-American Institute for Cooperation on Agriculture; and Salvador Fernndez Rivera,
Coordinador de Investigacin, INIFAP. Presentations to the Plenary by Rodney Cooke,
Director of the Operational Policy and Technical Advisory Division, IFAD; Thomas
Lumpkin, Director General of the International Maize and Wheat Improvement Center,
on behalf of the CGIAR; and Shakeel Bhatti, Secretary of the International Treaty on Plant
Genetic Resources for Food and Agriculture, are also gratefully acknowledged.
The preparation of Chapters 11, 12 and 13, providing the outcomes of sector-specific,
cross-sectoral and regional parallel sessions respectively, would not have been possible
without the organizational, technical and presentational skills of the many panel members,
facilitators and rapporteurs named in these Chapters, and their contributions are gratefully
acknowledged. We would also like to thank all the people who participated actively in
xviii B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
the session discussions, assisted in report writing and who helped to develop and plan the
session programmes. FAO is truly grateful to all of the people who contributed in so many
ways to these 27 sessions.
The ten sector-specific sessions described in Chapter 11 were organized by FAO
and the many members of the IDWGB who contributed to make these a success are
gratefully acknowledged.
For most of the cross-sectoral and regional parallel sessions described in Chapters 12
and 13, FAO invited relevant IGOs and NGOs to organize them and the programme for
the sessions was then developed by the organizers, with guidance from FAO. We would
like to express here our gratitude to the organizations involved and the people working
there who were the main contacts with FAO and who contributed behind the scenes to
planning and organizing the sessions.
The three sessions on genomic resources, genomic applications and genetic resources
respectively (Parts 12.2.1 to 12.2.3) were organized by the CGIAR and the main focal points
were John McDermott (International Livestock Research Institute, Kenya), Dave Hoisington
(International Crops Research Institute for the Semi-Arid Tropics, India) and Jean-Marcel
Ribaut (Generation Challenge Programme, Mexico). The sessions on the role of the farmer
and on public-private partnerships (Parts 12.2.4 and 12.2.7 respectively) were organized
by FAO with support from the International Federation of Agricultural Producers (IFAP)
and the main focal points were Nora Ourabah and David King (both from IFAP, France).
The session on ensuring equitable access to technology (Part 12.2.5) was organized by Oxfam
International and the main focal point was Gigi Manicad (Oxfam Novib, the Netherlands). The
session on public participation (Part 12.2.6) was organized by IUCN and the main focal point
was Keith Wheeler (IUCN Commission on Education and Communication, United States).
The session on biosafety in the context of biosecurity (Part 12.2.8) was organized by the FAO
Nutrition and Consumer Protection Division, and the main focal points were Ezzeddine Boutrif
and Masami Takeuchi (both from this Division, Italy).
The session on intellectual property rights (Part 12.2.9) was organized by the World Intellectual
Property Organization (WIPO) and the main focal point was Anja von der Ropp (WIPO,
Switzerland). The session on biotechnology policy coherence at the regional level (Part 12.2.10)
was organized by the United Nations Conference on Trade and Development (UNCTAD)
and the main focal points were Angel Gonzalez Sanz and Constantine Bartel (both UNCTAD,
Switzerland). The session on non-food uses of plants (Part 12.2.11) was organized by the United
Nations Industrial Development Organization (UNIDO) and the main focal points were Magnus
Bosse and George Tzotzos (both UNIDO, Austria). The session on capacity building (Part 12.2.12)
was organized by the ICGEB and the main focal point was Decio Ripandelli (ICGEB, Italy).
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xix
Regarding the five regional parallel sessions, the session for Latin America and the
Caribbean (Part 13.2.1) was organized by the Inter-American Institute for Cooperation
on Agriculture (IICA), the International REDBIO Foundation (FRI) and the Technical
Cooperation Network on Agricultural Biotechnology in Latin America and the Caribbean
(REDBIO), and the main focal points were Ramn Lastra (IICA, Costa Rica), Alicia
Diamante (FRI, Argentina) and Juan Izquierdo (FAO Regional Office for Latin America
and the Caribbean, Chile).
The West Asia and North Africa session (Part 13.2.2) was organized by the Association
of Agricultural Research Institutions in Near East and North Africa (AARINENA), and
the main focal point was Ibrahim Hamdan (AARINENA, Jordan). The Sub-Saharan Africa
session (Part 13.2.3) was organized by the Forum for Agricultural Research in Africa (FARA)
and the main focal points were Monty Jones and Walter Alhassan (both FARA, Ghana).
The Asia-Pacific session (Part 13.2.4) was organized by the Asia-Pacific Association of
Agricultural Research Institutions (APAARI) and the main focal points were Raj Paroda
(APAARI, Thailand) and Jawahir Karihaloo (APAARI, India). The Europe and Central
Asia session (Part 13.2.5) was organized by the FAO Regional Office for Europe and
Central Asia (REU) and the main focal point was Nevena Alexandrova (REU, Hungary).
xx B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
ABBREVIATIONS AND ACRONYMS
AARINENA Association of Agricultural Research Institutions in the Near East and North Africa
AATF African Agricultural Technology Foundation
ABDC-10 FAO international technical conference on Agricultural Biotechnologies in Developing Countries
ACIAR Australian Centre for International Agricultural Research
AFLP Amplified fragment length polymorphism
AGORA Access to the Global Online Research in Agriculture
AI Artificial insemination
AIA Advance informed agreement
APAARI Asia-Pacific Association of Agricultural Research Institutions
ARC Agricultural Research Council (South Africa)
ARS Agricultural Research Service (USDA)
ASARECA Association for Strengthening Agricultural Research in Eastern and Central Africa
ASEAN Association of Southeast Asian Nations
AVRDC Asian Vegetable Research and Development Center
AW-IPM Area-wide integrated pest management
BCH Biosafety Clearing House
BecA Biosciences eastern and central Africa
BFA Biotechnologies in food and agriculture
BMP Better management practice
BRAC Building Resources Across Communities (an NGO in Bangladesh)
Bt Bacillus thuringiensis
CARICOM Caribbean Community and Common Market
CBD Convention on Biological Diversity
CBOL Consortium for the Barcode of Life
cDNA Complementary DNA
CGIAR Consultative Group on International Agricultural Research
cGRASP Consortium for genomics research on all salmon project
CIAT International Centre for Tropical Agriculture
CIMMYT International Maize and Wheat Improvement Center
CIP International Potato Center
CIRAD Centre de Coopration Internationale en Recherche Agronomique pour le Dveloppement
CMVD Cassava mosaic virus disease
COMESA Common Market for Eastern and Southern Africa
CPB Cartagena Protocol on Biosafety
CSF Classical swine fever
CSO Civil society organization
DADF Department of Animal Husbandry, Dairying and Fisheries (India)
DBT Department of Biotechnology (India)
DFID Department for International Development (United Kingdom)
DIVA vaccine Vaccine that differentiates infected from vaccinated animals
ELISA Enzyme-linked immunosorbent assay
EM Ectomycorrhizae
EMBL European Molecular Biology Laboratory
EMBRAPA Brazilian Agricultural Research Corporation
EST Expressed sequence tag
ET Embryo transfer
EU European Union
FAO Food and Agriculture Organization of the United Nations
FARA Forum for Agricultural Research in Africa
FDA U.S. Food and Drug Administration
FMD Foot-and-mouth disease
FPR Farmer participatory research
FTAI Fixed-timed artificial insemination
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xxi
FTO Freedom to operate
GC Gas chromatography
GDP Gross domestic product
GEF Global Environment Facility
GFAR Global Forum on Agricultural Research
GHP Good hygienic practice
GIS Geographic information systems
GMM Genetically modified micro-organism
GM(O) Genetically modified (organism)
GMP Good manufacturing practice
GREP Global Rinderpest Eradication Programme
GRFA Genetic resources for food and agriculture
GURTs Genetic use restriction technologies
HACCP Hazard analysis and critical control point
HPAI Highly pathogenic avian influenza
HPLC High performance liquid chromatography
IAASTD International Assessment of Agricultural Knowledge, Science and Technology for Development
IAEA International Atomic Energy Agency
IAH Institute for Animal Health (United Kingdom)
ICAR Indian Council of Agricultural Research
ICARDA International Center for Agricultural Research in the Dry Areas
ICGEB International Centre for Genetic Engineering and Biotechnology
ICRISAT International Crops Research Institute for the Semi-Arid Tropics
IDB Inter-American Development Bank
IDWGB FAO Interdepartmental Working Group on Biotechnology
IFAD International Fund for Agricultural Development
IFPRI International Food Policy Research Institute
IHHNV Infectious hypodermic and haematopoeitic necrosis virus
IICA Inter-American Institute for Cooperation on Agriculture
IITA International Institute of Tropical Agriculture
ILRI International Livestock Research Institute
INIFAP Instituto Nacional de Investigaciones Forestales, Agrcolas y Pecuarias (Mexico)
IP Intellectual property
IPGRI International Plant Genetic Resources Institute (now called Bioversity International)
IPM Integrated pest management
IPNV Infectious pancreatic necrosis virus
IPPC International Plant Protection Convention
IPR Intellectual property rights
IRRI International Rice Research Institute
ISAAA International Service for the Acquisition of Agri-Biotech Applications
ISH In situ hybridization
ITPGRFA International Treaty on Plant Genetic Resources for Food and Agriculture
IUCN International Union for Conservation of Nature
IVEP In vitro embryo production
IVF In vitro fertilization
JECFA Joint FAO/WHO Expert Committee on Food Additives
KARI Kenya Agricultural Research Institute
LMO Living modified organism
MAS Marker-assisted selection
MDG Millennium Development Goal
MNC Multinational corporation
MOET Multiple ovulation and embryo transfer
MS Mass spectrometry
MSSRF M S Swaminathan Research Foundation
MSV Maize streak virus
MTA Material transfer agreement
NARI Nimbkar Agricultural Research Institute (India)
NARS National agricultural research systems
xxii B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t
NBS National biotechnology policy/strategy
NCBI National Center for Biotechnology Information (United States)
N e Effective population size
NEPAD New Partnership for Africas Development
NERICA New Rice for Africa
NGO Non-governmental organization
NWS New World screwworm
OECD Organisation for Economic Co-operation and Development
OIE World Organisation for Animal Health
OWS Old World screwworm
PBR Plant breeders rights
PCR Polymerase chain reaction
PPB Participatory plant breeding
PPP Public-private partnership
PPR Peste des petits ruminants
PVP Plant variety protection
qPCR Quantitative PCR (also known as real-time PCR)
QTL Quantitative trait locus
R&D Research and development
RAPD Random amplified polymorphic DNA
rBST Recombinant bovine somatotropin
REDBIO Technical Cooperation Network on Agricultural Biotechnology in Latin America and the Caribbean
REDD Reducing emissions from deforestation and forest degradation
RFLP Restriction fragment length polymorphism
RT-PCR Reverse transcriptase PCR
S&T Science and technology
SAGARPA Secretara de Agricultura, Ganadera, Desarrollo Rural, Pesca y Alimentacin (Mexico)
SAGPyA Secretara de Agricultura, Ganadera, Pesca y Alimentos (Argentina)
SC Steering Committee (of ABDC-10)
SCNT Somatic cell nuclear transfer
SE Somatic embryogenesis
SIT Sterile insect technique
SME Small and medium enterprise
SNP Single nucleotide polymorphism
SPF Specific pathogen-free
SPS Agreement WTO Agreement on the Application of Sanitary and Phytosanitary Measures
SWOT Strengths, weaknesses, opportunities and threats
TILLING Targeting induced local lesions in genomes
TLC Thin layer chromatography
TRIPs Agreement WTO Agreement on Trade-Related Aspects of Intellectual Property Rights
TSV Taura syndrome virus
TTO Technology transfer office
TWAS Academy of Sciences for the Developing World
UNCTAD United Nations Conference on Trade and Development
UNDAF United Nations Development Assistance Framework
UNECE United Nations Economic Commission for Europe
UNEP United Nations Environment Programme
UNESCO United Nations Educational, Scientific and Cultural Organization
UNIDO United Nations Industrial Development Organization
UPOV International Union for the Protection of New Varieties of Plants
USDA United States Department of Agriculture
VAM Vesicular-arbuscular mycorrhizae
VITAA Vitamin A for Africa
WHO World Health Organization
WIPO World Intellectual Property Organization
WSSV White spot syndrome virus
WTO World Trade Organization
YHV Yellow head virus
B i ot e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo p m e n t xxiii
SECTION 1
Background
to ABDC-10
Chapter 1
Current Status and Options for Crop Biotechnologies in
Developing Countries
Chapter 2
Current Status and Options for Forest Biotechnologies in
Chapter 3
Current Status and Options for Livestock Biotechnologies
Chapter 4
Current Status and Options for Biotechnologies in
Aquaculture and Fisheries in Developing Countries
Chapter 5
Current Status and Options for Biotechnologies in Food
Processing and in Food Safety in Developing Countries
Chapter 6
Learning from the Past: Successes and Failures with
Agricultural Biotechnologies in Developing Countries over
the Last 20 Years - An E-Mail Conference
Chapter 7
Targeting Agricultural Biotechnologies to the Poor
Chapter 8
Enabling R&D for Agricultural Biotechnologies
Chapter 9
Ensuring Access to the Benefits of R&D
Chapter 10
Agricultural Biotechnologies for Food Security and
Sustainable Development: Options for Developing Countries
and Priorities for Action for the International Community
1
1
chapter
Current Status and Options for

Crop Biotechnologies
Summary
In developing countries, there is a need for continued focus on optimizing agricultural

output in conjunction with conserving the natural resources base via improved crops
and crop management systems. The implications of climate change make it necessary to
integrate considerations regarding adaptation, uncertainty, vulnerability and resilience into
agricultural research programmes and strategies. The various biotechnologies available have
the potential to play a significant role in achieving these aims.
Crop biotechnologies have developed incrementally over the past century, but progress
has accelerated greatly over the last two decades leading to many important scientific
achievements and impressive technological advances. A wide range of crop biotechnologies
is available and some are increasingly used in developing countries, especially tissue culture-
based techniques (such as micropropagation), mutagenesis, interspecific or intergeneric
hybridization, genetic modification, marker-assisted selection (MAS), disease diagnostics
and bioprotection, and biofertilization.
As with other maturing technologies, there have been mixed experiences with crop
biotechnologies in developing countries. Genetic modification has had limited but real success
in modifying a few simple input traits in a small number of commercial commodity crops,
adopted also in some developing countries. The wider application of genetic modification
has been slowed down by severe limitations on the kinds of traits available, complex
intellectual property rights regimes and regulatory issues, and the often negative public
perception. While there have been significant successes in the adoption by farmers of a few
first-generation transgenic varieties, there have also been unexpected market setbacks as
farmers sought to avoid high seed costs and other restrictions.
2 B i o t e c h n o lo g i e s f o r A g r i c u lt u r a l D e v e lo pm e n t SECTION 1: BACKGROUN D TO
The major breeding and crop management applications to date have come from non-
transgenic biotechnologies encompassing the full range of agronomic traits and practices
relevant to developing countries farmers. For example, mutagenesis is widely used in
developing countries and more than 2700 mutation-derived crop varieties have been
obtained worldwide in the last sixty years, mainly in developing countries. Interspecific
hybridization allows the combination of favourable traits from different species and has been
used successfully in, for instance, the development of interspecific disease-resistant Asian
rice and New Rice for Africa (NERICA) varieties. However, interspecific hybridization
programmes can be slow and require a great deal of scientific expertise and skilled labour.
MAS is still at a relatively early stage in its application for key subsistence crops in many
developing countries, although it has begun to produce some significant results such as the
development of a pearl millet hybrid with resistance to downy mildew disease in India. The
costs and technical sophistication required for MAS, however, remain major challenges for
developing countries. Micropropagation is used for the mass clonal propagation of elite
lines or disease-free planting material. Many developing countries have significant crop
micropropagation programmes and are applying it to a wide range of subsistence crops.
Biotechnology also offers important tools for the diagnosis of plant diseases of both viral
and bacterial origin, and immuno-diagnostic techniques as well as DNA-based methods
are commercially applied for this purpose in many developing countries. Biofertilizers are
also being used in developing countries both to augment the nutritional status of crops and
as alternatives to chemical supplements.
Biotechnologies such as cryopreservation, artificial seed production, somatic embryogenesis,
and other forms of in vitro cell or tissue culture are also extensively used for the conservation
of genetic resources for food and agriculture in developing countries.
The uptake of biotechnologies in developing countries is increasing gradually but
remains patchy. Many biotechnological advances were made in industrialized countries
in the private sector, leading to development of proprietary technologies that are often
unavailable to scientists in developing countries. Farmers in developing countries, especially
small farmers, cultivate crops and face problems that are particular to their cultural and
environmental conditions, and have often limited purchasing power to access proprietary
technologies. The spillover of research results obtained in industrialized countries by the
private sector has therefore had only a limited impact on the livelihoods of subsistence
farmers in developing countries. In fact, the most enduring successes to date have come from
indigenous public-sector crop research programmes addressing farmer-relevant problems.
Even when there has been strong development of biotechnologies within the public sector
in developing countries, they have not always been directed towards or made available for
improving smallholder livelihoods. In fact, an inclusive process of decision-making about
chapte r 1 Current Status and Options for Crop Biotechnologies in Developing Countries 3
the allocation of resources for the development of appropriate crop biotechnologies was
rarely adopted, undermining the successful development of crop biotechnologies. In some
cases, even though the technology was sound and the products were potentially beneficial
to farmers, there was limited or no adoption due to often-predictable infrastructure or
market deficiencies. A promising approach to address such problems is farmer participatory
research but this must be coupled with measures to address a wide range of cross-sectoral
issues from extension services to seed multiplication programmes.
Biotechnology programmes have been effective where they complemented well-structured
conventional plant breeding and agronomy research and development (R&D) programmes.
Key factors in the successful development of crop biotechnologies in developing countries
have been: appropriate policy development, strengthened research and extension institutions,
and enhanced capacities for researchers and technicians. The establishment of cross-sectoral
regulatory measures has also been important.
1.1 Introduction
Despite great advances in agricultural productivity and economic well-being in much of
the world over the past 50 years, food insecurity and poverty continue to be serious issues
in many regions (FAO, 2008a; 2009a). Moreover, in 2008, the world entered a period of
deepening uncertainty and economic downturn that impacted significantly on the future
security of food production and distribution systems (Nellemann et al., 2009). The current
economic downturn plus the effects of climate change both reinforce the need to extend
the effectiveness of crop improvement and management programmes. The key role of
crop improvement in increasing food production and in minimizing agricultural land use
in developing countries is shown by estimates that, in the 1990s alone, yield gains saved
about 80 Mha (million hectares) of land (Nelson and Maredia, 2007). However, if current
food production per capita is to be maintained in the face of population growth and climatic
uncertainty, 120 Mha (or 12 percent) of additional land might be needed by 2050, mainly
in sub-Saharan Africa and Latin America (FAO, 2009b).
Clearly, in developing countries there is a need for continued focus on optimizing
agricultural output, together with preserving the natural resources base through improved
crops and management systems. The various biotechnologies available will play a part in
this process, but there are difficult choices to be made concerning which methods to use
for a particular crop or trait in a particular country or region. So, what are the best options
for using biotechnological approaches to address global food security? There is no simple
one-size-fits-all answer to this question. In many developing countries, staple crops have
only recently started to benefit from the scientific plant breeding methods practised in
industrialized countries for almost a century. In other cases, some developing country crops
are already being improved using newer technologies such as MAS and genetic modification.
Thus, there is no straightforward recipe for the use of a particular group of breeding or
management methods for a particular crop or within a particular region. Moreover, the
rapid pace of scientific progress is making some hitherto relatively complex and expensive
technologies both cheaper and easier to access, even for some of the relatively resource-
limited breeding and management programmes involving subsistence crops.
Several removable constraints still impede the uptake of modern crop breeding and
management by developing countries. These include the privatization of agricultural R&D
in developed countries which restricts access to proprietary technologies and limits the
possibility of capturing research spillovers (IAASTD, 2009). While constraints relating
to intellectual property rights (IPR) are relatively new and apply mainly to advanced
biotechnologies, financial, institutional, socio-economical and political barriers have been
concerns for many decades. They include basic measures, such as seed supply, bank loans,
transport links and market regulations, and their combined effects can negate even the
most impressive technology gains (King and Byerlee, 1978; Limao and Venables, 2001).
For example, inadequate market infrastructure has limited fertilizer adoption by African
smallholders, leading to persistently poor crop yields, low profitability, and chronic food
insecurity (Nkonya et al., 2005).
The purpose of this Chapter is to examine options from crop biotechnologies to address
food insecurity in developing countries, particularly in the context of deepening economic
and environmental uncertainty. Its primary focus is on sector-specific issues relating to
biotechnology and their impact on crop breeding, management and genetic resources, but
it also considers relevant cross-sectoral aspects such as socio-economic, regulatory, and
public-good concerns.
The Chapter is divided into two main Sections Stocktaking: Learning from the Past
and Looking Forward: Preparing for the Future. Under Stocktaking, Part 1.2 provides
a brief definition of the biotechnologies covered here; Part 1.3 documents the current status
of application of crop biotechnologies, both traditional and new, in developing countries;
Part 1.4 provides an analysis of the reasons for successes/failures of application of crop
biotechnologies in developing countries; and Part 1.5 presents some relevant case studies.
The conclusions of the stocktaking exercise and a summary of lessons learned are presented
in Part 1.6. The Looking forward Section comprises three parts. Part 1.7 deals with key,
unsolved problems in the sector where the use of biotechnologies could be useful. Part
1.8 identifies a number of specific options to assist developing countries make informed
decisions regarding adoption of biotechnologies, while Part 1.9 proposes a set of priorities
for action for the international community (FAO, UN organizations, non-governmental
organizations [NGOs], donors and development agencies).
A. Stocktaking: Learning from the Past
1.2 Defining Biotechnologies
One of the challenges in discussing biotechnology is the lack of a consistent definition

of the term itself. In this document, the following definition from the Convention on
Biological Diversity (CBD) is used: any technological application that uses biological
systems, living organisms, or derivatives thereof, to make or modify products or processes
for specific use.
A distinction is sometimes made between traditional and modern biotechnologies,
and while this may be valid in areas such as fermentation, it is less useful in the field of
crop improvement and management. Scientific plant breeding has developed incrementally
over the past century by harnessing advances in plant biology, supplemented at times by
traditional empirical knowledge (lore), and informed by the principles of Mendelian, and
later molecular, genetics. The impact of such biological approaches has been greatly extended
by the deployment of a series of increasingly sophisticated biotechnologies, ranging from
induced mutagenesis and tissue culture to robotized and fully automated trait selection
based on molecular analyses. As described below, some older biotechnologies such as
induced mutagenesis and wide crosses which originally dated from the 1920s have now
been updated to new and more powerful forms. In the 21st century, biotechnologies are
so pervasive in crop improvement programmes worldwide that it is no longer useful to
delimit categories like conventional and modern when discussing crop breeding or
management (OECD, 2009). Though a sharp category distinction between non-transgenic
and transgenic approaches might be somewhat contrived in breeding terms, and may not
be recognized by all crop scientists, such a distinction is nevertheless quite real in terms of
legislation and the perception of many policy-makers and consumers.
1.3 Crop Biotechnologies and their Current Status in

Plant biotechnology is a rapidly evolving area encompassing basic and strategic research
and its application in agriculture. While new methods and approaches are constantly being
developed, an equally important feature is the improvement of existing biotechnologies that
makes them cheaper and easier to use. This is especially relevant to developing countries
where hitherto expensive and complex techniques, such as MAS or transgenesis, are becoming
increasingly accessible. In this Chapter, the technologies are divided into three groups that
reflect the three stages of crop development, namely: (i) creation of new genetic variation;
(ii) screening and selection of favourable variants; and (iii) production/management systems
for crops or their derivatives. The last category includes plant propagation, nutrition,
protection, and genetic resource management/conservation.
For the past 10000 years, crop productivity has been improved via the processes of
breeding and management. Breeding involves the selection by humans of certain genetic
variants of a few chosen plant species according to their suitability for exploitation, whether
as edible or non-edible resources. The two key prerequisites to both breeding and evolution
are variation and selection. Novel genetic variations in wild populations arise from a relatively
slow process of naturally-occurring mutation, plus the mixing of genomes that occurs with
sexual reproduction. In contrast, science-based breeding as practised over the past century
is based on the creation of genetic variation via processes such as induced mutagenesis,
hybridization, controlled introgression of traits from diverse populations of the same or
different species, and transgenesis. This is followed by the highly regulated reproduction
or propagation of selected variants designed to minimize variation in favoured progeny
and hence to create a relatively uniform population that is then managed (i.e. cultivated,
harvested and processed) for human exploitation.
While so-called traditional methods of enhancing variation, e.g. the use of crop landraces,
still have great and often untapped potential, the use of newer biotechnologies to create
even wider genetic diversity has given breeders unprecedented opportunities for additional
crop improvement. This greatly increased potential to create additional genetic variation has
been matched in recent years by a revolution in the screening, identification and selection of
potentially useful variants using methods such as biochemical and genomic screening, plus
molecular MAS. Thanks to continued advances in basic plant research and in genomic and
related technologies, there is great scope for further progress in plant breeding, especially in
developing countries, during the coming years (Jauhar, 2007; Moose and Mumm, 2008). The
major impacts of biotechnologies relate both to breeding new crop varieties and to areas of
crop cultivation and management such as the production of propagation materials especially in
vegetatively propagated crops (FAO, 2009c); aspects of plant nutrition such as the production
and use of biofertilizers (Odame, 2002; FAO, 2005a); the use of symbiotic nitrogen-fixing
bacteria and mycorrhizal fungi (Kohler et al., 2008; FAO, 2009c; Yang, Kloepper and Ryu,
2009); aspects of plant protection, including diagnostics and biopesticides (Carpenter et al.,
2002; FAO, 2005a; Pender, 2007); and, finally, the conservation and management of crop
genetic resources, both in situ and ex situ (FAO, 2006a).
Here follows a survey of crop biotechnologies, many of which were initially developed
in industrialized countries but are now being adapted and increasingly used in developing
countries where they are used mainly for commercial crops though in a few cases they
are also being applied to some subsistence crops.
1.3.1 Creation of new genetic variation
The ability of plant breeders to create new genetic variation was enormously increased in
the mid-twentieth century by the invention of tissue culture and use of growth regulators
(Thomas, Murphy and Murray, 2003). The creation of new genetic variation includes wide
crossing with the assistance of methods such as embryo rescue, asymmetric cell fusion,
nuclear implanting and somatic embryogenesis. Attempts at wide crossing between distantly
related species are frequently frustrated by the incompatibility of their genomes.
Chromosome doubling: This is one of the most important technologies for the creation
of fertile interspecific hybrids. Wide-hybrid plants are often sterile so their seeds cannot be
propagated. This is due to differences between chromosome sets inherited from genetically
divergent parental species, which prevent stable chromosome pairing during meiosis.
However, if the chromosome number is artificially doubled, the hybrid may be able to
produce functional pollen and eggs and therefore be fertile. Colchicine has been used for
chromosome doubling in plants since the 1940s and applied to more than 50 plant species,
including the most important annual crops. It has also been used to create seedless fruits and
to produce wide crosses and somatic hybrids. More recently, other chromosome doubling
agents, all of which act as inhibitors of mitotic cell division, have been used successfully in
plant breeding programmes. In some plant species, tissue culture techniques have been used
to induce chromosome doubling (Sonnino, Iwanaga and Henestroza, 1988; Cardi, Carputo
and Frusciante, 1992). As well as making much wider genetic crosses possible, chromosome
doubling has enabled the use of powerful methods such as somatic hybridization and haploid
breeding, which have been especially useful in developing countries. To date, dozens of
important crops have been improved and hundreds of new varieties produced around the
world thanks to chromosome doubling technology.
Tissue culture-based technologies

Tissue culture has been widely used for over 50 years and is now employed to improve
many of the most important developing country crops including major staples such as rice
and potato, as well as endangered native species (AboEl-Nil, 1996). A brief survey of tissue
culture based technologies now follows.
Somatic hybridization: Somatic hybridization is another way of enhancing variation in
crop species by importing genes or even whole chromosomes from other species that are
not closely enough related for normal sexual crossing (Arcioni and Pupilli, 2004). Although
similar in its aims to conventional hybridization, somatic hybridization involves a more
radical technological approach. The development of sophisticated microinjection and cell
fusion techniques in the 1960s and 1970s allowed researchers to fuse whole cells or parts of
cells to create composite cells from unrelated species. The resultant hybrid cells can either
be treated with colchicine to induce chromosome doubling, or they spontaneously double
the chromosome number during the in vitro regeneration process, hence stabilizing the new
genome. Finally, the hybrid cells are induced to divide and differentiate into new hybrid
plants. Somatic hybridization was introduced into crop breeding programmes in the early
1980s and has been attempted with several developing country crops (Murphy, 2007a).
The main technical hurdle at present is the instability of the new genome combinations
from two dissimilar species. To a great extent, somatic hybridization has been replaced over
the past decade by transgenesis, which has greater precision, fewer problems with genome
instability and a higher overall success rate. However, transgenesis is only of use when there
is a known useful gene (or genes) to be transferred. Many useful traits are controlled by
as yet unknown sets of genes and can only be transferred into a crop by adding an entire
donor genome, or at least a substantial portion thereof. In recent years, breeders have started
to return in greater numbers to explore the potential of somatic hybridization, especially
in some fruit crops. The reasons for this are threefold. First, transgenesis is not always a
quick and easy option for enhancing variation in crops. Second, tissue culture and molecular
marker techniques have improved considerably over the past decade, which has increased
the rate of success in regenerating genetically stable progeny from such hybridizations.
Third, unlike transgenesis, somatic hybridization is not regarded by regulatory authorities
as genetic modification. Therefore, varieties produced by this technology are not subject
to the same regulatory testing and approval requirements as transgenic varieties, which
has created new commercial opportunities for breeders. Although somatic hybridization
has not yet been used to a great extent for public-good purposes in developing country
crops, this often-overlooked technology has considerable potential and should be kept in
mind for the future.
Haploids and doubled haploids: Haploid plants can be produced using anther culture
which involves the in vitro culture of immature anthers (i.e. the pollen-producing structures
of the plant). As the pollen grains are haploid, the resulting pollen-derived plants are also
haploid (FAO, 2009c). Doubled haploid plants were first produced in the 1960s using
colchicine and today several treatments can be used, including thermal shock or mannitol
incubation (Kasha et al., 2001). Doubled haploids may also be produced from ovule culture.
Breeders value doubled haploid plants because they are 100 percent homozygous and
any recessive genes are therefore readily apparent. The time required after a conventional
hybridization to select pure lines carrying the required recombination of characters is
consequently drastically reduced (Smith et al., 2008). The application of this technique to
plant breeding is hindered by the investments in facilities and human resources necessary to
produce and to test large populations of doubled haploids. The need to test large numbers
of lines can add significantly to the skilled labour requirement and hence lead to increased
costs. In the developing world, a major centre of such breeding work is China, where
numerous doubled haploid crops have been released and many more are being developed
(FAO, 1995). By 2003, China was cultivating over 2 Mha of doubled haploid varieties, the
most important of which were rice, wheat, tobacco and peppers (Maluszynski et al., 2003).
Improved varieties of durum and bread wheat have also been obtained by applying anther
culture techniques in Tunisia and Morocco, respectively (FAO, 2005a).
Sterile plant varieties: Manipulations by plant breeders frequently result in sterile
varieties that cannot readily be propagated. Sometimes this is a useful trait and is deliberately
engineered by breeders, e.g. in watermelon and citrus crops where consumers demand
seedless fruits. Seed sterility is analogous to F1 or F2 hybrids or other non-propagable
plant types in its utility to commercial seed companies because the farmer cannot use
saved seed and therefore needs to repurchase it each year for replanting. One of the most
rapid and cost-effective approaches for inducing sterility in a plant is to create polyploids,
especially triploids. In most cases, triploid plants will grow and develop normally except
for their inability to set seed and therefore cannot be reproduced or propagated, except by
the company that owns the parent lines through the use of embryo culture. Alternatively,
triploid plants can be regenerated from endosperm tissue, which is naturally triploid. This
method has been used to create triploid varieties of numerous fruit crops including most
of the citrus fruits, acacias, kiwifruit (Actinidia chinensis), loquat (Eriobotrya japonica),
passionflower (Passiflora incarnata) and pawpaw (Asimina triloba) (Lee, 1988).
Mutagenesis
This involves the use of mutagenic agents such as chemicals or radiation to modify DNA and
hence create novel phenotypes (Donini and Sonnino, 1998). It includes somatic mutagenesis
whereby tissue or cell cultures may undergo useful epigenetic modifications provided the
resultant traits are stable in future generations. Induced mutagenesis has been practised
with great success in crop breeding programmes in developing countries since the 1930s
(Ahloowalia, Maluszynski and Nichterlein, 2004), but its scope and utility have recently been
greatly enhanced and extended by the new molecular-based technology of targeting induced
local lesions in genomes (TILLING, see below). An apparent limitation of mutagenesis
versus wide crossing or transgenesis methods is that breeders can manipulate only genes
already present in the genome. No new genes can be added by this method. Furthermore,
nearly all mutations result in a loss of gene function, meaning that mutagenesis is concerned
more with reducing the effects of unwanted genes than increasing the expression of desirable
genes. At first sight, this might seem like a serious limitation to the creation of useful new
agronomic traits. However, recent genomic studies reveal the surprising fact that during
the 10000-year history of agriculture, loss-of-function alleles were associated with nine
out of 19 key episodes in crop improvement and/or varietal divergence (Doebley, Gaut and
Smith, 2006; Burger, Chapman and Burke, 2008). Therefore, the past and future potency
of mutagenesis for crop improvement cannot be underestimated.
Somaclonal mutagenesis is caused by changes in DNA induced during in vitro culture
(Durrant, 1962). Somaclonal variation is normally regarded as an undesirable by-product
of the stresses imposed on a plant by subjecting it to tissue culture. These stresses include
abiotic factors, such as cold, water deficiency, or high salt concentrations; excess or dearth
of nutrients; the effects of chemical growth regulators; and infections by pathogens. The
stresses of tissue culture can result in single-gene mutations; the deletion or transposition of
larger lengths of DNA, including chromosome segments; methylation or de-methylation of
genes; and even the duplication or loss of entire chromosomes. Provided they are carefully
controlled, somaclonal changes in cultured plant cells can potentially provide a powerful new
tool to generate variation for crop breeders (Sala and Labra, 2003). Somaclonal mutagenesis
has been used to manipulate traits such as disease resistance, insect resistance, nutritional
value, drought and salt tolerance in crops ranging from sugar cane to banana.
Mutagenesis is currently one of the few biotechnologies used much more in developing
countries than elsewhere. Both radiation and chemical mutagenesis have been used for
crop improvement since the 1930s. During the 1950s, FAO began working with the
International Atomic Energy Agency (IAEA) to make irradiation technology more widely
available to developing countries in a collaboration that is now known as the Atoms for
Food global partnership (FAO and IAEA, 2008). More than 2700 mutation-derived
varieties have been obtained world-wide, generating benefits worth billions of dollars,
mainly in developing countries (Ahloowalia, Maluszynski and Nichterlein, 2004; FAO
and IAEA, 2008).
TILLING can be viewed as an updated high-tech version of mutation breeding (McCallum
et al., 2000a; 2000b). First, mutagenic agents such as alkylating agents or radiation are used
as normal to create a population of thousands of mutagenized plants. Next, the second
(or M2) generation of these mutants is screened using a semiautomated high-throughput
DNA-based method to detect mutations in genes of interest. Screening involves use of
the polymerase chain reaction (PCR) to amplify gene fragments of interest, plus rapid
identification of any mutation-induced lesions by looking for mismatches in duplexes
with non-mutagenized DNA sequences. The third step is to evaluate the phenotypes of
a limited number of selected mutant plants. TILLING is also amenable to automation
including high-throughput robotic screening systems, making it especially suitable for
large and complex polyploid genomes found in several major crops. As well as screening
mutagenized populations, TILLING can be used to screen variation in natural populations
in what has been termed EcoTILLING (Henikoff, Till and Comai, 2004).
As with other technologies, TILLING will eventually get cheaper and more accessible,
so it can be applied more readily by developing countries. However, the wider applications
of this and other new biotechnologies depend critically on how and where they have been
developed. For example, chemical/radiation mutagenesis was pioneered in the public sector
and was subsequently disseminated around the world. In contrast, other biotechnologies
such as maize F1 hybrids and transgenesis were commercialized by the private sector and,
outside the arena of globally traded commodity crops, they have spread more slowly and
less widely. In the case of TILLING, it will be important to maintain a balance between
protecting the legitimate commercial interests and research investments of the exploiting
companies while making the technology available for non-profit, public-good applications
in developing countries.
Genetic modification
This is the use of exogenous DNA or RNA sequences to create transgenic organisms that
express novel and useful traits in agriculture. It may involve the insertion of copies of
endogenously derived DNA or RNA sequences into the same species, e.g. as part of gene
amplification or RNA interference (RNAi) based manipulation of gene expression. Unlike
other methods for creating variation, there is no limit to the source of the added DNA or
RNA; this can be derived from animals, viruses, bacteria, or even from totally man-made
sequences. In transgenesis, DNA for stable, inherited transformation is normally added to
cells by biolistics or biological vectors (Slater, Scott and Fowler, 2008). In biolistics, DNA
is attached to small particles that are propelled into plant tissues. This technique is useful
because it can be applied to any plant species, but is relatively inefficient and does not always
result in the incorporation of the transgenes into the plant genome (Kikkert, Vidal and
Reisch, 2005). Alternatively, DNA can be added in a more controlled fashion by means of
vectors such as Agrobacterium tumefaciens which are able to insert DNA directly into the
genome of a plant cell (Chilton, 1988). Exogenous genes can also be delivered for transient
expression using viral vectors, which is faster but less versatile than stable transformation
(Marillonnet et al., 2005).
Despite their limitations, each of these methods of DNA transfer can sometimes be
more efficient in delivering genes into crops than the non-transgenic biotechnologies such as
induced mutations or wide crosses. Tissue culture methods have also been vital in enabling
transgenesis. Indeed, even today, more than 25 years after the first transgenic plants were
produced, the efficiency of gene transfer in many species (and especially some of the less
well studied developing country crops) is still often limited more by the capacity of a plant
species/genotype to be cultured and regenerated in vitro than by the ability to transfer
exogenous genes per se.
In some respects, transgenesis is simply a more precise form of wide crossing. The
major difference is that the transferred DNA can be derived from a multiplicity of sources.
One disadvantage of transgenesis is that for complex multigenic traits, such as drought
or salinity tolerance, the genes involved (of which there may be many) have yet to be
conclusively identified. This means that breeders currently have relatively few candidate
genes available for transfer, although the list of potential genes will continue to grow with
further advances in genomics. A further limitation for transgenesis in crop breeding is the
current IPR system, whereby several key underpinning technologies are owned by a few
commercial companies. As discussed below, this can inhibit the wider development of
transgenic crops and is a particular disincentive to their deployment in developing countries
(Murphy, 2007a). Additional limitations to the wider adoption of transgenesis include
complex and still-unresolved regulatory regimes for the release of transgenic crops plus
uncertain public responses in developing countries and/or in potential customer countries
(Stein and Rodrguez-Cerezo, 2009; Ramessar et al., 2009).
In response to the problem of restricted ownership of IPR relating to first-generation
transgenic crops, there are numerous local initiatives for developing countries to develop their
own proprietary biotechnologies, many of which emanate from public-private partnerships
(PPPs). For example, in 2009, EMBRAPA, the Brazilian agricultural research organization,
applied for final regulatory approval of transgenic herbicide-tolerant soybean varieties, as
an alternative to the Roundup Ready technology owned by Monsanto. In this PPP with
the BASF Corporation, EMBRAPA developed locally adapted soybean varieties which are
planned for release to farmers in 2011. In addition to its longstanding and successful non-
transgenic breeding programmes, the Malaysian Palm Oil Board has a number of partnership
programmes, including PPPs, where some of the objectives include the development of
transgenic oil palm varieties expressing traits such as improved oil quality and yield, and pest
resistance (Murphy, 2007b; Sambanthamurthi et al., 2009). In India, locally-bred transgenic
eggplant (Solanum melongena) varieties carrying the Bt trait i.e. containing genes derived
from the soil bacterium Bacillus thuringiensis (Bt) coding for proteins that are toxic to insect
pests are nearing the final stages of development (Choudhary and Gaur, 2009). The original
Bt hybrid stock was donated by its developer, Maharashtra Hybrid Seeds Company, to public
research institutes in India, Bangladesh, and the Philippines for use in smallholder targeted
breeding programmes in a PPP and North-South partnership (NSP) with Cornell University.
Transgenic crops were first grown on a fully commercial scale in the mid 1990s. The
first-generation transgenic crops which were grown on an estimated 125 Mha in 2008,
are almost exclusively private-sector goods developed in industrialized countries (James,
2008) and tailored to satisfy the needs of their farmers. For over a decade, large-scale
commercial transgenesis has been effectively restricted to four commodity crops (maize,
soybean, canola/rapeseed and cotton) that collectively accounted for over 99.5 percent of
transgenic crop production in 2008. These four crops expressed two transgenic trait classes,
i.e. herbicide tolerance (63 percent of genetically modified [GM] crops planted in 2008)
or insect resistance (15 percent), while 22 percent had both traits (James, 2008). Although
the very narrow range of existing transgenic crops and traits was developed by the private
sector primarily for commercial use in industrialized countries, some of them have also
been adopted by developing country farmers including many smallholders (Glover, 2007,
2008). For example, the vast majority of soybean output in South America is transgenic
and is grown on commercial farms while Bt cotton is grown by an estimated 12 million
small and resource-poor farmers in India and China (James, 2008).
One factor that should be taken into consideration with transgenic varieties is that
while their transgenic status is normally due to the presence of one or a few exogenous
genes, the background genotype is still the product of non-transgenic biotechnologies. For
example, the background genotype of Bt cotton grown in India was created by conventional
hybridization and backcrossing; and Roundup Ready soybeans grown in South America
have improved yield and quality traits thanks to decades of mutagenesis and wide-crossing
programmes. In some cases, such as soybean in Argentina and hybrid maize in South Africa,
farmers will be using these varieties not just because of their transgenic traits, but equally
(or possibly more) because the varieties also contain other useful agronomic features such
as disease resistance or heterosis that were incorporated using non-transgenic breeding
methods (Burke, 2004). In other cases, such as Bt cotton in India, the transgenic trait is
probably the primary reason for farmer interest in the varieties (Pender, 2007).
Both soybean and cotton are cash crops, and despite their higher prices, transgenic
varieties have been widely cultivated in some developing countries. In India, the price
of Bt hybrid cottonseed was initially almost triple that of non-transgenic counterparts
(Qaim, 2003), but it was nevertheless popular with farmers. However, the high prices led
to increased demand for transgenic seed that had been illicitly crossed with local Indian
varieties and was available to farmers on the black market. Illicit Bt cotton hybrids were
already being sold on the black market across significant areas of the Indian cotton belt
for several seasons before the officially approved hybrids were commercialized in 2002
(Scoones, 2005). By 2005, there were reports of black market seeds capturing over 70
percent of Bt cotton sales thanks in part to their being 1540 percent cheaper than official
varieties (Herring, 2006, 2007). Several years later, there were an estimated 200 unofficial Bt
cotton varieties, but these were losing popularity due to steep falls in seed prices for official
Bt seed (Herring, 2009). Similarly, in China, fully IPR-protected Bt cottonseed imported
from the United States initially commanded a price premium of 333 percent in 2001. By
2006, however, non-enforcement of IPR and illicit seed marketing had eroded the price
premium to virtually nil (Tripp, Louwaars and Eaton, 2007). Finally, in Argentina, Qaim
and de Janvry (2003) report that Bt cotton initially cost from upwards of four to six times
more than non-transgenic varieties, resulting in an adoption rate of only 5.4 percent. Within
a few years, black market seed was available at one third the official price and these IPR
had become virtually unenforceable in Argentina (Qaim and Traxler, 2005).
Therefore, while these examples underscore the popularity of some first generation
transgenic crops in developing countries, they also highlight serious problems associated
with near-monopoly ownership, anti-competitive IPR regulations and the enforced payment
of licence fees (Qaim and Traxler, 2005; Murphy, 2007a). High price differentials and/or
licence fees can drive farmers to black-market seed (Qaim and de Janvry, 2003; Perrin and
Fulginiti, 2008), or to refuse fee payments as happened with herbicide tolerant soybean in
South America (Murphy, 2007a). A possible solution is for developing countries to develop
indigenous proprietary biotechnologies which can be made available to farmers at lower cost
(Cohen, 2005). Another possibility is for developing countries to invest in the infrastructure
to develop extension and seed distribution systems that can provide objective, independent
information to farmers regarding the on-farm economic benefits and drawbacks from
these and other agricultural technologies originating in developed countries and, if farmers
are interested, explain how they can gain legal access to such innovations.
Following over a decade of first generation transgenesis which has been restricted to virtually
four globally traded commodity crops, the emerging second-generation of transgenic crops
includes several examples aimed specifically at subsistence farmers in developing countries.
In sub-Saharan Africa, despite relatively low capacity for the indigenous development of
transgenesis, several such crops are currently being trialled in joint ventures such as PPPs
and/or NSPs (Hartwich, Janssen and Tola, 2003; Smale, Edmeades and De Groote, 2006;
Anandajayasekeram et al., 2007). For example, banana is primarily a subsistence crop in
rural areas in Uganda, providing some seven million people with food and income. The
highest yielding varieties are susceptible to diseases, but since they are sterile, there is
limited potential for crossbreeding. In a recent NSP, the National Agricultural Research
Organization of Uganda imported transgenic disease-resistant sweet banana plants from
the University of Leuven, Belgium (Kikulwe, Wesseler and Falck-Zepeda, 2008). The
plants are being field trialled at the Kawanda Agricultural Research Institute for resistance
to bacterial wilt and black sigatoka fungal disease. While initial results are promising, the
ultimate success of this and similar ventures depends critically on the response of local
growers and consumers (Smale, Edmeades and De Groote, 2006).
Other transgenic varieties are at even earlier stages of research and face many years of
further development and complex regulatory hurdles before they can be even considered for
release. For example, in South Africa the replication-associated protein gene of the severe
pathogen maize streak virus (MSV) was used to transform maize plants. Transgenic plants
displayed a significant delay in symptom development, a decrease in symptom severity
and higher survival rates than non-transgenic plants after MSV challenge (Shepherd et al.,
2007). Also, a United States based group funded partially by the Rockefeller Foundation
and the Centro Internacional de Agricultura Tropical (CIAT) is developing transgenic
cassava containing a bacterial ADP-glucose pyrophosphorylase gene for enhanced starch
production (Ihemere et al., 2006). Other examples currently in the pipeline include: maize
for insect resistance and improved protein content; potatoes for viral disease and pest
resistance; and rice for disease and pest resistance.
Interspecific hybridization
Wide crossing, or interspecific hybridization, involves hybridizing a crop variety with a distantly
related plant from outside its normal sexually compatible gene pool. The usual purpose of
wide crossing is not to produce true hybrids, i.e. progeny containing significant parts of
both parental genomes, but rather to obtain a plant that is virtually identical to the original
crop except for a few genes contributed by the distant relative. In some cases, it may even be
possible to use wide crossing to obtain a plant that is almost identical to an elite variety of a crop
except for the presence of a single new trait or gene transferred from a different species. The
strategy of obtaining useful genes from other species via wide crosses was greatly enhanced
by advances in plant tissue culture. A particular challenge was to circumvent the biological
mechanisms that normally prevent interspecific and intergenus crosses. The spontaneous
rejection of hybrid embryos is normally an important mechanism to ensure the reproductive
isolation of populations and to avoid non-viable or debilitated hybrid progeny. Therefore, a
high proportion of wide hybrid seeds either does not develop to maturity, or does not contain a
viable embryo. To avoid spontaneous abortion, the breeder removes embryos from the ovule at
the earliest possible stage and places them into culture in vitro (Chi, 2003). Mortality rates can
be high, but enough embryos normally survive the rigours of removal, transfer, tissue culture,
and regeneration to produce adult hybrid plants for testing and further crossing.
First generation, wide hybrid plants are rarely suitable for cultivation because they
have only received half of their genes from the crop parent. From the other (non-crop)
parent they will have received not only the few desirable genes sought by the breeder but
also thousands of undesirable genes that must be removed by further manipulation. This
is achieved by re-crossing the hybrid with the original crop plant, plus another round
of embryo rescue, to grow up the new hybrids. This backcrossing process is repeated
for about six generations (sometimes more) until the breeder ends up with a plant that is
99.9 percent identical to the original crop parent except that it now contains the desirable
gene from the donor parent plant. Particularly useful for gene and quantitative trait locus
(QTL) discovery and breeding are the so-called introgression libraries, namely collections
of backcrossed families each carrying an introgressed segment (about 10-20 cM) from the
donor parent and covering, as a collection, the entire genome (Zamir, 2001). Wide crossing
programmes can take more than a decade to complete although MAS and anther culture
can also be used to speed up the process. They involve thousands of plants, a great deal
of scientific expertise and skilled labour, and success is never guaranteed. Nevertheless,
wide crosses have been largely successful in enabling breeders to access genetic variation
beyond the normal reproductive barriers of their crops. Some case studies of successes
with interspecific crops, including disease-resistant Asian rice and New Rice for Africa
(NERICA) varieties are discussed in Part 1.5.
One concern for the future of wide crossing is that many potentially beneficial donor
species or local populations of wild plants are being destroyed every year by habitat
degradation, industrialization and agricultural expansion. This illustrates the need for an
inventory and/or the improved conservation of wild plants that could possibly contribute
useful genes to major crops such as those influencing disease resistance. Threats to potentially
useful wild relatives of the major Asian crops are particularly serious. Gurdev Khush,
former principal breeder at the International Rice Research Institute (IRRI), developer of
wide crosses of rice, and 1996 World Food Prize laureate, has described wild relatives as
truly priceless seeds (Barclay, 2004). Using wide crosses, IRRI has produced new rice
varieties that are resistant to the grassy stunt virus, bacterial blight, and blast and tungro
diseases. Wide crossing with the wild species Oryza officinalis has produced four new rice
varieties, each carrying resistance to the brown planthopper which is a particularly serious
pest (as well as being a viral vector) in Vietnam (Murphy, 2007a). The new rice varieties
reduce pesticide use and also contain resistance to the grassy stunt virus.
The use of the hybrid-plant technologies listed above has been one of the cornerstones
of modern crop breeding and is set to benefit further from advances in plant biotechnology.
For example, new chromosome engineering techniques are being translated into a greatly
improved capacity to effect wide hybridization and hence enable the recruitment of
important agronomic traits from wild species into developing country crops (Gupta and
Tsuchiya, 1991; Jauhar, 2003; Ceoloni et al., 2005; Singh, 2007). Like TILLING, chromosome
engineering can be viewed as a modern high-tech form of an earlier biotechnology.
It will be important for developing countries to be in a position to participate in and
capitalize on such research advances in the future. This is a good argument for much
greater investments in human and physical resources. Indeed, even in a major agricultural
research centre like China, there have been recent concerns that insufficient resources
are being channelled into R&D to underpin future advances in crop breeding (Chinese
Academy of Sciences, 2008).
1.3.2 Screening and selection
In addition to creating new genetic variation, breeders need effective and efficient methods
to identify, select and propagate useful variants, and there has been striking recent progress
in this area. Examples include the many improvements in efficiency and accuracy in
screening and selecting the huge numbers of genetic variants, often numbered in the tens
of thousands, created by technologies such as hybridization or mutagenesis. From tandem
gas chromatography/mass spectroscopy to automated sequencing and robotized PCR, a
host of new analytical and screening technologies can enable breeders to progress from the
laborious processing of a few dozen samples per day to routine, rapid, automated, round-
the-clock, in-depth analyses of the detailed molecular characteristics of many thousands
of plants. Genomics, and genome sequencing/annotation in particular, is a core technology
group that is already underpinning improvement in an increasing range of species, including
rice, sorghum and oil palm (Kovach and McCouch, 2008; Sakamoto and Matsuoka, 2008;
Bolot et al., 2009; Skamnioti and Gurr, 2009).
Marker-assisted selection (MAS)

MAS is a comparatively new screening method with the potential to revolutionize aspects
of crop breeding via the use of DNA-derived molecular markers (for a detailed review of
MAS in rice, see Collard et al., 2008, and Jena and Mackill, 2008; for cereals in general, see
Goff and Salmeron, 2004; and for more comprehensive overviews see FAO, 2007a, Varshney
and Tuberosa, 2007a and 2007b, and Xu and Crouch, 2008). MAS can be employed to
support any form of crop breeding programme including crossing of traditional land races
or within participatory plant breeding programmes with smallholders. Molecular markers
are also being used as highly effective research tools to uncover the genetic basis of complex
agronomic traits such as drought or salt tolerance and pest/disease resistance (Bernardo,
2008; Cai, Bai and Zhang, 2008; Collins, Tardieu and Tuberosa, 2008). In addition to their
increasingly prominent role in the genetic improvement of crops, molecular markers are
useful for a host of other agriculturally related applications such as characterizing crop
genetic resources, plant gene bank management, and diagnosis of diseases (FAO, 2006a).
Using molecular markers, breeders can screen many more plants at a very early stage and
thereby save several years of laborious work in the development of a new crop variety. In
the case of wheat breeding, for example, it has been estimated that MAS may result in an
overall cost saving of 40 percent relative to conventional phenotypic selection, in addition
to improved genetic gains (Kuchel et al., 2005).
Hitherto, the use of MAS in crop breeding was largely restricted to a few economically
important temperate crops, but the list is now expanding. Public sector initiatives and PPPs
have developed cheaper and easier MAS breeding systems (Koebner and Summers, 2003).
MAS technologies have also benefited from more efficient screening methods including PCR,
DNA/DNA hybridization, and DNA sequencing (Varshney and Tuberosa, 2007a). Today,
most MAS technologies use PCR-based methods, such as sequence-tagged microsatellites
and single-nucleotide polymorphisms (SNPs). Molecular marker technology is now being
applied to an increasing range of crops and even to domesticating entirely new crops. As well
as annual crops such as cereals and legumes (Garzn, Ligarreto and Blair, 2008), MAS has
been useful in perennial crops, including subsistence and cash crops in developing countries.
Examples include oil palm, coconut, coffee, tea, cocoa, and many tropical fruit trees such
as bananas and mangoes. By using DNA markers in conjunction with other new breeding
technologies such as clonal propagation, it should be possible to make rapid strides in the
creation and cultivation of greatly improved varieties of many of these important tropical crops.
In the medium term, MAS could well evolve into what has been termed genomics-
assisted breeding (Varshney, Graner and Sorrells, 2005; Varshney and Tuberosa, 2007b).
Here bioinformatics-supported genomic and metabolomic resources are key parts of breeding
programmes. For example, the immediate wild ancestor of rice, Oryza rufipongon, is a
genetically diverse species containing alleles that confer agronomically useful unexpected
(transgressive) variation when crossed with elite cultivars of O. sativa. However, there
is currently no way of predicting where to look for such wild alleles. The integration of
whole-genome mapping and marker analyses coupled with QTL cloning and EcoTILLING
would greatly facilitate a targeted use of wild relatives in breeding (Kovach and McCouch,
2008). Of course, this assumes that such resources and infrastructure are available for the
crop in question, which is complex enough in the case of rice despite its small and much
studied genome, but may be even more challenging for more genetically complex and less
well studied subsistence crops such as cassava or millet.
Despite improvements over the past decade, a major challenge in developing MAS is
still the cost and technical sophistication of the initial investment. For each crop, mapping
populations must be created, genomic markers assembled, and genetic maps compiled.
A cost/benefit analysis by the International Maize and Wheat Improvement Center
(CIMMYT) on using MAS in resource-limited public breeding programmes has concluded
that each case for developing MAS technology needs to be assessed separately and depends
critically on: the nature of the crop including its genomic organization; the availability
of requisite technical infrastructure and know-how; and the availability of capital for
set-up costs (FAO, 2007b). Such calculations are especially important when developing
countries are deciding whether to invest scarce resources in such technologies. Although
MAS is becoming progressively cheaper, it is still often relatively expensive compared with
alternative approaches for many developing country crops. Prospects for MAS in African
breeding programmes have been reviewed by Stafford (2009).
Marker-assisted selection is beginning to produce significant results in the relatively few
crop breeding programmes in which it has been deployed, and future prospects here are
very good. One example is the development using MAS of HHB 67 Improved, a pearl
millet hybrid with resistance to downy mildew disease, which was approved for release
in India in 2005. In 2008, F1 hybrid seed was produced to sow at least 300000ha with
HHB 67 Improved, while the 2009 area could exceed 500000ha if sowing conditions are
favourable (Hash, 2009). Other examples where MAS has been used in the development
of new products for farmers include new rice varieties with resistance to bacterial blight
in India (Gupta, 2009) and with submergence tolerance in the Philippines (Rigor, 2009).
Although most crop research centres of the Consultative Group on International Agricultural
Research (CGIAR) and many national organizations are increasingly using MAS in crop
improvement programmes, it is still at a relatively early stage in its rollout for key subsistence
crops in many developing countries (FAO, 2007c).
1.3.3 Production and management systems

Many developing country crops including cassava, potato, banana, sweet potato and oil palm
are mainly vegetatively propagated and tissue culture based micropropagation systems have
become especially important for their improvement. Additional production/management-
related biotechnologies include the use of biofertilizers and bioinsecticides, plus the
use of tools such as molecular markers and cryopreservation for the management and
conservation of plant genetic resources. While there are several existing examples of
applying these biotechnologies in various developing countries, their true potential
for the improvement of food production and reducing chemical inputs has barely
been tapped.
Micropropagation
In crops where sexual reproduction is problematic or impractical, vegetative propagation
has been used for a long time. More recently, biotechnologies have been developed for
mass clonal propagation of elite lines or disease-free planting material by culturing in vitro
explants such as shoot tips, tuber sections or other cuttings. The regenerated plantlets are
subcultured, often on a massive scale, until thousands or millions have been produced for
transfer to the field. In this way, cuttings from a single elite tree or disease-free plant can be
used for rapid large-scale cultivation. These methods are especially useful for subsistence
root and tuber crops such as cassava, potato, and sweet potato as well as for fruit tree crops
such as banana and oil palm because they facilitate the production of healthy planting
materials at reasonable costs (FAO, 2009c). In the past few decades, the technique of mass
propagation has become increasingly useful in breeding programmes, especially for tree
crops most of which are too long-lived to be amenable to the approaches developed for
annual crops. Mass clonal propagation can be a fast and cheap method for multiplying the
best genetic stock in such perennial species.
Today, in vitro propagation including micropropagation and somatic embryogenesis, is
widely used in a range of developing country subsistence crops, including banana, cassava,
yam, potato, sweet potato (Ipomoea batatas), frafra potato (Solenostemon rotundifolius)
and cocoyam; commercial plantation crops, such as cocoa, coffee, oil palm, sugarcane and
tea; niche crops, such as artichoke, cardamom, garlic, ginger, and vanilla; and fruit trees,
such as almond, cactus, citrus, coconut, date palm, ensete, granadilla, grape, lemon tree,
mango, olive, pistachio, pineapple, and plantain (Sharma, 2001; Blakesley and Marks, 2003;
Pender, 2007; Smale and Tushemereirwe, 2007; FAO, 2009c). Some of the many countries
with significant crop micropropagation programmes include Argentina, Gabon, India,
Indonesia, Kenya, Nigeria, the Philippines, Uganda and Vietnam.
Micropropagation is especially useful for vegetatively propagated root crops and it is here
that the greatest successes have been demonstrated. For example, disease-free sweet potatoes
based on tissue culture have been adopted on 0.5 Mha in Shandong Province in China, with
yield gains of 3040 percent (Fuglie et al., 1999). By 1998, more than 80 percent of local
farmers had adopted the technology, generating productivity increases of US$145million
and increasing agricultural income for the seven million sweet potato growers by 3.6 and 1.6
percent, in relatively poor and better-off districts respectively. In India, a scheme enabled
potato breeders to integrate micropropagation and virus detection into the initial stages
of seed production, leading to an estimated two- to three-fold increase in seed health, and
generating more than US$4 million in revenues (Naik and Karihaloo, 2007).
In Kenya, micropropagated disease-free bananas were adopted by more than 500000
farmers over a 10-year period (Wambugu, 2004). It had been predicted that these new varieties
would offer higher financial returns in Kenya than traditional bananas (Qaim, 1999), and
this was later empirically verified (Mbogoh, Wambugu and Wakhusama, 2003). In the late
1990s, the Uganda National Banana Research Programme sought to address the decline of
cooking banana production in Bamunanika subcounty by introducing micropropagated,
high-yielding cultivars. The new cultivars generated socio-economic benefits for the adopters.
However, notwithstanding the use of a participatory farmer-to-farmer extension approach,
the relatively high capital and recurrent costs of these new cultivars have prevented less
endowed households from benefiting (FAO, 2009c).
The use of micropropagated planting materials in Hwedza District (Zimbabwe) enhanced
crop yield and economic returns of sweet potato compared with traditionally propagated
planting materials (Mutandwa, 2008). In this case the innovation was adopted by 97 percent
of the farmers, including both the worst-off and better-off farmers, and contributed to
household food security and produced cash surplus (FAO, 2009c). In Vietnam, farmers
participated in the micropropagation of new high yielding late-blight resistant potatoes,
resulting in a doubling of yields from 10 to 20 T/ha. By producing their own plantlets,
farmers have increased yield and incomes, and have set up rural microenterprises specializing
in the commercial production of disease-free seed (Uyen et al., 1996).
Disease diagnostics and bioprotection

Biotechnology offers important tools to diagnose plant diseases of both viral and bacterial
origin. These tools are of particular value when identification of the causal agent is
difficult (e.g. many viral diseases exhibit similar symptoms) and when knowledge of the
nature of the pathogen is necessary to develop and apply proper management measures.
Immunodiagnostic techniques including enzyme-linked immunosorbent assay (ELISA)
and monoclonal antibodies are commercially applied in many developing countries, as well
as DNA-based methods (FAO, 2005a). Additionally, diagnostic techniques are routinely
used for quarantine systems and the production of seeds and other propagation materials
Bioprotection involves biologically based crop protection systems against biotic threats
such as pests and diseases. One example is biological control, which has been defined as:
the use of living organisms to suppress the population density or impact of a specific pest
organism, making it less abundant or less damaging than it would otherwise be (Eilenberg,
Hajek and Lomer, 2001). Microbial agents are a form of bioprotection and constitute one of
the commonest forms used in developing countries. Often these agents have the additional
benefit of substituting chemical pesticides that might be unaffordable and/or environmentally
undesirable for use in cash-poor, labour-intensive farming systems. There is a small but
growing use of microbial pesticides such as the crystalline (cry) proteins produced by the
Bt bacterium and biocontrol agents such as pheromones, growth regulators and hormones.
There is also an increasing acceptance of alternative pest control agents via the various forms
of integrated pest management (IPM) (FAO, 2005a). For example, Bt sprays are being
used in Malaysia to control insect pests of oil palm such as the bagworm group (including
Mahasena corbetti Tams, Metisa plana Wlk and Cremastopsyche pendula Joannis) and the
rhinoceros beetle (Oryctes rhinoceros), and large-scale Bt production facilities have been set
up. In India, Bt sprays have also been used successfully at village level in Andhra Pradesh
(Puente-Rodrguez, 2007).
Fungi are increasingly used as highly target-specific pest management agents that can
often replace chemical pesticides. One example is the desert locust, a sporadic pest that can
have a severe impact on food production over wide areas of North Africa. Between 2003
and 2005, conventional control using chemical sprays required 42 million litres of mainly
organophosphate pesticides over about 13 Mha. While there were no reported instances
of serious animal or human health problems, the cost of safety measures was high and
there was significant environmental damage (FAO, 2007d). For these reasons, FAO and
other partners have been developing alternative bio-based control strategies. These have
involved a combination of Metarhizium fungi which are existing pathogens of locusts and
grasshoppers, plus the biocontrol agent phenyacetonitrile which is a hormone that affects
the swarming behaviour of locusts. One particular isolate of Metarhizium anisopliae has
been formulated as the proprietary agent Green Muscle and is produced commercially
by a South African company. Recent assessments of these biopesticides underlined the
kinds of challenges that also confront the wider deployment of many other biotechnologies
(FAO, 2007d and 2007e). These include further R&D to improve product formulation
and efficacy in the field; improved production and quality assurance methods; accelerated
registration for environmental release; improved awareness, capacity building and training
for all stakeholders; and formal incorporation into crop protection strategies. Metarhizium
strains have been used also as effective control agents against rhinoceros beetle and the
Metarhizium Technology Centre in Malaysia has produced nearly 0.5 tonnes of pure
Metarhizium spores for future crop treatments (Moslim et al., 2006).
Plant nutrition
This category includes the production and use of biofertilizers and the use of nitrogen-fixing
bacteria and/or mycorrhizal fungi to improve plant performance. Recent studies have shown
that there are numerous plant growth-promoting rhizobacteria that not only enhance nutrient
uptake by crops but also induce systemic tolerance to other abiotic stresses such as drought
and salinity (Yang, Kloepper and Ryu, 2009). As with biopesticides, the use of bionutrition
strategies carries the double benefit of reducing input costs for farmers and preventing nitrate
and phosphate accumulation within soils and run-off into sensitive watercourses.
There are numerous examples of the use of these strategies in developing countries both
to augment the nutritional status of crops and as alternatives to chemical supplements. For
example, it was shown in Thailand that rhizobial inoculants can effectively replace chemical
fertilizers for the production of soybean, groundnut and mung bean crops (Boonkerd,
2002). The use of Rhizobia in Thai soybean, groundnut and mung bean production
between 1980 and 1993 produced estimated accumulated benefits of US$100, US$17 and
US$4 million, respectively, for crop producers. However, the performance of inoculants
can vary with micronutrient conditions in the field and according to the persistence of
bacterial populations in different soils. Some studies have revealed the widely differing
effects of inoculants in different locations, even within small areas, and significant variations
in their performance over time (Hall and Clark, 1995). Therefore, in addition to agronomic
factors, the knowledge and experience of local farmers is important in ensuring the effective
application of biofertilizers. In Kenya, the UNESCO Microbiological Resources Centre
(MIRCEN) developed a Rhizobium inoculant known as Biofix for sorghum crops that has
been in use since 1981 (Odame, 2002). Elsewhere in Africa, biofertilizers are being developed
for cowpea, groundnut, bambara groundnut and rice (FAO, 2005a).
In Mexico, a Rhizobium-based biofertilizer developed by the National University of
Mexico for the common bean (Peralta et al., 2004) was commercialized in 2003 under the
name of Rhizofer. It is sold either on its own or together with spores of the mycorrhizal
fungus Glomus intraradices, to help the plant acquire soil nutrients and to solubilize
phosphates. This commercial package also includes printed material and technical assistance.
The biofertilizer has been used mainly in the central and northern regions of Mexico. To
date, 20000ha from a total of 2 million sown in the country have been biofertilized with
reportedly very satisfactory results. The use of this biofertilizer offers important savings in
the cultivation of the common bean, and costs significantly less than chemical fertilization.
Moreover, it improves soil biodiversity and promotes soil biological activity (Peralta, 2009).
The nutritional status of the soil can also be enhanced by using fungal inoculants to
accelerate the breakdown of organic fertilizer. In the Philippines, inoculation of rice straw
with the fungus Trichoderma reduced composting time to as little as 2145 days depending
on the type of plant residue used (FAO, 2009c). Following the success of this rapid
composting technology (RCT), the Philippines government set up production units for
the fungal agent and actively promoted the production and use of organic fertilizer by
farmers cooperatives, private enterprises and NGOs. An impact study concluded that
rice and sugarcane farmers adopting RCT used significantly less chemical fertilizer and
had higher yields and higher net incomes (Rola and Chupungco, 1996). For example, rice
farmers using both organic fertilizer made via RCT and chemical fertilizer produced 15
percent more than farmers using chemical fertilizer only. Net income gains perha were
about US$171. The main advantages of the substitution of chemical with organic fertilizer
were the positive effect on soil nutrient content as well as on soil tilth and texture, making
organic fertilizer superior to the chemical fertilizers (Cuevas, 1997).
Genetic resource conservation and management

The need to conserve crop genetic resources is now widely accepted and generally justified
for one or more of several reasons such as their importance as raw material for plant
breeding to face future changes in market needs, production and environmental/climatic
conditions, and their importance as a source of material for scientific research and future
germplasm development. They are also part of our cultural and historical heritage, passed
down from previous generations. In addition, the characterization of genetic resources
goes hand-in-hand with conservation because it is fundamental both to our understanding
of what is being conserved and to choosing which genetic resources should be conserved.
Characterization can also play an important role regarding issues of ownership as well as
access to and the benefit-sharing of agricultural genetic resources.
The key role of biotechnologies in the acquisition, management, conservation, protection,
characterization and exchange of plant genetic resources is becoming ever more apparent
(Karp, 2002; Peacock and Chaudhury, 2002; FAO, 2006a). Many biotechnologies already
discussed here are being employed for germplasm management in the widespread network
of public sector seed banks and resource centres across the world (Engels et al., 2002; FAO,
2005a; Hunter and Taylor, 2007; Murphy, 2007a). For example, relatively well established
technologies such as cryopreservation, artificial seed production, somatic embryogenesis,
and other forms of in vitro cell or tissue culture are extensively used for the conservation of
genetic resources for food and agriculture in developing countries, especially for vegetatively
propagated plants which can easily get contaminated with pathogenic micro-organisms.
Whereas phenotypes (e.g. yield, growth rate) and morphological traits (coat colour, seed
shape) are influenced by both genetic and environmental factors, the use of molecular
markers and genomics reveals differences at the DNA level that are not influenced by
the environment. These molecular tools are having an increasing impact on the study and
management of genetic resources.
1.4 Analysis of Experiences with Biotechnologies in Developing

Countries over the past 20 Years
As with other maturing technologies and as described in Section 1.3, experiences with crop
biotechnologies have been mixed. Although transgenesis is being increasingly deployed, the
vast majority of new biotech-derived crop varieties remain non-transgenic. Transgenesis
is lagging significantly behind owing to severe limitations on the kinds of traits available,
complex IPR and regulatory issues, and often negative public perceptions (Stein and
Rodrguez-Cerezo, 2009; Ramessar et al., 2009). On the other hand, major successes
encompassing the whole range of desirable agronomic traits have been achieved via non-
transgenic technologies. In the future, breeders will have the additional benefit of genomic
and metabolomic technologies which will contribute to all forms of crop improvement.
While there have been significant successes in farmer adoption of a few first generation
transgenic varieties, there have also been unexpected market setbacks as farmers seek to
avoid high seed costs and other restrictions. In some cases, although the technology was
sound and the products were potentially beneficial to farmers, there was little or no adoption
due to often predictable infrastructure or market deficiencies. A promising approach to
addressing such problems is farmer participatory research (FPR), but this must be coupled
with measures to address a wide range of cross-sectoral issues from extension services to
civil society programmes. The uptake of biotechnologies is therefore gradually improving
but remains patchy.
Some of the main factors affecting the use of biotechnologies in developing countries
in the past are highlighted below.
1.4.1 Focus on smallholders

Even where there is strong development of biotechnologies within the public sector, they
are not always directed towards improving smallholder crops (Kiers et al., 2008). There have
been concerns among some policy-makers in industrialized countries and among others in
both the private and public sectors that assisting developing country smallholders with crop
biotechnologies might not always address overall poverty reduction (Tschirley and Benfica,
2001; Collier, 2008). However, this thesis has been increasingly challenged and the case for
supporting smallholder development as a major mechanism for reducing poverty and food
insecurity remains robust (Peacock et al., 2004; Lipton, 2006; Hazell et al., 2007; FAC, 2009).
Indeed, recent data from Vietnam, Africa and elsewhere show that small-scale agriculture can
act as an important engine of national economic growth and help generate relative affluence
from the bottom up in a society (Gollin, Parente and Rogerson, 2002; Murphy, 2007a; Jama and
Pizarro, 2008). In India and South America, transgenic crops such as Bt cotton and herbicide
tolerant soybean have also had a positive impact on millions of small farmers (FAO, 2004;
Trigo and Cap, 2006; Grure, Mehta-Bhatt and Sengupta, 2008). Smallholders are responsible
for an important share of developing country food production and can play a key role in
poverty reduction especially in rural communities. But smallholders cannot be always assisted
by biotechnology-driven crop improvements in isolation, so wider cross-sectoral challenges
must also be addressed at the same time. For example, it is well known that hunger and food
insecurity have much deeper and more complex roots than mere crop yields (Pereira, 2008).
Most new biotechnologies have originated outside developing countries, so improved
North-South links to facilitate capacity building and technology flow are especially crucial.
Unfortunately, efforts to build enduring links between public sector crop research institutions
in industrialized and developing countries have been erratic and only partially effective.
1.4.2 Investments in biotechnological R&D

Investment patterns in biotechnology R&D are highly uneven in developing countries.
Care should therefore be exercised when discussing all such countries together (as in this
Chapter). For example, China recently invested US$500 million in biotechnologies and is
now an acknowledged global leader in agriculturally applied plant genomics (USDA, 2008).
Indeed, much of the spectacular economic growth of modern China has been underpinned
by huge gains in agricultural productivity that enabled the country to remain self-sufficient
in many major crops despite steady increases both in population and in per capita food
consumption (IAASTD, 2008). Brazil and India each spend less than one tenth of the Chinese
agricultural biotechnology budget, but vastly out-spend the whole of sub-Saharan Africa
(e.g. for India, see Sharma, Charak and Ramanaiah, 2003). China, India and Brazil are now
recognized as significant global centres of emerging excellence in biotechnology that will
soon be on a par with the United States and the European Union (Dutton, 2009). A note
of concern here comes from a recent downward revision in estimates of global agriculture
R&D spending, especially in developing countries (Beintema and Stads, 2008).
The lack of adequate and sustained investments remains a major limiting factor in
most developing countries (IAASTD, 2009). This situation may be exacerbated by the
consequences of the current economic downturn.
1.4.3 Biotechnology capacities

Insufficient and unstable investments in R&D are only a part of the problem. A further
constraint in developing countries is the limitation of capacity to generate, adapt or utilize
potentially beneficial biotechnologies due to limitations in agricultural research systems.
Such limitations include:
}} absent or inadequate policies for agricultural R&D at government and institutional
level (Spielman, Hartwich and von Grebmer, 2007);
}} poor scientific, political and public awareness of the opportunities and risks of different
crop biotechnologies (Gressel et al., 2004; Cohen, 2005; Pender, 2007);
}} inconsistent policy and regulatory regimes regarding issues such as IPR enforcement,
the protection of plant and animal health, biosafety, food safety and bioethics (Diao
etal., 2008; Stein and Rodrguez-Cerezo, 2009);
}} deficiencies in economic and physical infrastructures (including trade markets) that impede
farmer ability to capitalize on new biotechnologies (Murphy, 2007a; Diao et al., 2008);
}} the weaknesses of research institutions that do not allow efficient implementation of
research projects;
}} insufficiently educated/trained human resources and the lack of appropriate incentive
schemes for capacity building, the retention and motivation of staff through competitive
career development opportunities.
1.4.4 IPR and other regulatory issues

The status of agricultural IPR in different countries and trade blocks is inconsistent and
uncertain (Murphy, 2007a; Gold et al., 2008; Smith, 2008, Yamanaka, 2008). Linked to these
IPR problems is the fact that many technology leaders and products (e.g. new crop varieties)
are part of private sector bodies with no explicit public good missions. A major challenge
is to find ways to facilitate the uptake of agricultural R&D discoveries into developing
countries and non-commercial crop staples without compromising the innovative processes
that often produce such discoveries. In some cases, this requires balancing the ability to
innovate, driven largely by the assurances that IPR provides, with ensuring that access to
these innovative technologies is provided to those who need it most.
Many crop biotechnologies originate from discoveries in the public sector but require
significant private sector involvement for effective reduction to practice (Hartwich, Janssen
and Tola, 2003). Moreover, several aspects of crop biotechnologies, including some key plant
transformation and regeneration steps, are subject to private sector IPR, which can significantly
limit the freedom to operate of public bodies wishing to develop new crop varieties. This has
led to the establishment of a range of PPPs with the broad objective of making the products
of existing biotechnologies available to smallholders in developing countries, normally in
areas where the private sector has little commercial interest. The private and public sectors
should establish a more inclusive intellectual property landscape that recognizes the special
needs of subsistence and commercial farmers alike in developing countries.
The rollout of GM crops has at times been inhibited by high transaction costs and complex,
inconsistent regulatory requirements (Stein and Rodrguez-Cerezo, 2009), sometimes leading
to IPR avoidance and piracy of traits. This could be regarded as a qualified market failure.
A comprehensive analysis of IPR and regulation is beyond the scope of this document, and
these aspects are covered in much greater detail in Chapters 8 and 9.
1.4.5 Link between biotechnology R&D and plant breeding programmes

It is important to underline that biotechnology can assist and expand, but not substitute,
traditional plant breeding programmes. The presence of skilled personnel and adequate
facilities for the identification of appropriate parents and segregating materials, as well as the
selection of improved lines for their stabilization and agronomic assessment, are essential. Even
countries that decide to rely on research results obtained abroad, for instance in neighbouring
countries with similar ecological conditions, need capacities for the evaluation, adaptation and
adoption of improved lines developed elsewhere. Investments in biotechnology infrastructures
and human capacities cannot therefore be made at the expense of conventional breeding or
agronomic research and strong breeding programmes must remain at the core of crop improvement.
1.4.6 Farmer involvement in research and breeding

The relevance and uptake of biotechnology advances in crop improvement by smallholders can
be improved using participatory research approaches. Participatory approaches to research can
lead to more relevant, site-adapted and socially acceptable solutions to real-world problems
and technological constraints in agriculture and natural resource management. Research
participatory approaches are used in problem identification, planning, implementation and
research transfer and/or evaluation. Experiences using FPR for the improvement of crop
production have been made in the area of plant breeding and are known as participatory
plant breeding (PPB) (Murphy, 2007a), and in IPM, often using farmer field schools.
Recent evaluations of the effectiveness of FPR and PPB have been encouraging (Ashby
and Lilja, 2004; Scoones and Thompson, 2009). Small farmers often produce in marginal
areas with limited access to knowledge, improved technologies and inputs. Conventional
breeding has focused heavily on broad adaptability and major traits, resulting in high
yielding varieties with pest and disease resistance that produce well when input levels are
high, but poorly in the marginal conditions under which cash-poor farmers often operate
(Murphy, 2007a). Traits such as resilience to adverse conditions (e.g. water scarcity), ease of
harvest and storage, taste and cooking qualities, speed of crop maturation, and the suitability
of crop residues as livestock feed, can be of high relevance to small farmers. Involving them
in the breeding process from the beginning will help to develop new crop varieties and
agricultural practices that are better adapted to the areas where they produce and more
relevant to their farming conditions and needs. Examples of participatory approaches in plant
breeding are described by Ceccarelli et al. (1997 and 2000), Toomey (1999), Almekinders
and Elings (2001), Vernooy (2003), and Morris and Bellon (2004).
While participatory research can generate a range of direct and indirect benefits for
participants, careful attention needs to be paid to achieving equitable impacts. Participatory
approaches must consider power sharing and participant selection, or risk missing important
contributions from women and other marginalized groups (Johnson et al., 2004). Gender
issues can play an important role in many aspects of agriculture (Boserup, 1970), and have
been shown to be relevant also for plant breeding/management/processing and the uptake
of new technologies (Wambugu et al., 2000; Nguthi, 2007; Smale and Tushemereirwe, 2007;
CGIAR, 2008). For example, many traits relevant for the harvesting, threshing, milling and
cooking of grains can be more or less invisible even to the men in the local community, and
may be overlooked by scientist-breeders. However, these processing-related traits may be
of paramount concern to the women who actually carry out such tasks as they prepare
food from the crops on a daily basis. The importance of women in the outcome of breeding
projects has been shown in several case studies in Cte dIvoire, where the selection of
inappropriate traits by poorly-informed scientific breeders led to the rejection of new
varieties by women farmers (Lilja and Dalton, 1997; Dalton and Guei, 2003; Dalton, 2004).
Modern biotechnologies successfully applied in conventional plant breeding programmes
have recently also been introduced using participatory approaches. MAS has been used as
part of a PPB approach for developing rice with improved stress tolerance (Steele et al.,
2002 and 2004; Witcombe, Joshi and Goyal, 2003), for developing higher yielding maize
(Virk et al., 2003) and in small-scale potato crop systems in the Bolivian Andes (Puente-
Rodrguez, 2008). Participatory approaches have been used for varietal selection of NERICA
rice (see Part 1.5), and for the adaptation and diffusion of NERICA technologies for rice-
based production systems in Africa (Somado, Guei and Keya, 2008). Similar schemes are
being piloted for other crops and together with more effective extension services, should
be considered integral to the process of crop improvement (World Bank, 2007). FPR
approaches have also been applied to the production of micropropagated planting materials
in many countries including Colombia and Bolivia, and to the production of biofertilizers
and biopesticides in Colombia, Ecuador and Peru among other countries, leading to the
establishment of micropropagation laboratories managed by farmers.
1.4.7 Technology uptake

Crop varieties and management systems developed by even the most sophisticated new
technologies will have little impact on improving food security in developing countries
unless they are effectively taken up by farmers on a sustained, long-term basis (Tripp, 2001).
Indeed, while modern breeding and crop management technologies can easily take a decade
or more to make improved materials available to farmers, it is a telling but often overlooked
fact that the widespread on-farm adoption of such technologies can take much longer (FAO,
2007f). Technology uptake, or lack thereof, is an abiding concern for the improvement of
food security at small farmer level. For example, it is estimated that simply by applying
existing recommended practices of crop management, Ghanaian farmers could double or
treble average yields of most staple crops (Al-Hassan and Diao, 2007).
Seed systems
One of the major hurdles to the wide-scale use of improved varieties obtained though
biotechnological approaches in developing countries is the weakness of the local seed systems.
In many developing countries, the vast majority of seeds used in agriculture are supplied
by informal seed systems which include farm-saved seeds, seed exchanges between farmers
and seeds purchased from local markets. The informal seed system can, in some instances,
play an important role in the conservation of local landraces and other precious genetic
resources, and satisfies the demand of low-cost inputs, but the seed supplies often do not
meet acceptable quality standards. Seeds of improved varieties obtained by biotechnological
means combined with conventional breeding approaches such as MAS-derived varieties, are
usually multiplied and distributed through formal seed production and distribution schemes
which offer high-standard propagation materials but which often lack the capacity to meet
the seed demand for these new varieties and to reach vast numbers of small-scale farmers.
For example, the current demand for seeds of NERICA varieties in West Africa exceeds
their supply. Also, the seeds offered by the formal production and distribution systems
are frequently more expensive and cannot be accessed by farmers with low purchasing
power. In addition to infrastructure, government support within developing countries may
consider providing financial incentives to farmers to plant higher yielding varieties that will
ultimately bring increased revenue back to the farmer.
Extension services
In a recent report on seed delivery systems in Africa, Guei, Somado and Larinde (2008)
stated that: Most extension services are characterized by a lack of information, technical
capacity and logistics for timely delivery of advice to farmers. They have inadequate
capacity in terms of personnel and are unable to formulate and implement good and sound
technology transfer approaches. Even in comparatively well developed and resourced
cropping systems such as oil palm in Malaysia, the effectiveness of extension services to
smallholders has come in for criticism (Jalani et al., 2002). Extension services are fundamental
to the success of agricultural development, including advice to farmers and local seed
production and distribution. Because they are an end-of-pipeline function, extension
services are frequently overlooked by researchers, policy-makers and in government budget
allocations. Importantly, the linkages between agriculture researchers, extensionists and
producers are quite weak, resulting in the poor uptake of innovations, research that fails
to reflect smallholder needs, and the delivery of the wrong type of extension education
programmes (FAO, 2001). And yet, without a good extension service the introduction
of even the best new crop varieties may be delayed or prevented (World Bank, 2007).
Some of the problems with extension services include poor human resources, inadequate
operational and transportation support, and inappropriate orientation and methodological
approaches. Extension agents also have a particularly difficult and often isolated role that
may be hampered by poor or inappropriate training, insufficient technical support, lack
of motivational incentives, unrealized expectations of farmers and external pressures from
third parties such as private seed merchants or NGO representatives.
A report from 39 African countries indicated that nine of them had no extension
services at all, while ten more relied on overseas development agencies (Guei, Somado
and Larinde, 2008). Even where extension services exist in a country, they are not always
able to respond to new crop introductions. For example, when Bt cotton was introduced
to India, there was a complete lack of government provision of such services and farmers
relied solely upon private seed companies for knowledge dissemination and advice
(Solution Exchange, 2007; Grure, Mehta-Bhatt and Sengupta, 2008). This is clearly
unsatisfactory and in the case of Bt cotton in India it contributed to public scepticism about
the technology. Clearly, there is a significant structural problem if so many countries do
not oversee the provision of national or local extension services to farmers. The case for
a qualitative improvement in the status and local management of extension services as an
integral aspect of crop development should be emphasized more strongly to governments
and policy-makers. The potential for better designed technologies and better technology
uptake via well managed and better linked research-extension-producer networks to lead
directly to increased food production is demonstrated by the case of potatoes in China.
Following a change in government policy in the 1980s, potato cultivation was encouraged
in the country. Advanced breeding materials were obtained from the International Potato
Center (CIP) in Peru and developed by the Crop Research Institute in Yunnan Province
into locally adapted varieties such as Cooperation 88 which greatly outperformed existing
varieties. A combination of vigorous extension services and expanding consumer markets
led to an increase in the potato-growing area from 2.45 to 4.7 Mha, and in yields from
9.7 to 16 T/ha between 1982 and 2002 (Reader, 2009). This made China the largest potato
producer in the world with output reaching 72 Mt or one quarter of the entire global output
by 2007 (FAO, 2009d). Improved seed and extension services able to respond to market
demand have been cited as factors in the positive economic impact of sweet potatoes at
village level in China (Fuglie et al., 1999).
1.5 Case Studies of Experiences with Crop Biotechnologies
This Part includes several brief case studies of experiences with biotechnologies in developing
country crops. In reality, most of them cannot be labelled as full successes or failures because
each case may present positive and negative consequences at the same time. Nevertheless, some
experiences have brought improved food security to large numbers of people in developing
countries such as the African-Asian rice hybrids (NERICA), rice interspecific hybrids in
Asia, and mutation breeding. The study of socio-economic impacts of biotechnological
innovations in developing countries is still very patchy or limited and few reports are solid
and scientifically sound (FAO, 2009c). In most cases it is therefore impossible to draw clear
conclusions. In many instances even the more negative experiences can be most accurately
described as temporary halts in progress rather than permanent setbacks.
1.5.1 Wide crossing to improve African rice NERICA

There is little doubt that one of the outstanding recent success stories of African agriculture
is the development of a new interspecific form of rice, NERICA. The original NERICA
varieties were developed in the 1990s by a team of breeders at the Africa Rice Center, Cte
dIvoire (Jones et al., 1997a and 1997b; Jones, 1999a and 1999b). NERICA varieties have
led to yield increases of up to 50 percent in upland rice crops. These replaced low-yielding,
lodging and shattering-prone O. glaberrima. While rice tends to be a cash crop for small-
to-medium-scale farmers in East and Southern Africa, it is very much a subsistence crop
in West Africa where the majority of African rice is produced.
The NERICA lines were created by crossing O. glaberrima and O. sativa. As these two
species do not naturally interbreed, it was necessary to use a range of advanced tissue culture
technologies to enable the hybrid plants to survive. In particular, embryo rescue and anther
culture methods ensured that crosses survived to produce plantlets to grow on to full maturity.
As with many other hybrids of two relatively inbred lines, NERICA varieties display very good
degrees of heterosis. For example, they grow faster, yield more, and/or resist stresses better than
either parent. Some features of NERICA varieties include: an increase in grain head size from
75100 grains to 400 grains per head; yield gains from 1 T/ha to 2.5 T/ha and up to 67T/ha
with fertilizer application; 2 percent more protein than their African or Asian parents; plus
better pest and weed resistance and more tolerance of drought and infertile soils than Asian
rice. During the 1990s, about 3000 lines were developed, many of which have been released
and are already being grown by farmers in West African countries. The high-yielding new
rice varieties are drought and pest resistant. Their unique adaptation to the growing conditions
in West Africa has helped increase yields and has the potential to benefit 20 million farmers
(Sarla and Mallikarjuna Swamy, 2005; Kijima, Sserunkuuma and Otsuka, 2006).
The Africa Rice Center has reported the release of NERICA varieties in 30 African
countries, and these are now planted in about 0.2 Mha, mainly in Cte dIvoire, Guinea,
Nigeria and Uganda. Uptake is likely to expand as more varieties are released. In sub-
Saharan Africa, over 100 upland varieties are being field tested by the Africa Rice Center in
30 countries and 60 lowland/irrigated varieties are being field tested in 20 countries (FAO,
2009c). Many NERICA varieties are particularly suitable for use in the rainfed upland
agrisystems where smallholders lack the means to irrigate or to apply chemical fertilizers
or pesticides (Somado, Guei and Keya, 2008). In addition to benefiting rural economies,
NERICA has the potential to assist cash-strapped national economies by reducing the cost
of food imports. It has been estimated that the introduction of NERICA in Guinea alone
led to import savings of US$13 million in 2003 (Harsch, 2004). An evaluation by Obilana
and Okumu (2005) discussed the livelihood impacts of NERICA in Benin, Guinea and
Mali and concluded: NERICA rice impacts the whole spectrum of human life problems in
the areas of health, nutrition, education, female empowerment, environmental protection,
and improved collaboration and partnerships for enhanced development. The impacts in
all the three countries are hence the same although they vary in magnitude. By the 2008
season, NERICA varieties were playing a key role in the record rice harvests being enjoyed
across Africa (FAO, 2009e).
1.5.2 Wide crossing to improve Asian rice
In Asian rice, wide crosses have been especially effective in addressing serious viral diseases
such as the grassy stunt virus to which cultivated rice has little genetic resistance. The virus
is transmitted to the plant by a leaf-dwelling brown planthopper, Nilaparvata lugens. By
the 1960s and 1970s, grassy stunt virus had become endemic in rice crops throughout Asia
and threatened food supplies. During a collecting expedition, scientists from IRRI found
a tiny population of a wild rice relative from India, Oryza nirvara, resistant to the virus.
Normally, it would be impossible to cross these two rather different Oryza species, but
IRRI breeders used tissue culture to produce a crude wide hybrid of this wild Indian plant
and Asian rice. Eventually, after many years of repeatedly backcrossing this hybrid with
local rice varieties, three new virus-resistant varieties of Asian rice were released in 1974
to subsistence farmers (Barclay, 2004). Despite repeated searching, the original Indian
population of virus-resistant O. nirvara was never found again and may well have been
lost forever. Luckily, some of the useful Oryza nirvara genes have been saved by the IRRI
scientists, although these genes are now located in the genomes of the three new varieties
of Asian rice, O. sativa.
1.5.3 Soil bio-inoculants in Kenya

The importance of extension services and overall infrastructure in biotechnology uptake
is highlighted by the case of the rhizobial inoculant Biofix in Kenya. Although Biofix
has been marketed since 1981 and its effectiveness was clearly demonstrated in field trials
within the country, national adoption rates remain relatively low. Explanations include poor
distribution systems, lack of product information, insufficiency of extension services, poor
access to credit, unsuitable package size, and other constraints (Odame, 1999). The public
image of Biofix may also have been tarnished by reports of mixed performance, possibly
due to similar factors to those discussed earlier for Rhizobia in Thailand (Part 1.3.3). One
of these site-specific factors is the need for simultaneous phosphorus provision for certain
soil types. Having been identified, this particular problem is now being addressed by the
manufacturers with an improved product that contains rock phosphate to counter phosphorus
deficiency. In contrast, the uptake rate of Biofix was much higher among smallholders in
the Nyeri district of Kenya. Here, there are organized groups of farmers who have ready
access to and clear information about the product (Odame, 2002). One factor in the success
of Biofix in Nyeri may be peer group encouragement because successful implementation of
the technology by neighbours within a local social network is highly visible. Similar peer
group-based strategies, such as farmer clubs or societies based on common access to the
crop/technology in question are increasingly being used by extension services.
1.5.4 Mutation-bred crop varieties
Public agencies, including the Joint FAO/IAEA Division and universities have been effective
proponents of mutagenesis technology and there are essentially no IPR barriers to its deployment
for public good crop breeding. Hence, many mutagenized crop varieties have been produced
by and for developing countries. More than 2700 varieties of mutation-bred crop varieties
have been released worldwide, mainly in developing countries (FAO and IAEA, 2008). They
include all the major staple species (Ahloowalia, Maluszynski and Nichterlein, 2004) and
have been cultivated in at least 59 developing countries, mostly in Asia. The largest mutation
breeding programmes are in China and India but dozens of other countries are also using the
technology (Maluszynski, Szarejko and Maluszynska, 2003; for review see Kodym and Afza,
2003). Widely used mutagenized crops include: Soghat bread wheat in Pakistan, Zhefu rice
in Thailand, Shwewartun rice in Myanmar, and Bajra pearl millet in India. In Vietnam, three
new varieties of rice with improved food quality and salt tolerance have been developed since
1996. Since their release in the Mekong Delta region, they have increased smallholder incomes
by US$350/farmer/year and include some of the top export varieties (FAO and IAEA, 2008).
1.5.5 Bt cotton in India

Cotton is an important commodity crop in India, growing in most agroclimatic zones and
providing a livelihood for more than 60 million people working in agriculture, processing,
and textiles. According to averaged production statistics between 1997 and 2006, India was
the third largest global producer of cotton, but yields were only ranked 70th among the
producing countries. This strikingly low-yield performance was caused by factors such
as persistent pest problems and lack of irrigation facilities and by issues inherent in small-
scale, non-mechanized and resource-poor farming systems. In an effort to increase cotton
yields, the Indian government authorized the introduction of transgenic cotton varieties
with the Bt insect-resistant trait in 2002, potentially enabling the crop to withstand pests
such as the bollworm as well as reducing pesticide requirements (USDA, 2005). Between
2002 and 2008, India rapidly increased its cotton production to over 9 Mha, becoming a
major exporter, and in 2007/08 it passed the United States in output to become the second
largest global producer of cotton after China. According to the Indian Cotton Advisory
Board, Bt cotton was the major factor behind the increased production of cotton from 15.8
million bales in 2001/02 to 24.4 million bales in 2005/06 (ISAAA, 2006). There has also been
a significant increase in cotton yields from 300 kg/ha in 1997 to 400 kg/ha in 2003/04, and
more than 500 kg/ha in 2006/07 (Grure, Mehta-Bhatt and Sengupta, 2008).
The uptake of Bt cotton in India has continued to rise as more varieties, both official
and illicit, appear on the market. In July 2007, Indian government agencies approved 73
new commercial varieties of hybrid Bt cotton. At that time, a total of 135 hybrid Bt cotton
varieties were available on the market plus numerous unofficial varieties (SABP, 2007). It
is noteworthy that despite its undoubted commercial success in most states, Bt cotton in
India has been surrounded by controversy since its introduction in 2002 (Grure, Mehta-
Bhatt and Sengupta, 2008). Various groups have contested its effectiveness, reporting
that farmers have lost income due to lower yields and higher than expected pesticide use,
while some groups reported (albeit not in scientific journals and despite contradictory
evidence) alleged toxic effects of Bt cotton on livestock health. Others have objected to the
high prices for Bt cottonseed charged by seed companies and this has led to widespread
unofficial seed trading. It is also the case that the introduction of Bt cotton in India was
mediated by company advisors rather than government extension agents, which leaves
room to question the partiality of advice received. This has led to assertions of so-called
agricultural de-skilling as farmers followed their neighbours as part of a fad to buy
Bt cottonseed (Stone, 2007). However, as discussed above in case study 1.5.3 from Kenya,
the follow-my-neighbour strategy is regularly used by extension services in attempts to
disseminate new seed or agronomic methods among farmers.
According to other reports, Bt cotton has also been associated with allegations of
increased rates of farmer suicide. Although these reports seem to have been disproved,
with Grure, Mehta-Bhatt and Sengupta (2008) concluding that our analysis clearly shows
that Bt cotton is neither a necessary nor a sufficient condition for the occurrence of farmer
suicides, the association between farmer suicide and Bt cotton is still widely believed in
many quarters. Indeed, the whole topic of the performance and social context of Bt cotton
in India is characterized by polarized viewpoints and a dearth of unequivocally reliable
evidence. There appears to have been a tendency for supporters of Bt cotton to overstate its
benefits and for its many critics to exaggerate its shortcomings, whereas numerous articles
instead report a more complex and mixed situation (Qaim and Zilberman, 2003; Bambawale
et al., 2004; Rao, 2004; Morse, Bennett and Ismael, 2005; Shah 2005, 2008; Smale, Zambrano
and Cartel, 2006; Smale et al., 2006, 2009; Herring, 2007, 2008; Stone, 2007; Glover, 2009).
For example, there is little doubt that the performance of Bt cotton has varied significantly
in different regions of this vast country. Average national cotton yield improvements and
farmer revenue gains from the use of Bt varieties were in the region of 3040 percent, and
such values were found in the states of Maharashtra and Tamil Nadu. However, there was
a decline of 3 percent in both yield and revenue gains in Andhra Pradesh, while farmers
in Karnataka reported increases of 70 percent (Raney, 2006). In some cases, these wide
variations were due to climatic effects. For example, the initially negative performance of
the varieties in Andhra Pradesh was mainly due to severe drought conditions to which the
Bt hybrids were not optimally adapted (Qaim et al., 2006). An important indicator that
does not necessarily correlate with yield/revenue gains is overall profit margins, where
the national average increase was 69 percent, but Tamil Nadu reported 229 percent while
Andhra Pradesh suffered a decline of 40 percent. To quote Herring (2007): Bt cottons have
been in the field too short a time for definitive assessment of either biological or economic
success across so varied an agro-ecology as India; results vary with seasonal variations of
pests, weather and local agronomics.
On balance, the limited available evidence supports Bt cotton as a qualified success in
most, but not all, parts of India. In several states, it has been very successful and has greatly
increased overall national cotton yields and farmer/processor incomes. Moreover, as of
2008 more than 270 Bt cotton varieties were available in India including lines specifically
adapted to all the major cotton-growing regions of the country (James, 2008). On the
negative side, it has polarized some sections of Indian society and contributed to a somewhat
tarnished image of aspects of GM technology. Also, its high technology fees have led to
IPR transgressions that might adversely affect the future development of other commercial
crops. The wider negative image of Bt cotton in some circles in India might be associated
with the provenance of the technology, i.e. it comes from an overseas private-sector source
in contrast to many previous, less controversial, crop improvement biotechnologies that
have often come from indigenous public-sector sources (Murphy, 2007a). This contrasts
with the less controversial locally developed Bt cotton in China. The situation is less clear in
South Africa, where modest yield and profit gains were reported from a two-year survey of
smallholders (Thirtle et al., 2003), but a later study showed a more complex picture (Shankar
and Thirtle, 2005). More recent studies of Bt and herbicide-tolerant maize performance in
the KwaZulu Natal region of South Africa over the 2006/07 growing season also revealed
a complex picture (Gouse et al., 2009). Some farmers of the GM varieties had substantially
higher yields but both GM technologies had very little impact on efficiency, and it was
concluded that the tillage system was a key determinant of efficiency levels. As stated by
the authors: The results mostly serve to show how dangerous it is to make any inferences
from small sample surveys in one production season.
1.5.6 Micropropagation of oil palm

A risk with mass clonal propagation by micropropagation is the creation of abnormalities
during the tissue culture process itself. In the 1980s, a commercial scheme to mass propagate
millions of oil palm plantlets from superior breeding lines in Malaysia foundered when the
maturing trees were found to have a serious abnormality in their floral development (Corley,
2000). This so-called mantling phenotype led to a failure of fruit formation and the trees
were effectively useless (Corley and Tinker, 2003). In the case of oil palm, the problem was
compounded by the fact that fruits do not normally appear on the plant for about five years.
This meant that the abnormalities were not discovered until the trees were already established
in mature plantations that had been expensively maintained for several years. At the time,
this was a significant setback for Malaysian oil palm development and the desired increases in
production were only maintained by an expansion of plantation area. Varietal development
and yield gains were also impeded by the slower rates of alternative propagation methods.
More recently, prospects for mass clonal propagation of oil palm have improved
significantly. Several private and public sector research programmes have investigated the
causes of the mantling phenotype which appears to be due to genotype-dependent epigenetic
changes induced by altered patterns of DNA methylation that occur during tissue culture
(Tanurdzic et al., 2008). Thanks to this improved understanding of tissue culture/epigenetic
interactions, clonal propagation of oil palm has now resumed in some plantations (Wong,
Tan and Soh, 1997). Flowering abnormalities still occur, but can often be detected and
removed at an early stage leading to much higher success rates in the production of fertile
trees. While this technology was primarily developed for commercial plantations, over one
third of oil palm yield is generated by smallholders (Vermeulen and Goad, 2006). Globally,
there are more than two million independent smallholders cultivating 5 Mha who also stand
to benefit directly from such improved clonal lines. The Malaysian example illustrates
some of the problems that can arise from tissue culture when manipulations used for plant
regeneration cause developmental abnormalities. Despite these setbacks, tissue culture and
mass propagation remain immensely valuable for agriculture in developing countries. It
should also be stressed that apart from micropropagation, oil palm breeding is showing
impressive gains via other biotechnologies. For instance, novel germplasm from Africa and
South America is being integrated into Asian breeding lines with the assistance of gene
discoveries showing monogenic inheritance for shell thickness, while advanced genomic
and MAS methods are now being deployed to address the full range of agronomic traits
(Sambanthamurthi et al., 2009).
1.5.7 Biopesticides for control of migratory locusts

Several different biopesticides are available for controlling locusts. Among them, the
most tested both in laboratory and in semi-field conditions and used for large-scale field
trials (mainly in Africa) as well as in operational conditions (in Australia and China), is a
mycopesticide formulated with the spores of the fungus Metarhizium anisopliae var. acridum.
As biopesticides have a slower rate of action compared with conventional chemicals, they
are usually sprayed if crops are not under immediate threat or when the environment is
particularly sensitive.
For many years FAO has supported environmentally friendly alternatives to chemical
pesticides for controlling locusts and has contributed to several field trials. In 2007, the first
FAO locust campaign ever carried out using a biopesticide was successfully undertaken in
Timor-Leste (FAO, 2009f). A migratory locust outbreak which had developed since the
beginning of the year was threatening maize and rice crops in a huge, inaccessible (only a
few roads and no airstrip) and highly sensitive (many water bodies and rivers) area. Upon
the recommendation of FAO, the Ministry of Agriculture, Forestry and Fisheries (MAFP)
of Timor-Leste agreed to use the biopesticide formulated with the spores of Metarhizium
anisopliae var. acridum (trade name Green Guard) in aerial and ground spraying operations.
Under the framework of an emergency project funded by the Central Emergency Response
Fund and implemented by FAO, the Metarhizium biopesticide was provided by FAO for
aerial spraying operations in May 2007 against in-flight swarms of the migratory locust
in the western part of Timor-Leste. They were supplemented in June by localized ground
spraying operations against smaller infestations.
The operations were successful and resulted in the quick control of the outbreak, with
no further spread of the locust populations (the locust adults were killed before egg laying)
and no damage to the rice crops. There were no side-effects on human health or on the very
sensitive environment of the Maliana area. It is also important to note that MAFP and FAO
carried out a public awareness campaign prior to the aerial spraying operations, providing
information about the locust situation and the use of a helicopter and a biopesticide to control
the locust populations. More recently, in 2009, similar biopesticides were deployed as part
of an international red locust emergency campaign in Eastern and Southern Africa. This
was the first time that biopesticides were used against locusts on a large scale in Africa and
a massive outbreak in Tanzania was successfully contained. This intervention is estimated
to have averted potentially serious damage to the food crops of over 15 million people in
the region (FAO, 2009g).
1.5.8 Hybrid sorghum in Africa

Sorghum is one of the most important crops in Africa where two of the main challenges
it faces are periodic drought and competition from the often devastating plant parasite
Striga or witchweed. Research at the International Crops Research Institute for the Semi-
Arid Tropics (ICRISAT) in the Sudan resulted in the first hybrid varieties of sorghum
for Africa that were both drought tolerant and high yielding. An early variety, Hageen
Dura-1, produced 50100 percent greater yield than traditional varieties and laid the
foundations of a commercial seed industry in Sudan. Newer drought tolerant hybrid
varieties in Niger have yielded 45 times the national average. In an unusual example
of South-to-North technology transfer, African breeder Gabisa Ejeta used germplasm
he had produced in the Niger and the Sudan to develop elite inbred lines of sorghum at
Purdue University to generate commercial sorghum hybrids for the United States and
international markets.
However, perhaps the most important sorghum hybrids were the Striga tolerant forms
developed in the 1990s and widely disseminated in Africa after 20022003. It is estimated that
Striga affects 40 percent of arable savannah land and the livelihoods of over 100 million people
in Africa (Gressel et al., 2004). Ejeta and colleagues used a broad-based research approach
involving molecular genetics, biochemistry and agronomy to identify genes for Striga resistance
which were then introgressed into both locally adapted and more modern sorghum varieties
(Ejeta, 2007). The new sorghum lines were thus broadly adapted to different African ecologies
and farming systems and are now grown from Sudan to Zimbabwe. Finally, an integrated Striga
management system was developed that has further increased sorghum productivity through
a combination of weed resistance, soil fertility enhancement, and water conservation (Ejeta and
Gressel, 2007). Meanwhile future research is focusing on identifying other yield-related genes
such as early-season cold tolerance (Knoll, Gunaratna and Ejeta, 2008; Knoll and Ejeta, 2008).
In 2009, the World Food Prize was awarded to Gabisa Ejeta in recognition of his achievements
in improving the prospects of African sorghum farmers (World Food Prize, 2009).
1.6 Conclusions: Lessons Learned
The preceding parts of this document have provided an overview of the current and past
experiences of applying biotechnologies in the crop sector in developing countries. Based
on these, a number of lessons can be learned that are summarized below.
Documentation of development, adoption and impact

Assessing the value of biotechnologies for rural development is quite difficult as the
information related to their application and socio-economic impact in developing countries
is very scant and sometimes inconsistent. Impact studies are often limited to the analysis
of the production equation, and fail to pay due attention to the socio-economic effects of
the newly introduced technologies.
Investments in biotechnology R&D

}} Crop biotechnologies in general have developed incrementally over the past century
although progress has accelerated greatly over the last two decades.
}} Many crop biotechnologies have been used for the benefit of agriculture in developing
countries and all have significant potential for future improvement.
}} The most enduring successes to date have come from long-term public-sector crop
improvement programmes addressing farmer-relevant problems.
}} Farmers in developing countries, especially small farmers, cultivate crops and face
problems that are particular to their cultural and environmental conditions and often
have limited purchasing power to access proprietary technologies. The spillover from
private sector research in industrialized countries has therefore had limited impact on
the livelihoods of subsistence farmers in developing countries.
}} An analysis of the past shows that a wide range of existing and emerging problems
related to food security can be tackled using crop biotechnologies in combination with
other technologies.
Linkages between biotechnology and other agricultural R&D

}} The major breeding and crop management successes to date have come from non-
transgenic biotechnologies encompassing the full range of agronomic traits and practices
relevant to farmers in developing countries.
}} Transgenesis has had limited but real success in modifying a few simple input traits in a
small number of commercial commodity crops which have also been adopted by some
farmers in developing countries.
}} Biotechnology programmes were effective when they complemented conventional
plant breeding and agronomy R&D programmes and were intimately linked to strong
extension programmes.
Policy development and priority-setting

}} Even where there was strong development of biotechnologies within the public sector
in developing countries, these were not always directed towards or made available to
smallholders.
}} An inclusive process of decision-making about appropriate crop biotechnologies in
the context of scarce resource allocations was rarely adopted in developing countries,
undermining the successful development of crop biotechnologies.
Capacity development
Key factors in the successful development of crop biotechnologies in developing countries
are: appropriate policy development; strengthened research and extension institutions; and
enhanced capacities of researchers and breeders.
Regulation of biotechnology use

}} The rollout of biotechnologies was successful when complemented by the full range of
cross-sectoral measures to ensure their efficient uptake by smallholders and effective
downstream use in well-regulated and fair markets, both local and global.
}} The lack of coherent national and international regulatory systems has created uncertainty
and possibly reduced investments in biotechnology. This, in turn, has discouraged its
adoption and use in developing countries.
Uptake of biotechnologies
}} Experience has demonstrated that the uptake of improved varieties or technologies by
smallholder farmers does not depend on their performance only, but also on equitable
access, adequate infrastructures, appropriate extension capacities and the involvement
of all relevant stakeholders.
}} There are indications that farmer participatory research, including participatory
plant breeding, is a useful approach for connecting high-tech scientists with the most
disadvantaged subsistence farmers in developing countries.
Shared access to technologies

}} Many resources, technologies and skills relevant for biotechnology development are
either currently held by the private sector or are scarcely available to scientists in
developing countries.
}} A few developing countries have established solid plant biotechnology programmes
sustained by substantial investments and have achieved remarkable progress in
biotechnology development and adoption.
B. Looking Forward: Preparing for the Future
1.7 Key Unsolved Problems where Biotechnologies Can Help
One of the major concerns for the future is the potential impact of climate change on
agriculture. Changing temperatures and precipitation patterns will clearly affect the range
of crops that can be grown in different regions and their manner of cultivation. In some
cases, existing crops might continue to be grown but new varieties would be needed to cope
with the changed conditions. Examples might include heat, cold, salt, or drought tolerant
varieties of existing crop staples. In other cases, alternative crops may need to be grown or
entirely new species domesticated in order to adapt to changed environmental conditions.
The occurrence and severity of biotic stresses such as weeds, pests, and diseases will be
altered. Once again, breeders will need to develop new stress tolerant varieties, possibly
at relatively short notice. Related problems might arise from human impacts, and in some
cases these will have similar solutions to those caused by climate change. For example, the
lack of water in a region could be due to either drought or diversion by other people, and
increased soil salinity could be caused either by climate-related inundation by seawater or
by inappropriate irrigation practices.
In this Section, two principal topics are addressed: first, to identify a range of potentially
problematic issues that will be important in the future and, second, to examine the role that
different kinds of biotechnologies might play in dealing with them. Perhaps equally important
is the availability of such biotechnologies and the local capacity for their development
and/or exploitation in a particular country or region.
1.7.1 Biotic stresses

Existing diseases, pests and weeds
Historically, breeders have been successful in selecting resistance traits in many of the
major crops but such achievements can be offset by the sporadic nature of some important
disease and pest threats and the eventual breakdown of resistance, especially during heavy
infestations. Many effective chemical treatments and agronomic practices are available
to help farmers control fungi and nematodes, but there are no equivalent virus-control
agents. The production of virus-free plantlets is effective for avoiding secondary infections
(infections transmitted to the next generation crop by the planting materials), but is totally
inefficient against primary infections. Therefore, combating viral diseases normally relies on
endogenous resistance within the plant itself. In the absence of resistance, viral infections can
be particularly devastating to a crop. This has stimulated efforts to engineer viral resistance
into transgenic crops. The commercial cultivation of transgenic squash and papaya varieties
with virus-resistance genes has already been approved in some tropical regions of developed
countries and may soon be extended to some developing countries. In the medium term,
the use of transgenesis and MAS to produce virus resistance in crops is a highly promising
area, and is one case where this approach may well be the best option for combating this
class of crop diseases.
As discussed previously, there are several effective biological strategies to replace or
complement the chemical control of bacterial, fungal and nematode pathogens. Examples
include IPM and biocontrol, and these approaches will benefit from new advances in
biotechnology. In many developing countries, and indeed elsewhere, there are increasing
financial, safety, and environmental advantages to such strategies especially given the
widespread need for increased sustainability in agricultural practices. Another future option
that could carry a similar range of benefits is the development of endogenous resistance
to pests and pathogens through genetic modification (Gressel et al., 2004) or conventional
breeding, possibly assisted by molecular genetics. Technically speaking, and although several
promising approaches have been demonstrated, this has been much more problematic to
address than viral or insect resistance where single-gene resistance traits are more common.
The broader question of engineering plants with increased disease resistance, regarding
both what genes to use and how to ensure that they are expressed in the right place at the
right time, has been examined by Gurr and Rushton (2005a, 2005b). The severe agronomic
impact of pathogens and the limitations of chemical control have stimulated a wide variety
of approaches to engineering resistance in crops. For example, in China, the Xa21 bacterial
blight resistance gene has been transferred to five rice varieties (Zhai et al., 2000). In India,
molecular MAS was successfully used in a backcross breeding programme to introgress
three genes (Xa21, xa13, and xa5) for bacterial blight resistance into a local susceptible rice
variety (Sundaram et al., 2009). Antifungal agents such as phytoalexins and chitinases have
also been expressed in plants (Shah, Rommens and Beachy, 1995). However, in developing
fungal resistance within crops it is difficult to produce broad-spectrum durable resistance
without transferring huge numbers of genes. In fact, fungi often evolve spontaneously in the
field, overcoming the resistance. It is possible that in the longer term, additional transgenic
crops resistant to bacterial, fungal and nematode pathogens will be developed but, at present,
non-transgenic approaches may often be the more pragmatic option.
As far as resistance to pest insects is concerned, current approaches focus on genes
conferring antibiosis or properties that adversely affect insect physiology. This type of
resistance may become futile in the long run because insects can develop mechanisms to
overcome the resistance. Another possible drawback of antibiosis-based pest resistance is
that it can affect target and non-target organisms, damaging the crop-associated diversity.
A promising research area is the development of pest resistance based on antixenosis, or
plant properties that deter or prevent pest colonization by interfering with their behaviour
(van Emden, 2002). Although generally under multigenic control and thus more difficult to
manipulate genetically, antixenosis mechanisms are more specific and more environmentally
benign. Antixenosis genes have been recently identified and mapped in several plant species,
for instance in wheat (Castro et al., 2005), but the pathway to practical applications seems
quite long.
Newly emerging threats

New crop pests and diseases are constantly emerging and with global transportation
and trade can spread rapidly across the world. Some biotechnologies can be used both
in surveillance and in breeding programmes to detect and then combat such threats. For
example, one of the most serious crop diseases to emerge in recent years is a highly virulent
strain of the wheat black stem rust, Puccinia graminis (Ayliffe, Singh and Lagudah, 2008;
FAO, 2008b). Termed Ug99, the rust first emerged in Uganda in 199899, spread around
East Africa in the early 2000s, and has now been detected in the Arabian Peninsula and
Iran, with a high likelihood of further spread to major wheat growing areas of the Indian
subcontinent (Hodson, Singh and Dixon, 2005). This disease has already overcome most
of the rust resistance genes bred into wheat over the past 50 years since the early days of
the Green Revolution. The US Department of Agricultures Agricultural Research Service
(USDA-ARS) has recently reported the presence of a new variant of the pathogen in Kenya
(Comis, 2007). Over one billion people live in potentially affected areas and almost 120
MT of annual wheat production is threatened. The serious threats to food security posed
by Ug99 and other emerging crop pathogens will only be satisfactorily addressed by an
international effort using all available methodologies. In the case of Ug99, the threat is now
being tackled by the Borlaug Global Rust Initiative, a multinational programme whose
members include CIMMYT, the International Center for Agricultural Research in the Dry
Areas (ICARDA), the Gates Foundation, FAO and USDA-ARS (Kaplan, 2009).
Two key areas where biotechnologies can quickly contribute to combating newly
emerging threats are surveillance/detection and breeding for resistance. It has been alleged
that the initial detection of the Ug99 outbreak was delayed due to a (perhaps understandable)
reduction in the disease monitoring work by CIMMYT after a period of 40 years without rust
outbreaks (Stokstad, 2007). In the future, improved molecular kits such as microarray-based
systems might enable surveillance to be carried out more cost effectively and extensively,
possibly by larger teams of non-experts supervised by smaller numbers of experts. By
their nature, new threats are unknown, but the more the relationships between crops and
pests/disease organisms in general are understood, the better are the prospects to mount
rapid and effective responses. Rapid identification of new pathogens and especially their
genome sequences will facilitate the development of control strategies based on previous
experience with related disease organisms. Such measures have already been of immense
benefit in the case of new human and animal pathogens such as the coronavirus that causes
severe acute respiratory syndrome and the virulent influenza A-type viruses. For example,
within days of the April 2009 outbreak of influenza A (H1N1) in Mexico, the entire genome
sequence of the virus was publicly available online (NIH, 2009).
1.7. 2 Abiotic stresses

Abiotic stresses are a particular concern in regions such as the Middle East and parts of Africa
where climate change and increasing soil salinization are threatening crop yields in more
than 170 Mha of farmland (Ashraf, Ozturk and Athar, 2009). Drought and salinization are
already significant threats to agricultural productivity and among the most common causes
of sporadic famine in arid and semi-arid regions. Extended episodes of aridity, normally
caused by changes in rainfall patterns, were associated with the collapse of numerous
civilizations around the world during the past 8000 years (Murphy, 2007c). The increasing
scarcity of water resources and fertile soils is likely to cause human conflicts at local and
international levels that will exacerbate food shortages in the affected regions still further.
Although abiotic stress is often regarded as a primarily external (i.e. environmental) factor
in crop performance, there is also a great deal of untapped genetic variation in responses to
such stresses in all the major crop groups (Boyer, 1982; Ribaut and Betrn, 1999; Forster
et al., 2000; Ribaut et al., 2000; Harris, 2005; Bnziger et al., 2006). In particular, genetic
diversity within crop groups whether in the form of wild relatives or conserved landraces
or other genetic resources can be a powerful source of useful variation for abiotic stress
tolerance (Singh, Ocampo and Robertson, 1998; Almekinders and Struik, 2000; Langridge,
Paltridge and Fincher, 2006). Biotechnology can play a major role here, by enabling the
exploration of large germplasm collections without expensive testing against adverse
environmental conditions. For example, an international effort to identify genetic loci
associated with drought tolerance has recently started under the auspices of the Generation
Challenge Programme.
Another potential component of abiotic stress tolerance in crops that has been much
neglected by researchers and breeders is the rhizosphere, the soil region around the plant
roots. While the structural and inorganic components of the rhizosphere have been well
studied, very little work has been done on biological communities such as rhizosphere flora
(FAO, 2008c), which can both promote plant growth and reduce the impact of stresses such
as drought (Figueiredo et al., 2008), salinity (Zhang et al., 2008), and poor soil nutrition
(Shaharoona et al., 2008). While this approach is still in its infancy and has yet to be applied
in developing countries directly, it carries the promise of addressing stress tolerance in the
context of lower input nutrient management systems that would be highly relevant to such
regions (Adesemoye, Torbert and Kloepper, 2008; Yang, Kloepper and Ryu, 2009).
It has been claimed that there is significant potential for transgenesis in modifying
stress related traits (Wang, Vinocur and Altman, 2003). However, as researchers in the
field have pointed out, our limited knowledge of stress associated metabolism in plants
still constitutes a major handicap to effect such manipulations in practice (Vinocur and
Altman, 2005). Another problem that farmers and breeders have long been aware of is the
synergistic effect of different stresses on crop performance. It is often the combination of
such stresses that is so deleterious to the crop in the field, rather than the effect of a single
category of stress. However, molecular biologists have tended to focus (for understandable
reasons) on single stresses applied in highly controlled environments. Unfortunately for
this piecemeal approach, recent studies have shown that the simultaneous application of
several stresses gives rise to unique responses that cannot be predicted by extrapolating
from effects of stresses given individually (Mittler, 2005). The simultaneous presence of
multiple stresses is the norm in open environments, so the success of molecular approaches
in addressing them in crops will probably require broader and more holistic approaches
than the somewhat reductive strategies employed until now.
Salinity
Salt and nutrient stresses together affect over 100 Mha of farmland, resulting in low outputs,
poor human nutrition and reduced educational and employment opportunities (Ashraf,
Ozturk and Athar, 2009). Salt tolerance was one of the earliest traits selected by breeders in
intensive farming systems. Indeed, in ancient Mesopotamia about 4200 years ago, Sumerian
farm managers switched from emmer wheat to intensive cultivation of more salt tolerant
forms of barley in an effort to combat increasing salinization and aridity (Murphy, 2007c).
Efforts to select salt tolerant crop varieties, while partially successful, have been hampered
by the complexity of the trait and the number of minor genes involved. One problem facing
breeders is that crop improvement is often negated by a lack of effective germplasm evaluation
during the full growth cycle of the plant (Munns, 2002, 2005; Munns and Tester, 2008). It
can also be difficult to ascertain which mechanism of salt adaptation is being expressed in
a particular species or developmental stage. Ashraf et al. (2008) have listed the following
reasons for limited success in tackling salt tolerance: 1) breeding is time consuming and
labour intensive, 2) deleterious genes are often transferred alongside desirable traits, and 3)
reproductive barriers obstruct the transfer of favourable alleles from wide crosses. In the
future, breeding technologies such as MAS and assisted wide crosses will enable breeders
to address these challenges with more success than previously. A concerted R&D focus on
breeding for salinity traits should be a priority during the next decade.
Salt tolerance has been a particular focus of claims for significant results from transgenic
approaches. One of the key prerequisites for success in a transgenic strategy to develop salt
tolerance is that it should be regulated as a simple genetic trait, i.e. one involving a very small
number of genes. Although such apparently simple genetic regulation has been reported in
some laboratory studies (Yamaguchi-Shinozaki and Shinozaki, 2001), it seems more likely that
salt tolerance in most crops in the field is a rather complex multigene trait that has evolved
differently in several plant groups (Flowers, 2004; Rozema and Flowers, 2008). However,
there have been some promising successes in developing salt tolerance in model plants in
the laboratory. For example, transgenic tobacco engineered to accumulate elevated levels
of mannitol was able to withstand high salinity (Tarczynski, Jensen and Bonhert, 1992).
Laboratory and small-scale field studies have shown that the accumulation of compounds,
such as betaine or trehalose in transgenic plants may also enhance salt tolerance (Nuccio et
al., 1999). Rapeseed plants expressing an Arabidopsis vacuolar transport protein tolerated as
much as 250 mM sodium chloride (about half the concentration of sea water and enough to
kill most crops) without significant impact on seed yield or composition (Zhang et al., 2001).
A project to conserve mangrove genetic resources in India is studying and characterizing the
genes involved in salinity tolerance from these plants and their associated species which are
capable of surviving in highly saline environments. The genes thus isolated were transferred
to crops such as rice and initial laboratory analyses have been promising (FAO, 2006b).
Despite these encouraging reports, it is not clear whether such relatively simple
modifications will lead to a sustained effect on crop yields in more complex real world
cropping systems where osmotic stress is often linked with a combination of other factors
such as periodic aridity, mineral/salt buildup and/or erosion. This means that the jury
is still very much out on the amenability of salt tolerance in the field to modification by
transgenesis (Yamaguchi and Blumwald, 2005). It is known that salt tolerance must be an
especially complex physiological trait because there are so many tolerance mechanisms in
salt adapted plants in the wild. This should lead to some caution about claims in published
studies that the transfer of one or a few genes can increase the tolerance of a wide range of
field crops to saline conditions. As stated by Flowers (2004): It is surprising that, in spite
of the complexity of salt tolerance, there are commonly claims in the literature that the
transfer of a single or a few genes can increase the tolerance of plants to saline conditions....
After ten years of research using transgenic plants to alter salt tolerance, the value of this
approach has yet to be established in the field.
The way forward here is to investigate as many realistic strategies as possible. Nevertheless,
given the present state of knowledge it is probably more appropriate to focus limited breeding
resources on non-transgenic approaches while supporting research into the physiology and
molecular genetics of salt tolerance for potential future application.
Drought tolerance
Like salt tolerance, drought tolerance appears to be controlled by a complex set of traits
that may have evolved on numerous occasions as separate mechanisms in different plants
and according to the dynamics (i.e. timing and intensity) of water shortages. In the near
future, it is likely that aridity will increase in several parts of the world with FAO estimating
that by 2025, 1.8 billion people will be living in regions of water scarcity (FAO, 2009h).
This will be caused by factors such as localized lower rainfall due to climate change and the
diversion of upstream water supplies from rivers, e.g. for dams or irrigation, thus depriving
farmers in downstream regions. In the case of rice alone, over 70 Mha are already affected
by drought stress (Ashraf, Ozturk and Athar, 2009). Given the predicted increase in long-
term aridity, it is surprising that until relatively recently there have been few well resourced
attempts to produce drought tolerant crops, even by publicly funded organizations. Such
research is complicated by the sporadic nature and hugely varying intensity of drought or
aridity episodes in the affected cropping systems. This also highlights the importance of the
concept of genotype x environment x management, which is a crucial but highly complex
multifactorial relationship that affects all efforts to select for drought tolerance and other
abiotic stress traits. An integrated approach taking into consideration several aspects is
therefore advisable (FAO, 2008c).
Meanwhile, basic research using reverse genetics and other genomic approaches is beginning
to give a few clues about some aspects of drought tolerance mechanisms. For example, it was
recently reported that the erecta gene, involved in transpiration efficiency, might regulate
some of the genetic variation for drought tolerance in the model plant, Arabidopsis (Masle,
Gilmore and Farquhar, 2005). Although the data are still very preliminary in this case and
do not directly relate to major crop systems, the general approach merits further attention.
However, as with salt tolerance it may turn out that in a practical field situation many other
genes are involved in addition to erecta or its equivalents in other plant families.
As with salinity, advanced non-transgenic breeding methods are available to improve the
agronomic performance of existing drought tolerant crops in arid regions. Of such crops,
one of the most important is pearl millet which is grown on more than 40 Mha in Africa.
The similarity in gene order, or synteny, between the pearl millet genome and that of the
other major cereals (Moore et al., 1995; Bolot et al., 2009) means that once their loci are
identified, drought tolerance traits could potentially be introduced into local varieties via MAS.
Another option is to use wide crossing and tissue culture methods to cross millet with one
of the other high yielding cereal crop species to create a new drought tolerant, high yielding
hybrid species. Breeders have already used such a strategy to create the drought adapted
rye/wheat hybrid, triticale, which is a completely new man-made plant species. Further
breeding of triticale is now underway to extend its agronomic performance and drought
tolerance especially in arid regions (FAO, 2005b). A combination of breeding approaches
by ICRISAT and national organizations has generated significant varietal improvements
for pearl millet and sorghum. For example, in southern Africa these new varieties occupy
34 percent of the millet area and 23 percent of the sorghum area (CGIAR, 2005). In some
cases, farmer participation has been a key element in varietal improvement. One example
is the early maturing millets that can enable dryland communities to get through the
hungry season just prior to the main harvest when the previous years grain has already
been exhausted. Here, Namibian farmers selected a variety that matured 46 weeks earlier
than traditional millets. Within a few years, the new variety covered half the millet area of
Namibia. From an initial R&D investment of US$3 million, a sustainable annual return of
US$1.5 million in yield benefits has been achieved (CGIAR, 2005).
At present, the major transgenic work on drought tolerance is being done in the private
sector. In some cases, genes are being transferred from other species but companies are
reportedly using multipronged approaches involving both conventional breeding and
biotechnology. The resulting varieties are likely to carry very specific trait combinations
such as enhanced root growth for maize grown under high input conditions (Castiglioni
etal., 2008; Edgerton, 2009). These approaches may well highlight possible future breeding
strategies or target traits in developing country staples but may not be directly applicable to
some of the less intensively managed crops. Also, such approaches are not always realistic
in the less well funded context of public sector, public good orientated crop improvement,
especially in developing countries. One exception here might be the PPP between Monsanto,
the African Agricultural Technology Foundation and CIMMYT, which includes funding
from the Gates Foundation and is aimed at developing drought tolerant maize varieties
in Africa (Water Efficient Maize for Africa). Other approaches to drought tolerant maize
development at CIMMYT are focusing on using genomics and MAS to identify and introgress
drought related traits in existing germplasm.
1.7.3 Yield
Maximizing crop yield is probably the most desired aim of any farmer. By increasing
yield per ha, more people can be fed from the same area of land. Higher yields also mean
that less land is required for crop production, relieving pressure to develop pristine and
often environmentally sensitive habitats such as rain forests or species-rich wetlands. It
is a telling fact that the great majority of increased crop production over human history
has occurred due to the expansion of arable cultivation rather than increased yield per
ha. For example, prior to the introduction of scientific breeding techniques in the early
twentieth century, grain yields across the world rarely exceeded 2 T/ha, even in the most
favourable environments (Ruttan, 1999). The application of Mendelian genetics was an
important step forward in realizing yield gains, but some of the most spectacular progress
came from new hybrid technologies especially as applied to maize. Following the almost
universal adoption of hybrid varieties, US maize yields increased from 1.8 T/ha in the 1920s
to 7.8T/ha in the 1990s (Murphy, 2007c). It has been estimated that at least 60 percent of
the increase in maize yields was attributable to advances in breeding with the remaining
40 percent resulting from improved crop management including more effective inputs and
mechanization (Duvick, 1997).
These relatively recent biologically-attributable yield gains in commercial grain crops
should stimulate greater investment aimed at applying a combination of modern breeding
and management technologies to the broad range of developing country crops where yields
still remain well below their physiological limits. As noted by Ruttan (1999): In most
developing countries, yields are still so far below existing biological ceilings that substantial
gains can be realized from a strategy emphasizing traditional crop breeding combined with
higher levels of technical inputs, better soil and crop management, and first generation
biotechnology crop protection technology.
Yield traits are increasingly becoming priority targets in developing countries as breeders
improve their understanding of the genetics of indigenous crops, and hence their capacity
to manipulate these often complex characters. Yield gains of major temperate crops have
levelled off in recent years and genetic modification has so far made a limited contribution
to the increase in intrinsic yields and to the yield capacity of plants in standard conditions
(Gurian-Sherman, 2009). In contrast, the capacity for dramatic yield improvements of many
developing countries crops, especially orphan crops, remains largely unrealized (Qaim
and Zilberman, 2003). Semi-dwarf cereals were the basis of the Green Revolution of the
1960s and 1970s. However, the identification of these key traits involved the selection of
serendipitous variants with little understanding of the developmental processes underlying
the traits. Thanks to emerging knowledge of plant development and genomics it is now
becoming increasingly feasible to consider the rational redesign of crops (Sinclair, Purcell
and Sneller, 2004). For example, gibberellins are important regulators of plant height and
hence mutations or gene deletions that either reduce the activity of known gibberellin
biosynthetic enzymes or compromise signal transduction pathways involving gibberellins
can be confidently predicted to result in the kind of dwarf phenotype seen in modern cereals
(Hedden and Kamiya, 1997; Sasaki et al., 2002).
The new understanding of the genetic basis of domestication syndrome traits in many
crops, coupled with detailed genomic sequence data and genome synteny in major plant
groups, will allow breeders to move key traits between crops or to domesticate new species
(Motamayor and Lanaud, 2002; Murphy, 2007c; Weeden, 2007; Burger, Chapman and
Burke, 2008; Sang, 2009).
There is a great deal of basic research in industrialized countries of possible relevance
to future yield improvements, although robust mechanisms for the application of such
research are often lacking, especially in developing countries. Two basic approaches to
yield improvements of particular promise are the manipulation of seed development and
the manipulation of plant architecture. Crop yields can be increased by developing larger
seeds or by manipulating seeds to accumulate more of the desired edible products (e.g.
starch or oil) and less of the unwanted products.
Alternatively, plant architecture can be manipulated to maximize yield-bearing structures
such as seeds and fruits, and reduce non-productive structures such as excessive branching,
thick seed coats, or tall, slender stems. In principle, plant architecture could be redesigned
to give higher yielding wheat-like maize plants or dwarf banana, oil palm, or coconut
palm trees (Lev-Yadun, Abbo and Doebley, 2002). In order to exploit likely developments
in these and other areas of basic plant science for practical crop improvement it will be
crucial for research capacities to be built up further in developing countries, and for greater
use to be made of molecular markers especially among public sector crop researchers in
industrialized countries.
1.7.4 Nutritional quality

Quality traits such as increased nutritional content have been selected by farmers for
over ten millennia (Murphy, 2007c). In principle, varieties can be selected/engineered to
produce edible parts that contain specified amounts of macronutrients (starch, protein,
and oil) and/or micronutrients (vitamins and minerals). The type of starch, protein, or
oil in seeds and fruits can also be modified to some extent by both transgenic and non-
transgenic methods (Korth, 2008; Newell-McGloughlin, 2008; Slater, Scott and Fowler,
2008). However, more precise manipulations may be possible in the future to produce
so-called designer crops (Murphy, 2002). For example, there are several cases where
the amount or potential nutritional value of seed or tuber protein has been improved
by transgenesis although no new crop varieties have yet been commercially released
(Chakraborty, Chakraborty and Datta, 2000; Lee et al., 2003; Wang et al., 2003; Popelka,
Terryn and Higgins, 2004).
The manipulation of fatty acid composition of oil crops can add to their nutritional and
commercial value, and transgenic approaches are extending the range of fatty acids in future
crops to include long-chain omega-3 polyunsaturates that cannot normally be synthesized
by higher plants (Murphy, 2006). Many, but not all, of these manipulations will involve
transgenesis and most of them lie in the medium-to-long-term future rather than being
immediate practical options for developing country crop improvement.
Biofortification
Almost all global crop staples are nutritionally deficient in some respect (Murphy, 2007c).
This means that when populations are forced to rely on a narrow range of food crops they
can suffer from varying degrees of malnutrition, with young children invariably faring the
worst. While an ideal solution to this problem is to reduce poverty, hence enabling farmers
to purchase a wider range of foods, another approach is to improve the nutritional value
of existing subsistence crops. The examples below illustrate some of the methods that are
beginning to be used by breeders to increase levels of key nutrients such as vitamins and
minerals, in a strategy known as biofortification (Nestel et al., 2006; Gilani and Nasim, 2007;
Hirschi, 2008; Mayer, Pfeiffer and Beyer, 2008; Stomph, Jiang and Struik, 2009). Several
vitamin-enhanced fruit varieties for Asia and Africa, including a high-carotene tomato for
adaptation to semi-arid areas of West Africa are being developed (AVRDC, 2009).
The HarvestPlus consortium focuses on the three dietary micronutrients recognized
by the World Health Organization (WHO) as particularly limiting in many subsistence
populations in developing countries, namely iron, zinc and vitamin A. HarvestPlus has
breeding programmes utilizing all available biotechnologies including MAS and genomics
for six of the most important staple food crops, i.e. rice, wheat, maize, cassava, sweet
potato and common beans (Cakmak, Graham and Welch, 2004). In addition to enhancing
micronutrient levels in selected crops, its objectives are to assess the bioavailability of
micronutrients in foods actually consumed by the population to facilitate farmer uptake
of the varieties and measure their long-term nutritional impacts (HarvestPlus, 2007). The
Vitamin A for Africa (VITAA) programme is focused on vitamin A in the sweet potato
(CIP-VITAA, 2008).
Sweet potato is the fifth most important global crop on a fresh weight basis and is
especially important in Africa. Traditional white varieties have little vitamin A and over 3
million children in the region suffer from vitamin A-related blindness. Vitamin A deficiency
is also a leading cause of early childhood death and a major risk factor for pregnant women.
New orange-fleshed varieties with high vitamin A levels obtained through conventional
plant breeding schemes could potentially replace white sweet potato varieties that had
previously been favoured by farmers throughout Africa (Low, Walker and Hijmans,
2001; Tumwegamire et al., 2004). One future challenge is to provide enough planting
material (normally as bundles of vine cuttings) to meet the high levels of farmer demand.
Micropropagation can assist in this respect. Other targets are to improve post-harvest
handling and food-preparation methods at community level to ensure retention of beta-
carotene (provitamin-A) levels, and to assess the impact of orange-fleshed sweet potatoes
on the health status of HIV/AIDS-affected communities.
The best known transgenic approach to biofortification is golden rice, developed
in the 1990s by a Swiss/German public-sector group (Ye et al., 2000). This rice variety
has yellow rather than white grains due to the accumulation of beta-carotene, which is
normally absent from polished rice grains. More recently, an improved version of golden
rice has been developed with a reported 23-fold increase in provitamin-A levels (Paine
etal., 2005). The development of laboratory versions of golden rice was just the start of a
lengthy process of backcrossing into local varieties and field tests that has already lasted
a decade. In 200507, the original golden rice trait was crossed into the popular IR64
variety at IRRI, and outdoor field trials of 20 potential breeding lines started in 2008.
Field trials of the improved golden rice variety show five times more provitamin-A than
the original lines (IRRI, 2008). A further challenge will be to ensure that newly expressed
provitamin-A can withstand processing, storage, and cooking, while remaining bioavailable
after consumption.
1.7.5 Narrow genetic basis of crop production

Since the beginning of agriculture, more than 7000 species of plants have been cultivated
or collected. Many remain important to local communities where exploiting their potential
is crucial to achieving food security, but nowadays it is estimated that only 30 crops
provide 95 percent of human food energy needs and just four of them rice, wheat,
maize and potatoes provide more than 60 percent. The domestication of new crops by
advanced breeding methods is an exciting prospect for broadening the genetic base of
crop production and extending the potential of agriculture to provide food and other
materials in the climatically uncertain times that lie ahead. Recent advances in genomics
and the manipulation of complex traits have clear applications in the domestication of new
crops (Varshney, Graner and Sorrells, 2005; Varshney and Tuberosa, 2007b). Emerging
understanding of the genetic basis of domestication traits will aid their manipulation
via advanced methods such as MAS (Murphy, 2007c). This will accelerate breeding
programmes aimed at improving agronomic performance and enable the faster and more
reliable multiplication of seeds or plantlets for dissemination to growers. For example,
Bioversity International has recommended that partially domesticated or undomesticated
tropical fruits are used as alternative sources of vitamins.
In a recent survey of southeast Asian fruits, ten candidate species with high vitamin
A levels were found, including durians (Durio spp.), milk apple (Syzygium malaccense),
rose apple (S. jambos), and button mangosteen (Garcinia prainiana) (Khoo et al., 2008).
Some of these fruits could be grown as cash crops. Their further improvement, and that
of other newly domesticated plants with great potential in developing countries, would
be greatly facilitated by biotechnologies such as MAS (Murphy, 2007a). From records
of indigenous cultures, at least 1650 tropical forest species are potential horticultural
crops. Many of these plants are already adapted to areas unsuitable for existing crops
and could therefore extend local food-producing capacity without interfering with
existing crops.
1.7.6 Sustainable and environmentally friendly crop production

Intensive agriculture using primarily human and animal inputs has been practised in various
regions of the world for well over four millennia. Examples include irrigated barley/wheat
production in ancient Mesopotamia, paddy rice in East Asia, and the milpa system in the
Americas (Murphy, 2007c). Over the past century, however, the availability of cheap energy
and raw materials has facilitated a massive expansion of intensive farming across the globe that
does not depend on biological inputs. In particular, the introduction of inorganic fertilizers
and new crop varieties bred for efficient fertilizer response have been the cornerstone of
the Green Revolution which largely alleviated the crisis in food security in developing
countries during the 1960s and 1970s (Murphy, 2007a). During the past century, intensive
arable farming has spread globally as more and more land has been brought into cultivation.
It is now generally agreed that humankind is approaching limits both in the amount of land
available for future agricultural expansion and in the sustainability of intensive, high input,
fossil fuel dependent farming systems. But there remains a fundamental tension between
understandable concerns for the long-term sustainability of crop production with the lowest
feasible environmental footprint and the undoubted requirement for higher yields to feed
expanding and increasingly urbanized populations, especially with the added uncertainties
of climate change and a possible consequent reduction in usable arable land. This complex
and interrelated set of challenges can be addressed, at least in part, by biotechnologies in
combination with other approaches.
In the recent past, environmental and sustainability concerns about cropping systems
have frequently been the drivers for technology-based solutions. Examples already
discussed include IPM or biocontrol to replace pesticide inputs, and biofertilizers or
legume intercropping to replace inorganic nitrogen inputs. Such methods are widely used
in developing countries but there remains great scope for their refinement and extension
to a wider range of crop types.
The replacement of inorganic inputs by biological agents can have multiple benefits such
as reduced energy use, enhanced environmental credentials (e.g. the reduction or elimination
of input residues), lower costs and improved safety for farmers who would no longer need
to purchase or handle so many chemical inputs. The use of advanced breeding technologies
to create significant yield gains, especially if these can be achieved without greatly increasing
inputs, has clear environmental implications because it reduces pressure to bring more land
into cultivation. Clearly, many of these developments remain aspirational at present but
the fact remains that biotechnologies can play a greater role in enhancing the sustainability
and mitigating the environmental impact of farming. One emerging area that will become
increasingly important in the future is that of agro-ecological system dynamics as applied
to breeding strategies and technological interventions. This area relates especially to the
implications of climate change and the manner in which adaptation, uncertainty, vulnerability
and resilience are viewed. A useful critical discussion of this area with a commentary on
biotechnology-based strategies is provided by Thompson and Scoones (2009).
Decisions about introducing more sustainable and/or environmentally friendly crop
production methods have sometimes thrown up both threats and opportunities that can
be addressed via biotechnology. For example, the voluntary implementation in Malaysia
of a no-burn policy when replacing ageing oil palm trees led to an increase in infestation
rates by the virulent fungal pathogen, Ganoderma boninense, which causes basal stem rot
(Bridge et al., 2000).
Public sector researchers in Malaysia and Indonesia responded by developing new
molecular technologies for the early detection of this problematic disease and innovative
microbial agents for its effective treatment (Flood, Bridge and Holderness, 2000; Soepena,
Purba and Pawirosukarto, 2000; Panchal and Bridge, 2005; Brton et al., 2006; Paterson,
2007; Sundram et al., 2008).
1. 7. 7 Conclusions
}} There is a wide range of existing and emerging problems related to food security that
can be tackled by crop biotechnologies in combination with other technologies.
}} Key areas include pest/disease control, salt/drought tolerance, crop yield/quality, and
the sustainability and environmental impact of crop production.
}} The knowledge gained from basic plant research will underpin future crop improvements
but effective and robust mechanisms for the rapid and effective translation of research
discoveries into public good agriculture remain to be developed.
}} Maximum benefit will be derived if robust plant breeding and crop management
programmes have ready access to all the modern crop biotechnologies, both transgenic and
non-transgenic, to address food security issues. This will require additional investments
in capacity building for R&D in developing countries.
}} Technology implementation alone is not sufficient to address such complex questions
as food security. Biotechnologies will make new options available but their uptake and
effective exploitation will rely on an intricate web of cross-sectoral factors.
1.8 Identifying Options for Developing Countries
Based on the overview and previous analyses contained in this Chapter, a number of
specific options can be identified to assist developing countries make informed decisions
regarding the adoption of biotechnologies in the future, such as when and if they should
employ one or more crop biotechnologies and, if they decide to use them, how to ensure
the successful application of the chosen biotechnologies to enhance food security in the
future. The options identified are grouped under the same eight headings as the lessons
learned from the past (Part 1.6).

Developing countries should undertake national-level documentation and analysis of the
adoption and socio-economic impacts of biotechnological innovations for crops to advise
policy-makers on the cost/benefit implications of biotechnology applications. This includes
the collection of data, studies, etc.

}} Developing countries, possibly working in regional groups, should build up indigenous
research, development, and advisory capacities for the generation, assessment and
adoption of appropriate biotechnologies.
}} Adequate, consistent, stable investments should be ensured from indigenous resources
to public sector biotechnology R&D.

}} Investments in biotechnology R&D cannot be made at the expense of current spending
in other research fields.
}} Biotechnological research should be linked more effectively to strong and well resourced
R&D programmes on crop breeding.

}} Countries should develop expertise to ensure they can make sovereign decisions
about adopting biotechnologies and carry out their own independent, broad- based
risk/benefit analyses.
}} Countries should prioritize research activities to address the greatest food security
needs, with special reference to the needs of smallholders.
}} Countries should ensure the appropriate involvement of relevant stakeholders in
decision-making processes.
}} Decisions on crop biotechnology tools to address the problems of smallholders should
reflect the appropriateness and socio-economic impacts of the tools.
}} Independent public sector organizations should engage and communicate more
effectively with society at large about the role of all crop improvement/management
biotechnologies for food security.
Countries should develop the biotechnology capacities of national agricultural research
systems in their three dimensions (policy development, institutional set-up and human
capacities).

}} All countries should be encouraged to establish consistent and transparent, evidence-based
decision-making processes to regulate crop biotechnology R&D and its application.
}} Biotechnology-related regulations should be developed in harmony with other national
regulations, especially those relating to plant and animal health and food safety. For this
purpose, the adoption of the biosecurity1 approach is strongly encouraged.
}} While it is essential that decisions on adopting biotechnologies are ultimately based on
verifiable scientific evidence, public participation should, where appropriate, form part
of the decision-making process.
}} Developing countries can often act more effectively in regional groups when engaging
with international trade and conventions.
}} Biotechnology development strategies should be strongly linked with strategies for its
widespread dissemination.
}} Stronger extension services, with expertise in modern agronomy and linked with
participatory crop improvement programmes, should be an integral part of national/regional
agricultural support structures.
}} Seed production and distribution systems should be enhanced.

}} Effectiveand equitable mechanisms for PPP should be established where appropriate.
}} Developing countries should consider, where appropriate, sharing technologies, skills and
knowledge with each other by means of South-South collaboration platforms or mechanisms.
1 A cross-sectoral national approach to the management of biological risks associated with food and agriculture, including plant and animal health, food
safety and biosafety of GMOs.
1.9 Identifying Priorities for Action for the International Community
The international community, including FAO and other UN organizations as well as

NGOs, donors and development agencies, can play a key role in supporting developing
countries by providing a framework for international cooperation and funding support
for the generation, adaptation and adoption of appropriate biotechnologies. Below is a set
of Priorities for Action that will assist the international community in playing this role,
grouped under the same eight main headings as parts 1.6 and 1.8.

International agencies should systematically collect and systematize documentation on
development and adoption of crop biotechnologies and analyze their socio-economic impacts
in developing countries. This includes compiling statistics, establishing and maintaining
biotechnology application databases, studies, etc

Donors and international funding agencies are encouraged to dedicate an appropriate share
of their assistance projects to promoting and strengthening public biotechnology R&D in

}} Technical assistance in biotechnology R&D cannot be done to the detriment of present
spending in other research fields.
}} Technical assistance in biotechnology R&D should always support effective and intimate
links to strong plant breeding, agronomic research and extension programmes.

}} The international community should assist developing countries in strengthening
capacities for biotechnology policy development and long-term planning.
}} The international community should assist developing countries to enhance the capacities
of national agricultural research systems to involve relevant stakeholders in decision-
making processes.
}} International organizations should inform more effectively society at large about the
role that biotechnologies for crop improvement/management have in food security.
}} International R&D organizations should develop innovative approaches for the
appropriate inclusion of the public in decision-making processes in developing countries.
The international community should help developing countries enhance the biotechnology
capacities of national agricultural research systems in their three dimensions (policy
development, institutional set-up and human capacities).

}} The international community should continue its efforts to assist developing countries
in establishing robust national regulatory frameworks in areas such as biosafety, food
safety, plant health protection, the protection of intellectual property and the protection
of traditional knowledge.
}} The international community should promote the adoption of the biosecurity approach
to assist in the framing of holistic and integrated biotechnology regulation.
}} The international community should assist developing countries in enhancing their
institutional capacities for regulatory development and enforcement.
}} Regulatory procedures should be regionally and/or internationally harmonized to
facilitate international trade and scientific collaboration. When requested, FAO and
other international agencies should continue to offer a meeting place for governments
to discuss common governance measures.
}} Biotechnology knowledge and expertise should be included in extension, educational
and advisory services to facilitate uptake by farmers and the spread of reliable public
knowledge about crop biotechnologies.
}} Development agencies should assist developing countries in enhancing seed production
systems to facilitate farmers utilization of the fruits of crop biotechnologies.

The international community should facilitate effective mechanisms for South-South
collaboration including:
}} the training of scientists and technicians;
}} joint research projects (pooling complementary resources to work on projects of
common interest);
}} the sharing of technologies, techniques, protocols and materials;
}} the sharing of information relevant for biotechnology development and adoption;
}} assistance in the establishment of mechanisms for the dissemination to developing
countries of biotechnologies developed in industrialized countries (North-South
collaboration, PPPs).
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chapter 2
Current Status and Options
for Forest Biotechnologies
Summary
The forestry sector differs from the crop or livestock sectors in a number of important
ways. First, forest trees are highly heterozygous long-lived perennials with late sexual
maturity and a lengthy regeneration cycle which places high priority on retaining genetic
diversity as an insurance policy against rapid change. Second, most forest tree species have
narrow regional adaptation so the numbers of species used for planting are much higher
than for food crops. Third, forest trees serve as keystone species in dynamic ecosystems so
managing against loss translates into more than tree survival. Fourth, forest trees are largely
undomesticated although a few species have had some population-level improvement for
one to four generations.
For management of naturally regenerated forests, DNA-based and biochemical markers
are available for a growing number of tropical species. Today, findings are available to guide
operational forest management plans including in developing countries, but only for a very
limited number of the hundreds of tree species that are managed in naturally regenerated
tropical forests. This area of forest biotechnology continues to expand, moving from tools
development into more hypothesis-driven knowledge acquisition. Such research inquiry is
a powerful source of pertinent knowledge for protecting tropical forests. This research is
also moving from molecular markers into genomics. Biotechnology tools such as molecular
markers and the field of genomics are therefore providing important knowledge about
naturally regenerated tropical forests and important insights into the nature of the entire
tropical forest ecosystems including the relationship between forest trees and the microbial
communities with which they interact, which can influence the strategies employed for
managing tropical forests.
For planted forests, although there is some overlap the range of biotechnologies used
is generally quite different from that used for naturally regenerated forests. Plantations
can have different types of management systems (e.g. intensive, semi-intensive) and use
different types of genetic material (e.g. wild material, genetically improved trees). Depending
on the level of management intensity and the genetic material used in the planted forest,
different groups of biotechnologies can be used. For simplicity, three different groups of
biotechnologies can be identified according to the type of planted forests, ranging from
the least sophisticated to the most advanced.
A first group of biotechnologies is suitable for the least intensively managed planted
forests, and includes a range of vegetative propagation methods (including micropropagation
based on tissue culture), biofertilizers and genetic fingerprinting using molecular markers.
It could also be complemented by conventional technologies, such as early-stage tree
improvement programmes.
A second group of biotechnologies can be used for planted forests that provide
industrial raw materials on a large planting scale. The single species used for plantations
may be indigenous or exotic, but these plantations are intensively managed. This group
of biotechnologies includes somatic embryogenesis (a tissue culture technique), molecular
markers and quantitative trait locus (QTL) analyses, whole genome sequencing and
functional genomics. A third and most sophisticated group of biotechnologies includes
backward and reverse genomics approaches, whole-genome sequencing, low-cost vegetative
propagation and genetic modification of forest trees. To date, the only report of commercial
plantings with genetically modified (GM) trees is for poplar on 300 to 500ha in China.
However, most tree species used in planted forests have been successfully modified at
the experimental level, and traits that have been the subject of extensive research include
stem shape, herbicide resistance, flowering characteristics, lignin content, insect and
fungal resistance.
Many developing countries currently have biosafety regulations for agricultural crops,
including fruit-trees, although many others lack such frameworks and the capacity to
implement them. There are no regulations, however, specific to the use of GM forest trees.
Although policies and regulations adopted for agricultural crops are also likely to be used for
forest trees, they present special challenges (long time frames and life spans, wild resource,
major constituents of an ecosystem). Forests are not only trees, and forest ecosystems are
more fragile, longer-lived and less closely controlled than crop fields. Decision-making is
complicated by the fact that while agriculture is primarily viewed as a production system,
forests are generally viewed as a natural system, important not only for the conservation
of biodiversity but also for social and cultural values. Thus, the use of GM forest trees is
viewed more as a political and environmental issue than as a technical or trade issue.
chapte r 2 Current Status and Options for Forest Biotechnologies in Developing Countries 79
2.1 Introduction
In recent decades, forest biotechnology has grown into a dynamic portfolio of tools, moving
beyond research into global trade and development. This portfolio concept is consistent
with the sensu lato definition of biotechnology put forth in Article 2 of the UN Convention
on Biological Diversity (CBD) any technological application that uses biological systems,
living organisms, or derivatives thereof, to make or modify products or processes for specific
use. This is the definition used in this and the other FAO background documents prepared
for ABDC-10. The following is a brief description of the state of the worlds forests and
some factors shaping forestry and forest biotechnology.
2.1.1 Forest and tree resources management - state of the worlds forests
Forests and other wooded areas perform key economic and ecological functions. Not
only do they provide goods and livelihoods but they also protect soils, regulate water
and absorb carbon. Forests also shelter much of the worlds biodiversity. FAOs most
recent review on the overall status of forest resources, the Global Forest Resources
Assessment (FAO, 2006), indicate that the world has just under 4 billion hectares (ha) of
forests, covering about 30 percent of the worlds land area. It also reveals that production
of wood and non-wood forest products is the primary function for 34 percent of the
worlds forests and that more than half of all forests are used for wood and non-wood
production in combination with other functions such as soil and water protection,
biodiversity conservation and recreation.
Only 5 percent of forests in the world are in plantations, with the balance found in
natural or semi-natural, largely unmanaged and undomesticated forest stands. Planted
forests are expanding and their contribution to global wood production is approaching
50 percent of the total. In 2004, the production of industrial roundwood was 1.6 billion
cubic meters, representing some 45 percent of the global wood production, and forest
products trade reached a total value of US$327 billion. More than half the wood biomass
consumed globally and well over 80 percent in developing countries is burned as fuel.
About 1.6 billion people rely heavily on forest resources for their livelihoods (World
Bank, 2001). Sixty million indigenous people living in the rain forests of Latin America,
Southeast Asia and West Africa depend heavily on forests; 350 million people living in,
or next to, dense forests rely on them for subsistence or income; and 1.2 billion people
in developing countries use trees on farms to generate food and cash. Forest and tree
resources are managed in different main types of systems, which are presented in Table1.
The intensity of management varies very much between primary natural forests and
productive industrial plantations.
FAO (2006) indicates that the worlds forested area is shrinking, particularly at tropical
latitudes (Table 2). Only a few countries have seen a net increase in forested land area, and
these include China, Vietnam, Cuba, Uruguay, Chile, United States and most of Europe,
west and east. Forested land area is not increasing in tropical regions where biodiversity
and growth rates perha (not shown) are highest. This table points to a few of the factors
shaping forest biotechnology opportunities.
Table 1
Characteristics of main types of forest and tree resources management
Naturally regenerated forests Planted forests Trees outside forests

Primary Modified Semi-natural Plantations
natural
Assisted Planted Productive Protective
natural component
regeneration
Forests of native Forests of Silvicultural Forests of Forests of Forests of Stands smaller than
species, where naturally practices native species, introduced introduced 0.5 ha; tree cover
there are no regenerated by intensive established and/or native and/or native in agricultural land
clearly visible native species management: through planting species, species, (agroforestry systems,
indications where there are yy weeding by or seeding established established home gardens,
of human clearly visible intensive intensively through planting through planting orchards); trees in
activities and indications of yy fertilizing managed or seeding or seeding urban environments; and
the ecological human activities yy thinning mainly for mainly for scattered along roads
processes are yy selective production of provision of and in landscapes
not significantly logging wood or non- services
disturbed wood goods
Table 2
Forested areas and annual rates of change for the worlds forested land cover by region
Forest area Land area Land area Annual change Forested countries with highest net increase
(1 000 ha) (percent) 2000-2005
(percent)
Africa 635 412 21.4 -0.62 Rwanda, Egypt
Asia and Pacific 734 243 25.8 +0.09 China, Vietnam, New Zealand
Europe 1 001 394 44.3 +0.07 Bulgaria, Spain
Latin America and 859 925 47.3 -0.51 Uruguay, Chile, Cuba
Caribbean
North America 677 464 32.7 -0.01 United States
West and Central Asia 43 588 4.0 +0.03 Uzbekistan
World 3 952 025 30.3 -0.18
Source: FAO (2006)
Rapid loss of forested areas is coming from changes in land use. In addition to deforestation,
existing forests are being degraded by pathogens and pests, fire, atmospheric pollution,
extreme weather events, climate change and unsustainable forest management practices.
2.1.2 Factors shaping forests, forestry and forest biotechnology

The following factors shape global opportunities, condition investment decisions and drive
research priorities for forest biotechnologies. They also point to important differences in
the use of biotechnologies compared with the crop or livestock sectors.
}} Forest trees are highly heterozygous, long-lived perennials with late sexual maturity and
a lengthy regeneration cycle which places high priority on retaining genetic diversity
as an insurance policy against rapid change (Namkoong, Barnes and Burley, 1980).
}} Most forest tree species have narrow, regional adaptation, so species numbers used for
planting are orders of magnitude higher than those for food crops (Pautasso, 2009).
}} Forest trees serve as keystone species in dynamic ecosystems, so managing against loss
translates into more than tree survival (Whitham et al., 2006). Survival for colonizing
forest tree species often depends on the presence of specific symbiont microbial species
(Bonfante and Anca, 2009).
}} Forest trees are largely undomesticated although a few species have had some population-
level improvement for one to four generations.
}} Most of the worlds forests have public ownership (Agrawal, Chattre and Hardin, 2008).
}} A forest tree is utilized for multiple purposes, not a single product. A single log can
be used for sawtimber, paper and pulp. Waste products from papermaking are sold in
secondary markets. Pulping waste is a rich source of industrial solvents, livestock feed,
lubricants and consumer products such as artificial vanillin and medication.
Against this context, the purpose of this Chapter is to review the state of biotechnology
and its impact on forest activities. It addresses this first by looking at the past and then
by looking forward. In looking at the past, Part 2.2 provides an overview of the history
and status of application of conventional technologies in forestry with special attention
to developing countries. Part 2.3 documents the current status of application of forest
biotechnologies in developing countries. Part 2.4 provides an analysis of successes and
failures of forest biotechnologies in developing countries, while Part 2.5 presents a small
number of case studies. In looking forward, Part 2.6 addresses key issues in the sector where
forest biotechnologies could be useful, Part 2.7 identifies options for developing countries
and Part 2.8 presents priorities for action for the international community.
2.2 Overview of Conventional Technologies in Developing Countries
Oddly, planted forests are not domesticated forests. To explain this, consider the definition
of domestication put forth by Allard (1960): Domestication is the bringing of a wild species
under the management of humans. Another definition of domestication is when a plant or
animal is modified for human use to the point where it relies solely on human intervention
for its survival. Under either definition, even the most intensively managed forests are
only semi-domesticated (Figure 1). This is seen as an opportunity by many authors, who
advocate using advanced biotechnologies to accelerate domestication for the benefit of
wood production (Robinson, 1999; Campbell et al., 2003; Boerjan, 2005; Tuskan, 2007).
In any case, forest biotechnology applications have historically been developed for the
benefit of planted forests. But today forests are still planted from undomesticated reproductive
material, as explained below. Planted forests compose 5 percent of the worlds forested areas
and a few forest tree species are in the early stages of domestication (Nelson and Johnsen,
2008) but even so, they are semi-domesticated at best (Figure 1). Forest biotechnology
applications are specific to each type of forest.
figure 1
Types of planted forests sorted by degree of domestication
Complete Domestication Relies on human intervention

Phenotypic differentiation
Modified to suit human needs
d e g r e e o f d o m e st i cat i o n
Intensive management, short harvest rotations

High potential for genetic modification
Semi-Domestication Low-cost vegetative propagation
Small [angiosperm] genomes
Exotic species: acacia, eucalypts, poplars
Advanced generation seed or propagules, varietals

Early Domestication Marker-assisted breeding, selection
Mostly exotics, some indigenous species
Early-generation seeds
Improved Seed source Indigenous species
Typically long rotations in temperate, boreal regions
Indigenous or naturalized exotic species

Undomesticated Known or unknown seed or propagule sources
Shelterbelts, windbreaks, agroforestry, multipurpose
R e l at i v e a r e a o f p l a n t e d f o r e sts w i t h d i f f e r e n t d e g r e e s o f d o m e st i cat i o n
A brief overview follows of some main applications of conventional technologies in
the forestry sector in developing countries.
Forest tree improvement

Forest tree improvement spread as a concept in the twentieth century, well after the
advent of quantitative genetics and World War II. The primary goal was to identify and
select wild seed sources suitable for planted forests. Few recurrent breeding programmes
developed from this. Breeding cycles were lengthy, in part because population level
improvement was essential. Forest tree improvement proceeds along a separate trajectory
from agriculture.
Namkoong, Barnes and Burley (1980) wrote on their opening page: Tree breeding is
now an accepted activity in approximately half of the countries of the worldthe breeding
strategy has stopped at the first generation concepts of selection, progeny tests and clonal
or seedling seed orchards. Three decades later, this still holds true. The decision to settle
for a known seed or propagule source can be traced to shortfalls in the long-range stability,
funding and continuity of efforts required to sustain any forest planting programme:
political instability, policy shifts, timber surplus, land sales, warfare, famine, drought,
extreme weather events, lost manufacturing capacity and shift in global markets. Rarely
has the decision to halt a tree improvement programme rested on the choice of forest tree
species, but shortfalls here include forest disease and pest outbreaks, poor wood quality
and even a surfeit of seed production.
Tree improvement for indigenous species gained momentum after World War II,
mostly in Europe, Canada, Australia, New Zealand and the United States when reliable
and well-adapted seed sources were needed for massive planting programmes. The next
step, making selections in natural stands that served as seed parents, was viewed as a radical
practice that contrasted with natural regeneration, dysgenic logging and the occasional
haphazard seed collection. These early programmes were government-led.
A few tree-improvement programmes matured into recurrent forest tree breeding
programmes. Given large land and financial requirements, these became enduring public-
private partnerships among governments, universities and timber companies. Vegetative
propagation was used only in the early years, provided that the species could be propagated
easily at a low cost. Whether seedlings or cuttings, the idea of a known/tested source of
germplasm rapidly spread to Southern Hemisphere countries such as Argentina, Brazil,
Chile, China, Colombia, the Congo, India, Malawi, South Africa and Zimbabwe, where
introduced and indigenous forest species alike grew much faster than in the Northern
Hemisphere. Notable among these were some of the worlds most successful exotic species
today: Pinus radiata, Eucalyptus spp. and Acacia spp.
Southern Hemisphere tree improvement was founded on naturalized introductions,
imported exotic species and a few indigenous species. Its link to markets and manufacturing
grew with global trade. Multinational timber corporations could grow timber more
cheaply in some Southern Hemisphere countries and this spurred closer connections
between forest research initiatives in developed and developing countries. Planted forests
and tree improvement programmes have reaped considerable benefits from globalization.
Recurrent tree breeding

Recurrent tree breeding refers here to the application of Mendelian genetics principles
within a given silvicultural system for the purpose of improving the genetic quality of
the forest. Its goal is to improve the genetic value of the population while maintaining
genetic diversity. This advanced generation or recurrent breeding programme refers
to population level improvement, not to the development of breeds or inbred lines.
Few of the many forest tree species planted today have been subjected to even a single
generation of population level improvement. This is a subtle but important point
when comparing advances in forest biotechnology with advances in crop or livestock
biotechnology. Forest tree breeders weigh the importance of genetic gain against the
importance of sufficient genetic diversity, the avoidance of inbreeding depression and
long-term uncertainty.
As such, the breeding programme requires highly skilled experts, considerable
investment funds and continuity of effort, because it continuously provides the best
individuals for planting with each new breeding-testing-selecting cycle (Balocchi, 1997;
White and Carson, 2004). Selections are placed in a production population which can
be a small indoor or outdoor orchard. For some programmes only a few seeds are
needed for multiplying via vegetative propagation. Either seed or propagules may be
sold or planted as varietals although each is highly heterozygous. To date, forest
tree breeding programmes do not develop inbred lines or hybrid crosses as is the case
with crop breeding.
In any breeding programme, the selection goal needs to be well defined. One important
trait to consider in breeding programmes, be they conventional or biotechnology-based,
is wood formation (Plomion et al., 2000; Plomion, Pionneau and Baillres, 2003), which
drives profit margin through age of harvest and product recovery.
For conifers, annual rings within a single tree generate differences in market value, and
so much attention has centred on how to alter this aspect of wood formation. For example,
the early corewood rings for Pinus spp. are less valued than the outer rings owing to their
different warping and pulping qualities. Annual rings laid down at older ages compose
so-called mature wood. Finding the genetic controls for wood quality at early and later
stages of development is a critical step for conifer plantations because higher quality wood
in the early rings would lower the age of harvest or the rotation age. The rotation age is
the earliest age in the trees lifespan at which harvest becomes profitable. Most forest trees
can live decades or even centuries beyond the rotation age.
Even in the most intensively managed forest tree programmes, tree improvement has not
followed the same path as the crop sector. Genetic gain is carefully balanced against genetic
diversity. Unlike their crop counterparts, forest tree breeders attach great importance to
maintaining genetic diversity for population level improvement. Genetic diversity is seen
as an insurance policy against catastrophic loss beyond a single generation. Forest tree
breeding programmes, so integral to molecular applications of forest biotechnology, work
on long timelines as a biological necessity.
This biological imperative to balance genetic gain against genetic diversity has not only
given rise to forest tree programmes that do not resemble those for crops or livestock, but also
to novel solutions. One common approach in tree improvement programmes is to safeguard
genetic diversity (Tanaka, Tsumura and Nakamura, 1999; FAO, 2001). Grafted archives are
often established at multiple locations. Unlike agricultural crops, these are needed because
there are no repositories to insure against the loss of indigenous forest tree species. The
payoff for these backup collections often comes when these archives provide germplasm for
disease resistance, catastrophic weather events or a change in market demands. Another and
more cost-efficient method has been the multiple population breeding strategy which uses
divergent selection and multiple populations for a 2-for-1 programme conserving genetic
diversity at the same time as making genetic gain (Eriksson, Namkoong and Roberds, 1995;
Williams, Hamrick and Lewis, 1995). In this respect too, the forest biotechnology portfolio
follows a separate path from crops and livestock.
2.3 CurrentStatus of Application of Forest Biotechnologies in

Forest biotechnology can contribute to improving productivity and reducing vulnerability of

forest ecosystems to disease, degradation and human disturbance. The challenge continues to
be to ensure sufficient genetic gains while maintaining genetic diversity at the ecosystem and
landscape levels. To date, forest biotechnology has provided knowledge on how to mitigate
the effects of forest fragmentation on genetic diversity, and on how to promote gene flow
by managing tropical forest ecosystems for pollination, seed dispersal and soil symbionts.
An overview now follows of applications of biotechnologies in naturally regenerated
tropical forests and in planted forests. Some of the biotechnologies overlap, although the
forest systems differ considerably.
2.3.1 Naturally regenerated tropical forests
Today, most molecular marker systems are DNA-based systems such as microsatellites (Brondani
et al., 1998; Yazdani et al., 2003) or amplified fragment length polymorphisms (AFLPs) (Cervera
et al., 2000), although biochemical markers such as isozymes continue to provide important
insights into tropical forest ecosystems (e.g. Brown and Moran, 1981; Hamrick, 2004). Molecular
markers have been used for decades and are extensively reviewed in FAO (2007).
Molecular marker methods are available for a growing number of tropical hardwood
species such as Aucoumea klaineana, Bagassa guianensis, Entandrophragma cylindicum, Hopea
odorata, Hymenea courbaril, Dryobalanops aromatica, Neobalanocarpus heimeii, Koompasia
malaccense and the endangered Shorea lumutensi (Born et al., 2006, 2008; Garcia et al., 2004;
Hamrick and Murawski, 1990; Lacerda, Kanashiro and Sebbenn, 2008; Lee et al., 2000, 2002,
2003, 2004a, 2004b, 2006; Lee and Krishnapillay, 2004; Lim et al., 2002; Naito et al., 2005; Ng,
Lee and Koh, 2004; Ng et al., 2006; Sebbenn et al., 2008; Silva et al., 2008). Today, findings
are available to guide operational forest management plans in developing countries, but
only for a very limited number of the hundreds of tree species that are managed in naturally
regenerated tropical forests. This area of forest biotechnology continues to expand, moving
from tools development into more hypothesis-driven knowledge acquisition (Table 3). Such
research inquiry is a powerful source of pertinent knowledge for protecting tropical forests.
Table 3
Hypothesis-driven molecular marker applications for indigenous tropical forests which are
naturally regenerated
Topics Region, biota or taxa Reference

Life history and potential for resilience to climate change Tropical forests Hamrick, 2004
Phenology Neotropics Clark, 2004
Silvicultural diversity Tropical forests Finkeldey and Ziehe, 2004
Selective logging Shorea megistophylla Murawski, Dayanandan and Bawa, 1994
Organellar DNA diversity Cedrela odorata Cavers, Navarro and Lowe, 2003
Forest fragmentation Many tree species Nason and Hamrick, 1997;
Young and Clarke, 2000
Genetic bottlenecks Pinus maximartinezii Ledig et al., 1999
Reproductive biology Dunalia arborescens Cruz, 1981
Fitness by life cycle stage Platypodium elegans Hufford and Hamrick, 2003
Outcrossing rates Cordia alliodora Boshier et al., 1995
Genetics of invasiveness Pinus spp. Richardson and Petit, 2006
The hypotheses were tested using DNA-based forest biotechnology tools in combination with other information sources such as
meteorology, ecology and/or taxonomy
Table 4
Examples of use of genomic data in forestry
Research areas Region, biota or taxa Reference

Phylogeny, phylogeography, Agroforestry Hughes, Eastwood and Bailey, 2006
nuclear DNA diversity Leucaena spp.
Speciation and the study of mechanisms Neotropical forest genus Richardson et al., 2001
which generate biodiversity Inga
Rapid species identification Worldwide CBOL Plant Working Group, 2009
via DNA barcoding
DNA-based Phylogeny Tree of Life Project Worldwide Burleigh and Matthews, 2004
This research community is also moving from molecular markers into genomics.
Genomics refers to sequencing DNA either from the nuclear genome or from plastid and
mitochondrial organelles. Unlike other areas of forest biotechnology, genomics data are often
found in the public domain, usually internet databases (see review in Dean, 2006) and this
affords the opportunity for DNA-based computational biology research. This availability of
DNA sequencing data brings a distinct advantage to worldwide research on tropical forests.
To date, genomics data are yielding new insights into comparative biology for tropical
forests (Table 4). Perhaps the application of most immediate use is an international plant
barcoding project under the Consortium for the Barcode of Life (CBOL) to identify genes
that can be used to distinguish between plant species1.
More recent applications from DNA sequencing are emerging for the study of naturally
regenerated tropical forests. This emerging use of genomics has been applied to several areas
of inquiry, including phylogeny, which refers to comparing two or more DNA sequences
from related forest trees with their near relatives to infer past divergence and speciation
events. DNA sequences can be assumed to diverge in a steady-state, linear manner such that
they serve as a molecular clock (Table 3). A closely related area of inquiry is phylogeography,
which refers to using DNA-based sequence data to infer the history and formation of one
or more taxa (Table 4).
Genomics has yet to provide its full benefit: it is a growth area for the forest biotechnology
portfolio. DNA sequencing can encompass well-characterized genes, entire chromosomes
or even entire genomes. Not only are related taxa being compared but interrelationships
among components of entire forest ecosystems can be studied. Taxonomy, complemented
by phylogeny, has now given way to phylogeography and phylogenomics, where functional
genes are compared across taxa (Eisen and Fraser, 2003; Burleigh and Matthews, 2004).
DNA sequence data are available for comparative analyses via Internet databases (Table 5).
1 http://barcoding.si.edu/plant_working_group.html
Biotechnology tools such as molecular markers and genomics can therefore provide
important knowledge about naturally regenerated tropical forests and important insights
into the nature of the entire tropical forest ecosystems, including the relationship between
the forest trees and the microbial communities with which they interact, which can influence
the strategies employed for managing tropical forests.
Mycorrhizae are symbiotic associations that form between the roots of plant species
and fungi. The hyphae (thread-like structures that are part of the body of the fungi)
spread through the soil, taking up nutrients such as phosphorus and absorbing water, and
transporting them to the plant root. In return, the fungi receive sugars from the plant (FAO,
2008a). Trees colonized with fungal symbionts are therefore likely to be more resistant to
microbial pathogens and less stressed by drought. These benefits hold particular relevance
for tropical forest ecosystems, given that drought and pathogen increases are predicted
under climate change.
Genomics-based research is elucidating how this symbiotic complex functions. First,
not all fungal symbionts have the same mechanisms, as genomics knowledge is confirming.
The two major types of associations are ectomycorrhizae (EM) and vesicular-arbuscular
mycorrhizae (VAM). While both buffer the tree host against diseases and abiotic stress,
EM is more desirable for slowing forest degradation (Connell and Lowman, 1989) and for
hastening re-colonization of abandoned land (Viera, Holl and Peneireiro, 2009). To this
end, Connell and Lowman (1989) hypothesized that EM would confer a greater advantage
to their host species than VAM.
Table 5
Some examples of relevant DNA sequence databases
Database URL
NCBI www.ncbi.nlm.nih.gov/
Taxonomy Browser www.ncbi.nlm.nih.gov/Taxonomy/taxonomyhome.html/
Entrez www.ncbi.nlm.nih.gov/Entrez/
Site Map www.ncbi.nlm.nih.gov/Sitemap/
EMBL-EBI www.ebi.ac.uk/
UniProt www.ebi.ac.uk/uniprot/index.html
Site Map www.ebi.ac.uk/services/index.html
EMBL-Heidelberg www.embl.de/services/bioinformatics/index.php
Bioinformatics Tools
DENDROME http://dendrome.ucdavis.edu/
Treegenes http://dendrome.ucdavis.edu/treegenes/
Source: adapted from Dean (2006)

Analysis requires specialized software, also available at some of these sites
The symbiont complex is more than the forest trees roots and the fungal symbiont.
Symbiont EM fungi also have specific bacterial associates which together form complexes with
the host trees roots (Bonfante and Anca, 2009). Together, this fungal-bacterial complex with
the trees roots confers benefits within the roots and surrounding area. Genomic sequencing
of some fungal symbionts has been completed (Kuhn, Hijri and Sanders, 2001) and this is
leading the way towards an emerging field known as community genomics which uses DNA
sequencing tools to unravel these and other complex interactions within an entire forest
ecosystem (Whitham et al., 2006). This plethora of DNA sequencing methods not only
applies to a single species or its near relatives, but also can provide insights into a tropical
forest ecosystem. Its potential is already emerging for testing ideas about paleoecology
and community ecology.
2.3.2 Planted Forests

Although there is some overlap, the biotechnologies used for planted forests are generally
quite different from those used for naturally regenerated forests. It is also important to
emphasize that there are different kinds of planted forests. Plantations can have different
types of management systems (e.g. intensive, semi-intensive) and use different types of
genetic material (e.g. wild material, genetically improved trees). Depending on the level of
management intensity and the genetic material used in the planted forest, different groups
of biotechnologies can be used. For simplicity, three different groups of biotechnologies can
be identified according to the type of planted forests, ranging from the least sophisticated
to the most advanced.
2.3.2.1Basic forest biotechnologies

This group of biotechnologies is suitable for the least intensively managed planted forests and
includes a range of vegetative propagation methods such as tissue culture, biofertilizers and
genetic fingerprinting using molecular markers. It can also be complemented by conventional
technologies such as early-stage tree improvement programmes. For these least intensively
managed planted forests, the tropical forest restoration staircase (Chazdon, 2008) is the
example that illustrates this type. This starts with planting reliable and well-adapted seed
or propagule sources for reforestation. Poorly adapted, dysgenic plantings cannot hope
to achieve such outcomes as restoring soil fertility for crop or forestry use, payment for
ecosystem services, timber production or biodiversity recovery (Quesada et al., 2009). In
this first stage of planted forests, forest biotechnologies contribute to the health and quality
of indigenous tropical forests and of exotic species.
Vegetative propagation of forest tree species
This covers a wide range of techniques which are useful for the rapid multiplication of
genotypes. This has been useful for species which produce few or recalcitrant seeds or
seedlings and for multiplying selected genotypes in a short period of time. It is also among
the most ancient of forest applications, dating back eight centuries in China (Minghe
and Ritchie, 1999). In India, there are about 8.9 millionha of teak forest, much of which
is propagated by tissue culture (Tiwari, Tiwari and Siril, 2002). The National Chemical
Laboratory in Pune and the Tata Research Institute in Delhi produce up to a few million
teak plantlets annually. Phytosanitary measures also require tissue culture when moving
germplasm from one country to another. This reduces the spread of plant viruses. Some of
the disadvantages are the high costs of maintaining a tissue culture laboratory and quality
control. Without quality control, one often sees the occurrence of somaclonal variations
and deformed plantlets.
Micropropagation is the development of clonal lines from small tissue samples such
as buds, roots or embryos extracted from seeds (Yanchuk, 2001) and some examples are
provided in Table 6. The principles and achievements relating to plant tissue culture and
micropropagation have been well reviewed by FAO (1994, 2004) and Yanchuk (2001).
Thorpe, Harry and Kumar (1991) listed over 70 angiosperm and 30 gymnosperm tree species
for which successful methods for the production of plantlets have been reported. Almost
two decades ago, Le Roux and van Staden (1991) listed over 25 species of Eucalyptus alone.
This, therefore, is a maturing part of the forest biotechnology portfolio.
Table 6
A few of the many forest tree plantation species which have been multiplied through tissue
culture on a commercial scale in developing countries
Countries Species
India Tectona grandis,
Anogeissus latifoglia
Bamboo spp.
Indonesia, Malaysia and Acacia mangium and
Vietnam Acacia mangium x Acacia auriculiformis hybrids
India, Vietnam and South America Eucalyptus spp.
Chile Pinus radiata
Brazil, Indonesia, Malaysia and Thailand Tectona grandis
Between 2002 and 2004, FAO commissioned four studies to investigate the extent
and patterns of research and application in biotechnologies in forest trees worldwide.
Results from the studies indicate that Asia accounts for 38 percent of the activities in forest
tree micropropagation, followed by 7 percent in South America, 3 percent in Africa and
2percent in Oceania (FAO, 2004). As expected, micropropagation of tree species is active
mostly in countries with significant tree planting programmes (Galiana et al., 2003; Watt
et al., 2003; Goh and Monteuuis, 2005; Goh et al., 2007). While a large number of tree
species (78 to 80) have been used for vegetative propagation research, little of this effort
continues. Most halt at the laboratory stages (94 percent), so few even get as far as the
field-testing stage (5 percent). Less than just 1 percent of the species developed clonally
and tested have reached the commercial application stage (FAO, 2004).
Biofertilizers
Soils are dynamic living systems that contain a variety of micro-organisms such as bacteria,
fungi and algae. Maintaining a favourable population of useful microflora is important
from a fertility standpoint. The most commonly exploited micro-organisms are those that
help in fixing atmospheric nitrogen for plant uptake or in solubilizing/mobilizing soil
nutrients such as unavailable phosphorus into plant available forms, in addition to secreting
growth promoting substances for enhancing crop yield. As a group, such microbes are
called biofertilizers or microbial inoculants.
The use of biofertilizers has yielded positive results for indigenous forest species
in the eastern Madagascar littoral forests as well as for exotic forest species including
eucalypts, acacia and cypress (Kisa et al., 2007; Duponnois et al., 2007, 2008; Ouahmane
et al., 2007; Remigi et al., 2008). Other symbionts that are being considered include
nitrogen-fixing bacteria such as Rhizobium, and Azolla, blue-green algae and mycorrhizal
fungi (Caesar, 2009). In addition to the least intensively managed planted forests in
developing countries, biofertilizers have also proved useful in forests under more
intensive management.
Genetic fingerprinting with molecular markers

All types of molecular and biochemical markers have been used for decades in these early-
stage tree improvement programmes. A few examples are as follows:
}} measuring genetic diversity of breeding population accessions between indigenous
provenances and naturalized landrace origins;
}} testing paternity contributions to offspring grown in field tests;
}} verifying genetic identity during vegetative propagation.
Intermediate forest biotechnologies
2.3.2.2
The second group of biotechnologies can be used for planted forests that provide industrial
raw materials on a large planting scale. The single species used for plantations might be
indigenous or exotic, but the plantations are intensively managed.
Somatic embryogenesis
Somatic embryogenesis (SE) is a tissue culture technique that can also be used for the
micropropagation of forest trees, where a small group of vegetative cells which are stem-
cell like, are induced on culture media to undergo tissue differentiation to form a somatic
embryo. The somatic embryo goes through a maturing process before being germinated
for planting (Tartorius, Fowke and Dunstan, 1991).
Regeneration through SE has been reported for over 50 woody species encompassing
over 20 angiosperm families, and at least a dozen conifer species (Wann 1988; Attree and
Fowke, 1991; Tartorius, Fowke and Dunstan, 1991; Watt et al., 1991; Park, Barret and Bonga,
1998). Potential multiplication rates particularly from cell suspension cultures are very high.
Additional advantages include the amenability of the process to handling in automated
bioreactors and the possibility for mechanized delivery of the emblings (plants propagated
from SE) through synthetic seed technology. SE is also ideally suited for efficient genetic
transformation procedures because of the single cell origin of embryos. The advantages of
SE in comparison with micropropagation by in vitro cuttings, especially with regards to
multiplication rate and genetic modification, explain why large research investments have
been made towards developing this technique. Although successes have been reported in some
commercial species, there are still major obstacles to the large-scale operational application
of the technique to forest trees. Most of the reports (Table7) demonstrate that the results
obtained are still in the experimental stages and are yet to reach the commercialization phase.
Table 7
Species in which somatic embryogenesis is at the experimental stage
Country Species reported References cited

Chile P. radiata, P. taeda Park, 2002; Jones, 2002; Lelu-Walter and
Harvengt, 2004
Brazil and India Eucalyptus globulus, E. grandis and E. dunnii Pinto et al., 2002; Watt et al., 2003
India Tectona grandis Krishnadas and Muralidharan, 2008
Bamboo Godbole et al., 2004; Shali and Muralidharan,
2008
Sandal Rathore et al., 2008
Bangladesh Gmelina arborea, Artocarpus chaplasha, Sarker, Islam Rafiqul and Hoque, 1997; Roy,
A. heterophyllus, Azadirachta indica and Islam and Hadiuzzaman, 1998
Elaeocarpus robustus
Moreover, SE is a costly high-precision operation usually funded through multinational
timber companies which own or lease land. Only the most elite selections are propagated
using SE, where the genetic gains from recurrent breeding are maximized through the
high-volume propagation of a single genotype.
Molecular markers, maps and QTL analyses

As part of this high precision operation, molecular markers also take on new functions.
Breeding and selection in the recurrent breeding programme can be optimized by localizing
chromosomal regions which influence the trait of interest.
No longer used only for genetic fingerprinting, markers are now used to find associations
between traits and chromosomal regions. Forest trees, as perennial plants, have an added
temporal dimension which can be challenging (Gwaze et al., 2003) even for a single
pedigree. If a marker interval is found to change the trait value then it becomes known as
a quantitative trait locus (QTL) or a QTL haplotype, delineated by the relative position of
two molecular markers. A QTL haplotype is not a gene but a single chromosomal segment
inherited from either the maternal or paternal parent. It can include one or many genes
exerting some degree of influence over a phenotypic trait.
figure 2
Forward genomic methods
Ph e notypic Valu es Forward genomics only G e notypic Valu es
Genetic Linkage Map

Marker Low-density map
interval High-density map
Place Quantitative
Trait Loci On Linkage Map
Pedigree analyses
Map each molecular
Marker to linkage groups
on chromosomes
Wood quality
Stem straightness
Disease resistance
Metabolite production Check marker intervals
Carbon storage against change in a traits value
Growth rate
Source: modified from Grattapaglia and Kirst (2008)
Finding QTL for forest trees is more costly and more computationally demanding than
for most crop and livestock species because forest tree pedigrees are outcrossing and highly
heterozygous (Devey et al., 2003; Williams and Reyes-Valdes, 2007; Williams, Reyes-Valds
and Huber, 2007). Large pedigrees are rare with few generations and the populations have
no breed structure or strong degrees of differentiation. However, numerous reports have
cited the identification of QTL for major traits ranging from growth to wood quality and
disease resistance in both Northern and Southern Hemisphere countries for a cadre of forest
tree species. Moving from the genetic map to the physical map is more feasible with small
hardwood genomes such as poplar and eucalypts. For species with large genomes, molecular
cytogenetics technology or placement of dye-tagged DNA segments from known genes on a
fixed chromosome squash is proving to be a useful bridge technology (Doudrick et al., 1995).
Translating QTL identification into marker-assisted selection (MAS) is moving into
the realm of commercial applications. Choosing MAS requires a cost-benefit analysis as
described for Pinus radiata (Wilcox et al., 2001) and this is used for poplars, Eucalyptus
spp., Pinus radiata and a few cases of temperate-zone Pinus spp. especially those planted
as an exotic. MAS has led to some novel breeding strategies when applied to forest trees
(e.g. El-Kassaby and Lstiburek, 2009).
The selection of QTL haplotypes is not straightforward because a given pedigree can
be segregating for more than one or even two QTL haplotypes of interest, which can
result in ambiguous genetic models for QTL inheritance. But MAS is operational, lending
yet another level of forest biotechnology precision to plantation forestry. Figure 2 shows
how large numbers of molecular markers are assayed on gels for segregation patterns, then
placed on a genetic map. Each individual now has a known genetic fingerprint, a collection
of marker intervals or haplotypes and some trait measurements. QTL haplotypes can be
identified from these elements.
However, as mentioned earlier, finding QTL in single pedigrees is an arduous process
for forest trees. Other methods for identifying QTL have since been developed or borrowed
from other biological systems. These include association genomics which was developed for
humans and other mammals (reviewed by Darvasi and Shifman, 2005) but these methods are
well suited for forest trees (Brown et al., 2004). Association genomics is a population level
QTL detection method that is only effective if enough gametic disequilibrium is present in
the population. This has indeed been the case for several intensively managed forest trees
in both Northern and Southern Hemisphere regions.
Trait measurements constitute the phenotypic value of an individual tree. Trait-based
genomics approaches such as QTL mapping are known as forward genomics (Figure 2).
The trait measurements for each individual can be compared with its marker haplotypes.
figure 3
Forward and reverse genomic methods
Ph e notypic Valu es Forward Genomics G e nom ics G e n e Ide ntity & Vali dation
Reverse Genomics
Large-insert DNA
segments (BACs)
500 to 1000 bp
10 cM
Gene expression
Transcriptional sequencing
Candidate genes
< 0.1 cM
Linkage Functional screening
Map
Wood quality
Stem straightness
Disease resistance Fine Whole-genome
Metabolite production Linkage sequencing,
Carbon storage Map assembly and
Growth rate annotation
Source: modified from Grattapaglia and Kirst (2008) and Grattapaglia et al. (2009)
This is known as co-segregation between linked molecular markers and a putative QTL
haplotype. While forward genomics is trait-based, the reverse genomics approach (Figure 3)
is gene-based. Reverse genomics identifies, tests and validates specific genes controlling the
trait of interest. Together, they provide an integrated picture of which genes or chromosomal
segments are influencing the trait of interest and the degree of independence among these
genes. The most sophisticated forest biotechnology portfolios at this time use both forward
and reverse approaches but these are limited to Eucalyptus spp, Populus spp. and Pinus spp.
Whole genome sequencing projects for forest tree species

For hardwood species such as Eucalyptus spp. or Populus spp., adding reverse genomics
is rapid and feasible because genome sizes are in the same range as those for rice, tomato
and Arabidopsis (Wakamiya et al., 1993). Conifer genomes, by contrast, are larger than any
commodity species in agriculture. The poplar genome was the first forest tree species to be
sequenced in its entirety (Tuskan et al., 2006). The Eucalyptus genome initiative for whole-
genome sequencing is an even larger effort that is being coordinated between 130 scientists
in 18 countries including Brazil and South Africa. Sequencing the pine genome has less
momentum given its enormous size, almost seven times larger than the human genome. A
number of groups are completing part of the pine genome at present. A total of 100 large
chromosomal segments (also known as bacterial artificial chromosomes or BACs) from
Pinus taeda are presently being sequenced at the Joint Genome Institute in the United States.
The impetus for sequencing these forest tree genomes tends to come from large-scale
wood production in intensively managed plantations worldwide, but forest health has
also provided an equally compelling case. One of the side benefits of a large-scale DNA
sequencing project is a rich store of new molecular markers such as single nucleotide
polymorphisms (SNPs).
Functional genomics
In recent years, sequencing entire genomes has shifted emphasis from analyzing sequence
data to the elucidation of gene function, also referred to as functional genomics. Gene
function is inferred by using sequence alignment-based comparisons, identifying homologues
between and within organisms, transcript profiling to determine gene expression patterns
for small numbers of transcripts and yeast two-hybrid interaction analysis for identifying
metabolic pathways, gene networks and protein complexes.
It is often conducted using microarrays which refer to the parallel assessment of
gene expression for tens of thousands of genes. It works on the principle of competitive
hybridization between complementary DNA (cDNA) strands. This approach can identify
candidate genes for quantitative traits in forestry, a form of reverse genomics. As an example,
cDNA microarray technology generated a transcript-level profile of wood forming tissues
(differentiating xylem) for a pedigree composed of individuals from a Eucalyptus grandis
x E. globulus F1 hybrid x E. grandis backcross population (Kirst et al., 2004). Microarrays
are information rich sources of information about genes controlling the trait of interest.
Proteomics
Just as a genome describes the genetic content of an organism, a proteome defines the
protein complement of the genome. Proteomics includes the identification of proteins in
cells or tissues and the characterization of their physio-chemical properties such as post-
translational modifications, function and expression level. Proteomics is a powerful tool
for studying proteins and their modifications under different developmental stages and/or
in response to various environmental stimuli.
In the cell, proteins form transitory or stable complexes as part of pathways and act
within protein networks. These protein-protein interactions can be used to unravel the
various interactions. After processing and modifications, a single gene may express between
one and a few dozen different protein products. A combination of methods is required to
characterize expressed proteins (or proteomes) fully.
A standard procedure is two-dimensional gel electrophoresis as the separation method
followed by mass spectrometry analysis of the separated and enzymatically digested proteins.
The peptide mass fingerprints typically obtained by mass spectrometry are matched against
sequence databases using dedicated bioinformatics tools. The whole procedure can be
automated and robotized for high throughput purposes. The aim of this technique is to
evaluate the modifications of protein expression with respect to genetic, environmental
and developmental factors. The question is which quantitative variation of proteins is
responsible for which quantitative phenotypic variation. The application of two-dimensional
gel electrophoresis coupled with mass spectrometry in forest tree genomics to map the
expressed genome has been well reviewed by Plomion, Pionneau and Baillres (2003).
Advanced forest biotechnologies

2.3.2.3
This uses the most sophisticated forest biotechnology portfolio yet. It includes recurrent
tree breeding, backward and reverse genomics approaches, whole genome sequencing,
low cost vegetative propagation and genetic modification of forest trees. The latter is the
focus of this part.
To date, the only report of commercial plantings with genetically modified (GM) trees
is for poplar on 300-500ha in China (Xiao-hua et al., 2003; FAO, 2004). However, most
tree species used in planted forests have been successfully transformed at the experimental
level, and results have demonstrated the correct expression of new genes in these plants
(Walter et al., 1998; Bishop-Hurley et al., 2001).
Benefits from genetic modification can arise in particular from the transfer of traits from
species as wide apart as bacteria or other plants that are not readily available either in the
breeding population or in the forest tree species as a whole. Traits that have been the subject
of extensive research for genetic modification include stem shape (taper and roundness),
herbicide resistance, flowering characteristics, lignin content, insect and fungal resistance
(Li et al., 2003; Grace et al., 2005; Punja, 2001; Shin et al., 1994; Tang and Tian, 2003).
The potential environmental benefits of such technology (Gianessi et al., 2002) include new
means to combat pathogen and pest outbreaks. Some intensively managed tree improvement
programmes have been investigating the use of gene transfer methods for many years. An
example is the introduction of the Cry1Ac gene from the bacteria Bacillus thuriengensis (Bt)
into radiata pine, where the ultimate goal is to enhance resistance to the pine shoot tip moth
(Grace et al., 2005). Less attention has been given to other applications of GM forest trees
such as environmental remediation, land reclamation and mercury sequestration. Forest
trees (conifers and hardwoods) are useful for land reclamation purposes even without
genetic modification, so the potential value is considerable.
As mentioned earlier, a small area of GM poplar is also planted on a commercial scale
in China. China has a highly productive forestry plantation programme with six national
forest planting programmes. To date, at least seven millionha have been planted with fast
growing poplars (FAO, 2008b).
The first successful transformation was done on Populus nigra with the Cry1Ac gene in
1993. This tree was used in field testing as early as 1994 and was subsequently deployed in
further pilot plantings. In 2000, the Chinese regulatory authority permitted the establishment
of about one million trees on 300ha (Hu et al., 2001). This was followed by a smaller
release with a hybrid poplar clone transformed with both Cry1Ac and PI genes (Xiao-hua
et al., 2003). The toxicity of this transformed clone was greatly enhanced as the GM plants
contained two insect resistance genes. Subsequently, the transformation of poplars for
disease resistance and tolerance to environmental stresses has been achieved, though these
are still at the laboratory stage (Xiao-hua et al., 2003).
Genetic modification is part of the reverse genomics approach that is used to evaluate
gene function but its commercialization is shifting investment from the public domain
into proprietary areas. As noted by FAO (2004), a notable trend is that the numbers of
publicly funded projects appear to be waning, while privately funded projects appear to be
increasing, judging by field trials established in recent years. This is a capital intensive effort
requiring long-term continuity of funding, scientists and infrastructure. Developing a GM
genotype on a commercial scale first requires a well established gene transfer technology
(Walter et al., 1998). Each GM genotype must then be vegetatively propagated on a large
scale before shareholders can expect a return on the steep initial investment.
The issue of GMOs has received considerable attention over the last decade in scientific
and non-scientific circles and from policy-makers worldwide. The focus of attention has
been on the crop sector which is where most GMOs have been commercialized. In 2008,
an estimated 125 millionha were cultivated with GM crops compared with just 400ha of
Bt poplars in China, with 20000 seedlings prepared for planting in 2009 (James, 2008). If
or when further GM forest trees are released commercially this situation may change. A
regulatory framework to govern research and the applications of GM forest trees is essential.
The issue goes beyond the country level because pollen flow and seed dispersal do not respect
national boundaries. National and international regulatory systems should contain provisions
for preliminary risk assessments, monitoring and control and for liability and redress.
Many countries currently have regulations for agricultural crops including fruit trees,
although many developing countries lack such frameworks and the capacity to implement
them. There are, however, no regulations specific to the use of GMOs in forestry. Although
policies and regulations adopted for agricultural crops are also likely to be used for forest
trees, forest trees present special challenges (they have long time frames and life spans, they
form a wild resource and are major constituents of an ecosystem). Forests are not only
trees, and forest ecosystems are more fragile, longer-lived and less closely controlled than
crop fields. Decision making is complicated by the fact that while agriculture is primarily
viewed as a production system, forests are generally viewed as natural systems, important
not only for the conservation of biodiversity but also for social and cultural values. Thus
the use of GM forest trees is viewed more as a political and environmental issue than as a
technical or trade one (El-Lakany, 2004).
2.3.3 Summary
Based on the current analysis, Table 8 attempts to summarize and compare the current
status, key issues and future perspectives for a number of conventional approaches and
biotechnologies in developing countries. The different technologies differ in respect of
public acceptance, the technical capacity and infrastructure/materials required for their
use and costs. For the near future, it is predicted that the potential impact is high for tree
improvement, genomics, DNA barcoding and biofertilizers. To complement this information,
Table 9 summarizes the anticipated contribution of forest biotechnology applications to
natural and planted forests for developing and developed countries based on the worldwide
survey commissioned by FAO (2004).
Table 8
Current status of some conventional technologies and biotechnologies, and factors

influencing their applicability in the forestry sector in developing countries
Emerging Extent of Public and Current Current Infrastructure Relative Skills Potential for
forest use government technical technical and/or cost required generating
biotechnology acceptance capability capability for materials for impact
applications for using adapting or and tools application (time frame
technology developing available < 10 years)
new for using
technology technology
Tree High High High Low Medium Medium Medium High
improvement
Recurrent tree Low High Low High Medium High High Medium
breeding
Molecular Medium High Medium Medium Low Medium Medium Medium
markers
Genomics Low High Low Low Low Medium High High
Bioinformatics Medium High Medium Medium Medium Medium High Low
Genetic Low Low to Low Low Low High High Low
modification medium
Biofertilizers High High High High Low Low Low High
Comparative Low High Medium Medium Low Medium High Low

phylogeny
DNA Low High Medium Medium Medium Medium Low High
barcoding

Table 9
Anticipated contribution of forest biotechnology applications to natural and planted

forests worldwide
Applicable Spatial scale Development elements relevant Broad technologies

forestry to biotechnology
Molecular applications
Regeneration
component
Bioinformatics
Diversity measurement
Gene discovery
Biosensors
Product verification
Treepopulation Genetic resources characterization X X X
Natural Population Mating system/gene flow X

populations Populationlandscape Conserving diversity X
Populationlandscape Silvicultural impact assessment X
Tree Selection X X X
Breeding Treepopulation Mating designs X X

populations Tree Testing X X X X X
Population Diversity management X X
Population Mating system X X X
Production
Population Gene flow X X X X
populations
Populationlandscape Silvicultural impact X X X
Stand Natural X X X X
Regeneration
Stand Planted X X X X X
Population Native species diversity X X X X X
Domestication
Population Exotic species suitability X X X X X
Population Diversity assessment X X
Gene
Population Gene flow/contamination X X X
conservation
Tree Reproduction X X X X
Treestand Risk/hazard assessment X X X
Forest health
Tree Resistance screening X X X X X X
Processing/ Logs Pulp processing X X X X X

Value added Logs Wood treatment X X X X X
Source: adapted from Table 2.4.2 in FAO (2004)
2.4 Analysis of Successes and Failures of Forest Biotechnologies in
To date, the use of biotechnologies has been beneficial only at very advanced stages of
selection and improvement programmes. Unlike crops, where the number of species
to choose from is relatively limited, an immense diversity at both the interspecific and
intraspecific level is used in forestry. Thanks to this important diversity, the early stages of
classical selection (exploration, collection, testing of genetic resources) provide important
gains. By way of example at the species level, Acacia crassipcarpa, which is currently the
main plantation species in swamp areas was unknown as a plantation species only 20
years ago. At intraspecific level, coordinated, multilocational provenance trials have shown
sometimes 200 percent variation in adaptive traits among populations across the natural
range of distribution of the same species. Individual variation within populations is also
very important, and selection at this level also yields important initial gains in particular
through clonal development (the traditional rooting of cuttings).
For most species and forest tree management systems, advances registered in developing
countries until now have been made without any incorporation of biotechnologies. There
are very good examples of advanced tree breeding programmes using biotechnology tools
in developing countries too, but they refer to a small part only of the forest area (although
their share of timber production is relatively high).
One main reason for failure is an inadequate assessment of the real costs and benefits of
using biotechnology tools in given conditions (the level of improvement and the intensity
of management), often under pressure from providers. As a result, expectations are not met
and unjustified costs are high. This is a common risk in the early stages of development of
new technologies. The same problem occurred during the development of clonal forestry
a few decades ago. The development of protocols for the mass vegetative propagation of
eucalyptus (rooting cuttings) was a real breakthrough in the 1970s, making it possible to
take advantage of outstanding individuals from highly heterogenous interspecific hybrid
progenies (the genetic gain could not be captured otherwise). The first large-scale plantations
and gains in the Congo and Brazil were very impressive. But a perverse side-effect was
that insufficiently informed programmes (or projects that were under pressure from active
clonal forestry promoters) overestimated the benefit from vegetative propagation and
neglected all the necessary but time consuming and demanding basic work (systematic
species and provenance exploration and testing, individual selection and breeding, etc).
This resulted in disappointments and misconceived strategies in some cases.
Much still needs to be done along the lines of upgrading the skills of researchers
by ensuring that they receive higher education or appropriate higher level training to

be able to plan, develop and execute proper tree improvement programmes. Sufficient
financial resources also need to be committed at the national level to ensure that such
programmes are carried out successfully with the final aim of producing improved and
bred reproductive material.
In developed countries, the applications of advanced forest biotechnologies have
developed faster than predicted by Robinson (1999) a decade ago. A shift in technology
transfer models has contributed to this success. In particular, this has come from
the engagement and contributions of many Southern Hemisphere governments and
universities. These institutions have contributed funding, talent and impetus to virtual
forest research consortia in areas such as whole genome sequencing and other genomic
applications. This contrasts with the older technology transfer models which characterized
early tree improvement programmes. Unlike tree improvements, the consortia are less
formally structured within a government. These grassroots scientific exchanges often
include one or more government partners, and they are hastening forest biotechnology in
interesting ways that bear little resemblance to traditional models of technology transfer.
The advances being made in developed countries are also relevant to the progress in the
application of forest biotechnologies in developing countries.
An analysis of forest biotechnology successes and/or failures leads to the following
seven observations:
Forest biotechnology applications are developing along a separate path from

crop biotechnology
Policy-makers tend to put forest biotechnology and crop biotechnology on the same
plane, but the benefits, goals, risks and deliverables are distinctly different. This points to
an important knowledge deficit about forestry biotechnology that needs to be addressed.
Forest biotechnology is now expanding to a wide range of forest types

The forest biotechnology portfolio sensu lato appears to be growing beyond its utility to
forest plantations. Tropical forest complexity, health and recovery are also benefiting from
forest biotechnologies in the form of genomics and its panoply of related methods. This has
new relevance for tropical forests given the major current focus on slowing climate change.
That forest biotechnology applications have rapidly expanded in the past 510 years is
also apparent from FAO (2004) which indicates that 64 percent of research and application
activities in forest biotechnologies worldwide were focused on only six genera (Pinus, Populus,
Eucalyptus, Picea, Quercus and Acacia). As discussed earlier, this is no longer the case. In
this respect, genomics can be seen as a technology spillover, no longer restricted to planted
forests but being used also for the management of naturally regenerated tropical forests.
Forest biotechnology has advanced over the past decade during favourable economic
conditions. This is expected to change. The next decade may see slower progress because
the forestry industry itself has some inherent problems which may be accentuated by the
global financial crisis. Like other research and development (R&D) areas, this downturn
could reduce forest biotechnology investment at a critical time and shape how developing
countries choose to invest in forest biotechnology. These problems are unique to the forestry
context, as summarized by Robinson (1999).

Plantation forestry has less flexibility in tailoring its raw materials delivery due
to long lead times
This means that tailoring raw materials for markets that are years or even decades into
the future is a high-risk proposition. Historically, this is a point which has not been well
understood by biotechnology leaders in the agricultural biotechnology or pharmaceutical
industries (Robinson, 1999).
This suggests that it might be timely to re-examine the role of biotechnology within
the wood manufacturing processes rather than modifying the raw material supply years
in advance of market demand. This emerging field of science is known as molecular wood
biotechnology. Biotechnology benefits to date have included energy savings, waste reduction,
remediation of toxic chemicals (see reviews by Breen and Singleton, 1999; Mansfield and
Esteghlalian, 2003; Ahuja, Gisela and Moreira, 2004). Perhaps the best known example
is the use of microbial (fungal) enzymes that degrade lignin, a component of the plant
cell wall. The use of microbial enzymes is a time-honoured method that has been applied
in pulping processing since 1975. Economic feasibility studies have shown that recent
microbial biotechnology applications can raise mill productivity by 30 percent (Mansfield
and Esteghlalian, 2003). The genetic improvement of fungi, bacteria and other microbes is
a faster way of improving the efficacy of pulping processes and degraded mill waste than
attempting to modify the raw materials of forest trees.
The private forestry sector is cautious about investing in forests and forest
biotechnologies on lands which are not wholly owned
This holds true both for forest biotechnology and for intensive plantation management. As
noted earlier, most forests are not privately owned. A related issue is that for-profit licensing
for genetically enhanced forest trees tends to have been a tricky business model in the past
due to long timelines, low investment rates and public ownership of forests as a worldwide
norm (Robinson, 1999). Thus forestry and its research, including tree breeding, are now
more vulnerable to funding reductions and loss of continuity than before the financial crisis.
In most developing countries, the industrial sector is dominated by foreign firms that
do not often solicit or require research input from local research establishments, as they

rely on research conducted in their countries of origin. The situation, however, is different
for the agriculture, forestry and horticultural sectors, where research is heavily supported
by public research institutions. This scenario does not bode well for the development of
biotechnology because commercial biotechnology has its roots in academia. Researchers
in universities and research institutes carry out nearly all the basic research from which
biotechnologies and biotechnology processes are developed. Thus, private venture capital
companies which could help supply equity capital in support for development of local
biotechnology are lacking. Besides, local firms are very unlikely to invest their already
limited financial resources in long-gestation projects when interest rates are often higher
if the funds are kept in banks.
However, there are interesting experiences of genetic improvement cooperatives that have
pooled the resources of various private companies and universities to establish a single genetic
improvement programme to benefit all participants. This model was applied successfully
in Chile where the state forest service, the main forest companies and a university created
a cooperative. Most of the advances in biotechnologies both in pines and eucalypts were
made by this consortium.
Costs and consequences of expanding the range of forest biotechnologies

To the above stresses and strains, one must add the cost of expanding the forest biotechnology
portfolio itself. Such an expansion can also generate financial strain. Burdon (1992) considered
how molecular-based forest biotechnology would fit with classic breeding programmes.
He foresaw severe institutional strain without skilful and sensitive management various
competitive forces can subvert the safe and successful application [of molecular-based
methods]. He was also concerned that this internal tension could imperil the collaboration
within and between organizations which had already brought so much success to tree
breeding. That proprietary technology is very tempting added yet another source
of strain on forest tree breeding. Managing forest biotechnology appropriately requires
strategic oversight.
Roller-coaster R&D funding

Another point is that forestry, and its R&D budget, have always had a roller-coaster ride
(Robinson, 1999). Managing against the vagaries of a roller-coaster budget makes the success
of forest biotechnology to date even more impressive. This is true also for government
sponsored research. Unstable raw material costs, fixed labour and overhead costs coupled
with small, uneven profit margins all mean that the scale of forestry operations tend to become
ever larger to clear net profits. The roller-coaster ride is an external force which threatens
the stability and continuity required for long term research on long lived forest species.
Infrastructure and capacity constraints
In most developing countries, the use of biotechnology has been mostly limited to
using tissue culture for the multiplication of selected clones. While some form of master
plan for the development of biotechnology is present, there have been no real efforts to
popularize this technology in the countries, mainly because of socio-economic factors.
The introduction of biotechnology to developing countries has been by means of
multilateral or bilateral collaboration. Experts from the collaborating (often developed)
countries have visited and worked in the developing countries as short- or long-term
experts and counterparts. They have helped establish laboratories and equip them with
the relevant facilities to carry out research. While work continues during the period of
collaboration, it slows down considerably once the collaboration phase is over. There
are several reasons for this:
}} The local counterparts are not adequately trained to continue the work independently
once the collaboration ends.
}} Once the collaboration period is over and the experts have returned home, the work
in the laboratories slows down considerably as a result of financial constraints or the
lack of technical knowledge.
}} When equipment breaks down, it takes a long time to be repaired or purchased due to
lack of funds.
}} The purchase of chemicals needed for the work can be delayed as a result of a shortage
of funds or the need to wait for them to be imported into the country.
In spite of these shortcomings, countries such as Vietnam have successfully developed elite
clonal hybrids of Acacia mangium x Acacia auriculiformis for planting programmes. There
are currently 127 000 hectares under clonal acacia hybrids cultivation (van Bueren, 2005)
and the planted area continues to increase each year. With the recent rapid growth of the
economy in the country, the situation looks poised to change as the government commits
more funds towards education, training, research, skilled manpower development and
infrastructure development. The biotechnology agenda is also being given priority in the
national development plans of countries like Vietnam, Laos and Cambodia.
2.5 Case Studies of Applications of Forest Biotechnologies in

2.5.1 Eucalyptus plantations in Brazil

More than 700 species of eucalyptus are found in Australia but their performance as
a plantation species is far greater elsewhere (Borralho, 2001) and especially in Brazil.

The Aracruz Celluloses plantations in Brazil are perhaps the most widely cited success
story. The company won the coveted Wallenberg Prize for its intensification efforts. This
operation comprises a total of 300 000ha of eucalypts of which half are produced by low
cost vegetative propagation (Aracruz Cellulose, 2008).
In support of this intensive plantation effort, Brazil has a large-scale eucalyptus genomic
research initiative that is known as the Genolyptus Project or the Brazilian Network of
Eucalyptus Genome Research (Grattapaglia, 2004). The Genolyptus Project builds on the
international whole genome sequencing effort. It aims for a genome wide understanding
of the molecular basis for wood formation in Eucalyptus and is coupled with ongoing tree
breeding programmes.
The projects talented team of scientists is generating a suite of biological and computational
resources to discover, sequence, map, validate and understand the underlying variation of
genes and genomic regions of economic importance in Eucalyptus with a focus on wood
formation and disease resistance (Grattapaglia et al., 2009). The project is based on a
partnership among agencies within the Brazilian federal government through the MCT
Fundo Verde Amarelo. The academic/research sector is represented by seven universities
and the Brazilian Agricultural Research Corporation (EMBRAPA). Industry is represented
by twelve forestry companies. The Genolyptus Project could be considered a good example
of how genomics can be successfully integrated with traditional breeding programmes to
return value in a reasonably short time. This project also represents a good model of how
universities, government agencies and private enterprises can work together to benefit
different categories of stakeholders.
2.5.2 Clonal propagation of teak in Malaysia

Teak, Tectona grandis, is widely planted in many countries in Asia, South and Central
America and Africa. A fifteen-year collaboration between the Sabah Foundation Group
(Malaysia) and the Centre de Coopration Internationale en Recherche Agronomique pour
le Developpement (CIRAD, France), exploiting molecular markers and micropropagation,
has led to the availability of superior quality planting material both for the local market
as well as for export (Goh et al. 2007; Muralidharan, 2009a). The candidate trees for
producing the superior clones were selected with reference to intrinsic wood qualities
(e.g. natural durability, shrinkage, sapwood percentage, etc.). Simple sequence repeat
markers were developed to determine the genetic background and diversity in order to
reduce inbreeding and ensure the genetic fidelity of the clones mass produced by tissue
culture. There is now widespread demand for these clones globally. In addition, a clone
identification form provides detailed information on each clone, including the DNA
fingerprinting profile.
2.5.3 Micropropagation applied to tree breeding of fast-growing forest tree species
in Latin America
Biotechnology was introduced in Latin America in the 1980s. Networking has been very
important for the research community there. By December 2008, there were 5 467 researchers
in 738 agricultural biotechnology laboratories in 32 countries in the Technical Co-operation
Network on Agricultural Biotechnology in Latin America and the Caribbean (REDBIO),
based at the FAO Regional Office in Chile. The network has been in operation since 1991
to develop biotechnology for the sustainable use of regional genetic resources, promote the
safe and responsible application of the technologies especially in fragile environments,
and enhance the regional development of new strategic technologies such as molecular
genomics. It also encourages the application, whenever feasible, of advanced biotechnology
tools in integrated crop management and sustainable production systems.
In terms of planted forests, the largest areas are in Brazil (7 million ha, 4.1 million of
which are industrial man-made forests). Chile has 2.25 millionha of planted forest areas,
practically all for industrial purposes; Uruguay has about 0.75 million ha; Argentina has
0.7 million ha; Venezuela, 0.5 million ha; Cuba, 0.4 million ha; Peru, 0.3 million ha; and
Colombia and Mexico have about 0.2 millionha each. In the other countries of Latin
America and the Caribbean the reforested area is less than 100 000ha per country. The
estimates of the current yearly forestation rate vary from 386 000 to 520 000ha (FAO,
2006). Practically all the planted forests have been established on abandoned agricultural
lands where erosion is prevalent, with the overwhelming majority being established with
fast-growing exotic species in the Eucalyptus and Pinus genera. Many of these planted
forests have been established by clonally propagated elite plants in the case of Eucalyptus
or through somatic embryogenesis in the case of the Pinus species.
2.5.4 Bioprotection in Kerala, India

At the Forest Protection Division of the Kerala Forest Research Institute, India, investigations
into control of a serious insect pest of teak viz. the teak defoliator (Hyblaea purea), have
been carried out for several years. A Hyblaea purea nuclear polyhedrosis virus (HpNPV)
isolated from natural populations of the insect larvae resulted eventually in a very effective
biological control method. A permanent preservation plot where the pest outbreak was
kept under control over several years with regular spraying of the HpNPV formulation
clearly demonstrated the benefits in terms of increased volume of timber compared with
the control plots. Research then went into the rearing of the insect larvae in the laboratory
on an artificial diet and the mass multiplication of the virus, followed by the formulation
of the pesticide incorporating UV protectants and other adjuvants, and finally the spraying
technique in the planted forests. Almost two decades of research finally culminated in a

successful solution to a serious problem. Nevertheless, the technology has remained in the
laboratory and there is no indication that it will make it to the standard package of practices
of the teak plantings immediately. Since most teak in India today comes under the control
of State Forest Departments, acceptability by the forestry professionals is important. Some
farmers had shown interest and willingness to use the product in their plantations, and the
initial response showed that the technology was effective. The case study demonstrates
that research in forest biotechnology has a much better chance of producing results when
conceived, developed and implemented in a broader framework that involves not only
scientists and technologists but also at every stage the forestry professionals who work at
the field level and, at some level, policy-makers who eventually have to give their approval
(Muralidharan, 2009b).
2.6 Key Issues where Forest Biotechnologies Could be Useful
2.6.1 Adaptation to climate change

Forests, particularly tropical forests, play a central role in climate change and this is
expected to shape the direction of forest biotechnology research in new ways. At the
heart of the matter is how to ease forest adaptation. Forest adaptation is the foundation
for all other forestry policy solutions aimed at slowing climate change (Hamrick, 2004;
Millar, Stephenson and Stephens, 2007; Aitken et al., 2008). In addition, all forestry
policy solutions, i.e. reducing emissions from deforestation and degradation (REDD),
forestry offsets, biofuels and biomass depend on the health and resilience of forests while
adapting to climate change (Clark, 2004). Thus, forest adaptation deserves a closer look
as predictive models for climate change effects become more regional. Already, predicted
range shifts and assemblage mixing are being published to some degree but no two regions
will experience climate change in the same way. Tropical forests are especially vulnerable
to climate change (see Figure 4). Climate change related problem-solving will dominate
forest R&D, particularly for tropical regions.
Figure 4
A schematic diagram of a forested ecosystem which is adjusting to climate change
Add e d Str essors

Keystone Forest Tree Species
from Cli mate Chang e
D eg r e e of Com plexity of For est Ecosyste m

Precipitation
Redistribution Increased Turbulence
& Extreme Weather
Events
Warmer/cooler
Temperatures
Introduced Pests
and Pathogens
Climate-Mediated
Species Range Shifts
Time Unit of t =110

Thinking about forest tree adaptation under climate change has led to formulation of
the concept of assisted migration (Aitken et al., 2008; Marris, 2009). Assisted migration
refers to the practice of matching seed source to location, assuming a different climate in
the future. This is an important concept given that forest trees are so narrowly adapted.
As climate change models are becoming more regionally predictive, range shifts for
indigenous forest trees are expected. Seed sources and provenances can be matched for
optimum growth under these future site conditions (Aitken et al., 2008). The issue is more
critical at higher latitudes where forest rotation ages span 50100 years, which is well within
the realm of expected climate change by 2050.
With regard to biotic and abiotic stresses expected under climate change scenarios, the
development of biotechnology tools for resistance to pests, tolerance to climatic extremes,
bioremediation and carbon sequestration will be more relevant in the near future both for
naturally regenerating and for planted forest tree species.
2.6.2 Sustainable management of forest genetic resources

Genetic diversity provides the fundamental basis for the evolution of forest tree species
that has enabled forests and trees to adapt to changing conditions for thousands of years.
Adaptation has resulted in a unique and irreplaceable portfolio of forest tree genetic
resources. Fires, deforestation, new pests and diseases, and other factors are increasingly
threatening forest genetic resources. The vast majority of forest genetic resources remain
unknown and underutilized although the sustainable use of forest genetic diversity has great
potential to contribute towards addressing new challenges and maintaining economic, social
and cultural values, as well as providing environmental services and benefits. The field of
forest genetic resources is undergoing significant changes. Traditionally, the sector has been
concerned with technical issues of genetic conservation, tree improvement and seed supply
for wood production. The scope of genetic management, however, is now expanding as the
demand for products from forest species is increasing and diversifying (timber, fibre, fruits,
resins and other non-wood products), which is contributing to food security and poverty
reduction of rural populations. The emerging uses of forest genetic resources must be
assessed to achieve sustainable use of these resources. Advances in biotechnology are rapidly
enabling the improved use of genetic resources, and potentially greater economic and social
contributions resulting from forest genetic resources. Biotechnology developments will
also provide improved tools to enhance the effectiveness of conservation and development
measures (knowledge about life-history traits and genetic diversity is lacking or inadequate
for most tree species to define and implement conservation strategies).
Based on the stocktaking exercise carried out here, a number of specific options can be
identified for developing countries to help them make informed decisions regarding the
adoption of biotechnologies in the forestry sector in the future.
Biotechnologies should be integrated with conventional technologies

Forest biotechnology as a whole lacks strategic oversight to ensure the integration of
its parts (Burdon, 1992). No policy exists that would ensure that tree breeding and
molecular-based components of forest biotechnology work together in a complementary
fashion. This is a problem because biotechnologies such as molecular markers and
mass propagation methods can be useful only if stable conventional forest breeding
programmes are in place.
Promote public-private partnership at national level

Effective public-private partnerships are a key factor in most successful cases of the
development and implementation of forest biotechnologies, especially as regards industrial
wood production and processing. It is therefore an important strategy to be considered by
Improve information and communication strategies for biotechnologies

Public access to good and updated information on forest biotechnologies is very important
in developing countries. Benefits from their use can be optimized if the end users know
how to utilize them properly. Consolidated information and education mechanisms should
be put in place to allow communication between the relevant sectors of society. Attention
should be given to issues relating to the meaningful adoption of biotechnologies including
socio-economic implications, efficiency, costs and benefits and environmental impacts.
The international community, including FAO and other UN organizations as well as NGOs,
donors and development agencies, can play a key role in supporting developing countries
by providing a framework for international cooperation as well as funding support for the
generation, adaptation and adoption of appropriate biotechnologies. A set of Priorities for
Action is given below that will help the international community fulfil this role.

Improve access to peer-reviewed scientific information about forest
biotechnologies in developing countries
Even with Internet access, peer-reviewed journal and books continue to be central sources
of information for scientists. Subscription costs for the best available scientific knowledge
have risen exponentially, putting it out of the reach of many institutions even in the most
science-literate developed countries. While open-source journals are a step in the right
direction, publications in traditional forestry outlets such as proceedings, conferences
and government printing office publications are declining. Today, forest biotechnology
is adversely affected by barriers to knowledge acquisition. These barriers, when coupled
with publication bias (defined as the propensity to forego publishing negative results), can
only slow scientific progress.
The international community is already acting to reduce these barriers. For example,
FAO is coordinating the Access to the Global Online Research in Agriculture (AGORA)2
programme, providing free or low-cost access to scientific journals in the fields of food,
agriculture (including forestry), environmental science and related social sciences. A sister
programme called Online Access to Research in the Environment (OARE)3 also covers
both forestry and biotechnology and its goal is to improve access to scientific research
in developing countries by providing high quality, timely, relevant, environmental and
related science journals and other scientific content for free or at nominal cost. OARE is an
international public-private consortium coordinated by the United Nations Environment
Programme (UNEP), Yale University and leading science and technology publishers. Such
initiatives from the international community should be encouraged and strengthened.
Build capacity for understanding forest biotechnology issues at all levels

For most policy-makers, scientists and even students, forest biotechnology is a form of
agriculture. As discussed earlier, however, this is not the case. At best, it is a tribute to those
who have developed capacity for agricultural biotechnology, but applying agricultural
biotechnology to trees will not optimize the benefits to be obtained from forestry resources.
Agricultural biotechnology does not constitute the best form of knowledge for forests.
Forest biotechnology is an area that is separate from crop and livestock biotechnology and
requires its own capacity building. Capacity building initiatives in forest biotechnologies
from the international community should be strengthened in view of this important
observation. The capacity building initiatives should include training in emerging tools such
as bioinformatics and computational biology for tropical forest studies. Intensive educational
efforts for bioinformatics courses would benefit professionals and scientists in developing
2 www.aginternetwork.org.
3 www.oaresciences.org.
countries. This skill set provides capacity for testing hypotheses using available information
from DNA sequences and related databases. In addition to educational workshops, this
action will also require upgrades of computing infrastructure and perhaps bandwidth
in some cases. A wealth of data is being produced by whole genome DNA sequencing
consortia, the Tree of Life project, the Consortium for the Barcode of Life and a host of
other independent initiatives.
Review the status and potential of forest biotechnologies for developing countries
It is clear from this Chapter that the forestry sector in developing countries is in a very
dynamic situation and facing a number of important challenges and opportunities for which
biotechnologies can play a significant role. FAO commissioned a series of studies in 20022004
to investigate the extent and pattern of research and application of forest biotechnologies
worldwide (FAO, 2004). These studies have informed and influenced policy-making in
developing countries, providing good indicators and possible predictions of trends in forest
biotechnologies around the world. Such global surveys are important, and the international
community should continue to provide periodic reviews of the status and potential of
forestry biotechnologies in developing countries. The reviews should cover synergies with
other biotechnology sectors such as applications of biotechnology to micro-organisms to
improve wood manufacturing processing, as well as with other fields of technology that
may be useful such as nanotechnology, information technology and synthetic genomics
that may converge to the benefit of wood products manufacturing. Another potential
area for convergence is the combination of genomics tools with geographic information
systems (GIS). Using GIS to track rare alleles, gene flow or expressed proteins is another
area that deserves a closer look. Technology advances are delivering finer resolution at both
the landscape and molecular ends of this molecule-to-landscape spectrum, and this will no
doubt provide interesting ways to study all forest ecosystems.
Encourage North-South collaboration

As mentioned earlier in this Chapter, the application of forest biotechnologies has advanced
faster in developed countries than originally predicted (Robinson, 1999). As much of the
research refers to processes and/or tree species that are relevant to developing countries,
these advances are of major potential relevance to developing countries as well. The
international community should act to ensure that the results of research and application in
forest biotechnologies in developed countries are made accessible to developing countries.

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chapter 3
Livestock Biotechnologies in
Summary
Conventional technologies and biotechnologies have contributed immensely to increasing

livestock productivity, particularly in developed countries, and can help to alleviate poverty
and hunger, reduce the threats of diseases and ensure environmental sustainability in
developing countries. A wide range of biotechnologies are available and have already been
used in developing countries in the main animal science disciplines, i.e. animal reproduction,
genetics and breeding; animal nutrition and production; and animal health.
In animal reproduction, genetics and breeding, artificial insemination (AI) has perhaps
been the most widely applied animal biotechnology, particularly in combination with
cryopreservation, allowing significant genetic improvement for productivity as well as
the global dissemination of selected male germplasm. Complementary technologies such
as monitoring reproductive hormones, oestrus synchronization and semen sexing can
improve the efficiency of AI. Embryo transfer provides the same opportunities for females,
albeit on a much smaller scale and at a much greater price. Molecular DNA markers can
also be used for genetic improvement through marker-assisted selection (MAS) as well
as to characterize and conserve animal genetic resources. Use of most molecular marker
systems depends on the polymerase chain reaction (PCR), which is an important technique
for amplifying specific DNA sequences. AI is practised at some level in most developing
countries, primarily in dairy cattle and peri-urban areas where complementary services
including milk marketing are available. The high cost of liquid nitrogen for cryopreserving
semen often restricts its use far from cities. AI is usually used for crossbreeding with
123
imported germplasm rather than for breeding with males of local breeds due to the
paucity of animal identification, recording and evaluation programmes. Lack of systems
for identifying superior animals together with weak technical capacity precludes the use
of more advanced technologies such as embryo transfer or MAS. Application of molecular
markers has generally being limited to genetic characterization studies, usually through
international cooperation.
Biotechnologies for animal nutrition and production are often based on the use of
micro-organisms including those produced through recombinant DNA technology.
Fermentation technologies are used to produce nutrients such as particular essential amino
acids or complete proteins or to improve the digestibility of animal feeds. Microbial cultures
are used to increase the quality of silage or to improve digestion, when fed as probiotics.
Recombinant bacteria have been developed to produce specific enzymes and hormones that
improve nutrient utilization, which can increase productivity (e.g. somatotropin) and/or
decrease environmental impact (e.g. phytase). Fibre-degrading enzymes are also used to
increase animal productivity and decrease environment pollutants. Although data are scarce,
amino acids and enzymes appear to be the most prominent and widespread nutrition-
related biotechnology products used in developing countries, and India and China have
developed local industries to produce them. Various factors have limited the use of many
other biotechnologies. For example, silage production is not common, thus precluding
the use of microbial cultures. The uptake of recombinant somatotropin has been affected
by low public acceptance, inadequate good quality feed and the low genetic potential of
animals in developing countries. Fermentation of lignocellulosic materials to improve the
quality of crop residues and forages has not been very effective.
Biotechnologies in animal health are used to increase the precision of disease diagnosis as
well as for disease control and treatment. Monoclonal antibodies are used in immunology-
based diagnostic methods including enzyme-linked immunosorbent assays. Since these
methods may not allow the distinguishing of vaccinated from infected animals, molecular
approaches that detect specific DNA sequences and that rely mainly on PCR are now often
preferred although their use is mainly restricted to the laboratories of research institutions
and larger governmental diagnostic laboratories. Vaccination is widely used as a cost-
effective measure to control livestock diseases as exemplified by the soon-to-be-confirmed
eradication of rinderpest. Recombinant vaccines offer potential advantages over traditional
vaccines in terms of specificity, stability and safety but few recombinant vaccines are being
produced commercially and their use in developing countries is negligible. The sterile insect
technique is usually applied as part of an area-wide integrated pest management approach
and has played a vital role in the eradication of the tsetse fly population in Zanzibar and in
the control of screwworms in several countries.

3.1 Introduction
The challenges facing the global community in food and agriculture are enormous. According
to the most recent report on the State of Food Insecurity in the World, there are now about one
billion undernourished people (FAO, 2009a). Livestock contribute directly to the livelihoods
of nearly one billion of the worlds population. Livestock provide protein and minerals for
human consumption, manure for crop production, fibre and leather for industrial uses, and
draught power. Beyond their roles in providing food and inputs for agriculture and industry,
livestock provide security to farmers in developing countries, especially in emergencies such
as crop failures. To many of the resource-poor smallholder farmers and landless livestock
keepers, animals are a living bank, facilitating both income distribution and savings. In addition,
by consuming crop residues and by-products and through well-managed grazing, livestock
production contributes positively to the environment, particularly in mixed crop-livestock
production systems. Thus, livestock are important sources of income and employment,
contributing thereby to poverty alleviation and enhancing the household food security of farmers.
Livestock production is one of the fastest growing agricultural sectors in developing
countries, where it accounts for more than a third of agricultural GDP. It is projected soon
to overtake crop production as the most important agricultural sector in terms of added
value (FAO, 2006a). Many developing and transition countries have realized high economic
growth in recent years. This, coupled with an increasing population, an expanding urban
population and growth in personal incomes, is altering the lifestyle and purchasing patterns
with respect to food products. Global food protein demand is shifting from plant proteins
to animal proteins. Using data from 2000 as a baseline, it is projected that the demand for
animal products will nearly double by 2030 and that a large proportion of this increase will
be in developing countries and from monogastric animals (FAO, 2002).
This increasing demand for livestock products, termed the Livestock Revolution, is
creating opportunities for improving the welfare of millions of poor people who depend on
livestock for their livelihoods and could become a key means of alleviating poverty. It has been
observed that in addition to providing benefits to farmers and the animal product industry, the
rapid growth in livestock production has stimulated demand for, and increased the value of,
labour, land, and non-agricultural goods and services, resulting in overall economic growth.
However, increasing land degradation, global warming, erosion of animal and plant genetic
resources, livestock-mediated environmental pollution, severe water shortages and the threat
of emerging infectious diseases pose several new challenges to sustainable animal production
and food security, particularly in developing countries (FAO, 2006a; Belk and Gay, 2007;
World Bank, 2009). Meeting the increasing demand for animal products, while protecting
natural resources and the wider environment, is therefore one of the major challenges today.
chapte r 3 Current Status and Options for Livestock Biotechnologies in Developing Countries 125
Technological innovations have been drivers of social and economic change. They have
played a pivotal role in enhancing the quality of life and the safety of animals and humans.
In the last four decades there has been an unprecedented surge in the development of
biotechnology in animal production and health, with gene-based biotechnologies becoming
most prominent in the last decade. While the vast majority of these technologies has been
developed and utilized in developed countries, they have the potential to alleviate poverty
and hunger, reduce the threats of diseases and ensure environmental sustainability in
developing countries. Some of the technologies have a long history of successful use, others
have been used with varied success, and many more are at different stages of development
and commercialization.
A number of fundamental questions can be asked about livestock biotechnologies in
developing countries: To what extent are they being used today?; what are the reasons
for their success (or failure)?; what emerging challenges can be addressed through their
application?; what options do individual developing countries and the international
community have for enabling developing countries to make informed decisions on the use
of appropriate biotechnologies to enhance food security? This Chapter tries to address
these critical questions.

3.2 Conventional Technologies in Developing Countries
Since the Second World War, all branches of the animal sciences animal reproduction,
genetics and breeding; animal nutrition and production; and animal health have benefited
substantially from the application of various technologies in developing countries. Although
the benefits of technologies in the fields of animal genetics and breeding and animal health
have produced large economic benefits induced primarily by the adoption of artificial
insemination (AI), disease diagnostics and vaccines the role played by advances in
animal nutrition should not be underestimated. Indeed, without the provision of adequate
nutrition, the benefits of animal improvement programmes could not have been realized.
Good nutrition is also necessary for the proper functioning of the immune system which
helps keep animals healthy and productive.
The technologies used in animal nutrition have been diverse, much more so than in the
other two sectors. In the early 20th century, locally available resources mainly a mixture
of crop residues, grasses and some easily available low-cost protein sources such as brans,
kitchen waste and oil cakes were used for feeding ruminants. Since the 1960s, with increased
knowledge of mineral, protein and energy metabolism, concepts of balanced animal feeding
emerged and several new technologies were developed. In developing countries the focus
has been on enhancing the efficiency of utilizing crop residues and other roughages through
urea ammoniation treatment and optimizing rumen fermentation by ameliorating nutrient
deficiencies (mainly nitrogen and minerals) in low quality roughage. Approaches used
included adding minerals, nitrogen in the form of non-protein nitrogen and tree leaves to
roughage based diets; chopping and soaking roughages in water, which increases intake,
is also being practised.
Productivity in peri-urban dairying and other commercial livestock units has been
increased by using compound balanced rations of locally available ingredients; mineral
mixture supplementation including the use of urea-molasses mineral blocks; the production,
conservation and use of green fodder; the enrichment and densification of crop residues; the
production of by-pass proteins, by-pass fat and chelated amino acids. For poultry and pigs,
the nutritional provisions have shifted from the use of backyard feed resources to balanced
feeding using conventional feed resources, especially on commercial farms. However,
improving animal productivity has also hinged on striving for greater environmental stability.
Imbalanced feeding results in the release of excess nitrogen, phosphorus and other nutrients
into the environment, thereby causing pollution. Environmental pollution due to excessive
feeding is particularly serious in intensively managed farms.
In the area of animal reproduction and breeding, cytogenetics has played an important
role. Karyotyping technology is used to screen animals for chromosomal aberrations to
assess subfertility and infertility in dairy animals. In some developing countries, open
nucleus breeding systems and progeny testing programmes involving proper recording
and analysis of necessary information for reliable decision making along with population
and quantitative genetics have led to the development of highly productive animals when
provided with the proper nutritional inputs and suitable housing and management. The
basis of these systems is predicting the breeding values of the animals using phenotypic
and genealogical information. Technologies such as AI and pregnancy diagnosis have
been extensively used to transfer the improved germplasm to developing countries
although natural mating is still the most common practice for breeding farm animals in
such countries.
Since the early 20th century, the focus in animal health has been on the eradication of
infectious diseases by slaughtering infected animals and in some cases, also associated animals.
Recently vaccination has been used. Vaccination is the introduction (often by injection) of
biological material into an individual to increase its immunity to a given disease. Its first use
is attributed to Edward Jenner in the late 1700s. The biological material typically resembles
the disease pathogen and prepares the immune system to react to subsequent infections.
In the 1940s, the advent of antibiotics revolutionized the treatment of common diseases
and these also encouraged surgical interventions. During the last decades, productivity-
reducing subclinical diseases such as those caused by internal parasites have been treated
with various antibiotics and drugs. For some livestock species, antimicrobials were also
used as growth promoters. This last practice has not been without controversy and it is
believed that misuse has contributed to drug resistance in parasites and bacteria.
The concepts and analytical techniques of epidemiology and their careful application
have been a very significant factor in disease prevention in the last four decades. The
availability of statistical methods, software and computing power allowed handling a large
body of datasets, resulting in effective and fast decision-making and a better understanding
of diseases. Epidemiology allowed for the simultaneous evaluation of the effects of various
environmental, host and pathogen-related factors on disease incidence and transmission.
Information on the effectiveness of vaccines under field conditions was also assessed by
epidemiological methods. Other conventional techniques such as the clinical pathological
analysis of specimens for the diagnosis or confirmation of diseases in farm animals and
serological screening for various infectious agents have contributed significantly to monitoring
and control programmes for many transboundary animal diseases. Traditional diagnostic
tools such as virus neutralizing tests and virus isolation have a long history and remain the
gold standards for serological and virological investigations. These have been invaluable

tools for diagnosis of diseases. Vaccines developed through traditional approaches have also
had a major impact on the control of foot-and-mouth disease (FMD), rinderpest and other
epidemic and endemic viral, mycoplasmal and bacterial diseases.
3.3 Animal Biotechnologies: Definitions and Historical Perspective
Biotechnology has been practised since the beginning of animal husbandry. The evaluation
and selection of different breeds started with the domestication of animal species around
12000 years ago which was led by the wish to obtain traits dictated by social, nutritional
and environmental needs with no understanding of the molecular processes involved. In
1919, Karl Ereky, a Hungarian engineer coined the term biotechnology and described
it as the process by which products could be synthesized from raw materials with the aid
of living organisms. In this and the other FAO background documents for ABDC-10,
the definition of biotechnology follows that of the Convention on Biological Diversity
(CBD), i.e. any technological application that uses biological systems, living organisms,
or derivatives thereof, to make or modify products or processes for specific use. A brief
history now follows of the biotechnologies identified for discussion in this Chapter and
their definition.
3.3.1 Biotechnologies in animal reproduction, genetics and breeding

The advent of AI in the 1930s represented the start of a revolution in traditional animal
breeding. The subsequent discovery in the 1950s that glycerol could act as a cryoprotectant
for semen removed practical barriers to the use of AI, expanding its potential exponentially.
Prolonged storage of spermatozoa in a deep frozen state allows a single male to mate
with thousands of females without restrictions imposed by geography and time. These
developments were followed by oestrus synchronization, multiple ovulation induction
and embryo transfer (ET), sperm and embryo sexing, and in vitro embryo production and
cloning by nuclear transfer. In addition, recent developments in molecular markers coupled
with the use of bioinformatics opened the possibility for identifying genomic variation and
major genes for genetic improvement of livestock. The ongoing move to use molecular
markers in conjunction with reproduction technologies such as AI and in vitro production
of embryos is likely to accelerate further genetic change to obtain animals with desired traits.
Artificial insemination: Semen is collected from donor male animals, diluted in suitable diluents
and preserved in liquid nitrogen. Fresh or frozen diluted semen is manually inseminated
into the reproductive tract of an ovulating female to achieve pregnancy.
Sperm sexing: Depending on the species, X chromosome-bearing sperm contain 25 percent
more DNA than sperm bearing the Y chromosome. Different sperm have distinct emission
patterns when stained with a fluorescent dye and exposed to light. This difference allows
the sperm to be separated by a flow cytometry machine. The sorted sperm can subsequently
be used for AI to obtain offspring of the desired sex.
Progesterone monitoring: A highly specific antibody is used to measure the concentration

of progesterone (the antigen) in blood or milk. This is particularly useful for identifying
animals that are anoestrous or non-pregnant, improving the efficiency of AI. Radioactivity
(radioimmunoassay RIA) or fluorescence (enzyme-linked immunosorbent assay ELISA)
are used for quantification. The concentrations of many molecules of biological or agricultural
interest can be measured using such procedures.
Oestrus synchronization: This is the process of bringing female animals into oestrus at a
desired time by using a progesterone-releasing intravaginal device, intravaginal progesterone
sponges, progesterone ear implant or prostaglandin treatment. The systematic administration
of a combination of hormones such as gonadotrophins, prostaglandins, progesterone or
oestradiol is also used. It assists in large-scale use of AI and can decrease the amount of
labour used to monitor cattle for oestrus.
Embryo transfer: ET is the transfer of an embryo from one female to another. A donor animal
is induced to superovulate through hormonal treatment. The ova obtained are then fertilized
within the donor, the embryos develop and are then removed and implanted in a recipient animal
for the remainder of the gestation period. The embryos can also be frozen for later use. Multiple
ovulation and embryo transfer (MOET) increases the scope to select females whereas AI
limits selection to males but its success depends upon the accurate identification of superior
females and its application requires greater technical expertise and infrastructure than AI.
Embryo sexing: Heifers are preferred by the dairy industry and bulls by the beef industry.
The pig industry generally prefers females due to higher quality and lower cost of production.
Y chromosome probes are used for sexing the embryos. Karyotyping antibodies specific
for male antigens and X-linked activity enzymes are also used for embryo sexing, but the
use of Y chromosome specific probes seems to be the most reliable and practical method.
In vitro fertilization (IVF): Unfertilized eggs (oocytes) from ovaries of live donor animals
are gathered by a technique referred to as ovum pickup. The oocytes are matured in
an incubator and then fertilized with sperm. The resulting zygotes are incubated in the

laboratory to the blastocyst stage. The fertilized embryos can be transferred fresh or can
be frozen. Sexed semen can be used to obtain embryos of the desired sex, which is more
efficient and less complicated than the Y chromosome probe-based approach.
Cryopreservation: This refers to the storage of valuable genetic material (e.g. sperm, oocytes,
embryos, somatic cells) in deep-frozen form in liquid nitrogen (-196 oC) for preservation
and later use.
Cloning: The replication of DNA and other molecules and of genetically identical cells to
produce an identical organism are all examples of cloning. Clones of entire organisms can
be produced by embryo splitting or nuclear transfer including nuclei from blastomeres,
somatic cells and stem cells.
Recombinant DNA technology: Simple changes in the DNA sequence of an organisms

genome can have profound effects on its phenotype. Excision of a gene or even a single
nucleotide can silence or knock out a gene, preventing it from being fully translated into
the corresponding protein. In addition, because the DNA of all organisms is effectively
the same molecule in terms of chemistry, insertion of one or more new genes into animal,
plant or microbial cells is possible through various genetic tools. The microbes or animal
cells hosting the transgenes become minute factories producing large quantities of the gene
product. When recombinant DNA is inserted into the germ line of an animal, the result is
a transgenic animal that is capable of passing the transgene on to its progeny.
Molecular markers: A DNA marker is an identifiable DNA fragment or sequence that can
be used to detect DNA polymorphism. Molecular markers have a number of uses including
estimation of population histories and genetic relationships within and between animal
breeds (molecular characterization), as well as the determination of parentage. Markers that
have a statistical association with a phenotypic trait can be used to select animals for the
desired phenotype (MAS). Molecular markers may also be used to increase the efficiency
of the introduction (introgression) of genes from one breed into another through repeated
backcrossing of a recipient breed. Finally, although not an application for reproduction and
breeding, DNA markers can be used to follow production streams containing particular
components of interest, such as tracing animal products to their site of origin.
Different types of markers are available, including: a) restriction fragment length
polymorphisms (RFLPs), in which DNA is cut with a specific nucleotide sequence using
bacterial restriction enzymes yielding fragments of different lengths which are then separated
on a gel; b) random amplified polymorphic DNA (RAPD) and amplified fragment length
polymorphisms (AFLPs) involving the use of restriction enzymes and the polymerase chain
reaction (PCR); c) minisatellites, which are regions of DNA with polymorphisms in the
number of repeated nucleotide sequences of around 25 bases in length; d) microsatellites,
which are DNA repeats in tandem at each locus, the tandem repeats usually being two to
five bases long; and, e) single nucleotide polymorphisms (SNPs), which are single base
changes in DNA. SNPs are the basis of DNA chips which have thousands of complementary
DNA fragments arranged on a small matrix and are capable of scoring large numbers of
loci simultaneously. Sequence analysis of either specific DNA fragments or entire genomes
can also be carried out.
3.3.2 Biotechnologies in animal nutrition and production

A number of products from biotechnological processes are added to animal feeds to increase
the efficiency of production.
Nutrients: L-amino acids produced through fermentative processes are used for correcting
amino acid imbalances in diets. Industrial production of amino acids using biotechnological
approaches began in the middle of the last century. The biotechnological processes
fermentation and enzymatic catalysis led to a rapid development of the market for amino
acids due to the economic and ecological advantages these biotechnologies offered. Essential
amino acids such as L-lysine, L-threonine, L-tryptophan, L-phenylalanine and L-cysteine
are produced either using high performance mutants of Corynebacterium glutamicum or
recombinant strains of Escherichia coli.
Enzymes: In the present context, enzymes are proteinaceous biocatalysts, generally of

microbial origin, that improve feed nutrient availability by enhancing the digestibility of
macromolecules and decreasing antinutritional factors. An additional advantage is a potential
decrease in environmental pollutants from livestock production systems. Some examples are
phytase, glucanase and xylanase. The first phytase preparation was launched in the feed market
in 1991. Phytases that enter the market are produced from microbial strains that are either
derived through mutation or by using recombinant DNA technology. Some of the phytase
preparations authorized in the European Union (EU) are produced by recombinant strains
of Aspergillus niger, A. oryzae and Trichoderma reesei. Other enzymes such as glucanase,
amylase and xylanase, which are also products of microbial fermentation, have been used in
monogastric diets for decades. For many years the use of exogenous enzymes in ruminants
was discouraged because of the perception that these enzymes would be hydrolyzed quickly
by rumen microbes. However, studies conducted in the 1990s showed that adding exogenous
enzymes to ruminant diets also has the potential to increase productivity.

Ionophores: These are compounds that translocate ions across biological membranes
and consequently disrupt the transmembrane ion gradient. An example is monensin, an
antimicrobial compound that is produced in large amounts by Streptomyces cinnamonensis.
In 1971, monensin was originally introduced into the poultry industry as an anticoccidial
agent. Some countries have approved its use in the diets of swine and ruminant animals,
particularly dairy cows and beef cattle.
Single cell protein: This is the microbial biomass or extracted proteins obtained from
processes in which bacteria, yeasts, fungi or algae are cultivated in large quantities. It can
be used as protein supplements in animal feed.
Solid state fermentation: A method for biological treatment of lignocellulosic materials to

improve their digestibility and facilitate their enzymatic hydrolysis or to produce enzymes
for various applications.
Probiotics and prebiotics: Probiotics are live micro-organisms which may confer health
and production benefits to the host animal when administered in adequate amounts. These
are usually from the Lactobacillus and Bifidobacterium families for monogastric animals,
while Aspergillus oryzae and Saccharomyces cerevisiae are generally used for ruminants.
Since the 1920s, foods containing probiotic microbes (Lactobacillus acidophilus) for human
consumption have been marketed in Japan. Lactobacillus acidophilus use in the United States
reached its peak around the middle of the1930s and then faded. Since the late 1950s there
has been steady interest in the study of probiotics for animals and humans. Prebiotics are
non-digestible food ingredients that beneficially affect the host by selectively stimulating
the growth and activity, or both, of specific microbial flora in the colon. Examples are
inulin, fructo-oligosaccharide and resistant starch.
Silage additives: The nutritional quality of ensiled forages depends in part on the success
of the fermentation process. Microbial inoculants and enzymes have been developed for
addition into the silage at the time it is put into storage. These additives generally function
by stimulating the fermentation process.
Recombinant metabolic modifiers: Since the 1920s, it has been known that injecting
hypophyseal extracts stimulates tissue growth and milk secretion, and growth hormone was
eventually identified as the primary source of this effect. During the 1990s, recombinant
somatotropin produced by bacteria was licensed in various countries for the stimulation
of production in dairy cows, swine and horses. Many countries have not approved its use.
3.3.3 Biotechnologies in animal health
Before the advent of recombinant DNA technology, the diagnosis and immunological
prevention of infectious animal diseases was largely based on the use of whole pathogens or
their physically resolved fractions. In many instances these crude methods were inefficient.
Great improvements were obtained with the development of the ELISA, which has been the
most popular diagnostic tool for animal diseases. Many ELISA systems now use recombinant
antigens for detection of antibodies, which impart higher sensitivity, specificity, safety and
acceptance compared with the use of whole pathogens. Additional major strides were made
in pathogen detection after the discovery of PCR. Monoclonal antibodies and PCR have
played an important role in the development of a number of diagnostic kits.
Diagnostics
Monoclonal antibody-based diagnostics: Monoclonal antibodies are produced by fusing
two kinds of cells. One is an immune system cell that produces antibodies, the other a
cancer cell. The fused cell inherits the ability to produce antibodies from the immune cell
and the ability to reproduce indefinitely from the cancer cell. Kohler and Milstein were the
first to develop a technique for the production of monoclonal antibodies in 1975 and were
awarded the Nobel Prize in 1984. Monoclonal antibodies have a number of applications
such as in diagnostic tests for animal diseases and progesterone assays for the reproductive
management of livestock. Monoclonal antibodies have become common and essential tools
for applying ELISA-based methodologies (e.g. antigen-capture ELISA and competitive
ELISA), as well as Western blotting and immunochemistry techniques.
Polymerase chain reaction: PCR was developed in 1985 by Kary Mullis who received the
Nobel Prize in 1993 for discovering the chemistry of this reaction. PCR increases the
number of DNA molecules in a logarithmic and controlled manner. It results in the in
vitro production of a large quantity of a desired DNA fragment from a complex mixture
of heterogeneous sequences. PCR can amplify a selected region of 50 to several thousand
base pairs into billions of copies. Molecular biology has been revolutionized by PCR.
After amplification, the target DNA can be identified by many techniques such as gel
electrophoresis or hybridization with a labelled nucleic acid (a probe). Real-time PCR, or
quantitative PCR (qPCR), detects and measures the accumulation of a replicated DNA
fragment during the amplification reaction. It enables quantification of the DNA and RNA
(through cDNA production) present in a sample. For detection of RNA (for example the
RNA of viruses), a cDNA copy of the RNA must first be made using reverse transcriptase.
The cDNA then acts as the template for amplification by PCR to produce a large number
of copies of cDNA. This method is called reverse transcriptase PCR (RT-PCR).

RFLP and related DNA-based approaches: DNA or RNA is isolated from the sample
material (and if the starting material is RNA, a cDNA copy is prepared), the nucleic acid is
digested with appropriate restriction enzymes into smaller pieces, and the fragments are then
separated by electrophoresis to form bands for which the position is dictated by molecular
weight. The pattern obtained on the gel (fingerprint) can be compared with known reference
materials. This technique has been extremely useful in epidemiology, enabling comparison
of isolates of a particular pathogen. This technique can also be combined with PCR to offer
a much greater sensitivity for the identification of pathogens and is especially useful when
the pathogen is available only in small numbers or is difficult to culture. Sequence analysis
can also be conducted for more precise phenotype and genotype analysis.
Recombinant vaccines
Recombinant vaccines are produced from cloned genes via recombinant DNA technologies,
and can generally be assigned to one of three types: DNA vaccines, marker vaccines and
virus-vectored vaccines.
DNA vaccines: This refers to the direct inoculation of a eukaryotic expression vector
encoding antigenic protein into an animal, resulting in the in situ production of the encoded
antigen with the hosts tissue to produce an immune response. It also involves the delivery
of pathogen-specific antibodies (intracellular antibodies) into the host to express antibody
fragments inside the cell that can bind with and inactivate a pathogen.
Marker vaccines: A marker vaccine (live or inactivated vaccine) is either based on deletion
mutants or on isolated antigenic proteins that enables differentiation between infected and
vaccinated animals (DIVA). A DIVA vaccine is used in conjunction with a companion
diagnostic test that detects antibodies against a protein that is lacking in the vaccine strain.
Originally, the term DIVA was applied to gene-deleted marker vaccines but it can be applied
to subunit vaccines, heterologous vaccines or some killed whole pathogen vaccines such as
the highly purified FMD vaccine that is used in conjunction with non-structural protein-
based serological tests. It can also be used for recombinant-based vaccines.
Virus-vectored vaccines: Many virus species including the vaccinia, fowlpox and canarypox
viruses are used as vectors (delivery systems) for exogenous genes to deliver vaccine antigens.
These viruses can accommodate large amounts of exogenous genes and infect mammalian
cells, resulting in the expression of large quantities of encoded protein. An example of a
virus acting both as a vector and a self-vaccine is the recombinant capripox virus expressing
a peste des petits ruminants (PPR) virus antigen.
Sterile insect technique (SIT)
The SIT for control of insect pests (in the present context, screwworm and tsetse flies, which
cause widespread disease in livestock with enormous economic consequences for livestock
keepers and governments) relies on the introduction of sterility in the females of the wild
population. The sterility is produced following the mating of females with released males
carrying dominant lethal mutations in their sperm that have been induced by ionizing
radiation. It is an environment-friendly method of insect control and is usually applied as
part of an area-wide integrated pest management (AW-IPM) approach.
3.3.4 Trends
Some clear trends were seen in this Section. Fermentation-based animal biotechnologies were
developed prior to the 1950s. From 1950 to 1980, the livestock industry reaped substantial
benefits from biotechnologies such as AI and oestrus synchronization. Since the 1980s,
DNA-based technologies have played an increasingly important role in making animal
production more efficient, economical and sustainable. Tremendous growth in molecular
genetics and genomics research has taken place since the 1980s and may revolutionize the
way animal genetic resources are managed and used in the future.
A common theme in the brief historical perspective presented here is that the biotechnologies
have generally become progressively more complex over time, usually requiring increasingly
well-trained and skilled human resources and often greater investment in laboratory
infrastructure. Opportunities and risks have both tended to increase over time and approaches
for analysing potential costs and benefits are becoming increasingly necessary. An important
lesson that can be learned from past trends is that future biotechnologies will require an
even higher degree of preparedness if their full potential is to be exploited. Biotechnology
will undergo even more dramatic changes in the years to come than in the past.
3.4 Current Status of Application of Livestock Biotechnologies in

Quantitative information on the current status of use of animal biotechnologies in developing

countries is lacking, except the use of some assisted reproductive biotechnologies such as AI,
ET and molecular markers. The generation of quantitative information on these biotechnologies
was possible due to a painstaking and well organized study conducted by FAO in which
information on a countrys capacity to manage its animal genetic resources for food and
agriculture was gathered. Reports were received by FAO from 169 countries between 2002
and 2005 and published in the State of the Worlds Animal Genetic Resources (FAO, 2007).

3.4.1 Biotechnologies in animal reproduction, genetics and breeding
Artificial insemination
Among this set of biotechnologies, AI is the most widely used both in developing and in
developed countries. A large number of AIs are performed globally each year, more than
100 million cattle, 40 million pigs, 3.3 million sheep and 0.5 million goats (FAO, 2006b).
In India alone, 34 million inseminations were carried out in 2007 (DADF, 2008). The total
number of inseminations in Brazil in 2008 was 8.2 million (ASBIA, 2008). According to
FAO (2007), of the 42 African countries that submitted reports, 74 percent reported using
AI. This proportion was smaller for Southwest Pacific countries (55 percent) and greater for
Asia (86 percent), Latin America and the Caribbean (95 percent) and the Near and Middle
East (100 percent). Nearly all countries in Europe and the Caucasus region (97 percent)
reported using AI and in North America the figure was 100 percent.
Of the African countries that responded, 17 percent reported using ET and 14 percent
molecular genetic technologies. For Asian and Latin American and Caribbean countries the
numbers were considerably greater, with 47 percent and 50 percent respectively using ET,
and 86 percent and 73 percent using molecular genetic technologies. The relative use of these
biotechnologies was: AI followed by ET and then molecular genetic technologies. The gap
in the application of these technologies between developed and developing countries was
greatest for molecular genetic technologies, followed by ET and then AI. A large number
of countries in developing regions did not apply these biotechnologies routinely, and their
use in small-scale or low-input systems is very limited.
In respect of Africa, Asia and Latin America and the Caribbean, the following conclusions
can be drawn about AI (FAO, 2007):
}} It is mostly used for cattle production systems, especially in the dairy sector. In Africa
and Asia its use is concentrated in peri-urban areas. Other species for which AI is
used in all three regions are sheep, goats, horses and pigs, with use more common for
sheep and pigs than goats and horses. In addition to these species, AI is used in Asia
for chickens, camels, buffaloes and ducks, and in Latin America and Caribbean regions
for rabbits, buffaloes, donkeys, alpacas and turkeys.
}} Semen for AI is mostly from exotic breeds and used in the expectation of increasing the
production of local livestock populations. Semen from local breeds is also used for this purpose,
but to a lesser extent. In Cte dIvoire, semen from trypanotolerant cattle has been used and
exotic semen has also been used for crossbreeding with naturally trypanotolerant cattle.
}} Most AI services are provided by the public sector but the contribution of the private
sector, breeding organizations and NGOs is also substantial (Table 1).
Table 1
Number of public and private sector organizations in Africa, Asia and Latin America and the
Caribbean providing artificial insemination services
Africa Asia Latin America and the Caribbean

Public sector 26 17 11
Private sector 12 6 9
Breeding organizations 2 5 5
NGOs 8 4 not reported
Universities 2 1 not reported
Source: adapted from FAO (2007)
Countries providing information on AI service providers: Africa, 26; Asia, 17; Latin America and Caribbean, 17.
}} Concerns have been raised regarding the loss of biodiversity due to inappropriate and
poorly planned use of AI to inseminate locally adapted cattle with imported semen for
increased production.
}} Most developing countries in Africa and Latin America do not have a clear breeding
policy in place.
The country reports also indicate that nations such as Bhutan, the Democratic Republic of
the Congo, the Gambia, Guinea and Laos wish to initiate AI activities but need to build the
necessary infrastructure and capability required for initiating sustainable programmes. Cape
Verde, Chad, the Cook Islands, Ghana and the Sudan all reported having started AI in the
past but having stopped due to financial constraints. The AI infrastructure has subsequently
deteriorated in these countries (FAO, 2006b). The availability of economically priced liquid
nitrogen for the cryopreservation of semen is a particular constraint.
Progesterone measurement
Radioimmunoassay for measuring the hormone progesterone provides information both
on the problems in breeding management by farmers and on the deficiencies in the AI
services provided to them by government, cooperatives or private organizations. FAO
cooperates with the International Atomic Agency (IAEA) in assisting countries to use
nuclear techniques and related biotechnologies for developing improved strategies for
sustainable agriculture through the activities of the Joint FAO/IAEA Division of Nuclear
Techniques in Food and Agriculture, based in Austria. Progesterone radioimmunoassay
based on 125I has been one of the cornerstones of the support provided by the Joint
FAO/IAEA Division for improving the productivity of livestock in many developing

countries, and the capacity to use this technique at the field level has been built in more
than 30 Asian, African and Latin American countries through several regional networks
and national programmes1.
Oestrus synchronization
The use of oestrus synchronization in developing countries is generally limited either to
intensively managed farms that are under the supervision of government livestock development
departments, or to smaller farms with links to farmers associations and cooperatives where
AI is routinely used. Protocols for oestrus synchronization often include the administration
of oestradiol which has been banned in the EU since 2006. This ban has implications for
developing countries exporting, or aspiring to export, meat into the EU. Alternative options
for synchronization do exist and these have been reviewed by Lane, Austin and Crowe
(2008). However, amongst the various options available, oestrogenic compounds seem to
be the most efficient and cost effective. Since the benefits of using oestrus synchronization
will vary depending upon the production system, the potential benefits have to be weighed
against the cost before specific recommendations can be made regarding its use.
Embryo transfer
An evaluation of country reports (FAO, 2007) shows that only five of the African countries
providing information (Cte dIvoire, Kenya, Madagascar, Zambia and Zimbabwe) use
ET technology, all on a very limited scale. The use of ET has also been independently
reported in South Africa (Greyling et al., 2002). Eight out of the 17 Asian countries that
provided information on the issue reported some use of ET technology, but this was largely
confined to research stations. However, the demand for establishing this technology was
highlighted by many countries. The animal species in which the technology has been applied
are cattle, buffaloes, horses and goats. In the Latin America and the Caribbean region, ET
is increasingly being used by commercial livestock producers. Twelve out of the 14 Latin
America and the Caribbean countries that provided information mention the use of this
technology. All reported its use with cattle, two with goats, three with horses, two with
sheep, one with llamas, one with alpacas and one with donkeys. Exotic embryos were used
for cattle and the dairy sector was the main beneficiary. Private sector organizations are
involved in providing ET in Brazil and Chile (FAO, 2007).
Each year, the Data Retrieval Committee of the International Embryo Transfer Society
provides a summary of worldwide statistics of ET in farm animals. Table 2 summarizes
these figures for cattle in 2007 (Thibier, 2008), and shows that about 820000 embryos were
transferred, of which 70 percent were produced in vivo and 30 percent in vitro.
1 www-naweb.iaea.org/nafa/aph/index.html
TABLE 2
Number of in vitro produced and in vivo produced bovine embryos transferred in 2007
Region in vitro in vivo Total

Africa no data 7 416 7 416
Asia 32 462 95 733 128 195
North America 9 252 301 982 311 234
South America 195 920 66 908 262 828
Europe 5 832 97 967 103 799
Oceania 1 791 7 871 9 662
Total 245 257 577 877 823 134
Source: Thibier (2008)
About 1 percent of the total was from Africa, mostly from South Africa. About 32 percent
were from South America, dominated by Brazil which was responsible for almost 30 percent
of all embryo transfers worldwide in 2007. Among developing countries, a large number
of embryos were also transferred in China and Argentina. While the majority of embryo
transfers carried out worldwide are in cattle, Thibier (2008) also reported on ET use in other
species, showing that South Africa is an important player for ET in small ruminants and that
the three main countries involved in equine ET are Argentina, Brazil and the United States.
Alarcon and Galina (2009) reported that government organizations in Mexico have
initiated programmes to popularize ET, particularly in small-scale enterprises not bigger than
50 cows per unit. However, based on their analysis which considered the costs of preparing
the donor and recipient, embryo recovery and the resulting gestation, ET is not profitable
enough for farmers to sustain such programmes on their own. These programmes had a
high degree of acceptability only when the organizations provided substantial subsidies
since once the subsidized programmes stopped, ET was no longer sustainable.
Semen and embryo sexing

Although these biotechnologies do not dramatically increase the rate of genetic gain, they
can increase production efficiency. At a research level, they are being developed and refined
in a number of research institutions in developing countries. The involvement of private
companies providing these services is likely to increase their accessibility in developing
countries where AI is already established. With few exceptions, they are not widely used
by breeders or farmers in developing countries (FAO, 2007). Sexed sperm is commercially
available in several developing countries, including Argentina, Brazil and China (Garner,
2006; Rath, 2008).

Cryopreservation
A large number of livestock breeds (>20 percent) are at risk of extinction (FAO, 2007).
Semen and embryo cryopreservation have been used for conserving rare livestock breeds
(Long, 2008). An evaluation of country reports indicates that over one third of countries
use in vitro conservation (FAO, 2007). For example, the figure is 50 percent in Asian
countries, although the state of in vitro conservation at the national level is very variable.
Well established genebanks exist in Japan and India, and genebanks are under establishment
in China, the Republic of Korea and Vietnam. Semen is preserved from all the main species,
and embryos from cattle, sheep and goats are also stored. In a few countries, tissue DNA
is collected from all the main species. Governments undertake these in vitro activities in
collaboration with industry. In some other countries there is limited storage of semen at
AI stations, while elsewhere, particularly in the western part of the region, no in vitro
activities exist (FAO, 2007).
Cryopreservation of gametes, embryos, DNA or cells (for example skin fibroplasts)
is a cost-effective approach for the conservation of endangered species, although using
DNA or non-germ cells to regenerate an extinct breed is still problematic with available
technologies. It has been suggested (Hodges, 2005) that cryopreserved cells of each breed
should be stored long-term in secure locations and accessed if and when the need arises in
the future, either to sequence their DNA to understand genetic differences among breeds or
to use the cells in cloning to regenerate extinct breeds. Conservation of indigenous genetic
resources is one of the top priorities of developing countries and several country reports
noted the potential use of AI and ET for cryoconservation purposes (FAO, 2007). Due to
changes induced by global warming, it is plausible that the need in developed countries for
the indigenous genetic resources in developing countries will increase. This highlights the
need for North-South cooperation in this area and for greater financial contributions and
technical support from developed countries.
Cloning
Since the birth of Dolly in 1996, cloning has been achieved for various species. Up to 2004,
about 1500 calves had been produced through somatic cell nuclear transfer (SCNT), mainly
in Europe, North America, Japan and New Zealand, but also in South America and Asia
(Heyman, 2005). China produced the first cloned buffalo in 2004 and India followed suit
in February 2009. At present the production of cloned animals is at the experimental stage
in most developing countries. From a research standpoint, cloning makes possible the
efficient evaluation of genotype x environment interactions. At the farm level, it has the
advantage of increasing the rate of dissemination of tested superior genotypes in commercial
populations and possibly also of increasing the uniformity of a given livestock product for
market. A chapter in the World Organisation for Animal Health (OIE) Terrestrial Animal
Health Code is dedicated to SCNT in production livestock and horses, aiming to provide a
scientific basis and recommendations on animal health and welfare risks to animals involved
in SCNT cloning compared with other assisted reproductive technologies2.
Transgenesis
Although at present no transgenic livestock have been commercialized for food production,
a number of transgenic animals producing therapeutic proteins in milk are at different
stages of commercial development. These proteins include lactoferrin, fibrinogen and a
malaria vaccine (see Table 2 in Niemann and Kues, 2007). In 2006, the European Medicines
Agency approved the commercialization of the first recombinant protein (antithrombin
III, ATryn) produced in milk of transgenic animals (goats). The United States Food and
Drug Administration (FDA) approved ATryn in 2009. It is being used for the prophylactic
treatment of patients with congenital antithrombin deficiency. A number of other transgenic
farm animals have been produced but not yet commercialized, including: 1) phytase
transgenic pigs which enable the better use of phytate-phosphorus and decrease manure-
based environmental pollution; 2) cows that express a lysostaphin gene construct in the
mammary gland to increase resistance to mastitis; and 3) pigs containing a desaturase gene
derived from spinach that makes pork better for human consumption by increasing the ratio
of polyunsaturated to saturated fatty acids in muscle (Karatzas, 2003; Nieman and Kues,
2007). The first approvals for transgenic animals have been for biomedical applications but
it is likely that food and/or environmental applications will increase over time.
According to a survey conducted by the OIE in 2005 (MacKenzie, 2005) in which 91 countries
participated (60 percent from developing countries), 4 percent of the respondents in Africa and
23 percent of the respondents is Asia reported having cloning capabilities. For transgenesis,
the corresponding numbers were 8 percent and 23 percent. No Near Eastern country claimed
cloning or transgenesis capability at the time of the report, but in the intervening period camels
have been successfully cloned in Dubai and sheep and goats in Iran. In Europe, 18 percent
and 26 percent of countries claimed cloning and transgenesis capability respectively. Asian
countries lag only slightly behind Europe in their capability to produce transgenic animals.
Molecular markers
According to FAO (2007), four countries in Africa (Cameroon, Chad, Nigeria, and Togo)
reported using molecular markers to characterize genetic resources. In addition, molecular
characterization of livestock has been undertaken in South Africa and in other countries
2 www.oie.int/eng/normes/mcode/en_sommaire.htm

through international collaboration. In Asia, out of eight countries using molecular markers,
six use them for genetic characterization and for the evaluation of diversity and two for
MAS. The species involved are cattle, sheep, goats, pigs, buffaloes, horses, camel, deer,
chicken, ducks, quails and guinea fowl. In Latin America and the Caribbean, 11 countries
use molecular markers, largely for the molecular characterization of breeds: cattle, sheep,
pigs, chickens, horses, goats, buffaloes and camelid species including llamas and alpacas.
Molecular marker information has not yet been widely integrated into breeding
programmes in developing countries. MAS can accelerate the rate of genetic progress by
enhancing the accuracy of selection and by reducing the time to gather the data needed for
selection. The benefit is greatest for traits with low heritability and which are unavailable
before sexual maturity or without sacrificing the animal. However, in the low-input systems
existing in many developing countries it may be more difficult to realize the full value of
marker information because the phenotypic and pedigree information necessary to determine
associations between traits and markers is often not available.
Much of the work in developing countries using molecular markers for characterization
involves international collaboration. FAO activities in the area of animal genetic resources
are being complemented by programmes on molecular marker-based characterization of
genetic resources in Asia and Africa by the Joint FAO/IAEA Division and the International
Livestock Research Institute (ILRI). Bangladesh, China, Indonesia, Iran, Pakistan, Sri Lanka
and Vietnam are participating and the focus is on building capacity to genetically characterize
their breeds of small ruminants3. ILRIs programmes focus on the characterization of local
poultry in Cambodia, Laos, Vietnam, Egypt, Ethiopia, Kenya and Uganda and on small
ruminants from seven countries. At ILRI, work is also underway on marker identification
for trypanotolerance. The identification and subsequent use of markers for trypanotolerance
and helminth resistance would enhance future prospects of breeding for such traits in
developing countries. The International Bovine HapMap project (Gibbs et al., 2009) included
two African breeds considered to be resistant to trypanosomosis. Opportunities to increase
disease resistance seem particularly promising but uptake in developing countries is likely
to be achieved only in the medium to long term rather than in the near future.
Marker/gene-assisted selection has been applied in the Awassi and Assaf dairy breeds
in Israel for the introgression of the Booroola gene (FecB gene) for enhancing prolificacy
(Gootwine et al., 2003), and in India it has also been used to introgress the Booroola gene in
the Deccani breed of sheep, a meat-producing breed (see Case Study 3.6.1 later). In developing
countries, genotype information is expected to be initially more useful in marker/gene-assisted
introgression rather than in selection within breeds (Perera and Makkar, 2005).
3 www-naweb.iaea.org/nafa/aph/crp/aph-livestock-phase1.html
The recent development of DNA chips that can simultaneously type tens of thousands
of SNPs has opened up the possibilities of genomic selection (Meuwissen, Hayes and
Goddard, 2001). This approach is already being used for commercial species in developed
countries and may potentially be a useful option in some developing countries. However,
because few genetic analysis programmes currently exist in developing countries to provide
the data needed to underpin any type of MAS, the capability for genomic analyses for the
short to intermediate term will remain centred in developed countries.
3.4.2 Biotechnologies in animal nutrition and production
Nutrients and feed additives

Of the biotechnologies available to improve animal nutrition, the use of feed additives such
as amino acids and enzymes appears to be most prominent and widespread in developing
countries. The use of these technologies has already realized substantial economic and
environmental gains. In developing countries the greatest use is in pig and poultry production,
where over the last decade intensification has increased, further accelerating the demand
for feed additives.
Amino acids
The amino acids in feed, L-lysine, L-threonine, L-tryptophan and DL-methionine constitute
the largest share (56 percent) of the total amino acid market, which amounted to around
US$4.5 billion in 2004. Amino acids are mostly produced by microbial fermentation and in
the world market for fermentation products, after ethanol and antibiotics, amino acids are
the most important category and demand for them is increasing rapidly (Leuchtenberger,
Huthmacher and Drauz, 2005). Most grain-based livestock feeds are deficient in essential
amino acids such as lysine, methionine and tryptophan and for high producing monogastric
animals (pigs and poultry) these amino acids are added to diets to increase productivity.
Balancing of diets using amino acids also decreases excretion of nitrogen from the animals
into the environment. Lysine is the first limiting amino acid for pigs and, after methionine,
it is the second limiting amino acid for poultry. In 2005, the estimated demand for lysine
as lysineHCl was 850000 tons while for L-threonine (the second limiting amino acid
for pigs) and L-tryptophan (third limiting amino acid for pigs) it was 70000 tons and
3000 tons respectively. Whereas fermentation methods for producing lysine, threonine
and tryptophan are well established, cost-effective production of L-methionine has not
yet been successful (Leuchtenberger, Huthmacher and Drauz, 2005). The production of
methionine has been through a synthetic process or through the use of enzymes obtained
from microbes. L-cysteine, generally needed for feeding to wool-producing animals, is
also produced by enzymatic processes. Rumen-protected methionine and its analogues

and amino acid chelates (for increasing mineral absorption) are also used in developed
countries and to a very limited extent in intensive livestock production systems in some
Enzymes
The use of phytase in pig and poultry feeds in intensive production systems in developing
countries is significant. Phytase addition can reduce phosphorus excretion by up to 50 percent,
contributing significantly to environmental protection. It also increases profitability (phosphorus
resources are limited and expensive) by decreasing the amount of phosphorus added to the diet
and increasing productivity by improving the availability of minerals, trace elements and nutrients
for the animal. In 2007, animal feed enzymes had a market of US$280 million worldwide, with
phytase making the largest contribution. The animal feed enzyme sector grew at a rate of 4 percent
per year between 2004 and 2009 and it is expected to grow annually by 6 percent from 2007 to
2012 (Thakore, 2008). The phytase market in China amounts to 5500 tons per year.
At present, there are over 100 companies producing feed enzymes in China (Yu, Wang
and Zhang, 2008). According to the China Fermentation Industry Association, feed enzyme
production was 10000 tons in 2001, forming 3 percent of Chinas enzyme production and
4 percent of its feed additive production (Deng, Chen and Deng, 2008). In India, the use of
phytase in monogastric diets is approximately 500 tons/year (CLFMA, 2007). Other exogenous
enzymes such as xylanases, glucanases, proteases and amylases and their mixtures are also
added to the diets of monogastric animals in commercial farms in some developing countries.
In India, 625 tons of these enzymes were used in monogastric diets in 2007 (CLFMA, 2007).
Their use in developed countries is widespread. They improve digestion, remove antinutritional
factors and improve productivity. The use of cellulases and xylanases has the added advantages
of increasing digestibility, thereby reducing the amount of manure and possibly methane
emissions from ruminants. However, the response to the addition of enzymes in ruminants
appears to be variable (Rode et al., 2001). The reasons for this variability are not yet fully
understood. Due to a ban on the use of growth promoters in animal diets in the EU since 2006
and increasing pressure for a ban in North America, new agents for promoting growth are
being investigated. The potential use of enzymes such as cellulases, xylanases and other fibre-
degrading enzymes in ruminant diets is likely to increase both in developing and developed
countries provided a consistent and large response is achieved and their cost is low.
Ionophores
The use of monensin is banned in the EU, although it is used in some industrialized
countries. In China, monensin can only be used as an anti-coccidian for chicken and as a
growth promoting additive for beef cattle, whereas it is prohibited for use during lactation
in dairy cows and laying chickens (MOA, 2001).
Single cell protein
From the 1970s to the 1990s extensive research was conducted on single cell proteins. With
the exception of some algae, however, they are not being incorporated in livestock diets
in either developing or developed countries. Algae such as azolla and lemna are used to a
limited extent as feed for pigs by small-scale farmers in Vietnam and Colombia.
Solid-state fermentation
The degradation of wheat and rice straws and other lignocellulosic materials using white
rot fungi that degrade lignin was also extensively researched from the 1970s to the 1990s.
In general, however, the nutrient availability from the treated material is decreased due to
the consumption of carbohydrates present in the lignocellulosic materials by the fungi for
their growth and metabolism. The nitrogen content of the treated material is higher but
a large proportion of this nitrogen is contributed by nucleotides which do not increase
productivity. Probably for these reasons, this technology has never got off the ground but
solid-state fermentation for producing enzymes, especially phytase for animal feeding is
being employed commercially (Vats and Banerjee, 2004).
Probiotics and prebiotics

Although probiotic and prebiotic products have been claimed to elicit several beneficial effects
in both monogastric and ruminant animals, the results have been variable (Krehbiel et al., 2003;
Patterson, 2005). Much remains to be established about the diet, the environment, husbandry
condition and dose-dependence of their effects. Despite the inconsistent results, probiotics
are in use in a number of developing countries, with their use being greater for monogastrics.
For example, in China there are currently more than 400 companies producing feed microbe
additives, some engaged in large-scale production. Fifteen microbes have been approved for
use as feed additives in China. In India, 2000 tons of probiotics have been used in monogastric
diets and the total market value of probiotics and enzymes in India is around $US1 million
(CLFMA, 2007). In Indonesia, a number of undefined probiotics for animal feeding are available
on the market (H.P.S. Makkar, personal communication), but information is lacking about the
number of viable microbes per unit weight or volume, their stability through processing and
digestion, shelf-life and efficacy. Live microbes such as Aspergillus oryzae and Saccharomyces
cerevisiae are being used increasingly in ruminant diets to improve rumen efficiency, especially
in intensive production systems. A number of commercial products are available. Their use in
the reduction of methane output from ruminants is also being investigated.
A success story in the use of live microbes for ruminants is the introduction of a bacterium
Synergistes jonesii into the rumen. It prevents mimosine toxicity and enables the safe use of
Leucaena leucocephala as a protein-rich feed in many developing countries. Manipulation of

probiotics and rumen microbes through transgenic processes to obtain microbes capable of
degrading toxins holds promise (an example being genetically modified [GM] Butyrivibrio
fibrisolvens capable of degrading a toxin, fluoroacetate); but may face obstacles for regulatory
approval and adoption because of their possible adverse ecological effects.
Prebiotics are commonly fed to weanling pigs in Japan and are increasingly being used
in Europe (Ficklinger, van Loo and Fahey Jr., 2003), while their use in North America is just
beginning. Due to lack of information about their efficacy, the commercial use of prebiotics
is not as widespread as of probiotics, and in both developed and developing countries use
is limited to some research stations. Novel products in the form of synbiotics, a mix of
pre- and pro-biotics are expected to be available, once more is known.
Silage additives
The use of bacteria such as Lactobacillus plantarum, L. buchneri, L. acidophilus, Streptococcus
bovis, Pediococcus pentosaceus, P. acidilacti, and Enterococcus faecium and yeasts such
as Saccharomyces cerevisiae alone or their mixtures, and the use of enzymes (cellulases,
hemicellulase, amylase etc.) alone or as a mix with microbial inoculants in silage production
is restricted to few intensively managed commercial dairy and beef production farms in
developing countries. However, the extent of their use in developed countries is higher.
Recombinant metabolic modifiers

The beneficial effects of recombinant somatotropin in most farm animals are well established.
Recombinant somatotropin technology is considered to be very effective for pigs, less so for
ruminants and mostly ineffective for chickens. Recombinant bovine somatotropin (rBST)
increases feed conversion efficiency and milk yield and decreases milk fat. The increase in milk
yield has been reported to be about 1015 percent, both in developed and developing countries
(Chauvet and Ochoa, 1996; Forge, 1999). Administration of rBST to lactating Holstein cows
also improved milk yield during heat stress without compromising fertility (Jousan et al., 2007).
The commercial use of rBST is common in approximately 20 countries, including developing
countries, for example Brazil, Colombia, Costa Rica, Egypt, Honduras, Jamaica, Kenya,
Mexico, Namibia, Peru, South Africa, Turkey and Zimbabwe (Forge, 1999; Cowan and Becker,
2006). It is banned in the EU and most other industrialized countries with the exception of the
United States, mainly because of animal welfare concerns. Recombinant porcine somatotropin
is permitted for use in approximately 14 countries. It increases muscle growth, reduces body fat
and improves carcass composition, which gives higher market value to the product.
A prerequisite to realizing the benefits of recombinant somatotropin is feeding a good
quality diet. In most developing countries, animals, particularly those raised by smallholder
farmers, do not have access to such diets. In addition, the genetic potential of these animals
for production is usually low compared with animals in developed countries, giving lower
absolute response to the administration of somatotropin, and thus decreasing the benefit
to cost ratio. Therefore, the use of recombinant somatotropin in developing countries could
be expected to be commercially viable only in intensive livestock production systems.
However, before adopting this technology, an economic analysis of the production unit
should be available. Regular administration of recombinant somatotropin could also
become a constraint under some production conditions. The risks of increasing mastitis
or latent viral or other pathogenic infections (the elimination of xenobiotics is slower in
animals receiving rBST) and the negative effects of rBST on fecundity and fertility when
administered before breeding must also be taken into consideration before introducing this
technology (Chilliard et al., 2001).
Genetically improved feed

While crops are covered separately in Chapter 1, it should also be mentioned that the
genetic enhancement of feed crops represents another important pathway towards the
improvement of animal nutrition. A range of conventional strategies and biotechnology
tools have been used for this purpose. For example, in the 1960s, scientists discovered that
maize with the opaque-2 gene had higher levels of lysine and tryptophan which are essential
amino acids for monogastric animals. This led to the release of quality protein maize
(QPM) varieties developed through conventional or marker-assisted selection. Over 1.2
millionha have been planted to QPM varieties and hybrids in developing countries which
are used for direct human consumption or as animal feed (Vivek et al., 2008). Although no
GM crops specifically developed for animal nutrition purposes have yet been commercially
released, they are in the pipeline. For example, it is estimated that GM maize containing
the gene encoding the phytase enzyme may be commercialized in China in 2010 (Stein
and Rodrguez-Cerezo, 2009). Further details on applications of crop biotechnologies in
developing countries are given in Chapter 1.
Molecular gut microbiology and rumen microbe genomics

Although at the research stage, these approaches have high potential for increasing livestock
productivity by providing a better insight into the digestive physiology of livestock. Since
the development of the Hungate tube in 1950, understanding has increased about the role
of strict anaerobic rumen micro-organisms in the digestion of feed, the microbiological
transformations that occur in the rumen, and the physiological importance of the products
released from feed as a result of microbial digestion. The molecular era in the field of rumen
microbiology started with the building of gene libraries, cloning and manipulation. By the
early 1990s there were over 100 cellulase genes sequenced from rumen bacteria. Cellulolytic

bacteria were found to contain multiple copies of genes from a variety of cellulase gene
families, and in some cases the cellulases were assembled into cellulolytic complexes called
cellulosomes. From the complexity of the genetic system required to degrade cellulose
it became obvious that it would be very difficult in the short term to make a significant
impact on cellulose hydrolysis using genetic manipulation. At present, another technical
challenge is to introduce and maintain recombinant strains in the mixed rumen population,
and survival of new strains is not well understood.
Stahl et al. (1988) described the use of 16S rRNA gene sequences to classify and identify
rumen microbes based on DNA sequence. This study and the development of PCR
revolutionized the study of diversity and complexity of ruminal microbial communities
without the need to culture them. The ongoing omics phase in rumen microbiology is
giving functional dimension to the changes in microbial ecology of the rumen and is likely
to provide opportunities for manipulation of rumen microbes for enhancing the efficiency
of fibre utilization, decreasing methane production and increasing the utilization of feeds
containing toxins and antinutritional factors.
So far, the direct benefit of these advances to developing countries has been by providing
a means to track the establishment of a bacterium, Synergestis jonesii (which degrades
mimosine, a toxic component) in the rumen by using a PCR-based technique, enabling
better utilization of Leucaena luecocephala leaves as livestock feed. PCR-based tracking
techniques would also be useful in developing effective probiotics for monogastric and
ruminant animals. In developing countries, PCR-based detection methodologies are better
developed for animal health applications. A strategic collaboration between the health and
production scientists within developing countries would certainly make animal nutritionists
better able to address challenges in economic animal nutrition. The Joint FAO/IAEA Division
has helped to build capabilities in Brazil, China, Colombia, Cuba, Ethiopia, India, Thailand
and Turkey to evaluate microbial diversity, quantify microbes without culturing them, and
study changes in commensal microbes as affected by additives and feeding strategies4. These
PCR-based methodologies will complement conventional feed evaluation methodologies
to develop rational feeding strategies in developing countries.
3.4.3 Biotechnologies in animal health

In vast areas of the world, animal diseases cause severe losses in livestock systems, wildlife
and, in the case of zoonotic diseases, humans. Often the devastation of acute diseases which
kill a high percentage of animals or the long-term effect of chronic diseases, has a massive
effect on economies and hence on the overall conditions for human existence. Recent
4 www-naweb.iaea.org/nafa/aph/crp/aph-molecular-techniques.html
incidences of emerging and re-emerging transboundary animal diseases have resulted in
huge economic losses. Since 2005, the OIE has reported the occurrence of FMD in Africa,
Asia and South America; classical swine fever (CSF) in Africa, Asia and Europe; and highly
pathogenic avian influenza (HPAI) in Africa, Asia and Europe. The Secretariat of the Global
Framework for the Progressive Control of Transboundary Animal Diseases (GF-TADs),
a joint FAO/OIE initiative, carried out regional consultations to identify priority diseases
and the best ways for their administration, prevention and control. From this, it was noted
that FMD was the first global priority (Domenech et al., 2006). Rift Valley fever and HPAI
were ranked as major zoonotic diseases. PPR, contagious bovine pleuropneumonia. African
swine fever and CSF were also regionally recognized as top priorities (Domenech et al.,
2006). The specific detection of agents causing such diseases and establishment of early
warning systems are major tasks since timely action could prevent their spread to large
animal populations and many countries.
The widespread occurrence of animal diseases in developing countries is one of the
major factors responsible for decreasing livestock productivity in these countries. Generally,
these diseases mostly affect resource-poor livestock farmers and hence their effective
control is essential for poverty alleviation. Vaccination and molecular-based diagnostics are
increasingly being used to improve control strategies. The application of inactivated or live
attenuated vaccines offers a cost-effective measure to control or even eradicate an infectious
disease as exemplified by the near-eradication of rinderpest. During the last two decades
these vaccines have played a more prominent role in enhancing livestock production in
developing countries. In 2003, the estimated market value of animal diagnostics was around
US$0.5 billion while that of animal therapeutics such as vaccines, pharmaceuticals and feed
additives was US$15.1 billion (Elder, 2004). The number of licenced animal products is 105,
most of them biological, including veterinary vaccines and diagnostic kits. The animal health
industry invests over US$400 million annually in research and development (R&D) and
the value of animal health biotechnology-based products is US$2.8 billion (Belk and Gay,
2007), while the contribution of veterinary vaccines to this global market is approximately
23 percent (Meeusen et al., 2007).
Diagnostics
Molecular-based serological techniques, for example those using monoclonal antibodies
and recombinant antigens in ELISA, as well as PCR-based diagnostics, are widely used
in developing countries. Information on their application for specific diseases, as well
as detailed descriptions of the methods involved, are provided by the OIE Manual of
Diagnostic Tests and Vaccines for Terrestrial Animals (OIE, 2008), whose objective is to
provide internationally agreed diagnostic laboratory methods and requirements for the

production and control of vaccines and other biological products. It covers standards for
diagnostic tests and vaccines for the large number of diseases listed in the OIE Terrestrial
Animal Health Code.
Methods based on ELISA and PCR are in wide use globally. In Africa, ILRI and the
ARC-Onderstepoort Veterinary Institute, South Africa, are leaders in this area. Currently,
ELISA forms the large majority of prescribed tests for the OIE-notifiable animal diseases,
with many kits available in developing countries. Nevertheless, despite a great deal of
technology transfer many countries still lack the capacity to exploit the full potential of this
type of assay to develop tests, and their level of training needs to be improved. The OIE
has developed a twinning programme between OIE Reference Laboratories and candidate
laboratories for scientific capacity building and the improvement of expertise within developing
countries (OIE, 2006). National laboratories such as the Laboratoire National de llevage
et de Recherches Vtrinaires in Senegal, the National Veterinary Institute in Ethiopia
and the Central Veterinary Laboratory in Niamey, the Niger are examples of institutions
that possess good diagnostic capability. In South Africa, efforts are being made to develop
molecular diagnostic kits for tick-borne diseases. In Asia and Latin America, public sector
production of diagnostic kits for animal diseases can be found in China, India, Thailand,
Brazil, Mexico, and Chile. Research capabilities for the development, standardization and
validation of diagnostic methods are also well advanced in these countries.
PCR-based diagnostics are increasingly used in developing countries for the early
diagnosis of disease. However, their use is largely restricted to laboratories of research
institutions and universities and to the central and regional diagnostic laboratories run by
governments. Their use in field laboratories belonging to veterinary health authorities is
basically non-existent. The participation of the private sector in animal disease diagnostics is
restricted to the development and commercialization of kits, and that too in few developing
countries such as India, China, Thailand, Brazil, Chile and South Africa.
Molecular epidemiology is one of the most powerful applications of gene-based
technologies in animal health. PCR-based techniques are used in molecular epidemiology
in some developing countries (for example, Brazil, China, India, Mexico, South Africa) to
compare sequence data on PCR products to determine the genetic relationship of the disease-
causing agents, thereby facilitating the determination of their source, monitoring their spread,
and providing new information about their biology and pathogenicity. The information
obtained from such investigations helps develop appropriate strategies for the diagnosis and
control of diseases and to monitor the impact of disease control programmes. Molecular
genetic analysis studies of rinderpest viruses have contributed substantially to the Global
Rinderpest Eradication Programme (GREP). Similar studies on virus serotypes associated
with FMD were useful for vaccination and control programmes in Asia (Madan, 2005).
Increased use of molecular-based diagnostics in developing countries has been possible
due to the availability of reliable and affordable laboratory equipment and the increased
support of international organizations such as FAO, IAEA and OIE, in providing training
and post-training support services, regular proficiency testing, and giving increased emphasis
on validation, standardization and quality control of diagnostic techniques.
Lately, the emphasis in training programmes and developmental projects, for example,
those sponsored by FAO and IAEA, has been on quantitative or qPCR which requires
less hands-on time than conventional PCR, is less labour intensive and more accurate, has
a higher rate of throughput, obviates the need to handle post-PCR products, has a higher
sensitivity and lower risk of contamination, allows quantitative estimation and uses multiplex
diagnostics (multiple primers allowing amplification of multiple templates within a single
reaction). The Joint FAO/IAEA Division has technical cooperation projects in 23 countries
where qPCR is used as part of diagnostic services, and has held a number of training courses
on biotechnology-based disease diagnostics tools for participants from many developing
countries. The training has covered the diagnosis of brucellosis, fascioliasis and HPAI.
An EU-funded Consortium, FLUTRAIN, is also active in providing training to East
European, Asian and African scientists in diagnostics and disease management tools. In
January 2009, it provided training on diagnosis of HPAI to participants from Bangladesh,
India, Morocco, Egypt and the Philippines. Currently, the National Veterinary Institute5,
Uppsala, Sweden, an OIE Collaborating Centre, is planning hands-on training focusing on
HPAI sequencing, bioinformatics and phylogeny to participants from Bulgaria, Hungary,
Iran, Iraq, Macedonia, Namibia, Romania, Syria, Turkey, and Ukraine. WHO and FAO
have also trained developing country scientists in molecular diagnostics in zoonotic and
transboundary animal diseases.
Through a Joint FAO/IAEA Division Coordinated Research Project on the examination
of methods to differentiate infected and vaccinated animals with FMD6, kits from many
sources were examined in a network of laboratories. Thousands of sera were evaluated
from many sources in order to validate the practical use of the kits. Such kits are now
used routinely and are important in epidemiological decision making concerning whether
countries or areas within countries are FMD virus free. This project also highlighted the
cooperation between public institutions and commercial companies producing kits using
non-structural proteins of FMD as target antigens.
The area of diagnostics is beset with problems of validation. Many competent diagnostic
assays that are fit for their intended purpose exist, but to varying degrees may need
to be validated and harmonized. International staff providing training on PCR-based
5 www.sva.se/oie-cc
6 www-naweb.iaea.org/nafa/aph/crp/aph-fmdv.html

methodologies are of the opinion that only 30 to 50 percent of laboratories in developing
countries are using the techniques properly (J. Crowther and G.J. Viljoen; personal
communication). One-time training is not sufficient and there is a need for after-training
support services to most of laboratories. The challenges are most severe in those countries
with a low knowledge base in biochemistry and in good laboratory practice and which
lack a good laboratory infrastructure. Work to make PCR-based assays robust, to develop
isothermal amplification methods (which do not require thermal cycling and result in a
colour change that can be seen without the need for equipment), and on-site assays (e.g.
pen-side tests, biosensors) (Belk, 2007), is ongoing. For example, efforts are underway to
develop isothermal amplification-based assays for HPAI and PPR at the Joint FAO/IAEA
Division7. Such developments would particularly enhance the possibility of accurate testing
and reporting in developing countries where reporting systems and sending of samples are
highly problematic. The Institute for Animal Health (IAH) in the United Kingdom has
developed a pen-side diagnostic kit for rinderpest which uses eye-swabs and gives results
in only five minutes. Field trials have been conducted in India and Africa.
Efforts to enhance human capacities in developing countries and countries in transition
to use modern diagnostic methods will improve the capability of surveillance systems and
disease control in these countries. International organizations are encouraged therefore to
develop mechanisms and provide resources to train scientists to have the necessary skills
to perform good research. Such capabilities will equip the scientific community to develop
and adapt biotechnologies that meet local conditions and provide solutions to emerging and
future problems.
Recombinant vaccines
Immunization can be one of the most effective means of preventing and hence managing animal
diseases. In general, vaccines offer considerable benefits at a comparatively low cost, which is a
primary consideration for developing countries. Molecular techniques can be used to produce
a variety of different constructs of pathogenic agents and offer several advantages over more
conventional vaccines such as: the deletion of the gene(s) responsible for causing disease and
thus greater safety; increased stability (which is an advantage for their effective use in developing
countries); the possibility of developing vaccines against protozoan and helminth parasites;
and differentiating between infected and vaccinated animals through detecting antibodies
either against the peculiar proteins elicited by the vaccine or failing to detect antibodies against
the deleted gene/protein (DIVA vaccines). However, few recombinant vaccines are being
commercially produced (Table 3), and so far their use in developing countries is negligible.
7 www-naweb.iaea.org/nafa/aph/stories/2009-avian-influenza.html
TABLE 3
Some commercialized recombinant vaccines
Target pathogen Target Brand name Distributor Characteristics

animal
Viral vaccines
Porcine circovirus type 2 (PCV2) Pigs Porcilis-PCV2 Intervet Inactivated baculovirus expressed PCV2
ORF2 protein; adjuvanted
PCV2 Pigs Suvaxyn PCV2 Fort Dodge Inactivated PCV1-2 chimera; adjuvanted
Pseudorabies virus Pigs Suvaxyn Aujeszky Fort Dodge gE- and thymidine kinase-deleted marker
vaccine
Classical swine fever virus Pigs Porcilis Pesti Intervet Baculovirus recombinant E2 protein
without emulsion
Classical swine fever virus Pigs Bayovac CSF E2 Bayer Leverkusen Baculovirus recombinant E2 protein
without emulsion
Bovine herpesvirus type 1 Cattle Bovilis IBR Marker Intervet Live or inactivated gE-deleted marker
(BHV-1) vaccine
Mareks disease virus (HTV) and Poultry Vaxxitek HVT+IBD Merial Live recombinant chimera virus expressing
infectious bursal disease virus VP2 gene of IBD on HTV virus
Newcastle disease virus (NDV) Poultry Not applicable Dow AgroSciences HN recombinant produced in plant cell
lines (registered but not on market)
Newcastle disease virus Poultry Vectormune FP-ND Biomune Fowlpox virus vectored
Avian influenza virus (H5N1) Poultry Not applicable Intervet Chimera virus on NDV backbone; field
and NDV trials in 2007
Avian influenza virus Poultry Poulvac FluFend I AI Fort Dodge Chimera H5N3 virus, inactivated in oil-
H5N3 RG based adjuvant
Avian influenza virus Poultry Trovac AI H5 Merial Fowlpox virus-vectored H5
Bacterial vaccines
Actinobacillus pleuropneumoniae Pigs PleuroStar APP Novartis Animal Recombinant ApxII, TbpB, CysL, OmlA(1),
Health and OmlA(2) proteins
Actinobacillus pleuropneumoniae Pigs Porcilis APP Intervet Extracted ApxI, ApxII, ApxIII, and outer
membrane proteins
Salmonella Chickens, Megan Vac1 MeganEgg Lohmann Animal Double gene-deleted S. enterica serovar
Hens Health International Typhimurium strain
Brucella abortus Cattle RB-51 Colorado Serum Spontaneous rifampin-resistant rough
Company CZ mutant
Veterinaria
Source: Meeusen et al. (2007)
Commercial tick vaccines: TickGUARD and Gavac vaccines against Boophilus microplus (Egerton, 2005)
The successful application of a recombinant DNA vaccine for the elimination of foot-
rot disease in Nepal and Bhutan has been described, but was done on an experimental basis
only (Egerton, 2005). In 1994, recombinant vaccines against Boophilus microplus were
produced in Australia (TickGUARD vaccine) and Cuba (Gavac vaccine). Both vaccines

have been commercialized and tested in the field, e.g. in Argentina, Australia, Brazil, Cuba,
Egypt and Mexico, and have been shown to be efficacious, although with some degree of
variation (Willadsen, 2005). A killed subunit vaccine has been developed in Israel against
coccidiosis in poultry. However, it is expensive to produce (Meeusen et al., 2007). The
University of California, Davis, United States, has developed a recombinant DNA vaccine
against rinderpest and tested it in restricted conditions in Ethiopia. DNA sequencing and
other molecular tools are in use at the University of Ibadan, Nigeria, in an effort to develop
a vaccine for the prevention of infectious bursal disease, also known as Gumboro disease,
which causes poultry deaths worldwide (Juma and Serageldin, 2007). Also in Africa, ILRI
and the ARC-Onderstepoort Veterinary Institute, South Africa, are leading the way in the
development of new vaccines.
According to an OIE survey (MacKenzie, 2005), 17 percent and 50 percent of African
and Asian countries respectively produce or use animal vaccines that are biotechnologically
derived (Table 4). Most of these countries are using vaccines produced in other countries
rather than producing their own. In Africa, only one country reported using DIVA vaccine.
A recombinant capripox-rinderpest virus vaccine has been developed by the IAH and
field trials are running in Kenya. Using the genome data of African swine fever virus, efforts
to design, develop and test new vaccines are also underway at this institute8.
TABLE 4
Application of biotechnology-derived animal vaccines in different parts of the world
Global Africa Asia Middle East

Number of countries producing or using biotechnology-derived vaccines 40 4 7 1
in animals (44)* (17) (50) (50)
Number of countries using viral-vectored vaccines which include antigen(s) from 26 2 4 0
unrelated organisms
Number of countries using bacterial-vectored vaccines which include antigen(s) from 16 1 5 0
unrelated organisms
Number of countries using vaccines which have deleted antigen(s) to differentiate 22 1 3 1
infected from vaccinated animals (DIVA)
Number of countries using vaccines that include recombinant proteins 26 0 6 0
Number of countries using DNA vaccines 6 0 2 0
Number of countries using other products (undefined) 1 0 1 0
Source: adapted from MacKenzie (2005)
* Values in parentheses are the percentage of countries that responded
8
8 www.iah.bbsrc.ac.uk/
The DIVA technology has been applied successfully to HPAI and pseudorabies (Aujeszkys
disease) eradication campaigns, and has been proposed for use in the eradication of CSF
and FMD (Pasick, 2004). The DIVA-based vaccines for infectious bovine rhinotracheitis
(IBR) and pseudorabies have been available commercially since the 1980s (Meeusen et al.,
2007). Work to develop marker vaccines against PPR and rinderpest is also in progress
(Mahapatra et al., 2006; Parida et al., 2007; Diallo et al., 2007). For CSF, the first DIVA-
based vaccines were based on baculovirus-expressed E2 glycoprotein of CSF virus and have
been marketed since 1993. However, these have the disadvantage of inducing a delayed
immune response and are therefore not as effective as the conventional live attenuated
vaccine. Various possibilities for the development of effective DIVA-based vaccines for
CSF are discussed by Beer et al. (2007).
The first plant-based vaccine (recombinant viral hemagglutinin neuraminidase (HN)
protein generated in plant cell lines via Agrobacterium transformation) for Newcastle disease
virus in poultry could successfully protect chickens from viral challenge, but no product is
yet on the market (Meeusen et al., 2007). Recombinant vaccines have been developed that are
highly effective in preventing infection with tapeworms: Taenia ovis in sheep, Taenia saginata
in cattle, Taenia solium in pigs and Echinococcus granulosus in livestock (Lightowlers, 2006;
Eddi et al., 2006). Since farmers must destroy meat from animals infested with tapeworm,
the new vaccines could save farmers from huge economic losses.
In addition to validated, robust, specific and sensitive diagnostic tools and safe and effective
vaccines, control and eradication of animal diseases requires a complete package of good
veterinary infrastructure, reporting systems, laboratories with skilled staff, epidemiological
units able to execute surveys, and a carefully designed plan with clear objectives. Regional and
intergovernmental cooperation is also vital since many of animal diseases are transboundary.
Sterile insect technique

The SIT depends on the integration of biological and engineering techniques to produce on
an industrial scale and release, usually by air, adequate numbers of reproductively sterilized
insects of the target pest in areas where it severely threatens the environment, agriculture
or livestock production. Virgin female individuals in the target insect pest population that
are mated and inseminated by released sterile male insects do not produce any offspring.
Repeated inundative releases of mass-produced sterile insects can be integrated with
suppression, eradication, containment or prevention strategies against key insect pests.
Trypanosomosis is a disease caused by blood parasites of the genus Trypanosoma
and is transmitted in Africa by tsetse flies (Glossina spp). More than 30 tsetse fly species
and subspecies infest an area of 8.7 million square km (approximately a third of Africas
total land area) and affect animals and humans in 35 sub-Saharan countries. The infection

threatens approximately 4550 million head of cattle and WHO estimates that in the year
2000 some 5060 million people in Africa were exposed to the bite of tsetse flies, which
can result in sleeping sickness. There are situations where the SIT may be a necessary
component of an AW-IPM approach for freeing areas under agricultural development from
the trypanosomosis disease burden.
The SIT played a vital role in the eradication of the tsetse population of Glossina austeni
from Unguja Island (Zanzibar) using an AW-IPM approach. The fly population was initially
suppressed using insecticide-based control strategies such as stationary targets and pour-
on insecticides for livestock. This was followed by the sequential aerial release of sterile
males which drove the population to extinction, i.e. the last wild tsetse fly was trapped
in 1996. Using data from 1999 as a baseline, an increase in average income per annum of
farming households by 30 percent was recorded in 2002. Overall the quality of peoples life
improved substantially due to increased livestock and crop productivity, animal availability
for transport and traction etc. In addition, the removal of the tsetse population from the
Jozani forest reserve facilitated preserving this endangered habitat and removed a major
threat to adjacent livestock and agricultural systems. Efficient wildlife management practices
have also resulted in an increase in the numbers of some rare and protected wildlife species,
such as the Zanzibar red colobus monkey, Pilicolobus kirkii.
The African Unions Pan-African Tsetse and Trypanosomiasis Eradication Campaign
(AU-PATTEC) is coordinating various national programmes that aim to integrate the SIT
for creating selected trypanosomosis- and tsetse-free zones in Ethiopia, Kenya, Senegal,
Uganda, Tanzania and in a transboundary area in Mozambique, South Africa and Swaziland,
(Feldmann et al., 2005). The Joint FAO/IAEA Division supports this programme, providing
in addition technical advice in Burkina Faso, Chad, Mali and Zimbabwe to assess whether
the SIT can be used in these countries as part of AW-IPM campaigns9.
The SIT was also used to suppress, locally eradicate or prevent the (re-)invasion of two
other livestock pest insects, namely the New World screwworm (NWS) fly, Cochliomyia
hominivorax, and the Old World screwworm (OWS) fly, Chrysomya bezziana, which cause
myiasis in warm-blooded vertebrates (humans, livestock and wildlife). The SIT has been used
to eradicate NWS in North and Central America and Libya, as well as containing it along the
Panama-Colombia border. Most of the South American continent, except Chile, is infested with
NWS. Vargas-Tern, Hofmann and Tweddle (2005) have described the various steps needed for
making this continent free of NWS. OWS is widely distributed on the Indian subcontinent,
in sub-Saharan Africa, and in Southeast Asia, as far north as Taiwan Province of China and to
9 www-naweb.iaea.org/nafa/ipc/field-projects-ipc.html
Papua New Guinea in the southeast. The SIT has been successfully tested against this species
in Papua New Guinea and Malaysia. In late 2007, an outbreak of OWS flies was observed in
Yemen that is threatening the livelihoods of people, either directly or through their livestock.
Biotechnological tools such as molecular markers are being used to study the degree
of gene flow between various pest insect populations and provide indications on their
relationship and potential isolation. This useful information about particular pest populations
can lead to better planning of AW-IPM campaigns that may integrate a SIT component.
At present, there are many uncertainties surrounding the production and use of transgenic
insects due to instability of the insertion and expression of the transgene. In addition, it
requires addressing public concerns and putting in place a regulatory mechanism to properly
conduct a risk assessment (Robinson, 2005).
Bioinformatics
Bioinformatics is the comprehensive application of statistics, biology and a core set of
problem-solving methods for helping to understand the code and evolution of life as well
as their implications. It deals with the use of information technology in biotechnology for
data storage and warehousing and DNA sequence analysis. Bioinformatics has overarching
implications in the areas of animal health, reproduction and nutrition.
The design of diagnostic tools, drugs and vaccines will rely increasingly on bioinformatic
data through sequence analysis. Gene prediction and functional annotations play an essential
role in this process. Developing countries can benefit hugely through such studies because
much sequence information and many bioinformatic tools are publicly available and freely
accessible. Furthermore, molecular immunoinformatic tools also have the potential to help
scientists in developing countries to produce epitope-driven multigene synthetic vaccines.
However, developing-country scientists are not skilled in this rapidly expanding area of
biology, with the exception of very few countries. In India, web-accessible databanks such as
the Animal Virus Information System, and tools to store and analyse information generated
by molecular and genomic projects in livestock research are available. Strong linkages
exist between information technology and the biotechnology sector. The Biotechnology
Information System Network, a division of the Department of Biotechnology of India, has
covered the entire country by connecting to more than 50 key research centres. India also
has programmes to upgrade the skills of agricultural scientists from other Southeast Asian
countries. The contribution of bioinformatics research is of growing importance in the study
of life sciences in China and Brazil, while in Africa, ILRI is building capacity in this field
through various training programmes. In addition to training, access to improved search
engines, data mining programs and other tools to improve access through the Internet to
a vast body of biomedical literature and sequence data is required in developing countries.

Although bioinformatics is discussed here in the context of biotechnologies for animal
health, it is certain to play a major role in other sectors of livestock production. The cattle
genome sequence has recently been completed (Elsik et al., 2009) and the sequences of chicken,
pig and sheep genomes are either already available or nearing completion. Bioinformatics
has played an important role in these achievements. As stated elsewhere in this Chapter,
genome sequence information can be exploited to enhance animal production and health
in several ways. In the post-genomic era, it has innumerable applications in the areas of
comparative, functional and structural genomics.
3.5 Reasons for Successes and Failures in Livestock Biotechnologies

in Developing Countries over the last 20 Years
Some important factors affecting success or failure in the applications of biotechnologies

in developing countries are listed in Tables 5, 6 and 7 for animal reproduction, genetics and
breeding; animal nutrition and production; and animal health respectively. For the purposes
here, it is not relevant to list specific technical factors for each of the animal biotechnologies
that prevent their wider applicability because many papers are available in the literature
providing this information. It is evident from the Tables that, with the exception of molecular
diagnosis, the most advanced biotechnologies based on molecular biology are hardly used in
developing countries, mainly because they are cost prohibitive, complex and require highly
skilled personnel. The high cost of registering products such as new vaccines, probiotics and
enzymes is another factor that limits their production in developing countries. The adoption
of cloning and transgenesis is also affected by ethical, religious and animal welfare concerns.
In addition, these two technologies and recombinant vaccine technology also need to be
improved in terms of cost and efficacy in order to be of practical value.
The adoption of less advanced biotechnologies (e.g. progesterone measurement, oestrus
synchronization, IVF and ET, cryopreservation, and semen and embryo sexing) has been low.
This has largely been due to a combination of inadequate technical skills and infrastructure
and inadequate profits for users. For example, liquid nitrogen is necessary for AI with
deep-frozen semen and cryoconservation of genetic resources, but it is often costly when
purchased commercially and requires a significant capital investment for on-site production.
Factors such as slow speed of sorting, low sperm viability and low fertility rates (12 to 25
percent of that with conventional semen) together with the high cost of semen also limit
the successful application of sperm sexing technology. Meanwhile, complicated IVF, ET
and embryo freezing procedures and the low rates of success and high costs involved in
producing embryos also constrain their wider adoption. The use of monensin and rBST
is also affected by low public acceptance and by the lack of adequate or good quality feed
in developing countries. Although the production and use of prebiotics, probiotics and
silage enzymes are relatively simple, technical constraints, especially insufficient knowledge
about how to create the conditions that result in consistent positive responses are the
limiting factors for their wide application, even in intensive production systems. Quality
control systems and regulatory oversight of the products are non-existent. Silage making
is common in developed countries, but has not been popular in developing countries due
to a variety of factors including insufficient technical skills of farmers, extension activities
and infrastructure and tools; also, in many countries the timing of silage making conflicts
with other farm activities that are rated as more important. Silage additives will not be used
in developing countries if silage preparation is not practised.
Although technologies such as single cell protein production and solid-state fermentation
of lignocellulosic materials can be categorized as low-tech, they have practically not been used
at all. The main reason for the failure in adoption of single cell technology is the high cost
of production. The amount of biomass produced is small and the liquid volume in which it
is produced large; the equipment required for removing water is expensive and the methods
are time-consuming; and the energy needed for drying the isolated biomass also increases the
cost. Furthermore, the biomass produced has a high nucleic acid content which limits its use
in the diets of monogastric animals. The presence of high levels of nucleic acids in single cell
protein also makes it a poor protein supplement for ruminants. The reasons for the failure
of solid state fermentation of lignocellulosic materials such as straw are also the high cost
involved in transport and processing of the straw before inoculation with white rot fungi,
considerable loss in energy from lignocellulosic material during fermentation and difficulty in
upscaling the process. The quality of the feed obtained after fermentation is not commensurate
with the efforts and money spent. In short, the technology does not seem to be profitable.
Among the animal biotechnologies, modest success has been achieved only in the
application of AI, molecular diagnostics and conventional vaccines, feed additives and the SIT.
AI has played an important role in enhancing animal productivity, especially milk yields,
in developing countries that have a well defined breeding strategy and a sound technical
base to absorb and adapt the technology to meet their needs. Such countries also have:
1)an effective technology transfer mechanism for AI; 2) effectively integrated international
assistance into their national germplasm improvement programmes; 3) built and maintained
the infrastructure required; 4) complemented AI with improvements in animal nutrition
and veterinary services; and 5) provided adequate economic incentives to their farmers by
giving them access to markets and making sure that they get the right price for their products.
Many other developing countries lack one or more of these requirements.

Molecular diagnostics and conventional vaccines
In the area of disease diagnosis and control, most national governments have provided
reasonably good policy and financial support, driven largely by the zoonotic nature of most
of the diseases concerned. The availability of government support facilitated the development
of the technical capabilities and physical infrastructure required. The international assistance
obtained by developing countries in this field has been well integrated into their national
programmes, leading to the realization of better adoption and higher impact. Furthermore, the
impact of using these biotechnologies is easy to estimate economically based on projections
of the number of animals prevented from dying or becoming diseased. This makes it easier
for national and international agencies to quantify the impact of specific technologies and
justify their programmes properly. This helps countries to raise more funds nationally and
from donors, which in turn gives further impetus to the programmes.
The assistance of international organizations such as FAO, IAEA, OIE and WHO has
contributed substantially to the success of biotechnologies such as AI, molecular diagnostics
and conventional vaccines. They have facilitated training programmes to improve technical,
analytical, and technology transfer skills, and provided financial assistance for building
infrastructure, including state-of-the art laboratories. There is a strong positive correlation
between the research capabilities of national biotechnological scientists and the scale of
application of technologies in the field.
Feed additives
The addition of nutrients and feed additives such as amino acids, enzymes and probiotics
to the diets of monogastric animals is driven mainly by the increased benefit to cost ratio
of these interventions, leading to greater profit of commercial livestock enterprises. The
companies producing additives usually have skilled workers to advise farmers in preparing
diets, as well as access to software for balancing protein requirements through the addition
of amino acids. These factors have also been important for the success of these technologies.
Another reason is that the production of additives is based on fermentation technology
which has a long history of use in developing countries and is a low-cost intervention. The
technologies have the added advantage of making the farms more environmentally sustainable
by reducing pollution. In the near future, regulations on the release of nutrients such as
nitrogen and phosphorus into water channels will increasingly be enforced in developing
countries, which will further increase the adoption of the technology.
Sterile insect technique

This technology is being applied along with a number of conventional approaches in a
concerted manner. The reasons for its success in some places and failure in others have been
critically examined (Vreysen, Gerardo-Abaya and Cayol, 2005; Alphey et al., 2010). The SIT
projects supported by the Joint FAO/IAEA Division in Zanzibar and Libya were highly
successful, as were many SIT projects in the area of crop pest control. On the other hand,
the NWS programme in Jamaica showed that success cannot be taken for granted and that
several prerequisites need to be in place. On the technical side, particularly important success
ingredients are: the accurate and adequate collection of baseline data through the involvement of
experts; the timely analysis of data; the development of sound operational plans and strategies;
the delivery of extensive training to improve local expertise; the use of sterile males that are
capable of competing with wild males for mating with wild females, and the availability of
backup strains in case of loss of competitiveness in the field; the use of sound monitoring
methods to evaluate the competitiveness of sterile insects; the availability of sound monitoring
methodologies and their consistent use (use of different methods at the time of baseline data
collection and during the SIT execution and monitoring phase could lead to wrong decisions
being made). Equally important are meeting sound managerial and operational requirements
which include: the presence of a flexible and independent management structure; the consistent
availability of funds and trained staff; the presence of adequate expertise in the biology of the
target insects and in the management of integrated projects; the strong commitment of all
stakeholders, including though public awareness and education initiatives; an independent
peer review system; consistency and continuity in the implementation of various components.
Many of these are also critical to the success of applying other biotechnologies.
TABLE 5
Current status of animal biotechnologies and factors influencing their applicability in

developing countries: Animal reproduction, genetics and breeding
Biotechnology Extent Public and Current Current Infrastructure Relative Skills Potential for
of use government technical technical and materials cost required for generating
acceptance capability capability for and tools application impact
for using it adapting or available for (time frame
developing it its use < 10 years)
AI Moderate High Moderate Low Moderate Moderate Moderate High
Progesterone Low High Low Low Low Moderate Moderate Moderate
measurement
Oestrus Low High Low Low Low Moderate Moderate Moderate
synchronization
IVF and ET Low High Low Low Low High High Moderate
Molecular Low High Low Low Low Moderate High Low
markers
Cryopreservation Low High Moderate Low Low Moderate High High
Semen and Low High Low Low Low High Moderate High
embryo sexing
Cloning Low Low Low Low Low High High Low
Transgenesis None Low Low Low Low High High Low

TABLE 6

developing countries: Animal nutrition and production
Biotechnology Extent Public and Current Current Infrastructure Relative Skills Potential for
of use government technical technical and materials cost required for generating
developing it using it < 10 years)
Feed additives: Moderate in High Moderate Moderate Moderate Moderate Moderate High
amino acids, intensively
enzymes & managed
probiotics commercial
monogastric
farms; low
in ruminant
production
systems
Prebiotics Low High Low Low Low Moderate Moderate Moderate
Silage additives Low High Low Low Low Moderate Moderate Low
Monensin Low Moderate Moderate Moderate Low Moderate Moderate Moderate
Single cell Low High Moderate Moderate Moderate Moderate Moderate Low
protein
Solid state None High Moderate Moderate Moderate Moderate Moderate Low
fermentation of
lignocellulosics
Recombinant Low Moderate Low Low Low Moderate Moderate Moderate
somatotropin
Molecular gut Low High Low Low Low Moderate High Moderate
microbiology
TABLE 7

developing countries: Animal health
Biotechnology Extent of Public and Current Current Infrastructure Relative Skills Potential for
use government technical technical and materials cost required for generating
developing it using it < 10 years)
Molecular Moderate High Moderate Low Moderate Moderate High High
diagnostics
Recombinant None Moderate Moderate Low Low High High High
vaccines
Conventional Moderate High Moderate Low Moderate Moderate Moderate High
vaccines
SIT Moderate High Moderate Low Moderate Moderate High High
Bioinformatics* Low High Low Low Low Moderate High High
* This field is also relevant to animal reproduction, genetics, breeding, nutrition and production
3.6 Case Studies of the Use of Biotechnologies in Developing Countries
3.6.1 Sustainable intensification of sheep rearing on the Deccan plateau in India10

Deccani sheep are reared traditionally in flocks of 20200 ewes on the Deccan plateau
in southwestern India by the Dhangar community in Maharashtra State as well as in the
States of Karnataka and Andhra Pradesh. Sheep rearing is well integrated in the agricultural
production system. Sheep graze on crop residues and grass along roadsides, farm bunds and
canal verges. Sheep manure is sold to farmers at a remunerative price and is in great demand
for cash crops such as sugarcane and orchards. Often sheep are penned overnight in farmers
fields. Sheep rearing communities earn a good livelihood but are socially disadvantaged with
poor access to civic amenities and education. They rear sheep mainly to earn an income
from selling lambs. The sale price of the coarse wool produced is usually not enough to
cover the cost of shearing. Breeding rams are always with the ewe flock and mating is
unplanned. Deccani ewes exhibit oestrus throughout the year with the possible exception
of the winter months of JanuaryFebruary and the hot summer months of April to early
May. Deccani ewes have only single offspring and lamb about every tentwelve months.
Flock owners sell the lambs in nearby markets on specified weekly market days when the
lambs have reached about 3.5 months of age and 1215 kg of weight. Lambs are sold on a
per head basis and the price per kg live weight works out at 80100 rupees (US$1.62). The
price of sheep meat has increased by 1020 percent every year for the past several years.
Seventy percent of smallholder shepherds migrate during the dry season to areas with
higher rainfall to find grazing and water for their sheep. The duration of migration varies
from 3-8 months and the migration distance varies from 20200 km. Grazing flocks are
always shepherded and supervised closely, and the sheep are penned near the owners
house at night. It is common to cross-foster lambs to ewes or goat does that produce
more milk than the dam. Lambs are valuable and even very young orphan lambs fetch a
price. The profitability of sheep production is thus sensitive to the reproductive rate and
even a modest increase would increase the owners income substantially. Grazing land
available for sheep is being lost steadily over the years due to erosion and other forms of
degradation, increasing urbanization, industrialization and the expansion of irrigation and
crop agriculture into marginal lands. Demand for sheep meat, however, is also increasing
constantly. The sustainable intensification of sheep rearing to improve sheep productivity
and efficiency could therefore be viable.
10 Contributed by Chanda Nimbkar, Animal Husbandry Division, Nimbkar Agricultural Research Institute, Phaltan, Maharashtra, India - April 2009;
Nimbkar et al., 2009.

The FecB or Booroola mutation in sheep is an autosomal mutation in the bone
morphogenetic protein receptor, type 1B, gene (BMPR1B) that has a large additive effect
on the ovulation rate and is partially dominant for litter size. FecBB is the allele at this locus
promoting higher fecundity while FecB+ is the wild type allele. For ten years from 1998,
the Nimbkar Agricultural Research Institute (NARI), an NGO, ran a series of projects
funded by the Australian Centre for International Agricultural Research (ACIAR) to
investigate ways of improving the performance of the local Deccani breed. The University
of New England, Australia, the National Chemical Laboratory (NCL), Pune, India, and
the University of Melbourne, Australia were major collaborators in the projects. One of
the initiatives was the introduction of the FecBB mutation from the small, prolific Garole
sheep (adult ewe weight 1215 kg) of Sunderban in West Bengal State into the Lonand
strain of the Deccani breed (adult ewe weight 28 kg) followed by backcrossing based on
the FecB genotype in order to improve prolificacy while retaining the larger size, local
adaptation and meat producing ability of the Deccani breed. A composite strain of Deccani,
Israeli Dairy Awassi and Bannur was also produced with the FecBB mutation introduced
from the Garole to benefit from the larger size and superior milking ability of the Awassi
and the meaty conformation of the Bannur. Crossbred FecBB carrier ewes and rams were
disseminated into local shepherds flocks. However, after the first introduction of ewes,
further dissemination was only through rams due to adaptation problems associated with
the ewes. Additionally, 40 FecBB carrier rams were purchased for breeding by individual
sheep owners, NGOs and State governments from Maharashtra and five other states.
One copy of FecBB led to an increase in the ovulation rate from 1.0 egg to 2.0 eggs and
an increase in live litter size at birth from 1.0 to 1.6 in the NARI flock and from 1.0 to 1.4
in smallholder flocks. Litter size of homozygous ewes was similar. Thus, only about 40
percent of the FecB carrier ewes in smallholder flocks had twins and less than 5 percent of
the litters of carrier ewes were triplets. The increased litter size was found to be moderate
and manageable under the existing production system of smallholders. The small changes in
management with increased twinning in smallholder flocks included keeping young lambs
behind in the pens when ewes were grazing and providing lambs with a small amount of
supplementary feed. Compared with 0.9 lambs of three months of age weaned by non-
carrier ewes, FecBB ewes weaned 1.3 and 1.2 lambs in the NARI and smallholder flocks
respectively. This was a 33 percent increase in productivity and income for a negligible
amount of extra expenditure on feed and some extra care. A higher gain in productivity
and income is expected from the progeny of the more recent batches of FecBB carrier rams
sent to smallholder flocks as they are the products of more generations of backcrossing,
leading to a smaller Garole proportion, a larger size and more of the phenotypic features
desired by smallholders. Smallholders were given free veterinary care and sheep insurance
for the first four years. Training in ewe and lamb management and health care has been an
integral part of the projects since the beginning.
The phenotype of FecBB carriers (increased number of ovulations and lambs) cannot be
measured in males nor in females before the age of puberty, and is not completely associated
with genotype in females (a female with two lambs is more likely to carry the FecBB mutation
but often will not be a carrier and carrier ewes do not have twins at every lambing). The
DNA test for FecBB detection was therefore established under the project at NCL.
There are now 13 homozygous and 240 heterozygous adult ewes in 16 smallholder flocks
which were born in these flocks. Some shepherds have retained heterozygous rams born in
their flocks for further breeding. NARI will continue disseminating FecBB carrier rams in
these and other flocks under a newly funded project from the Indian Governments Ministry
of Science and Technology. Under the new project, the DNA test for FecBB detection will
be set up at NARI and cost-effective management techniques for ewes and lambs will be
investigated under smallholder flock conditions.
Twinning was thus introduced successfully into non-prolific Deccani sheep from the
Garole breed by introgressing the FecBB mutation with the help of the direct DNA test
for detecting the animals genotype at the FecB locus. NARI is the agency maintaining the
nucleus flock and carrying out the genotyping and extension in smallholder shepherds
flocks. Genetic improvement is permanent and is therefore the best technology to improve
the productivity of smallholder flocks in remote areas. For additional discussion of this
case study, see Nimbkar (2009b).
3.6.2 The Global Rinderpest Eradication Campaign11

Rinderpest (cattle plague) is an infectious viral disease of cattle, buffalo, yak and numerous
wildlife species that has caused devastating effects throughout history. In the 1890s, rinderpest
destroyed nearly 90 percent of all cattle in sub-Saharan Africa and millions of wild animals.
Major rinderpest outbreaks last approximately five years and have an average of 30 percent
mortalities in a population. This poses a massive risk to millions of small-scale farmers
and pastoralists. Major outbreaks of rinderpest could destroy more than 70 million (or 14
million per year) of the 220 million cattle in Africa. With an estimated value per head of
US$120, the cost of such an outbreak would be more than US$1 billion per year and a total
of US$5 billion, based on an average outbreak lasting five years.
Today, the world is nearly free from rinderpest. Eliminating rinderpest could be viewed
as producing a net annual economic benefit to the African region of at least US$1 billion.
11 Sources: www-naweb.iaea.org/nafa/aph/stories/2005-iaea-rinderpest.html and John Crowther, Joint FAO/IAEA Division; April 2009

The only evidence of the disease surviving refers to a small focus in the Somali pastoral
ecosystem that encompasses north eastern Kenya, southern Somalia, and some areas of
Ethiopia. The goal of achieving complete freedom from rinderpest from the world is
within reach. Its elimination would mark only the second time in history a disease has been
eradicated worldwide, the first being smallpox.
The progress towards eradication through large-scale vaccination and surveillance
campaigns has been a remarkable triumph for veterinary science. It serves as a powerful
example of what can be achieved when the international community and individual national
veterinary services and farming communities cooperate to develop and implement results-
based policies and strategies. The key local coordinating institutions in the battle against
rinderpest have been the Pan African Rinderpest Campaign (PARC) and later the programme
for Pan-African Control of Epizootics (PACE), overseen by the African Union. FAO has
provided support by serving as the Secretariat of the GREP, while the Joint FAO/IAEA
Division provided technical expertise to projects funded by the Technical Cooperation
Department of the IAEA.
The initial live vaccine developed by Walter Plowright and colleagues in Kenya with
support from the United Kingdom, was based on a virus that was attenuated by successive
passages in tissue culture, and he was awarded the World Food Prize in 1999 for this work.
Although this freeze-dried live vaccine is highly effective and safe, the preparation loses some
of its effectiveness when exposed to heat. Further research was directed at developing a more
thermostable vaccine for use in remote areas and success was achieved through research
in Ethiopia by Jeffery Mariner supported by the United States Agency for International
Development (USAID). One of the striking features of the planning for the latest campaign
was the total lack of foresight into the need and use of diagnostics. Although the vaccine
side was well catered for (supply), the estimation as to whether vaccines worked (whether
antibodies were produced so estimating whether cattle had actually been vaccinated) and
whether cattle were immune (the level and relevance of antibodies produced) were not
initially addressed in scientific or financial terms.
The task of rescuing this situation fell on the IAEA and certain national institutions
such as the IAH and the Institut dElevage et de Mdecine Vtrinaire Tropicale in France.
Basically, serological assays involving ELISA were developed to provide kits for the estimation
of anti-rinderpest antibodies in cattle, and to determine also whether animals had antibodies
against PPR, the equivalent of rinderpest in sheep and goats. The latter was necessary to sort
out the complicated epidemiology of PPR and rinderpest in all species. Then the science of
the epidemiology was necessary to allow an accurate assessment of the campaigns success.
Later developments involved producing molecular-based methods for the identification and
differentiation of rinderpest and PPR. This work allowed the unequivocal determination of
PPR, or ruling out rinderpest, in cases where clinical signs were compatible with presence
of either disease. Along with ELISA for antibody detection there were developments of
pen-side tests for detecting rinderpest and PPR antigens from eye swabs.
The combined technologies of serology and PCR produced a battery of tests able to
specifically assess vaccine efficacy and to differentiate true rinderpest from PPR. Sampling
frames were also important as they provided the statistical framework on which success was
measured, and these were developed by FAO and IAEA with support from the Swedish
International Development Cooperation Agency (SIDA). Along with the supply of tests
came quality assurance methods (charting) to allow continuous assessment and external
validation of methods (both vital in the long term for laboratory assurance). Such an armoury
has permitted many countries to obtain official recognition of freedom from rinderpest
according to the provisions of the OIEs international standards. Rinderpest disease is now
no longer observed in the world. This status is assured through serosurveillance and other
monitoring and by well trained personnel using methods which are of the correct diagnostic
sensitivity and specificity to allow the results to be assessed statistically.
Although the cost of vaccination, blood sampling and testing have been high for both
developing and developed nations, their effectiveness is demonstrated by the fact that there is
only one small focus of virus with the potential to generate disease outbreaks left in the world.
By contrast, in 1987, the disease was present in 14 African countries as well as in western
Asia and the Near East. The economic impact of these efforts is already clear. Although the
costs and benefits have varied considerably from country to country, the figures for Africa
mentioned above illustrate the cost-effectiveness of the control measures implemented.
3.6.3 Oestrus synchronization and artificial insemination in buffaloes in Punjab, India12

The buffalo is an important component of Indian livestock and contributes around 50 million
tons of milk and 1.5 million tons of meat annually, in addition to high valued hides, bones
and draught power for agricultural operations. Compared with cattle, however, the buffalo
is a slow breeder owing to its delayed puberty (around 36 months), and has a high incidence
of suboestrus (20-80 percent) and prolonged postpartum anoestrus (>60 days), resulting
in prolonged calving intervals. Interventions to improve fertility and production that are
commonly used in dairy cattle have remained ineffective due either to species differences
(suboptimal response to various endocrine treatments in buffalo) or to the impracticality
of the smallholder farming systems prevalent in India (15 animals owned by each farmer).
Total AIs performed in Punjab rose from 1.9 million to 2.8 million between 1998 and
2005 (DADF, 2006). Although buffaloes in Punjab outnumber cattle (six million compared
with two million), only 5 percent of buffaloes are bred using AI compared with 45 percent of
12 Contributed by P.S. Brar and A.S. Nanda, Guru Angad Dev Veterinary and Animal Sciences University, Ludhiana, Punjab, India; April 2009

cows. Poor expression of oestrus, especially during summer (ambient temperature 3545oC
and a severe lack of green fodder), and poor conception rates following AI have been the
major deterrents. The synchronization of oestrus with progesterone and/or prostaglandins
followed by fixed-timed AI (FTAI), commonly practised for dairy cows, failed to give the
expected results in dairy buffalo, probably due to induced ovulations being inconsistent
with too long a time spread. Therefore, there was a need to shorten the ovulation window
following synchronization to improve fertility in dairy buffalo.
In Punjab, most buffaloes are bred through natural service by using any available bull, very
few of which are progeny-tested or evaluated in any way. The genetic potential of buffaloes
has therefore seen no discernible increase over the years. An effective protocol that would
induce precision in ovulations, increase conception rates and improve progeny through the
use of higher potential germplasm could substantially enhance the reproductive efficiency of
buffalo. With these objectives, an ovusynch protocol was developed for buffalo to improve
their fertility following AI. Ovusynch refers to the use of a set of hormones to synchronize
oestrus and ovulation followed by FTAI. Extensive studies involving ultrasonographic,
endocrinological and clinical observations on cycling buffalo were initiated in 2003. An
effective ovusynch protocol was established in 2005 on the basis of the most probable time
of ovulation and the best fixed time for AI that would yield acceptable conception rates.
The protocol consists of intramuscular injection of 20 g of buserelin on the first day
of the treatment, 500 g cloprostenol on day seven and 10 g buserelin on day nine (~60
hours after an injection of cloprostenol). Postpartum (>60 days) suboestrous buffaloes which
remain unbred due to various reasons are selected. They are inseminated at 16 and 40 hours
after the second buserelin injection irrespective of the expression of oestrus. Semen from
proven and pedigreed bulls of known fertility and genetic superiority is used. Following
this treatment, approximately 67 percent of buffalo conceive in winter and 30 percent in
summer. If they are supplemented with monensin (200 mg/buffalo/day for 30 days) before the
start of the ovusynch application, the conception rate in summer is increased to 60 percent.
Multiple outreach activities are being undertaken to extend the technology for the
genetic improvement of farmer-owned buffalo:
}} Pilot Projects: Twelve pilot farms, involving 700 buffalo have been established in rural
Punjab. Up to 70 percent of the enrolled buffalo conceived with semen from progeny
tested bulls.
}} Training of Trainers: Under the auspices of the Centre for Advanced Studies in Veterinary
Gynaecology and Reproduction of the Indian Council of Agricultural Research, New
Delhi, around 25 scientists from nine Indian states, 75 veterinary staff from the Punjab
State Animal Husbandry Department and two international fellows from Mongolia
and Myanmar have been trained on the application of ovusynch.
}} Linkages with NGO: The Dr A.S. Cheema Foundation Trust, Chandigarh, India,
is actively involved in the promotion of livestock production in rural areas in north
India. The Trust is also bringing the technology to a large number of farmers in various
districts of Punjab and the adjoining States of Haryana and Himachal Pradesh through
its well established outreach activities.
}} Extension services of the Guru Angad Dev Veterinary and Animal Sciences University,
Ludhiana, India: The extension services of the University are disseminating this
technology through the Lab-to-Land Programme, which consists of field services,
field days and other animal health programmes. A conservative estimate would suggest
that around 1000 farmers and 5000 buffalo have benefited from this programme to
date. Of these, 6075 percent of the buffaloes would have remained unbred for a variable
period of 612 months in the absence of these efforts. A close follow-up of about 100
heifers produced through this programme at some of the pilot farms revealed that the
female buffaloes produced under this study attain puberty at <28 months, compared
with an average of >36 months for the state. The intervention led to an increase in milk
production and provided additional calves of improved genetic potential to farmers by
decreasing the calving interval and the age of first calving in heifers.
Ongoing wider adoption of this technology would contribute substantially to improving

dairy buffalo production and benefit the economic situation of the farmers in India and in
other buffalo-rearing countries.
3.6.4 Community-based artificial insemination, veterinary and milk marketing

services in Bangladesh13
Bangladesh has the largest population density in the world and most of its population is
rural, with a per capita income among the lowest in the world. This population is continually
growing, increasing the demand for food including animal products. Agriculture has
evolved in an attempt to meet this demand. The purpose of rearing cattle has been shifting
from their utilization as traction to milk and meat producing animals. AI was introduced
in 1969 to help contribute to increase productivity but growth rates in production have
lagged behind increases in consumption.
At the beginning of the 1990s, the Government of Bangladesh began a programme for
small-scale dairy farming which led to a growth rate of 5.6 percent in the industry by 1995.
The programme included the use of AI and crossbreeding for introducing germplasm from
higher-producing exotic breeds. Farmers initially procured a large number of crossbred
13 Contributed by Mohammed Shamsuddin, Bangladesh Agricultural University, Mymensingh, Bangladesh; July 2009

cows through the popular AI services. However, the initial programmes were not all
sustainable and the growth rate dropped sharply to 2.6 percent in 1997. Poor or non-
existent opportunities for milk marketing and a lack of veterinary services to help manage
the potential for increased productivity were the major causes for the lack of sustainability.
The programme fared better in peri-urban areas with easier access to inputs and services and
in areas where cooperatives such as the Bangladesh Milk Producers Cooperative Union
Limited operated milk collection and service delivery activities. It was concluded that AI
and crossbreeding could contribute to improving dairy productivity and the incomes and
livelihoods of farmers, but had to be complemented with other services to maintain the
health and fertility of high-producing cows and to provide a good market for the increased
volume of product.
Complementing AI with other services has helped increase its adoption, contributing to
a doubling of the number of inseminations over the last nine years (Figure 1). About three
million crossbred cattle are now in Bangladesh, representing 13 percent of the population.
Two major players operate AI field services with semen produced from their own bull
stations: the Department of Livestock Services, a public organization, and the AI Programme
of the NGO Building Resources Across Communities (BRAC). AI in buffalo has also been
introduced recently through an IAEA Technical Cooperation project.
figure 1
Number of inseminations in Bangladesh from 2000 to 2008
3000
N u m b e r o f i n s e m i n a t i o n ( x 10 0 0 )
2450
2500 2304
2085
1905
2000
1654
1495
1317 1371
1500
1162
1000
500
0
2000 2001 2002 2003 2004 2005 2006 2007 2008
Year
Crossbred animals generally perform well, assuming that veterinary services are included
in the AI programme and milk marketing opportunities are made available. Veterinary
services are required because the crossbred cattle tend to suffer more from health and
reproductive problems than local animals. Crossbred cows also require more inputs in
feed and health care, so an available market is necessary to allow the farmer to obtain the
revenue to cover these increased costs.
The impacts of such comprehensive AI programmes were evaluated in two districts of
Bangladesh, Satkhira and Chittagong. In Satkhira, farmers were offered the opportunity
to crossbreed their local cows with semen from a local AI programme. At the same time, a
community-based dairy veterinary service (CDVS) was offered. Finally, a milk processor,
BRAC Dairy and Food Projects, installed milk chilling tanks in the community. The CDVS
is delivered through farmers groups and associations which have laid the foundation
towards operating the programme as self-financed. Three such associations collect about
7000 litres milk per day and transport it to five BRAC milk chilling centres. BRAC also
pays 1.65 Bangladeshi taka (approximately US$0.024) for each litre of milk to the CDVS
in addition to the milk price paid to producers, yielding a yearly income of approximately
US$62000 enough to pay the salary of three veterinarians, one field assistant, rents for
three veterinary offices and the cost of vaccines and anthelmintics for all animals of the
farm community. In addition, 69 men are employed to collect the milk and transport it to
the BRAC chilling centres. Each man works two to three hours a day and earns at least
US$20 a month. The programme generates a large amount of off-farm employment, which
is very important in a country like Bangladesh where unemployment is high.
A typical pattern observed is for farmers to use crossbreeding and improved veterinary
services initially to increase the milk yield per cow. Over time, this allows farmers to
accumulate funds and increase the number of cows. This has led to increases on single
farms ranging from 35 to 90 times in total milk production and allowed farmers to become
solvent members in the community. According to a recent economic analysis, the CDVS
has tended to increase net income as well (Figure 2). More than 75 percent of farm families
benefited from an increase in net income by using the services of the CDVS, with increases
ranging from US$1.0US$19.2 per cow per month.
A similar programme was established in Chittagong in 2002. At the beginning, there
were 70 farmers producing about 1500 litres of milk per day. Currently, the programme
involves 210 farm families that collectively produce about 6000 litres per day. In addition,
the CDVS developed a farmers association that negotiates the milk price with the dairy
sweetmeat industries. Prior to this, farmers used to be exploited by middlemen and
sweetmeat producers. Now that productivity veterinary services and AI are available and
the associations guarantee a reasonable price for milk, both the number of dairy farmers
and milk production per farm have increased.

FIGURE 2
Effects of productivity veterinary services on farmers net income in Satkhira
60 100%
Farms
Cumulative % 90%
50
Number of farms
80%
40 70%
60%
30 50%
40%
20
30%
10 20%
10%
0 0%
-3 -2 -1 0 1 3 6 9 12 15 >15
c h a n g e s i n i n c o m e ( u s $ ) / c a t t l e / 3 0 day s
minimum and maximum differences were US$-8.0 and 19.2 (number of farms = 213)
For sustainable continuation of the programme, the Bangladesh Agricultural University

has created the Community-based Dairy Veterinary Foundation. The Foundation, in
collaboration with farmers associations and dairy processors, will run the programme
without financial support from the university. The keys to the success of the programme
are the inclusion of a dairy processor to ensure the marketing of the milk produced by the
farm community and the availability of AI services.
3.6.5 Assisted reproductive biotechnologies for cattle in Brazil14

During the last 40 years, the application of reproductive biotechnologies in the livestock
sector of Brazil has experienced several phases of development in which methods were
adapted, improved, substituted or added. Specifically in regard to the cattle industry, the
major livestock sector in Brazil with around 200 million head, the 1970s were marked by
the consolidation of AI use on a commercial scale. The use of frozen semen through AI
programmes allowed the massive introduction of selected bulls of high genetic potential into
different agro-ecological zones in the country, leading to an overall increase of production.
However, this success was limited in some cases by the fact that different Bos taurus
breeds were introduced into tropical or semi-arid regions without proper monitoring of
their capability to tolerate heat and resist parasitic infestation, resulting in unsustainable
production systems. At that time, the recognition of zebu (Bos indicus) as ideal breeds for
Brazilian tropical environments (they were originally imported from India in the 1920s and
14 Contributed by Jos Fernando Garcia, Animal Production and Health Department, So Paulo State University, UNESP, Araatuba, Brazil
1930s and then again in the 1960s), led to the establishment of several AI centres dedicated
to the collection and distribution of semen from better adapted breeds, especially Nellore
and Guzerat for beef production and Gir for dairying. In parallel, breeding programmes
through breeders associations and agribusiness groups were established, which played a
pivotal role in the dissemination and monitoring of germplasm.
In the 1980s, when AI was increasingly being used, a second phase started, namely the
use of multiple ovulation and embryo transfer (MOET) methods. Since then, Brazil has
become one of the major users of this biotechnology (Garcia, 2001).
Recent data from the International Embryo Transfer Society indicate Brazils leading
position in South America in the use of embryo technology (Thibier, 2008; Table 2 earlier).
In the 1990s, in vitro embryo production (IVEP) was taken from the laboratory to the field
and emerged as one of the advanced technologies to solve specific bottlenecks in the use of
bovine embryos for breeding purposes, namely, the lower response of zebu cows to ovarian
stimulation with hormones and the rapid increase in market demand for high quality animals.
This method can exploit the best of both male and female genetic potential and produce
large numbers of descendents from the same specific artificial mating. One superior cow
can have both ovaries submitted to monthly transvaginal ultrasound follicle aspiration,
generating a large number of oocytes and producing on average more than 50 descendents
per year. Of the approximately 820000 bovine embryos transferred in the world in 2007,
almost 30 percent were from Brazil, with about 46000 being produced through MOET
and 200000 through IVEP. More than 90 percent of these were from zebu beef breeds. The
use of IVEP was non-existent in Brazil until only ten years ago, but the current production
represents about 95 percent of the total transferrable embryos produced in vitro in South
America and about 50 percent in the world (Thibier, 2008).
Another recent development has been the increased application of FTAI, which has allowed
large-scale application of AI in the beef sector. During the last decade, Brazilian scientists and
pharmaceutical industries working in close partnership, developed a method consisting of the
treatment of beef heifers or cows with specific hormone combinations to synchronize ovulation,
allowing their insemination at one time. This revolutionized the use of AI even in areas where the
infrastructure is not well developed and there is a dearth of highly skilled technicians because AI
can be performed on a large number of animals in a single day by a qualified technician without
oestrus detection (Baruselli et al., 2004). The cost of the entire procedure is low (between US$710
per treated cow). According to data from the Brazilian Association of Artificial Insemination,
around eight million doses of semen were sold in 2007, with consistent growth during the last
five years as FTAI has spread year after year and largely replaced conventional AI.
The combined use of AI, MOET, IVEP and FTAI in Brazil coupled with infrastructural
development and overall nutrition, health and sanitary improvement has allowed fast
distribution of animals having superior genetic attributes and opened new avenues for putting

in place well structured production chains which now benefit the countrys economy. This
integrated approach has created the basis for cattle population growth and contributed to
elevating the productivity of both the beef and dairy sectors, stabilizing meat and milk prices,
increasing food consumption per capita and positioning Brazil as a top meat exporter and
a self-sufficient producer of milk (Table 8).
Unfortunately, the neglect of grassland management and the increase of deforestation
have constantly been associated with the development of the cattle sector in Brazil,
particularly with regard to beef production. The mitigation of the negative environmental
effects of cattle production is becoming mandatory for the continuation of this sector. This
requirement is forcing major changes in the organization of the cattle production chain to
comply with the strict new environmental protection legislation. Cattle in Brazil occupy
about 200millionha of agricultural land and the major challenge now for the livestock sector
in the country is to increase productivity while simultaneously releasing 100 millionha
for other forms of agriculture production in order to prevent deforestation. According to
recent data, in 2009 deforestation in Brazil reached its lowest level for the last 20 years,
indicating the effectiveness of the measures adopted.
In conclusion: Brazil has experienced dramatic developments in the cattle industry in
which the excellence of zebu breeds for tropical production systems has been exploited
using assisted reproductive technologies. These biotechnologies have accelerated the spread
of improved germplasm and played an important role in the economic development of the
country. Brazils research and technology in this area now equals that of developed countries.
As a result of combining well-adapted germplasm to the environment, the prevailing
technical competence and recent advances in genomic research, it is expected that zebu
breeds and hybrids (especially the Nellore, Gir, Guzerat, Brahman and Girolando breeds)
will emerge as promising options for cattle development in tropical countries, making Brazil
an important player on the international cattle genetics market.
TABLE 8
Cattle meat and milk production records and facts from Brazil (1970-2007)
Meat production Consumption Meat Price Meat Exports Milk Production Milk Price
(ton)*/** (kg/person/yr)* (US$/ton)* (US$Mio)** (ton)* (US$/ton)*
Year 1970 1970 1994 1994 1970 1994
1 845 182 17 1 800 573 7 353 143 254.97
Year 2007 2003 2006 2008 2004 2006
9 296 700 33 1 550 5 500 24 202 409 221.81
Change +500 +94 20 +960 +350 10
(percent)
Sources: *FAOSTAT (http://faostat.fao.org/) and the **Brazilian Institute of Geography and Statistics (IBGE, www.ibge.gov.br/home/)
3.7 KeyUnsolved Problems in the Livestock Sector where
Biotechnologies Could be Fundamental to their Solution
Continued population growth and urbanization, global warming, globalization of trade and
the ongoing intensification of livestock production systems and value chains, in addition
to providing opportunities for development, have given rise to a number of new challenges
in animal production and these trends and new challenges will continue in the future. The
challenges include the occurrence of new diseases, such as HPAI caused by virus of the
H5N1 sub-type and, more recently, influenza A/H1N1, the re-occurrence of many old
transboundary animal diseases, the release of pollutants such as methane, nitrogen and
phosphorus into the environment, water scarcity, land degradation, the erosion of animal
biodiversity and the scarcity of feed (due to the need to feed a growing population or because
of diversion to other uses, such as biofuels). Animal biotechnologies provide opportunities
for addressing new challenges and solving upcoming problems.
Control of new and (re-)emerging diseases

The emergence of vector-borne diseases such as African swine fever, bluetongue, Rift
Valley fever and African horse sickness in new areas which is linked to global warming, is
an increasing threat worldwide. The breaking down of borders between many countries,
increasing international trade in live animals, animal products and feeds, and increasing
wildlife-human interactions promoted by global climate changes are also contributing to
new high-risk situations. For African swine fever there is no effective vaccine available and
new variants of the virus have emerged in Africa, while in Sardinia it is present in endemic
form. The infectious agents could appear in unexpected and unknown areas which may
lead to improper or delayed diagnosis and result in the uncontrolled spread of the agent
to large areas. These situations require sustained surveillance over the spread of diseases
throughout the world. For example, the emergence of the West Nile virus in Europe and the
United States requires continuous surveillance and a control programme for the presence
of the virus in birds, horses and humans (Hayes and Gubler, 2006). New diseases such as
Hendra virus, Nipah virus and severe acute respiratory syndrome coronavirus (SARS)
demand continuous surveillance of wildlife for potential disease risks. Given that many of
the emerging diseases worldwide are zoonotic, the risk to humans and animals and animal
productivity could be better managed through the application of recent biotechnology-
based diagnostics such as qPCR methods, microarrays, nucleic acid fingerprinting, DNA
sequencing, biosensors, isothermal amplification methods and pen-side tests. These are

powerful techniques that enable the rapid, accurate and sensitive detection and identification
of variants of the pathogens. The availability of effective DIVA-based vaccines is likely to
increase in the future. This would also facilitate the control and eradication of transboundary
animal diseases, including zoonotics.
Lately, PPR became a much more prominent disease because, apart from causing disease
in small ruminants, it also impacted on the diagnostic and vaccination work for preventing
rinderpest in large ruminants. The PPR virus can produce subclinical infection in large
ruminants and the antibodies thus produced cross-react with the rinderpest virus and cause
confusion in the diagnosis, with important implications for the campaign to eliminate
rinderpest. Additionally, in areas declared free of rinderpest, the rinderpest virus strain cannot
be used to vaccinate against rinderpest or PPR. The problem can be solved using molecular
techniques such as DNA sequencing and through the development of a PPR marker vaccine.
Poultry and wildfowl have been considered as the major carriers of the HPAI H5N1
virus, and thus of the disease. However, recent data have demonstrated that both wild and
domestic cats can carry the HPAI virus and may present a source of disease for humans
(Kuiken et al., 2004). Pigs are susceptible to both human and avian influenza viruses and
it is speculated that co-infection of pigs with HPAI virus and human influenza virus may
create viral reassortant strains with the ability for human-to-human transmission (Cyranoski,
2005). PCR-based and DNA sequencing methodologies have been central for genetically
characterizing strains of H5N1 viruses. Similarly, for the ongoing outbreak of influenza
A/H1N1, these techniques have been invaluable for characterizing the influenza virus and
establishing that the virus circulating in the United States and Canada is the same as that
in Mexico. Furthermore, using molecular techniques this virus has now been completely
sequenced, which will help to pinpoint its origin, spread and change over time, and explain
the differential and severity of disease between Mexico and the rest of North America.
The danger of bioterrorism is also looming. The emerging challenges cannot be met
effectively without the use of molecular tools. Molecular diagnostics and molecular epidemiology
have played and will keep on playing an essential role in detecting pathogens and preventing
natural and bioterrorism-induced pandemics. The role of DNA marker vaccines will also be
vital in providing a secure and productive environment for animal agriculture to flourish.
The ongoing genomic studies for gaining insight into host-pathogen interactions are likely
to produce novel and more effective approaches for diagnosis and control of diseases.
Efficient utilization of forages, global warming and land degradation

Climate change is currently an issue of critical importance on the global stage. Livestock
production has been implicated as substantially contributing to climate change as well as
other types of environmental degradation (FAO, 2006a). Biotechnologies could play a role
in alleviating the impact of livestock on the environment. In the area of animal nutrition,
the ongoing efforts to sequence the genomes of predominant rumen bacteria and assign
functions to genes provide the opportunity to extend our understanding of gastrointestinal
microbiomes beyond the degradative and metabolic characteristics relevant to both host
animal health and nutrition. This facilitates acquiring the knowledge of a bacteriums
competitiveness and colonization potential in the rumen and of the nutrient requirements
of microbes, underpinning the roles of microbes in the process of feed digestion, and
understanding better the mechanism of fibre degradation in the rumen. This knowledge
may provide new opportunities for using roughages and crop residues more effectively and
for developing strategies to achieve sustainable decreases in methane production through
new means, one of which could be through the establishment of acetogens in the rumen.
Better utilization of tree leaves and agro-industrial by-products through identification of
antinutritional factor(s) degrading microbes and their establishment in the rumen may
also be possible. Similarly, the genomic information of cattle and other ruminants could
assist in identifying animals that are low methane emitters and have better feed conversion
efficiency (Hegarty et al., 2007). Potential applications of studies on farm animal genomes,
including rumen microbial genomes, are innumerable.
The plant kingdom in the tropics is full of diversity. Tropical plants contain a large
number of bioactive phytochemicals, the activity and diversity of which in tropical regions
is considered greater than in temperate regions (Makkar, Francis and Becker, 2007). Local
knowledge of using herbal products is also rich in many developing countries. With the
ban on antibiotic growth promoters in the EU and increasing pressure on North American
countries to follow suit, efforts are underway to identify natural plant growth promoters.
The PCR and oligonucleotide probing methods for studying gut microbial ecology
are affordable and within the capacity of molecular biology laboratories in developing
countries. The application of these tools along with conventional tools could give an edge
to developing countries over developed countries by identifying compounds from their
rich and diverse flora that could be useful for the manipulation of rumen fermentation.
They might, for example, be used to decrease methane emissions and increase the uptake
of nitrogen and carbon by rumen microbes, and thus improve gut health while conserving
the environment. The demand for natural products that enhance livestock productivity
and animal welfare and make animal agriculture environmentally friendly will increase
substantially in the future. The potential exists for developing countries to capture a large
segment of the business in this area.
The use of enzymes and other additives in feeds, the development and use of genetically
improved crops for animal feeds including forages having higher water use efficiency,
salt and drought tolerance, high quality, and low lignin; the development of animals with

high feed conversion efficiency through biotechnological means (e.g. MAS or cloning) and
their widespread use would help mitigate problems linked both to global warming and land
degradation. In addition, the biotechnologies discussed in this Chapter that improve animal
health, fertility, productivity and efficiency would decrease greenhouse gas emissions by
decreasing the number of animals needed to yield a given quantity of product. These are
some examples, among many others, of the potential applications of biotechnologies in
addressing the environmental impact of livestock production. It may be noted that strategies
for mitigating greenhouse gases often also contribute to the adaptation of the livestock
sector to climate change (FAO, 2009b).
Sustainable management of animal genetic resources

The genetic diversity of livestock is in a state of decline globally. According to FAO (2007),
20 percent of the worlds livestock breeds are at risk of extinction and the risk status of a
further 36 percent cannot be determined owing to the absence of information. As mentioned
previously, demand for increased production has led many countries to import exotic
germplasm. Many livestock farmers have moved to cities to seek alternative livelihoods
and left their livestock behind. Improved management of animal genetic resources is high
on the agenda of most nations, and FAO is contributing enormously to this cause. Some
developing countries, often in collaboration with international partners, are characterizing
animal genetic resources using genetic markers and other conventional tools with the aim of
gathering the information necessary to propose plans to conserve and utilize their resources
more effectively. Molecular technologies may be a useful tool in determining the genetic
basis for the adaptation of local breeds to their environment, including their ability to resist
endemic diseases. Molecular genetics in concert with conventional breeding approaches can
be used in the development of genetic improvement programmes for indigenous breeds,
making them more competitive with exotic breeds and helping to ensure their in situ
conservation while improving the livelihoods of their keepers. In some cases, breeds may
risk extinction before utilization plans can be enacted and in vitro conservation will be a
short-term solution. The development of new approaches for collecting and preserving
germplasm, including improved cryopreservation methods, can contribute to achieving
this objective. Advances in animal cloning technologies would be invaluable to increase
the efficiency and decrease the costs of regenerating extinct populations from somatic cells
and DNA which are relatively cheap to collect and store.
With reference to the stock-taking exercise that has been central to this Chapter, a number
of specific options can be identified that should assist developing countries make informed
decisions regarding the adoption of appropriate biotechnologies in the livestock sector in
the future.
Biotechnologies should build upon existing conventional technologies

Solving new problems will require novel ideas and may involve new technologies. However,
substantial impact of new biotechnologies can only be realized at the ground level in
developing countries if the capabilities and infrastructure to effectively use conventional
technologies are in place. For example, molecular diagnostics and recombinant vaccines will
not improve the health or well-being of animals if an effective animal health infrastructure
does not exist. Semen sexing and ET have no relevance in places where less advanced
reproductive technologies such as AI are not well established and systems for the distribution
of improved germplasm are not in place. The same is true for the application of MAS where
animal identification and recording systems for relevant traits (e.g. milk yield, resistance to
diseases, growth rate) are not in place. Efficient animal identification systems, e.g. based on
ear tags, animal passports and computer recording, are needed in order to take full advantage
of molecular markers, DNA sequencing and other advanced biotechnologies for animal
genetics, nutrition and health. Similarly, biotechnology-based nutritional strategies will not
work if farmers do not have access to adequate feed resources or to the knowledge of how
to prepare balanced diets. An exception to this rule could be the use of simple turn-key
approaches such as on-site dip-stick tests for disease diagnosis, provided these are low-
cost and simple to use and interpret. This situation could be analogous to the use of mobile
phones which has revolutionized communication in developing countries. Dip-stick tests
have the potential to make a significant contribution to enhancing food security through
the rapid diagnosis of diseases in remote areas. This would certainly make disease control
and eradication programmes more effective and efficient.
In short, although biotechnologies have many advantages, they should not be considered
as replacements of conventional (non-biotechnology) approaches just because of a desire to
follow a scientific fashion. The introduction of a biotechnology should be done after assessing
the field situation critically, considering the various options available and the comparative
advantages and disadvantages of each in solving a specific problem, and the final decision
should be made in a scientific and unbiased manner, remembering that technology per se
is not a solution in itself.

Biotechnologies should be integrated with other relevant components in any
livestock development programme
Not all biotechnologies can be applied successfully in all situations at all times. Each
biotechnology has relevance to a specific situation and in most cases it has to complement
conventional technologies and other components of the livestock production and marketing
system to elicit the desired impact for the farmer. An example is the integrated programme
involving farmer organizations, extension workers, researchers and policy-makers that
reversed the decline of a locally-adapted dairy sheep breed in Tunisia (Djemali et al., 2009).
This initiative was backed up by sound R&D involving biotechnologies such as AI and
oestrus synchronization. These technologies were minor components but played a vital
role in the success of the entire programme. They would not, however, have brought about
the desired results had the other components not been in place. In other words, the focus
should be on the reasons for the low food security and poor livelihoods of farmers rather
than the solutions of applying a particular biotechnology. The importance of integrating
biotechnologies as components rather than being the primary focus of a livestock development
programme was illustrated clearly in Case Study 3.6.4, where AI was implemented as part
of a wider programme to improve dairy production in Bangladesh.
The increasing importance of environmental issues also means that these should also be
considered in any livestock development programme. For example, plans for the application
of biotechnologies for nutrition (e.g. prebiotics and probiotics, enzymes and silage additives)
should consider both the effects on animal productivity and the potential impacts (positive
or negative) of the technology on the production system and the environment.
Application of biotechnologies should be supported within the framework of a

national livestock development programme
Developing countries must ensure that animal biotechnologies are deployed within the
framework of national development programmes for the benefit of producers and consumers
and not as stand-alone programmes. The models of biotechnology interventions in developing
countries differ distinctly from those in developed countries. The biotechnologies that are
simple and cost-effective are more likely to be successful in developing countries. To ensure
the successful application of a biotechnology in the complex and diverse animal agriculture
scenarios present in developing countries, not only does the mitigation of technical challenges
need to be addressed but also, and probably more importantly, issues like management,
logistics, technology transfer, human capacity, regulation and intellectual property. This is
particularly the case when a technology is well developed in developed countries and yet
relevant to the needs of developing countries.
Policy-makers in developing countries should be aware that there will be practical,
financial and legal obstacles that will preclude the full-scale adoption of many livestock
biotechnologies. In such instances, strategies for adoption and use must be based on
realistic expectations. Many biotechnologies are biased with respect to scale, so that their
application is only economically feasible in large enterprises. The building of infrastructure
(laboratories, equipment etc.) will not be possible in every country, so that North-South,
South-South and public-private partnerships will be required, meaning that countries may
have to accept the loss of some autonomy in exchange for access to certain biotechnologies.
In such cases, capacity building in developing countries should be directed at understanding
the technology and financial investments involved and should emphasize adapting and
using the technology to meet livestock development goals unique to the country, rather
than replicating an entire system at the local level.
With the SIT, for example, there is a strong positive correlation between the research
capabilities of in-country biotechnologists and the scale of its application in the field. The
translation of research into commercial enterprises requires solid science, long-term resource
commitments and extensive steps of validation to reach the thresholds of reproducibility
and profitability. Therefore, strong scientific drive, vision and entrepreneurial skills are
needed for contributing to progress in animal biotechnologies. The capacity to conduct
research in biotechnology and develop products cannot just be turned on. It requires
prior nurturing over many years with an adequate and uninterrupted provision of funds,
which is possible only through strong commitment from science and policy managers in
Access to biotechnological products by end users should be ensured

An appropriate model for scaling up and packaging the technology should be integrated
into the development and application of biotechnologies and biotechnological products,
particularly for vaccines, diagnostics, probiotics, prebiotics and enzymes so that the
products are not cost-prohibitive. It has to be borne in mind that the target end users of
these biotechnologies in developing countries are normally resource-poor farmers with
limited purchasing power. Without this scaled-up business approach/model, even good
science and quality biotechnological products might not deliver desired impacts at the
field level. In the business model, it is also imperative to consider the intellectual property
issues which impinge on several aspects of biotechnology. For example, for manufacturing
a recombinant vaccine, developing countries might find that the use of antigens, delivery
mechanisms, adjuvants and the process are already patented and subject to intellectual
property conditions. Equally important in the business model is the cost of registration
of a product such as a vaccine, which could be very high or prohibitive. To illustrate this,

registration of the TickGUARD vaccine against B. microplus required several vaccination
trials on approximately 18000 cattle. This took a long time to complete and consumed
huge resources (Willadsen, 2005).
The fostering of private-public partnerships particularly in the areas of AI and associated
reproductive biotechnologies, the production of biotechnological products such as amino
acids, feed additives, vaccines and molecular diagnostics, and bioinformatics is expected
to enhance the pace of development in the animal agriculture sector and help contribute
to meeting the UN Millennium Development Goals.
The international community (FAO, other UN organizations, NGOs, development and

donor agencies) can play a key role in international cooperation and in supporting developing
countries to implement appropriate biotechnologies for their needs in the future. Below is
a set of Priorities for Action for the international community to enable it to play this role.
}} International support should be provided to developing countries for completing
surveys and characterizing livestock diversity, within which molecular evaluation of
genetic diversity is an important component.
}} International institutions should provide assistance to developing countries in framing
animal breeding policies that consider both indigenous and exotic animal genetic
resources, and help them strengthen their AI infrastructure and capabilities. Policies
should be based upon existing national action plans for animal genetics resources.
}} Assistance provided in the adoption of biotechnologies to increase the genetic merit for
livestock productivity in developing countries should be complemented by the creation
and maintenance of markets for the end products.
}} In order to enhance the impact of assisted reproductive biotechnologies such as AI, semen
sexing, IVF, ET and germplasm cryopreservation, national and international public-
private research and technology transfer partnerships must be built and strengthened.
}} Through the support of international organizations, national and multinational cryobanks
for storing animal genetic resources should be established. The legal framework for
regulating the use of animal genetic resources and operation of cryobanks needs to be
formulated.
}} The establishment of public-private partnerships for the development and production
of animal nutrition products of biotechnology should be considered at both national
and international levels to increase the uptake of the technologies.
}} Diagnostic approaches involve both serological and newer molecular techniques. Provision
of training in diagnostics, potentially including international training courses, should
be supported by both international organizations and the nations concerned and they
should ensure that internationally recognized standards such as those published in the
OIE Animal Health Code are implemented.
}} Training programmes for establishing quality assurance methods such as those published
by OIE allow continuous assessment of the assays used, and network programmes for
validation of diagnostic methods should be organized by international funding agencies
as the area of disease diagnostics is beset with problems of validation.
}} Reference laboratories for conventional and newer technologies including biotechnologies
provide useful services in the diagnostic and vaccine control areas and should work in
collaboration with national veterinary services. The proper establishment of reference
laboratories to implement international standards (e.g. standards approved by OIE
or the International Organization for Standardization [ISO]) should be supported by
international organizations through training, advice and political negotiations to secure
sustainable funding. The exact role of any reference laboratory has to be defined from
the beginning. National and regional acceptance and support is vital to sustaining them.
}} The early and accurate detection and efficient monitoring and control of transboundary
animal diseases, particularly zoonoses, are of great international interest. Therefore,
international cooperation in the development, uptake and adaptation for use of the
associated biotechnologies is essential.
}} The international community should help developing countries to integrate animal
biotechnologies within the context of national livestock development programmes and
overall developmental needs. Furthermore, the formulation of programmes should be
based on solving specific problems rather than imposing specific solutions to these
problems. Initiatives that aim to reconstruct (or tailor) animal biotechnologies to specific
needs and localities as part of a comprehensive and holistic solution to a given problem
are important and need encouragement as well as tangible support.
}} International and national institutions alike should identify ways of improving cooperation
to address issues pertaining to animal biotechnology. Firm and committed North-South
and South-South collaborative programmes and partnerships should be developed and
fostered through the consistent and long-term provision of sufficient funds.
}} Short-sighted worldwide research policies have neglected animal research in recent
years. The amount spent by developing nations on animal research should be increased.
The international donor agencies should also designate increased funds for R&D in the
area of animal science in developing countries.
}} International funding agencies should support the training of people to perform quality
research. Research competence is a prerequisite for harnessing the benefits of animal
biotechnologies. The training programmes should be directed at young scientists and

complemented with incentives (e.g. subsequent employment, research funding and
networking opportunities) to encourage graduates to apply their training to addressing
livestock production issues in their home countries.
}} Support for capacity building must extend beyond training for the adoption of a specific
biotechnology to include investment in improvement of higher education in general.
Academic and professional institutions in developing countries must be strengthened
so that they may provide an intellectual base on which to build an understanding of the
problems that confront livestock production and determine which solutions (including
biotechnologies) are best to address the problems.
}} Public awareness of advanced animal biotechnologies such as animal cloning and genetic
modification should be encouraged and enhanced by international organizations based
on sound scientific evidence of the technologies efficacy, safety, and costs and benefits
in the context of a developing country.
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chapter 4
Biotechnologies in Aquaculture and
Fisheries in Developing Countries
Summary
The rapid growth of aquaculture has significantly benefited from both conventional
technologies and biotechnologies and it is expected that advanced biotechnologies will
further help the sector in meeting the global demand for aquatic food in the coming decades.
While biotechnologies are being applied in fisheries management, their use is very limited
compared with aquaculture. The four main areas where biotechnologies have been used
in aquaculture and fisheries include genetic improvement and control of reproduction;
biosecurity and disease control; environmental management and bioremediation; and
biodiversity conservation and fisheries management.
One of the main reasons for the success of aquaculture is the diversity of species
currently in culture (over 230) and the genetic diversity that can be exploited through
captive breeding and domestication. However, the rearing of many newly cultured species
is to a large extent based on juveniles and/or broodstock obtained from the wild. In order
to establish practical breeding programmes to produce seed in hatcheries, it is necessary to
have a detailed understanding of the complete production cycle. Such knowledge is also
required to disseminate breeding improvements to the production sector. Improvements that
allow the wider application of appropriate genetic and reproduction biotechnologies will
undoubtedly increase aquaculture production, thus contributing to global food production.
These biotechnologies include polyploidy, gynogenesis and androgenesis, the development
of monosex populations and cryopreservation.
Disease outbreaks are a serious constraint to aquaculture development. Disease control
and health management in aquaculture are different from the terrestrial livestock sector,
particularly due to the fluid environment. Disease occurs in all systems, from extensive
191
to intensive, and losses are possible in all types of production systems. There is a need
for better management of intensive systems, and biotechnologies are being used for this
purpose. Immunoassay and DNA-based diagnostic methods are currently used to screen
and/or confirm the diagnosis of many significant pathogens in aquaculture in developing
countries. Also, one of the most important factors leading to reduced antibiotic use
by the aquaculture sector is the availability of good prophylactic measures for diseases
causing severe mortalities in cultured fish and shellfish. The use of vaccines provides good
immunoprophylaxis for some of most important infectious diseases of finfish. As molecular-
based vaccine production procedures rely heavily on biotechnological tools, vaccines are
being produced mainly in developed countries.
Reducing the environmental impacts of aquaculture is a significant task. Aquaculture
is often accused of being unsustainable and not environmentally friendly. Reducing the
impacts of effluent discharge, improving water quality and responsible use of water are key
areas to be considered in aquaculture development. Some biotechnologies are being used
to address these areas, including bioremediation for the degradation of hazardous wastes
and use of DNA-based methodologies for the early detection of toxin-producing algae.
In capture fisheries, the sustainable management and conservation of fisheries is a
priority. Better understanding of the population structure of the fishery is therefore of
paramount importance. Some biotechnologies have already been applied but there is ample
scope for the greater use of biotechnologies in fisheries management worldwide. The use of
molecular markers and the principles of population genetics have proved very effective for
assessing the actual levels of genetic variability within single populations and for measuring
the extent of differentiation between populations.
4.1 Introduction
Capture fisheries and aquaculture supplied the world with over 113 million tonnes of food
fish in 2007, providing an apparent per capita supply of 17.1 kg (live weight equivalent),
which is among the highest on record. Global production of fish from aquaculture has
grown rapidly during the past four decades, contributing significant quantities to the worlds
supply of fish for human consumption. Aquaculture currently accounts for nearly half (44.3
percent) of the worlds food fish (Figure 1). With its continued growth, it is expected that
aquaculture will in the near future produce more fish for direct human consumption than
capture fisheries (FAO, 2009).
Started as primarily an Asian freshwater food production system, aquaculture has
now spread to all continents, encompassing all aquatic environments and utilizing a range
of aquatic species. From an activity that was principally small-scale, non-commercial and
family-based, aquaculture now includes large-scale commercial or industrial production

of high value species that are traded at national, regional and international levels. Although
production remains predominantly Asian and is still largely based on small-scale operations,
there is a wide consensus that aquaculture has the potential to meet the growing global
demand for nutritious food fish and to contribute to the growth of national economies, while
supporting sustainable livelihoods in many communities (Subasinghe, Soto and Jia, 2009).
In 2006, fish provided more than 2.9 billion people with at least 15 percent of their
average per capita animal protein intake. The contribution of fish to the total world animal
protein supplies grew from 14.9 percent in 1992 to a peak of 16.0 percent in 1996 before
declining to about 15.3 percent in 2005. Notwithstanding the relatively low fish consumption
in low income food deficit countries of 13.8 kg per capita in 2005, the contribution of fish
to total animal protein intake was significant at 18.5 percent and is probably higher than
indicated by official statistics in view of the under-recorded contribution of small-scale and
subsistence fisheries and aquaculture (FAO, 2009).
Aquaculture is the farming of aquatic organisms including fish, molluscs, crustaceans and
aquatic plants. Farming implies modifications and intervention in the production cycle such as
regular stocking, sorting, feeding and protection from predators in order to enhance production.
FIGURE 1
Contribution of food fish supply from capture fisheries and aquaculture
120 50%
45%
100
40%
million tonnes
35%
80
30%
60 25%
20%
40
15%
10%
20
5%
0 0%
1970 1975 1980 1985 1990 1995 2000 2005
Year
Share of aquaculture (%) Supply from aquaculture Supply from capture
Source: FAO FishStat and FAO (2009)
chapte r 4 Current Status and Options for Biotechnologies in Aquaculture and Fisheries in Developing Countries 193
It is important to note that aquaculture has a long tradition in the developing countries of the
Asia-Pacific region, supplying most of the worlds aquaculture production (over 90 percent),
and making important contributions to the livelihoods and subsistence of small-scale farmers
and coastal populations in many countries in the region. In Latin America, small-scale
aquaculture has yet to be widely developed; however, there are several examples of newly
established industries based on intensive aquaculture practices, especially using exotic species.
Salmon farming in Chile is one of the best examples, but there are also expanding aquaculture
industries for shrimp and tilapia culture in Ecuador, Costa Rica and Honduras. While Europe
and North America import significant quantities of farmed aquatic animals, they also produce
fish and shellfish both from freshwater and marine environments. Africas contribution to global
aquaculture is still small; however, the region is moving forward and increasing production.
Aquaculture covers a wide range of species and methods. It is practised from the cold
waters of the far north and south, where fish like salmon, Arctic char and sturgeon are
grown in ponds, flowing raceways and cages in the sea, and through the latitudes as far as
the tropics, where carp and tilapia flourish in freshwater and shrimp and sea bass are farmed
along the coasts. It ranges from the production of fish in naturally occurring ponds in rural
areas to the intensive culture of ornamental fish in plastic tanks in the middle of a city. It
is practised by the poorest farmers in developing countries as a livelihood and supply of
much needed protein for their families, and by urban sports shop owners in Europe and
North America producing baitfish for weekend anglers.
Aquaculture systems can range from an intensive indoor system monitored with high
tech equipment through to the simple release of fry and fingerlings to the sea, but the aim
remains the same: to improve production. Some of the simplest production systems are the
small family ponds in tropical countries where carp are reared for domestic consumption.
At the other end of the scale are high technology systems such as the intensive indoor closed
units used in North America for the rearing of striped bass or the sea cages used in Chile
and Europe for growing salmon and bream.
All products and systems are geared to produce animals for market and are much
governed by market demand at all levels. Regardless of whether it is a high value commodity
like shrimp, salmon or grouper, or a low-value commodity such as carp and Tra catfish, all
products are destined for markets, be they local, regional or international. All production
systems contribute to food security and human development although small-scale rural
production systems provide more support to improving or maintaining livelihoods and
generating employment and income for many around the world.
It is important to note that most of these small-scale aquaculture activities occur in
developing countries, especially in regions or rural areas where food supply is at risk.
For example, tilapia has become a globally important aquatic species that is produced in

nearly 100 developing countries worldwide. According to FAO, about 80 percent of the
worlds farmed tilapia comes from small-holders in developing countries, and this species is
particularly prominent in production systems in the Asia-Pacific, the region that provides
most of the worlds aquaculture supply (FAO, 2004a).
Another good example of extensive aquaculture is the production of major carps in India.
In this case, the majority of the production takes place in rural areas with relatively few impacts
on the environment, particularly by using multitrophic culture of species such as catla (Catla
catla), rohu (Labeo rohita) and mrigal (Cirrhinus mrigala). It is true that some instances of
uncontrolled aquaculture development have caused significant negative environmental and
social impacts. However, except for a very few species, there are few negative environmental
impacts associated with current production systems and practices. Moreover, most traditional
and extensive systems produce fish with little or no negative environmental or social impact.
There has been a steady increase in the growth of aquaculture in developing countries,
the rate of growth being twice that of developed nations. The most recent figures for global
aquaculture production show that more than 90 percent of total fish production comes from
developing countries, particularly China which contributes about 70 percent of the total global
fish and shellfish production (Subasinghe, Soto and Jia, 2009). Aquaculture is thus often one
of the most important food production sectors in developing countries, and in many cases it is
one of the most important sources of both food and income for rural populations (Figure 2).
FIGURE 2
Global aquaculture production
70
60 ASIA
REST OF WORLD
million tonnes
50
40
30
20
10
0
1950 1960 1970 1980 1990 2000
Year
Source: FAO FishStat and FAO (2009)
Aquaculture practice is an example of a strong continuum of production systems. From
the simplest production system with absolutely no inputs and with minimal interventions,
aquaculture ranges up to highly sophisticated, fully automated, industrial production
systems comprising submerged offshore cages producing large quantities of fish from a
single unit. Intensive or extensive aquaculture requires good quality seed for farming. Seed
quality is not only dependent on good hatchery technology, but also on good broodstock
with improved genetic quality. The genetic quality of the broodstock and seed used in
aquaculture can be improved using biotechnological tools and procedures. There have been
some interventions, and good results have been reported.
Modern aquaculture, through the intensification of culture systems and the diversification
of both the species cultured and the culture methods employed, often creates an ideal
environment for disease-causing organisms (pathogens) to flourish. The expanded and
occasionally irresponsible global movement of live aquatic animals has been the cause of
transboundary spread of many pathogens, which have sometimes resulted in serious damage
to aquatic food productivity. Some of these pathogens have become endemic in culture
systems and in the natural aquatic environment, thus making them difficult to eradicate.
Since they have become endemic, recurrent pathogen incursions and disease outbreaks occur
in farms making it difficult for the farmers to effectively manage farm health. Instead of
implementing effective health management strategies and practices, many farmers opt to use
antimicrobials as treatments. There is therefore a need to develop alternate methodologies
and tools for maintaining aquatic animal health in aquaculture systems. Such tools and
methodologies are generally the result of biotechnological research and several success
stories exist. Similarly, biotechnological research has also helped in the improvement of
feeds, feeding and nutrition as well as of water quality and the environmental impacts of
aquaculture.
This paper is divided into two main Sections: Stocktaking: Learning from the Past
and Looking Forward: Preparing for the Future. For the first one, Part 4.2 provides a
brief overview of the main areas where biotechnologies are currently been applied; Part
4.3 documents the current status of application of biotechnologies in developing countries;
and Part 4.4 presents two relevant case studies. For the second Section, Part 4.5 examines
a couple of key issues for the future where biotechnologies could be useful; Part 4.6
identifies a number of specific options for developing countries to help them make informed
decisions regarding adoption of biotechnologies; and Part 4.7 proposes a set of priorities
for action for the international community (FAO, UN organizations, NGOs, donors and
development agencies).

4.2 Overview of Main Areas where Biotechnologies are being
Applied in Aquaculture and Fisheries in Developing Countries
4.2.1 Genetic improvement and control of reproduction

Aquaculture is still the fastest growing food producing sector, compared with other food
commodities (FAO, 2009) (Figure 3). One of the reasons for this is the diversity of species in
culture at present (over 230), and the genetic diversity that can be exploited through captive
breeding and domestication, enabling the development of improved culture methods for
a diverse array of species to expand commercial aquaculture (Subasinghe, 2009). A lack of
knowledge of the biology of many of these species and the cost of technology development
are constraints that explain in part why biotechnologies are only now emerging as useful
tools for increasing the productivity and sustainability of this sector. Aquaculture is a sector
that is likely to benefit greatly from the application of appropriate genetic and reproduction
biotechnologies to increase food production.
FIGURE 3
Growth in production of different food commodities: 19842006
120
100
million tonnes
80
60
40
20
0
1985 1990 1995 2000 2005
Year
Pig meat Poultry meat Sheep and goat meat

Beef and buffalo meat Farmed aquatic meat
Source: data calculated from FAOSTAT Database (2008)
Despite the current trend towards the intensification of production systems, aquaculture
has not made full use of conventional technologies such as genetic selection and breeding
improvement programmes to increase production as have other food production sectors.
The rearing of many newly cultured species is to a large extent based on juveniles and/or
broodstock obtained from the wild. In order to establish practical breeding programmes to
produce seed in hatcheries it is necessary to have a detailed understanding of the complete
production cycle. Such knowledge is also required in order to disseminate breeding
improvements to the production sector.
One of the best examples is the inability to fully domesticate Penaeus monodon, the
black tiger prawn which is arguably the most valuable species produced globally. Although
specific pathogen-free (SPF) hatchery stocks bred for improved growth have become
available recently, production still depends on broodstock collected from the wild. As a
result, production of this species has been replaced over the last few years by that from the
white shrimp, L. vannamei. Improved SPF L. vannamei have been readily available for
some time and now supply essentially all farmed white shrimp and more than 60 percent of
all farmed penaeid shrimp world wide. The shrimp aquaculture sector therefore illustrates
the benefits of genetic improvement for increasing production and the competitiveness of
aquaculture industries.
The P. monodon example illustrates how a lack of knowledge concerning some phases of
the life cycle such as reproduction or metamorphosis may be a limiting factor in developing
domesticated stocks. Certain species of tuna, a marine resource that is being harvested
under a quota system, are now produced in considerable quantities in captivity or culture.
The aquaculture production of this valuable species will undoubtedly increase once the life
cycle is closed and the hatchery production of tuna fry becomes a reality. This scenario is
also applicable to the hatchery production of mollusc species. There is a huge demand for
spats (fertilized shellfish larvae) but most spats are still coming from the wild.
The use of hormones for the control of reproduction has been primarily developed for
inducing the final phase of ova production, i.e. for synchronizing ovulation and for enabling
broodstock to produce fish in the first part of the season or when environmental conditions
suppress the spawning timing of females. These procedures began with the pioneering work of
Houssay (1930), who demonstrated that extracts of the hypophysis (pituitary gland) can have
an effect on sexual maturation of fish and reptiles (Zohar and Mylonas, 2001). These results
allowed the development of a relatively simple procedure consisting of injecting hypophyseal
extracts purified by chromatography that contain products such as inductive hormones
related to sexual maturation. Human chorionic gonadotrophin and the gonadotrophin-
releasing hormone (GnRH) were also used to control the maturation of many fish species
without limitations due to species-specific effects (Zohar and Mylonas,2001). GnRHa, an

analogous GnRH developed chemically, is more efficient in inducing maturation and is
relatively inexpensive. It can be injected or administered by means of pellet implants which
facilitate its practical use. The use of hormones such as GnRHa has allowed advancement
of the date of egg-laying in several species of fish, mainly salmonids, although for relatively
short periods of time (Valdebenito,2008). Several other molecules are currently under
development for use in molluscs (e.g. scallops, oysters and mussels), where synchronous
reproduction is required for the hatchery rearing of larvae for aquaculture production in
developing countries instead of using seed obtained from natural banks.
4.2.2 Biosecurity and disease control

Disease outbreaks are a serious constraint to the development of intensive aquaculture
systems and can have a major impact on production due to mortality and decreased growth.
It has been recognized that disease is the most significant factor impacting the intensive
production of shrimp, salmon, carp and tilapia, with losses of 10-90 percent of total production
(Peinado-Guevara and Lpez-Meyer, 2006). Although many aquatic animal pathogens are
well studied, unlike in terrestrial animals the spread of pathogens is easy through water and
control is difficult due to high density culture in fluid environment. Disease occurs in all
systems, from extensive to intensive, although heavy losses are always possible in intensive
production systems (Bondad-Reantaso et al., 2005).
Intensive and semi-intensive aquaculture can have important effects on the quality of
the aquatic environment in which the animals are reared. Poor water quality resulting from
increased waste products, inadequate farm management, increased stocking densities within
farms and increased densities of aquaculture units per sector can increase the likelihood
of disease outbreaks and other environmental problems such as eutrophication, episodic
oxygen shortages, algal blooms etc., all of them potentially resulting in high mortalities. A
more systems-oriented approach is therefore needed to provide suitable husbandry for
effective growth and to control disease outbreaks effectively.
There is a greater need for management intervention in intensive systems. Here
biotechnological tools can be a valuable part of management approaches. Their scope of
application is broad they can be used as sensors in the production environment, for waste
management (through controlled microbial technologies), and for disease detection and
control (molecular methods). Traditionally, disease control is often carried out only after
mortality has been observed. In the past, the diagnosis of fish diseases has been achieved
primarily using histopathological methods supported by parasitological, bacteriological and
viral studies based on necropsy and in vitro cell culture. These are well-proven techniques.
However, they require a high level of expertise and are often quite time-consuming, not
being amenable to automation. For these reasons, although expert training is required,
polymerase chain reaction (PCR) technology (described later) has become an important
tool for pathogen assessment in developing countries, for example in the shrimp industries
of Asia and Latin America.
4.2.3 Environmental management and bioremediation

Aquaculture has often been accused of being unsustainable and not environmentally
friendly. Although in some cases, where aquaculture development has failed to live up
to the global expectations of sustainable development, these allegations are not entirely
unfounded, the majority of aquaculture is practised sustainably and with a high degree of
environmental conscientiousness. Reducing the impact of effluent discharge, improving
water quality and the responsible use of water are key areas to be considered during
aquaculture development. A number of biotechnologies are being used to address these
areas: bioremediation for the degradation of hazardous wastes; the use of vaccination and
probiotics to reduce antimicrobial use; and the use of DNA-based methodologies for the
early detection of toxin-producing algae.
4.2.4 Biodiversity conservation and fisheries management

In fisheries management, conservation is an important concept. Good fisheries management
requires effective conservation measures, which require better understanding of the
population structure of the fishery. One of the most important population parameters for
assessing the fate of a population is the effective population size (Ne), which determines
the amount of genetic variation, genetic drift and linkage disequilibrium in populations and
can be calculated as half the reciprocal of the rate of inbreeding (e.g. Tenesa et al., 2007).
There is much concern in fisheries and aquaculture production about the potential loss of
genetic variation that may result from the relatively high rates of inbreeding expected in
these populations. This is because many fish and shellfish species produce thousands or
even millions of fertile eggs from a single female. Due to differences in the biological and
environmental factors affecting the survival of individual families, many species show a
relatively large variance in family size, further decreasing the Ne (Falconer and MacKay,
1996). Fisheries resource managers have focused on the actual number of individuals in a
population (census numbers) (Grant, 2007), which may be many times higher than the Ne
(Hauser et al., 2002; FAO, 2006). Therefore, it is difficult or even impossible in some cases
to infer the Ne using the census number. Inadequate procedures for stock enhancement can
yield a very small effective population size due to the high prolificacy of fish and shellfish
species. Thus, a very small number of breeders could be used for restocking purposes,
and bottlenecks can affect the fitness of the population in future generations. A range of
biotechnology-based approaches are being used to conserve wild fish populations such

as the use of molecular markers: to estimate Ne in wild populations; to study gene flow
between farmed and wild fish populations; and to monitor and understand changes in wild
fish population sizes (FAO, 2006; Hansen, 2008).
4.3 Current Status of Application of Biotechnologies in

In fisheries and aquaculture, although perhaps not as much as in livestock and crop production,
some biotechnologies have been used in developing countries. As mentioned earlier, use
of biotechnologies in fisheries is very limited whilst in aquaculture biotechnologies are
represented in a few fields such as genetic improvement, disease control, feeds and nutrition
and environmental improvement.
4.3.1 Genetic improvement and control of reproduction

4.3.1.1 Polyploidy
Many fish and shellfish species are relatively tolerant to chromosomal manipulation in the
early stages of their development. The use of genetic manipulation including polyploidy
(i.e. increasing the number of sets of chromosomes) to improve aquaculture production has
been examined. However, there has been little discussion of the use of these technologies
in practical management programmes in developing countries or on how they can be used
efficiently within the context of breeding programmes. Furthermore, the potential value of
this technology under practical conditions for enhancing the performance of commercial
populations in developing countries is not clear.
The induction of polyploidy has been considered by many researchers (Purdom, 1983;
Thorgaard, 1986) because of the advantages related to triploid sterility. For example, triploids
(with three sets of chromosomes) may be useful for conservation programmes where sterility
can prevent introgression of genes from escaped individuals of commercial stocks into
natural populations (Galbreath and Thorgaard, 1994), or in commercial operations where
sterile fish are desirable to prevent side effects such as deterioration of carcass quality due
to maturation or the occurrence of high mortalities in stocks when males mature early or
that occur prior to maturation, especially in populations of Pacific salmon (Purdom, 1983;
McGeachy, Benfey and Friars, 1995).
Triploidy leads to the production of nearly completely sterile populations, as has been
observed in rainbow trout populations with spontaneously occurring triploids (Thorgaard
and Gall, 1979). However, the degree of reproductive disruption varies depending on the
species and the sex. Gametogenesis is severely disrupted in triploid females of salmon while,
in contrast, triploid males usually display secondary sexual dimorphism (i.e. darkened
skin colour and modified body conformation), courtship behaviour and develop an
endocrine profile similar to that of diploid males. Spermatogenesis, however, appears to
be somewhat reduced in comparison with diploid males (Benfey et al., 1986). Although
triploid males are to a great extent sterile, fertilization has been reported to occur. In the
salmon aquaculture industry, sexual maturity and the associated gonadal development is
generally an economic drawback as metabolic energy is diverted from somatic cell growth
to reproduction, resulting in the deterioration of flesh quality and appearance. In this
situation, the advantages of triploidy occur primarily after the onset of maturation when
triploid female fish may show an extension of growth (Thorgaard, 1986) and the inhibition
of maturation prevents the normal degradation in carcass quality that is observed during the
spawning season (Asknes, Gjerde and Roald, 1986). Furthermore, female salmon triploids
show a significantly higher dress-out percentage (Thorgaard and Gall, 1979) and higher
pigment (canthaxanthin) retention (Choubert and Blanc, 1989), but concomitantly, there
is an increase of fat deposition surrounding the viscera.
In developing countries, the practical implementation of triploidy in fish production has
not been very successful. Most of the research on the application of this biotechnology has
been experimental, without extensive testing under practical conditions that consider the wide
range of environments in which aquaculture takes place. In species such as tilapia and carp,
testing of triploidy is a very important issue considering that there is intraspecies variation
in the rate of triploidization due to the size and quality of the eggs. For this reason, it is
not possible to ensure 100 percent triploidy when applying this technique on a commercial
scale. Also, an increased mortality rate at the beginning of the life cycle and the detrimental
effect of triploidy on growth and fitness could be significant constraints to the commercial
production of triploids in some species (Basant et al., 2004). The lack of knowledge about
the effects of competition between triploids and diploids in large extensive conditions in
species such as tilapia could also be a disadvantage, since triploids sometimes lack robustness
compared with normal diploids, but this expression varies among species (Benfey, 1999). In
many cases, the variation in performance between diploid and triploid stocks has not been
fully estimated, and thus it may not be possible to accurately predict the relative performance
of triploids in commercial conditions, which may be a problem in conventional breeding
programmes of many fish and shellfish species (Pechsiri and Yakupitiyage, 2005).
In developing countries, for various reasons, these techniques are not currently used
for commercial purposes. Tilapia, for example, cannot be easily reproduced using external
fertilization which is a prerequisite for shock treatment. Furthermore, when a very small
number of eggs are obtained per spawn, it is not possible to ensure a constant rate of triploidy
per spawning. In rainbow trout, it is only profitable to use triploid females since males show
some degree of reproductive onset. For developing such female triploid populations, neomales

(i.e. morphologically male but genetically female) are required, which in some instances are
difficult to stock up to a commercial scale. In Indian carps, sterility aiming at faster growth
and thus enhanced production may not be cost-effective since harvesting after one year of age
is not profitable (males mature at one year of age and females when approaching two years).
In southern India, precocious maturation is a potential constraint on yields of cultured
common carp as both males and females can attain sexual maturity well before reaching
a marketable size. However, triploid fish did not show any improvement over diploid
individuals except for higher dress-out percentages (Basavaraju et al., 2002).
Despite the plethora of research conducted on triploidization and chromosomal
biotechnologies, there remains a gap between research findings and the practical implementation
of triploidy. Several reasons explain this fact. The usefulness of applying chromosomal
biotechnologies such as triploidy for aquaculture production seems to be very species-
specific, and therefore in some cases (such as in salmon, tilapia and carp), the advantages due
to delayed maturation or increased growth are unclear. Furthermore, the results of using
these techniques to increase growth rate or delay reproduction are not seen as sufficiently
beneficial for the technique to be implemented on a large scale (P. Routray, Central Institute
for Freshwater Aquaculture, personal communication, 2009).
For the technology to be practical, it should be possible to produce all-triploid populations
without the need to test the triploidy status of each batch of embryos produced. Because
triploidy induction using thermal shock is not 100 percent effective, this is a serious drawback
to the large-scale commercial application of the technique. Crossing between tetraploids
(with four sets of chromosomes) and diploids is a way to produce 100 percent triploids;
however, in most species tetraploid production is not straightforward. Furthermore, the
genetic lag between the tetraploid population and the diploid breeding programme can
seriously affect the efficiency of the production system. For all these reasons, this technology
has not been used extensively in developing countries for production purposes.
Gynogenesis/androgenesis
4.3.1.2
Gynogenesis is the production of an embryo from an egg after penetration by a spermatozoon
that does not contribute genetic material. Androgenesis is the production of an embryo
from an egg whose DNA was inactivated and which was fertilized using normal sperm. In
both cases, the diploidy is restored using heat/cold shocks. In gynogenesis, if diploidy is
restored soon after fertilization, the procedure is called meiotic gynogenesis due to the fact
that the second polar body is retained, and this procedure is similar to what is expected under
autofertilization in terms of inbreeding. If shocks are applied later or in androgenesis where
the ova were DNA-irradiated for DNA inactivation, the same chromosome is duplicated and
thus the embryo is a double haploid individual which is completely inbred for every locus.
Several papers have discussed the usefulness of this type of reproduction for genetic
analysis in carp, tilapia and rainbow trout breeding programmes. In some cases, the use of
gynogenetic individuals has been suggested for capitalizing on non-additive genetic effects
to increase additive genetic variance and for product uniformity (Bijma, van Arendonk and
Bovenhuis, 1997). However, the production of gynogenetic lines is not without problems.
After a first round of gynogenesis from an outbred population, deleterious and/or lethal
effects can be fully expressed in the double haploid progeny, which may be a problem
when implementing a breeding programme from this source. Furthermore, phenotypes
cannot actually be a direct reflection of the same trait measured on normal progeny due to
developmental instability. Therefore, the utility of this type of reproduction for practical
use in breeding programmes is seen as risky in most cases. Nonetheless, they can be used
effectively for developing powerful quantitative trait locus (QTL) mapping experiments using
the surviving clonal lines of this sort obtained from an outbred population, but this requires
having available the gynogenetic lines that are needed for further assessment (FAO, 2007a).
4.3.1.3Controlling time of reproduction in fish and shellfish

So far, the application of hormonal treatment has been quite successful especially for controlling
reproduction in broodstock. This is particularly the case in salmon and trout farming in
Chile where either implants or injection of the hormonal compound are used extensively in
salmon farming for synchronizing reproduction. Since hormone application is not done in the
commercial fish, but rather in the broodstock which are discarded for human consumption,
these procedures are not subjected to a negative consumer preference. In carp breeding, the
use of hormones has made it possible to artificially manipulate the number of times and the
timing of spawning of major Indian carps and African catfish (Routray et al., 2007).
Development of monosex populations

4.3.1.4
One of the major constraints in practical programmes in developing countries is the fact
that mixed sexed populations can behave poorly in production conditions (FAO, 2003).
This is primarily due to the negative side-effects of early reproductive onset that decrease
the growth rate through a series of physiological mechanisms. The faster growth rate of
the other sex is probably caused by its later maturation. The negative relationship between
growth rate and gonadal development has been found in many species. One explanation
of this finding is the appearance and accumulation of sex hormones that act as growth
inhibitory agents (Hulata, Wohlfarth and Moav, 1985).
The advantages of monosex culture depend on the species involved (FAO, 1995). This
is because one sex may be superior in growth or have a more desirable meat quality, or to
prevent reproduction during grow-out or the appearance of sexual/territorial behaviour

(aggressiveness) that occurs when a mixed sexed group triggers the reproductive season.
For example, female sturgeon are more valuable than males because they produce caviar;
female salmon are more valuable because sexually precocious males die before they can
be harvested, and salmon roe has an economic value; and male tilapia are more desirable
than females because they grow twice as fast and because reproduction is not significant
in males during grow-out.
The sex of fish can easily be manipulated using hormonal treatments. In many fish
and shellfish species, sex is not permanently defined genetically and can be altered by a
number of factors including hormonal treatment during the early stages of development.
Gonadal development starts from primordial germ cells, with females starting differentiation
prior to males (Phelps, 2001). The point in time when differentiation occurs depends on
the species involved. In tilapia and trout, this mechanism is triggered early in life, while
in grass carp and paddlefish it is the opposite (Phelps, 2001). Considering this pattern of
development, treatment with the steroid methyl testosterone can be used to develop all-
male tilapia populations (Mair, 1999) and androgens (male sex hormones) can be used in
trout and carp monosex culture.
There has been concern about the use of hormones in animal production including in
aquaculture systems, arising from the risk of presence of residues in final products. Although
there is little evidence regarding hormonal residues in fish whose sex has been reversed early
in life, consumer acceptance may be compromised as a result of the perception of hormonal
treatment itself (FAO, 2003). For this reason, it appears that other biotechnologies have had
more use in those developing countries whose production goes mainly to export markets.
A variation on this scheme is to produce all-male progeny in one more generation. This
requires feeding young fish with estrogens (female sex hormones), resulting in a population
of all-female fish (Fitzsimmons, 2001). These morphologically female but genetically male
fish (neofemales) are then raised to maturity when they are mated to normal male fish.
After maturation, the all-male fry produced are tested in order to identify the super males
(YY), which are then crossed to normal females (XX), thus generating all true male (XY)
progeny. The importance of this method is that male fry for commercial production can be
produced that have never been treated with hormones. However, one of the disadvantages is
that this technique requires more than a single generation to obtain the all-male fry, i.e. this
procedure cannot be used without extensive progeny testing to determine which female
fish will produce all-male progeny, thus requiring a reasonable time span for developing
the neomales.
Although tilapia breeding programmes using YY super males are possible, this
procedure is not necessarily required because the application of direct hormonal treatment
of undifferentiated fry to produce monosex populations is still a major breakthrough.
However, the great expansion of tilapia aquaculture in Asia has been due to mixed-sex
tilapia culture which addresses the high demand for relatively small fish (i.e. fish less than
300 g) that can be obtained by rearing the highly selected genetically improved farmed
tilapia and other strains.
Cryopreservation
4.3.1.5
The aim of the cryopreservation of gametes is related to:
}} disseminating semen from males obtained from selection programmes showing significant
response;
}} refreshing commercial populations in order to avoid the negative impact of bottlenecks;
}} directly assessing the rates of genetic gain in ongoing breeding programmes;
}} making semen available across the reproduction window when asynchrony of reproduction
exists between males and females (usually males mature earlier than females).
Sperm cryopreservation has been successfully implemented for a number of cultured finfish
and shellfish species, and modest success has been achieved in the cryopreservation of
shellfish embryos and early larvae. Cryopreservation of finfish ova and embryos has not
been successful, which is a major difference with respect to terrestrial animals. This is mainly
due to the size of the ova which are usually large and have thick chorionic membranes that
do not facilitate the inclusion of cryoprotectors.
The use of cryopreserved gametes for commercial purposes is still very limited in
developing countries. One explanation is that this biotechnology may require specialized
labour and automated procedures to decrease variability in success rates among batches of
sperm. Furthermore, it is still uncertain whether this method is economically advantageous
compared with disseminating improved broodstock using larval material. In spite of this,
the technology has been used for disseminating improved Jayanti rohu in India and for
the dissemination of improved semen in Sri Lanka (P. Routray, personal communication).
In rainbow trout, cryopreservation has been used for storing semen from neomales, but
the problem of highly variable fertilization success remains.
Genomics
4.3.1.6
Genomics is the study of the genomes of organisms. It includes the intensive efforts to
determine the entire DNA sequence of organisms via fine-scale genetic mapping.
Genome sequencing
One of the major constraints in the rearing of many different aquaculture species is the
lack of adequate genomic information. This is because sequencing all the species currently

used in aquaculture would be costly. Productive species currently being sequenced are the
tilapia and the Atlantic salmon (Salmo salar). A multinational initiative for Atlantic salmon
aims to sequence the genome using the Sanger method to obtain a coverage of more than
six-fold. The project is a partnership between Canada, Norway and Chile, countries that
are interested in applying this sequence data for studies related to enhancing conservation
and production. The projects output will be delivered to the public domain and provide
the required genomic resources for developing single nucleotide polymorphism (SNP)
chips that will help implement marker-assisted selection (MAS) programmes in Chilean
salmon aquaculture.
Functional genomics
The recent availability of massive amounts of information from functional genomics
such as microarrays that are used to assess gene expression or sequence polymorphisms
has contributed significantly to the genomic biotechnology in aquaculture. Two colour
microarrays have been developed for salmonid species that are publicly available and are
currently used to assess disease resistance traits in salmon and for candidate gene discovery.
In shrimp, several platforms have been devised in China, Australia, Taiwan Province of
China, Singapore and also the United States (Wilson and de la Vega, 2005).
The main use of this resource has been to study differential expression of the transcriptome
after viral or bacterial acute infection, but also as bioindicators for assessing chronic disease
response. Microarrays are being applied to the fields of ecotoxicology and nutrigenomics.
For example, gene expression analysis has been used for assessing the effect of pre-
challenging white spot syndrome virus (WSSV) on different genes in order to investigate
the immunological mechanisms behind the genetic resistance and to assess potential genes
explaining disease resistance at the experimental level in the culture of Pacific whiteleg
shrimp (Litopenaeus vannamei) in Colombia. In Chile, the salmon microarray available
for the consortium for genomics research on all salmon project (cGRASP1) in Canada has
been used in collaboration with the University of Victoria for assessing disease resistance
of piscirickettsia and infectious pancreatic necrosis virus (IPNV) in Atlantic salmon.
4.3.1.7
A genetically modified organism (GMO) is one whose genetic material has been altered
through genetic engineering techniques with DNA molecules from different sources that are
combined into one molecule to create a new set of genes. Typically, it involves introduction of
a single gene from an unrelated species. After about two decades of very intensive research, the
1 http://web.uvic.ca/grasp/
technology has reached the stage where it is possible to produce GM carp, tilapia and salmon.
However, no aquatic GMOs have yet been approved for commercial release for food and
agriculture purposes in any country. There are potential concerns about the environmental
impact of raising such fish (e.g. effects of possible interbreeding with native populations)
and the greater amount of feed required for sustaining the increased growth rates, as well as
problems with consumer acceptance, which may be one of the most important reasons that
transgenic technology has not developed beyond the experimental phase. Many developing
countries have yet to develop a clear policy on the use of transgenic fish.
4.3.1.8 Molecular markers
Marker systems
Molecular markers are identifiable DNA sequences found at specific locations of the genome,
transmitted by standard Mendelian laws of inheritance from one generation to the next. They
rely on a DNA assay and a range of different kinds of molecular marker systems exist, such
as restriction fragment length polymorphisms (RFLPs), random amplified polymorphic
DNAs (RAPDs), amplified fragment length polymorphisms (AFLPs) and microsatellites.
The technology has improved in the past decade and faster, cheaper systems like SNPs are
increasingly being used. The different marker systems may vary in aspects such as their technical
requirements, the amount of time, money and labour needed and the number of genetic markers
that can be detected throughout the genome (reviewed in detail in FAO, 2007b). RAPDs and
AFLPs have been used extensively in aquaculture due to their relatively easy development,
i.e. they do not require construction of genomic libraries. Microsatellite markers are used
increasingly in aquaculture species (see the review by Liu and Cordes, 2004), due to their higher
polymorphic information content, codominant mode of expression, Mendelian inheritance,
abundance and broad distribution throughout the genome (Wright and Bentzen, 1994).
Molecular markers are being applied in developing countries in both aquaculture and
fisheries management. Here, an overview is provided on their use for parentage analysis
and genetic selection in aquaculture and for fisheries management and stock enhancement.
Parentage analysis
Molecular markers can be used successfully to trace alleles inherited by progeny from a
group of candidate parents, thus providing a means of parentage analysis. In many fish and
shellfish species, reproduction cannot be fully controlled and thus natural mating is the only
way to produce offspring for the next generation of a breeding programme. For example,
tilapia and carp breeding typically involves mass spawning where males and females are
stocked in large hapas suspended in ponds, where a relatively large number of parents

spawn simultaneously. Since constrained rates of inbreeding are required for sustained
rates of genetic gain, in uncontrolled mating schemes it is not always possible to control
the genetic contributions of broodstock or, therefore, the rates of inbreeding in a breeding
programme using pedigree information. Small sample sizes together with sperm competition
(Withler and Beacham, 1994), mating preference (as in Artemia) and other biological factors
after fertilization can increase the variance of family size, thereby decreasing the Ne to
unsustainable levels (Brown, Woolliams and McAndrew, 2005).
When it is possible to control matings, one of the most important constraints still facing
effective breeding programmes of species such as salmon, carp and trout is that newborn
individuals are too small to be tagged individually using the traditional marking systems for
livestock. The application of sustainable breeding programmes requires tagging a constant
number of individuals from each family with passive integrated transponders (PIT tags)
when they become sufficiently large after a period of individual family rearing, in order
to manage the rates of inbreeding. However, this system of early management creates
common environmental effects for full-sib families (Martinez, Neira and Gall, 1999). To
address these issues, mixtures of equal-aged progeny from different families can be reared
communally to preclude the development of such family-specific environmental effects, and
genetic markers can be used subsequently to assign individuals to families after evaluation
of individual performance (Doyle and Herbinger, 1994). Thus, the impact of early common
environmental effects is considerably reduced if markers are used for parentage analysis when
selecting individuals for early growth rate traits (Herbinger et al., 1999; Norris, Bradley and
Cunningham, 2000). Several multinational salmon companies are using this system of tagging
but there is still no information regarding its economic value compared with conventional
tagging systems such as PIT tags. This may be important in species such as carp and tilapia
where the costs of genotyping can greatly outperform the use of tanks and individual tagging
systems. Furthermore, it is expected that rates of genetic gain for economic traits will not
be significantly affected when common environmental effects are present.
Even though there is a plethora of information in the scientific literature on the use
of markers for parentage analysis in fish and shellfish, this procedure has not been fully
used in species such as tilapia in developing countries where basic conventional breeding
programmes have proved very successful (Ponzoni, Nguyen and Khaw, 2006). The sample
size (i.e. the numbers of individuals and markers required for accurately reconstructing the
pedigree of a population) is a practical issue since not all individuals in a population can
be genotyped for all markers available. The issue of sample size may also arise in species
where physical tagging is not possible or not economically sound (e.g. shrimp or marine
species), or when disease challenges (e.g. with infectious pancreatic necrosis) are carried
out very early stages in the life cycle.
For most breeding programmes, physical tagging will prove efficient both in economic
and biological terms to achieve acceptable rates of genetic gain while minimizing rates
of inbreeding. Genetic marker technology can still be costly in developing countries for
routine assignment of parentage, although these costs can be reduced using multiplex PCR
technology in which more than one marker can be genotyped simultaneously in a single
gel lane or capillary (Paterson, Piertney and Knox, 2004). This is especially the case when
only DNA markers are used without physical tagging, since individuals must be re-typed
when records for multiple traits are included in the selection criteria (Gjerde, Villanueva
and Bentsen, 2002). When it is possible to isolate families, multistage selection offers the
possibility of first selecting individuals on a within-family basis directly from tanks or hapas
(for traits influenced by common environmental effects) and then selecting at a second
stage for traits measured at harvest. This alternative would maintain the rates of gain while
decreasing the costs associated with tagging, or even increase rates of gain, when recording
traits such as body weight from tanks (within families) that can be carried out relatively
inexpensively (Martinez et al., 2006).
Marker-assisted selection
Molecular markers can also be used in genetic improvement through MAS, where markers
physically located beside (or even within) genes of interest (such as those affecting growth
rates in salmon) are used to select favourable variants of the genes (FAO, 2007b). MAS
is made possible by the development of molecular marker maps, where many markers of
known location are interspersed at relatively short intervals throughout the genome and
the subsequent testing for statistical associations between marker variants and the traits of
interest. In this way, genes (called QTLs) thought to control quantitative traits (traits of
agronomic importance controlled by many genes and many non-genetic factors, such as
growth rate in fish) can be detected.
MAS can enhance rates of genetic gain compared with conventional breeding for traits
that are difficult or expensive to measure or when the heritability is relatively low. So far,
many QTLs have been identified in different experiments involving trout, salmon, carp and
tilapia, but the main problem with the actual use in MAS is to have enough replications or
powerful experiments to validate that the QTLs detected in a given experiment are actually
real, and are segregating across populations or crosses. Furthermore, many of the QTLs
detected were discovered using dominant markers such as RAPDs which are very difficult
to replicate in different laboratories, basically due to the use of insufficient sample sizes and
failure to account for the presence of false positives. This outcome is explained by the fact
that there is a lack of complete genome sequences for many of the species currently used in
aquaculture in developing countries such as tilapia, carp and shrimp. This is an important

practical issue, because without information from physical maps it may be difficult to
characterize the actual genes explaining the genetic variation explained by the QTLs. This
situation reflects the relatively high level of financial resources needed both to carry out a
genome sequence project for many species used in aquaculture and to actually implement a
MAS programme. This is a very important issue in developing countries where smallholders
are less likely to have the financial revenue to allow breeding programmes that incorporate
the use of molecular information. Although MAS is potentially useful for many cultured
species, conventional breeding programmes may be more profitable in the short to medium
term in developing countries in low-input environments.
The development of molecular markers and linkage maps can greatly help scientists
to understand the different factors that influence the expression of quantitative traits. A
number of genetic linkage maps have been published in aquaculture, some of the most
comprehensive being for rainbow trout (Young et al., 1998; Sakamoto et al., 2000; Nichols
et al., 2003), channel catfish (Waldbieser et al., 2001), tilapias (Kocher et al., 1998; Lee et al.,
2005), Japanese flounder (Coimbra et al., 2003) and mussels (Lallias et al., 2007). In shrimp,
recent mapping has demonstrated the nature of sex control in shrimp as WZ/ZZ like chickens
and unknown until now. Still, in important species such as Indian major carps and Chinese
carps, they have not been developed. There are a number of ways in which this information
can be used, the difference between them being the level of resolution with which these
factors can be mapped. For example, QTLs with major effects on quantitative traits are
mapped using markers to track the inheritance of chromosomal regions in families or in
inbred line crosses using the extent of linkage disequilibrium generated in the population.
In practice, the identification of genes influencing specific traits is achieved using a
combination of genetic mapping (linkage and fine mapping) to localize the QTL to a small
region on the chromosome under analysis, and candidate gene or positional cloning approaches
are used to identify the genes within the QTL region. According to the literature survey, it
appears that very little information has come from developing countries on such research issues.
In some cases, it is possible to use sufficient biochemical or physiological information
to investigate the association between the quantitative genetic variation and the level of
marker polymorphisms within specific genes. Nevertheless, this approach requires a great
amount of detailed information in order to choose which gene explains the greatest effect
and to have sufficient power to detect the association. This information is starting to appear
in the aquaculture literature from multinational projects such as cGRASP, but it is still
scarce for other fish species of interest in developing countries.
So far, QTL mapping in aquaculture using commercial populations has been carried
out mainly in developed countries, mostly with single-marker analysis (microsatellites and
AFLPs) and using relatively sparse linkage maps when interval mapping is used. In tilapia,
the F2 design and a four-way cross between different species of Oreochromis have been
used for detecting QTLs affecting cold tolerance and body weight (Cnaani et al., 2003). In
outbred populations of salmonids, QTLs that influence body weight have been mapped
(Reid et al., 2005).
Studies seeking linkage of markers to traits amenable to MAS, such as disease resistance,
have begun to appear in the literature over the past few years. For example, QTLs for
resistance have been mapped for IPNV in salmonids (Ozaki et al., 2001; Houston et al.,
2008), infectious salmonid anaemia (Moen et al., 2007), infectious haematopoietic necrosis
virus (Rodriguez et al., 2004; Khoo et al., 2004) and stress and immune response (Cnaani et
al., 2004) and cold tolerance in tilapia (Moen et al., 2003). Also, Somorjai, Danzmann and
Ferguson (2003) reported evidence of QTLs for upper thermal tolerance in salmonids, with
differing effects in different species and genetic backgrounds. To date, there are no examples
of the application of these QTLs in practical fish and shellfish breeding programmes in
developed or developing countries.
4.3.2 Biosecurity and disease control

Like other farming systems, the aquaculture industry has been overwhelmed by a fair share
of transboundary aquatic animal diseases caused by viruses, bacteria, fungi, parasites and
other undiagnosed and emerging pathogens. Disease has thus become a primary constraint
to the culture of many aquatic species, impeding both economic and social development in
many countries. As a result, there will be increasing demand for improved aquatic animal
biosecurity, particularly addressing the emerging health problems based on risk analysis.
Epidemiological studies generate the data required for risk analysis; biosecurity measures
require good information for accurate assessment and this leads to appropriate risk management.
Thus, biosecurity, risk analysis and epidemiology are highly interrelated. All are aimed at
making good use of scientific research for disease prevention, control and management.
Of equal importance is the need for fundamental information that characterizes diseases
in aquaculture. Import risk assessment will of necessity set the risk as high when there
are little data on modes of transmission, host susceptibility, tolerance to abiotic factors
(e.g. temperature, salinity) and immune response elicited, for a particular pathogen under
consideration. The clear, unambiguous and rapid detection and identification of potential
pathogens using morphological and molecular diagnostic tools are of paramount importance
prior to making decisions on the disease status of any aquaculture zone.
Although conventional disease control strategies focus largely on diagnosis and therapy,
the prevention of disease through vaccination, immunostimulation, the use of probiotics and
bioremediation in culture environments, nutritional improvements etc., has also been practised.
Significant advances in these areas have been achieved using biotechnological approaches.

Given the taxonomic diversity of aquaculture species, there is also a need to develop
better information on the response of these species to disease in order to develop management
strategies for them. Biotechnology approaches are sometimes the only means by which
tools for this can be developed.
4.3.2.1Pathogen screening and disease diagnostics

The control of disease outbreaks relies heavily on having rapid and accurate diagnostic
tools available in order to detect and identify the pathogen causing mortality. DNA and
RNA methods have been used extensively for detecting a number of viral and bacterial
pathogens in aquaculture worldwide. The techniques rely upon the fact that each pathogen
species carries a unique DNA or RNA sequence that can be used for identification. The
techniques offer high sensitivity and specificity, and the commercial development of PCR
primers and diagnostic kits allows rapid screening for a number of serious viral and bacterial
infections and has direct application. Molecular-based techniques such as PCR also have
applications in situations where the animal shows no antibody response after infection.
For example, as molluscs do not produce antibodies, antibody-based diagnostic tests have
limited application to pathogen detection in these species.
Considering the difficulties that developing countries may face in using advanced
molecular diagnostics, and the importance of gradually improving national diagnostic
capacities in developing countries, FAO recommended a three-level diagnostic process
(FAO/NACA, 2000). This involves: field observations and necropsy (Level I); laboratory
observations, bacteriology and histopathology (Level II); and electron microscopy, molecular
biology and immunology (Level III). In countries where Level II and Level III diagnostic
capabilities are not found, initial disease screening is carried out using Level I gross clinical
examination. Accompanied by histopathology, this has been the traditional method of
detecting pathogens in both developed and developing countries. There is a clear need to
improve national diagnostic capacities to reach Level II and Level III diagnostic procedures,
including molecular diagnostics.
These tools include both immunoassay- and DNA-based diagnostic methods, e.g. fluorescent
antibody tests, enzyme-linked immunosorbent assays (ELISA), radioimmunoassay (RIA),
in situ hybridization (ISH), dot blot hybridization and PCR amplification techniques. They
are currently used to screen and/or confirm the diagnosis of many significant pathogens of
cultured finfish such as channel catfish virus, infectious haematopoietic necrosis virus, IPNV,
viral haemorrhagic septicaemia virus, viral nervous necrosis virus and bacterial kidney disease,
as well as shrimp diseases such as WSSV, yellow head virus (YHV), infectious hypodermal
and haematopoietic necrosis virus (IHHNV) and Taura syndrome virus (TSV) (FAO,
2000). Similar tools are under development for molluscan pathogens (Haplosporidium sp.,
Bonamia ostreae, Marteilia refringens and Herpes virus). Immunoassays and nucleic acid
assays provide quick results with high sensitivity and specificity at relatively low cost, and
are particularly valuable for infections that are difficult to detect (e.g. subclinical infections)
using standard histology and tissue culture procedures. Molecular tools are also useful for
research into the pathology and immunology of specific infections. They can be used with
non-lethal sampling and are valuable for monitoring challenge experiments under controlled
laboratory conditions. Further development of these technologies is likely to speed up the
detection (field monitoring and laboratory examination) and diagnosis of disease, which
is crucial for early and effective control of emergent disease situations.
Antibody-based techniques
A variety of antibody-based tests and molecular tests have been developed to detect
mainly bacterial and viral fish pathogens, although tests have also recently been reported
for parasites and fungal agents. The antibody-based tests include slide agglutination,
co-agglutination/latex agglutination, immunodiffusion, direct and indirect fluorescent
antibody tests, immunohistochemistry and ELISA, dot blot/dip-stick and Western blot.
The antibody-based test selected for the identification of pathogens depends on a variety
of factors since each method has its merits and disadvantages. Although such methods are
useful for the detection of pathogens in pure culture or/and in infected fish tissue, their
sensitivity thresholds limit their use in environmental samples, especially where pathogen
levels are extremely low. DNA detection methods, however, such as PCR and ISH are
ideally suited.
DNA-based techniques
Molecular technologies are also widely used for the detection of fish pathogens (Adams
and Thompson, 2006 and 2008). They have been successfully utilized for the detection
and identification of low levels of aquatic pathogens. Such methods are also particularly
useful for micro-organisms that are difficult to culture, may exist in a dormant state, are
involved in zoonosis, or in the elucidation of pathogen life cycles. In addition, molecular
methods can be used for the identification of pathogens to the species level (Puttinaowarat,
Thompson and Adams, 2000) and in epidemiology for the identification of individual strains
and differentiating closely related strains (Cowley et al., 1999). Because of the general
unavailability of the traditional pathogen isolation methods and immunodiagnostics for
molluscs and crustaceans, molecular techniques have increasingly been used (Lightner,
1996; Lightner and Redman, 1998; Berthe, Burreson and Hine, 1999).
DNA-based methods such as PCR are extremely sensitive. However, false positive
and false negative results can cause problems due to contamination or inhibition (Morris,

Morris and Adams, 2002). Real-time PCR (closed tube to reduce contamination) and
nucleic acid sequence-based amplification are alternatives that reduce these risks and offer
high sample throughput (Overturf, LaPatra and Powell, 2001; Starkey et al., 2004). Some
of the most common PCR-based technologies used for the detection of pathogens are
nested PCR, RAPDs, reverse transcriptase PCR (RT-PCR), reverse cross blot PCR and
RT-PCR enzyme hybridization assay (Puttinaowarat, Thompson and Adams, 2000; Wilson
and Carson, 2003; Cunningham, 2004). ISH is also widely used in the detection of shrimp
viruses (Lightner, 1996; Lightner and Redman, 1998; Tang and Lightner, 1999; Tang et al.,
2005) and in the confirmation of mollusc parasites (Stokes and Burreson, 1995; Le Roux
et al., 1999; Cochennec et al., 2000; Carnegie et al., 2003). Colony hybridization has also
been used successfully for the rapid identification of Vibrio anguillarum in fish (Aoki et
al., 1989) and has the advantage of detecting both pathogenic and environmental strains
(Powell and Loutit, 2004).
In recent years, the use of PCR-related tools has gained wide acceptance in developing
countries. The advent of PCR has lead to important advances in the development of routine
diagnostic tests, and it has been possible to develop probes aimed at the detection of pathogen
genetic material in host tissue, as well as for assessing genetic variability within and between
fish and shellfish populations. Both DNA- and RNA-based methods have been devised
to detect pathogen genetic material. Depending on the pathogen, conventional PCR can
be replaced by the more sensitive nested PCR method, in which primers within the region
amplified in a first step are used for further amplification of DNA. RNA quantification can
be carried out using RT-PCR of the viral nucleic acids present in sample tissues. As with the
immunological methods described earlier, it should be noted that PCR does not demonstrate
the presence of disease nor of a viable pathogen, but only that pathogen genetic material
was present in the sample being examined. Despite this limitation and other problems
related to ease of contamination, false positives, the limited number of primers available etc.,
when properly applied, PCR offers a relatively rapid and inexpensive way for the routine
screening of large numbers of aquatic animals for commercial aquaculture and for testing
of imported stocks during quarantine. For example, PCR is very important in the routine
screening of massive numbers of penaeid shrimp larvae for serious viral pathogens such as
WSSV, TSV etc. in Asian and Latin American countries.
DNA probes and epidemiology

DNA probes have particular value in the fields of epidemiology, routine disease surveillance
and monitoring, treatment and eradication programmes in aquaculture and efforts to
prevent the spread of pathogens to new geographical areas. These biotechnologies also have
important application in risk management for aquatic animal diseases including inspection
and certification of production and facilities and consignments for freedom from specific
pathogens; achieving recognition of a country as having disease-free status; and implementing
disease zoning programmes and effective quarantine measures etc. (Bernoth, 2008).
The Manual of Diagnostic Tests for Aquatic Animals, regularly published by the World
Organisation for Animal Health (OIE), validates the use of traditional diagnostic methods
such as evaluation of clinical signs, necropsy, histopathology, parasitology, bacteriology,
virology, mycology etc., as well as immunological tests such as ELISA for the presumptive
and confirmatory identification of OIE-listed diseases. The introduction to the Manual
notes that For the most part, molecular methods for fish diseases are recommended for
either direct detection of the pathogen in clinically diseased fish or for the confirmatory
identification of a disease agent isolated using the traditional method. With one or two
exceptions, molecular techniques are currently not acceptable as screening methods to
demonstrate the absence of a specific disease agent in a fish population for the purpose of
health certification in connection with international trade of live fish and/or their products.
There is a need for more validation of molecular methods for this purpose before they can
be recommended in the Aquatic Manual (OIE, 2009; see also Adams and Thompson, 2008).
This highlights the importance of further validating these diagnostic tools for serious and
emerging diseases across a range of different laboratories worldwide.
4.3.2.2Vaccines
Adams et al. (2008) reviewed the vaccine technologies in aquaculture. Vaccination is the
action in which a host organism is exposed to organic (biological) molecules that allow
the host to mount a specific immune reaction through which it has a better capability to
fight subsequent infections of a specific pathogen compared with genetically similar non-
vaccinated hosts. It has also been shown to be cost-effective and has led to the reduction
in use of antibiotics. In Norway, for example, antibiotic use has decreased from 47 tons to
approximately one ton annually (Markestad and Grave, 1997 and Figure 4).
A wide range of commercial vaccines is available against bacterial and viral pathogens
and many new vaccines are under development. Most target salmon and trout, and there are
expanding opportunities for marine fish (Thompson and Adams, 2004). Traditionally, the
organic molecules used for vaccination are directly derived from the pathogen in question.
The most straightforward approach is to culture the pathogen after it has been inactivated
and presented to the host. So far, vaccines containing more than ten bacterial pathogens and
five viral pathogens have been produced based on such inactivated antigens (Sommerset
et al., 2005). Alternatively, the pathogen is not inactivated but chemically or genetically
weakened so as to survive only for a limited period in the host where it induces a specific
immune response without causing disease and mortality. Such vaccines are generally described

as live vaccines, and there is concern that the attenuated strain may back-mutate and
revert to the virulent wild type (Benmansour and de Kinkelin, 1997). Due to environmental
and control concerns in most countries, only two live bacterial (Edwardsiella ictaluri and
Flexibacter columnarae for Channel catfish in the United States) and one live viral vaccine
(koi herpesvirus for carp in Israel) are commercially available at present.
One of the most important factors leading to reduced antibiotic use by the aquaculture
sector is the availability of good prophylactic measures for diseases causing severe mortalities
in cultured fish and shellfish. The use of vaccines provides good immunoprophylaxis for
some of the most important infectious diseases of finfish. In developed countries, their use
has proved very effective at decreasing the unsustainable use of antibiotics. For example, in
Norway antibiotic use in salmon farming has become almost negligible, at less than 1 gram
per tonne of production, due mainly to the availability of vaccines for furunculosis and
cold water vibriosis (Figure 4) (Smith, 2008). At almost similar production levels, Chilean
salmon farming shows much more antibiotic use due to the emergence of Piscirickettsia
salmonis, a pathogen causing severe losses of stock prior to harvest. Thus, there have been
recent attempts to develop immunoprophylactic measures.
FIGURE 4
Use of antibiotics vS. production of fish in Norway
900
metric tons of salmonids produced

120
Kg antibiotics (in thousand)
800
100 Use of antibiotics in fish
700
Fish production
80 600
500
60
400
40 300
200
20
100
0
0
1975 1980 1985 1990 1995 2000 2005
Year
Source: T. Hastein, personal communication
As molecular-based vaccine production procedures rely heavily on biotechnological tools,
vaccines are produced mainly in developed countries. A DNA vaccine is a circular DNA
plasmid that contains a gene for a protective antigenic protein from a pathogen of interest
(Kurath, 2008). Considerable industrial research has been conducted towards developing
DNA vaccines for species such as salmonids against pathogens (generally viruses) for which
traditional methods have not been successful. As many strains and varieties of a single
pathogen are generally present in the tropics, unlike in temperate pathogens, monovalent
vaccines are not practical under tropical conditions. Such difficulties, together with the lack
of adequate biotechnological knowledge and financial resources, have led to fewer advances
in vaccine development in the tropics, and for tropical species. Commercial vaccines using
inactivated bacterial pathogens are available for some species: channel catfish, European
seabass and seabream, Japanese amberjack and yellowtail, tilapia, Atlantic cod, salmon
and trout (Sommerset et al., 2005). Fewer commercially available viral vaccines have been
produced, and no commercially available parasite vaccines exist.
4.3.3 Environmental management and bioremediation

Aquaculture, like any other live production system, produces effluents rich in nutrients.
Some aquatic production systems also produce effluents with harmful substances such as
residues and metabolites of antibacterials and therapeutics. Developing systems that produce
effluents with acceptable standards and improving the quality of the aquatic environment
where effluent discharges are unacceptably high is a challenge. Biotechnological interventions
such as bioremediation, the use of probiotics, and vaccination offer significant promise for
addressing these important issues.
Bioremediation is a promising biotechnological approach for the degradation of hazardous
waste to environmentally safe levels using aquatic micro-organisms or other filtering macro-
organisms. Although this procedure has been used in various situations such as sewage
treatment (e.g. FAO, 2008), application to shrimp and other aquaculture wastes is fairly
novel. There are many commercial products on the market, mainly bacterial preparations,
but the mode of action and efficacy of many of these have yet to be scientifically measured.
In addition to microbes, bivalves, seaweeds, holothurians (sea cucumbers) etc., have been
tested to assess their ability to reduce organic loading or reduce the excess nutrients produced
during culture production. Various bioremediation preparations have also been developed
with a view to removing nitrogenous and other organic waste in water and bottom sludge
and thus reduce chemically-induced physiological stress, e.g. in pond-reared shrimp. More
products will undoubtedly emerge with continued research in this field, but controlled field
trials are urgently needed to determine the effectiveness and cost-benefit of these products
under culture conditions.

Probiotics are generally administered as live microbial feed supplements which affect
the host animal by improving the intestinal microbial balance to optimize the presence
of non-toxic species. A stable gut microflora helps the host resist pathogenic invasions,
particularly via the gastro-intestinal tract. Antibiotics reduce specific or broad-spectrum
gut microflora and probiotics may have post-antibiotic treatment potential for restoring
the microbial balance. Probiotics are widely used in animal husbandry but their use in
aquaculture is still relatively new. However, there are increasing reports of potential
probiotics for shrimp aquaculture which has been plagued by opportunistic bacteria
such as the luminescent Vibrio harveyi, and in some cases probiotics have been reported
to significantly reduce antibiotic use in shrimp hatcheries. Suppression of proliferation
of certain pathogenic bacteria (e.g. Vibrio spp.) in shrimp hatcheries has been achieved
by introducing (inoculating) non-pathogenic strains or species of bacteria that compete
for microbial metabolite resources. This procedure shows promise to be effective and
economical. However, further refinement of the administration and concentration loads
needed for effective pathogen suppression is required. Effective and economically viable
probiotics also require greater research into optimal strains of probiotic micro-organisms
and stringent evaluation under field conditions.
As discussed earlier, the control of disease using vaccines is a reputed technology.
There are interesting examples of reducing antibacterial use in aquaculture through the
use of vaccination particularly in temperate species such as salmon and trout. Reduction
of the use of antibacterials not only diminishes the risk of rejection of aquatic products at
international trading borders due to the presence/detection of residues above acceptable
levels, it also helps in reducing the contamination of natural water bodies with harmful
residues and the development of antimicrobial-resistant bacteria.
The proliferation of red tides with the blooming of harmful algae has been increasingly
reported in many parts of Latin America, where the toxins represent a threat to food safety
as well as a cause of fish and shellfish losses from the associated mortalities. Red tides
can produce significant economic losses to fisheries and aquaculture due to bans on the
marketing of fish and shellfish from the affected geographical area and to the toxic effects
on fish. In Central America and the Caribbean, la ciguatera is the most important cause
of toxic poisoning, resulting from consumption of tropical fish. In Latin America, blooms
of Alexandrium spp. are one of the major causes of large economic losses due to the
banning of commercial sales of mussels. In Chile, preventive closures cause about US$100
million in annual losses to the artisanal bivalve fishery. Furthermore, these closures have
a direct negative impact on local employment in the shellfish production sector, which is
labour intensive, thus having a detrimental effect on livelihoods. While it is not known if
climate change is increasing the number of episodes of algal blooms, it is recognized that
red tide episodes have recently become more common (Jessup et al., 2009). Warm episodic
currents also play a key role in causing large economic losses through mass mortalities of
fish (Kedong et al., 1999).
To date, the detection of toxins due to algal blooms is carried out using mouse bioassays
and high performance liquid chromatography, but new methodologies are being developed
for detection of Alexandrium catenella (Uribe and Espejo, 2003). Expressed sequence tag
(EST) libraries are now publicly available (Uribe et al., 2008), so that it may be possible
to develop molecular diagnostic techniques. To improve the prevention of impacts on
aquaculture, PCR techniques and EST libraries can be used also to assist the early detection
of toxin-producing algae in vast marine areas.
4.3.4 Biodiversity conservation and fisheries management

Restocking procedures are common in many developing countries, but the potential of
restocking and stock enhancement stems primarily from the development of the technologies
used to produce hatchery-reared juveniles (Bell et al., 2006). The production of large numbers
of juveniles and their subsequent release into the wild can affect a fishery resource in at
least two ways (Bell et al., 2006): 1) when stocking is done to restore a spawning biomass
there is some scope for interbreeding between the natural population and the introgressed
population and 2) there may be enough individuals used to restore the carrying capacity
of the fishery.
From a genetic point of view, the main consequence of restocking may be the hybridization
of non-native individuals with natural stocks, which can have important impacts on
natural biodiversity. Fish are very prolific, and under many hatchery production systems
a relatively small number of parents can provide sufficient numbers of juveniles for release,
in which case the genetic variability of the fishery may be reduced. This situation can easily
lead to genetic bottlenecks, the forthcoming generations of population being subjected to
relatively high rates of inbreeding thus inadvertently reducing the genetic variability of the
population (Povh et al., 2008). This can have large effects on the sensitivity of individuals
to environmental variations and could possibly cause the extinction of a population or
species in a particular environment (Guttman and Berg, 1998). In addition, inbreeding can
affect growth and reproduction.
The mating of wild fish with those released by restocking programmes can promote the
loss of genes important for local adaptation (Vasemgi, Nilsson and Primmer, 2005; Snsteb,
Bergstrm and Huen, 2006) in a genetic mechanism called outbreeding depression. While
this concern has been effectively studied in terrestrial animals and in salmon populations
in developed countries, this is not the case in other fisheries from developing countries.

Therefore, careful restocking procedures need to be developed in order to reduce the
potential for the introgressed population to reduce the genetic variability and therefore
the sustainability of the resource. Assessing the genetic diversity of managed stocks or
highly selected populations is an important issue when pedigree information is lacking or
in situations where some kind of quality assurance is needed.
The use of molecular markers and the principles of population genetics have proved
very effective in assessing the actual levels of genetic variability within single populations
and in measuring the extent of differentiation between populations. For example, the
Centro Nacional de Pesquisa de Peixes Tropicais in Brazil has studied the use of RAPD
markers for the Amazonian fish matrinxa (Brycon cephalus) and has shown a relatively
large reduction in genetic variability in fish used for restocking purposes compared with
the native Amazonian river population (Povh et al., 2008).
In developing countries, the markers have been used mainly for assessing genetic
variation in tilapia and carp populations in Thailand, the Philippines and India. Markers
have been used for characterizing stocks and comparing levels of genetic variability in
Oreochromis species. Agustin (1999) used markers to assess genetic differences between
indigenous samples from Africa and populations from Asia, concluding that the low
performance of O. mossambicus stocks can be explained by the effect of large bottlenecks
in the populations used for aquaculture in Asia. Molecular markers have also been used to
assess population differentiation of Nile tilapia (O. niloticus) for both domesticated and feral
populations (Agnse et al., 1997). In both cases, moderate to great genetic differentiation
was found between strains and the use of markers successfully correlated with the actual
biogeographical data.
The escape of farmed fish from aquaculture may influence the genetic variability of
native populations. The possible genetic impacts resulting from introductions and invasive
alien species include: interbreeding between alien and native genotypes causing, in some
cases, reduced reproductive efficiency and generating nonviable offspring; decreased fitness
from loss of co-adapted gene complexes; and indirect genetic impacts resulting from other
ecological interactions (FAO, 2005a).
Climate change and related climatic events such as the El Nio-Southern Oscillation
(ENSO) can have serious impacts on the distribution of fishery resources between countries.
Based on census numbers, mackerel fisheries were apparently depleted in Chilean coastal
waters during the occurrence of ENSO episodes. However, markers have shown little
differentiation with other populations in the Pacific Ocean (such those observed in New
Zealand), and so it is likely that the drop in numbers is related to migration of the mackerel
populations to colder waters in the Pacific rather than to fishery depletion (IFOP, 1996).
4.3.5 Concluding remarks
Compared with livestock and crop production, aquaculture is a novel production system
in many developing and developed countries. As shown above, biotechnologies are being
applied in fisheries management but their use is very limited compared with aquaculture.
The use of successful and effective biotechnologies in aquaculture is very much confined
to genetic manipulations and improvements, and to health management.
The success or failure in using biotechnologies in developing countries depends to a
large extent on: 1) the markets for each of the products within the production sectors, and
2) the investment and acquisition capacity for the fisheries and aquaculture sectors. In the
case of aquaculture, the latter is very important considering that the largest proportion of
world production comes from developing countries and from small farmers (specifically in
Asia). Most biotechnological interventions have been developed for improved production
and the better management of aquaculture. Most have been targeted towards high value
commercial aquaculture species generally produced for international markets. Although
many small-scale farmers are producing for export markets, the significant uptake of many
biotechnological interventions and innovations has generally been restricted to commercial
or industrial aquaculture operations. This is certainly due to the cost of the technologies
as well as the organized nature of industrial aquaculture.
Recently, however, as a result of better organization in the small-scale farming sector,
certain biotechnologies have been effectively taken up by the small farmers in many parts
of the developing world. They include DNA probes for detecting pathogens in some
species (mainly PCR detection of major viral pathogens of shrimp), the use of SPF shrimp
broodstock or postlarvae, the use of certain DNA vaccines, the all-male (genetically male)
tilapia and, in some cases, markers for pedigree evaluation in salmon worldwide. In fact,
almost everywhere in the world, shrimp farmers, whether small or large, currently use
only PCR-tested postlarvae for stocking. For example, in India there are more than 90
laboratories providing PCR services for the shrimp sector mainly for the screening of
seed and broodstock. In Vietnam, there are over 40 laboratories. This pattern holds true in
many countries of the region as the cost of using such biotechnologies has declined over
the years and the benefits have increased tremendously.
As mentioned above, the majority of aquaculture produce comes from the small-scale
farming sector, in many instances comprising low-input extensive production systems.
Although there is scope for biotechnologies, and although they are already being employed by
small-scale farmers, classical environmental improvements and better management practices
such as conventional genetic selection of broodstock, conventional health management
through the avoidance of pathogens etc., can also contribute significantly towards improving
small-scale aquaculture production and sustainability.

4.4 Case Studies
Biotechnologies are used in aquaculture for reducing losses due to diseases and improving
production through genetic manipulation. These technologies are regularly used in almost
all countries at different rates and levels based on the intensity and commerciality of the
production system. Here, two case studies are presented, outlining specific successful
applications of biotechnological tools in aquaculture in developing countries.
4.4.1 PCR-based pathogen detection in shrimp aquaculture in India

At present, shrimp is the most valuable aquaculture commodity sector in the world. This sector
has been continuously facing the challenge of new diseases, particularly viral pathogens. Some
20 years ago, there was hardly any accurate molecular-based pathogen detection system available
in any part of the world. Now, as a result of advanced molecular research and biotechnology,
there are many DNA-based detection technologies such as PCR methodologies available for
all the major shrimp viruses. A number of PCR, nested-PCR and hybridization tests have been
developed for virus detection. The tests use a range of different PCR primers and hybridization
probes targeted to different and poorly defined sites in the virus genome. Several RT-PCR tests
are also available. The application of PCR detection of viruses of broodstock and postlarvae
in both Penaeus monodon and Penaeus vannameii is now practised in all countries producing
commercial shrimp at all levels (Lo, Chang and Chen, 1998; Karunasagar and Karunasagar,
1999; Peinado-Guevara and Lpez-Meyer, 2006). Recently, lateral flow chromatographic
immunodiagnostic strips similar to common drug store pregnancy tests have begun to
appear for some shrimp diseases. Using these, unskilled farm personnel can easily diagnose
shrimp disease outbreaks at the farm. The strips are relatively cheap and quick. Other methods
comparable to PCR and RT-PCR are now available or are being developed for single and dual
or multiple viral detection but they currently require advanced equipment and personnel.
This rapid detection technology has given a new dimension to the shrimp industry
and losses due to viral diseases have been reduced tremendously by the use of PCR-
tested postlarvae for stocking. Recent successes in farmer group or cluster formation and
management in shrimp aquaculture, particularly in India and Indonesia, are to a large extent
based on good health management which includes the use of PCR tested postlarvae for
stocking in ponds. This demonstrates a scenario in which a successful biotechnology has
not only contributed towards realizing its scientific objective, but also towards improving
the overall governance of the sector (Subasinghe, Soto and Jia, 2009).
To consider a specific case study, the use of PCR detection technology was the key
basic step towards developing an effective better management practice (BMP) for small-
scale shrimp aquaculture in Andhra Pradesh. In India, aquaculture is mainly carried out by
small- and marginal-scale farmers located in the remote villages of the country. They are
largely unorganized, scattered and poorly educated. The farmers mostly opt for traditional
methods for operating their farms and do not have access to technological innovations or
scientific applications. A joint MPEDA-NACA (Marine Products Export Development
Authority Network of Aquaculture Centres in Asia-Pacific) project assisted by FAO
was initiated in 2002 to support shrimp farmers in disease control and coastal management,
leading to the participatory development of BMPs that provided significant improvements
in profits and reduced shrimp disease risks for farmers. One of the key interventions that
the farmers adopted in applying BMPs in their quest to reduce losses due to disease was
the use of PCR-screened postlarvae for stocking.
The project supported farmers in the implementation of BMPs through the formation
of self-help groups around local clusters. An economic analysis of 15 farmer groups in
Andhra Pradesh clearly demonstrated that farmers adopting BMPs including the use of
PCR-screened postlarvae for stocking had higher profitability, lower production costs and
were able to produce quality and traceable shrimp without using any banned chemicals.
The project has been highly successful in forming a self-help movement of farmers
across India through a grassroots approach. From a mere five farmers who first adopted
the cluster-farm approach and BMPs in 2002, the programme had swelled to more than
1000 farmers in 30 aquaculture societies in five coastal states by 2007. Beginning in 2007,
the MPEDA-NACA project became the National Centre for Sustainable Aquaculture
(NaCSA). NaCSA is an outreach organization of MPEDA established to service the small-
scale aquaculture sector and provide technical support to farmer groups. It aims to empower
and build the capacity of small-scale farmers to produce quality shrimps in a sustainable
and more profitable manner.
Perhaps one of the keys to the above success is the ability to reduce losses due to disease
in production systems, and to a large extent this has been possible through the use of PCR
technology for screening and detecting major viral pathogens in broodstock and postlarvae.
4.4.2 Specific pathogen-free stocks in shrimp aquaculture

Only a few species have so far been domesticated in the aquaculture sector. One group of
species on which most research has been focused on the domestication and development
of SPF strains is the penaeid shrimp. SPF shrimp are produced in SPF facilities using
many biotechnological tools, particularly DNA-based pathogen detection and diagnostic
techniques. The primary goal of SPF facilities is to produce strains of shrimp that are disease-
free, domesticated and genetically improved for aquaculture. SPF lines are available for P.
vannamei, P. stylirostris and P. monodon. The SPF status should signify that the shrimp

have passed through a rigorous quarantine and disease-screening process that has found
them to be free from specified pathogens of concern to culturists. This characteristic means
that countries or regions which still do not have this species can be reasonably sure that
importation of SPF animals will not result in the introduction of the specified pathogens
from which the animal is declared free. This does not, however, guarantee against the animal
being infected with unknown pathogens or known pathogens for which the animal was
not screened.
Genuine SPF shrimp are produced in biosecure facilities that have been repeatedly examined
and found free of specified pathogens using intensive surveillance protocols, and originate
from broodstock developed with strict founder population development protocols. These
founder populations are generated by extensive quarantine procedures that result in SPF F1
generations derived from wild parents. Only stocks raised and held under these conditions
can be considered truly SPF. There is not yet an internationally agreed protocol for the
development of SPF shrimp, and certainly some variation exists in the quality of different
SPF stocks. Once the animals are removed from the SPF production facilities, they should
no longer be referred to as SPF even though they may remain pathogen-free. Once outside
the SPF facility, the shrimp may be designated as High Health (since they are now subject
to a greater risk of infection), but only if they are placed into a well-established facility with
a history of disease surveillance and biosecurity protocols. If the shrimp are put elsewhere,
for example into a non-biosecure maturation unit, hatchery or farm, they can no longer be
called SPF or High Health as they are now exposed to a high risk of infection (FAO, 2005b).
One potential drawback of SPF animals is that they are only SPF for the specific diseases
for which they have been checked. Typically this will consist of the viral pathogens which
are known to cause major losses to the shrimp culture industry, including WSSV, YHV, TSV,
IHHNV, Baculovirus penaei virus and Hepatopancreatic parvovirus as well as microsporidians,
haplosporidians, gregarines, nematodes and cestodes. Despite this screening, new, hidden
or cryptic viruses may be present, but because they are as yet unrecognized they may
escape detection. Thus, it is believed that SPF shrimp shipped from Hawaii resulted in the
contamination of shrimp in Brazil and Colombia with TSV. This was because, at the time,
TSV was not known to have a viral cause and therefore went unchecked in SPF protocols.
In any case, the use of SPF stocks is only one part of a complete plan for minimizing
disease risks in shrimp culture. The development of SPF strains is really designed to ensure
that postlarvae stocked into grow-out ponds are free of disease, which is one, if not the most
serious, source of contamination. Other areas of this strategy that must be implemented
include ensuring that broodstock, eggs, nauplius, larvae and juveniles derived from SPF
stock remain SPF.
Creating an enabling public sector environment is essential to improve governance
at all levels of aquaculture development. There have been many regulatory rebounds in
the aquaculture sector, in particular in shrimp farming in some countries. Uncontrolled
and unregulated development of the sector has outstripped the carrying capacity in some
locations, causing significant production losses mainly due to disease and resulting in the
complete abandonment of farms. Significant improvements have been made in mitigating
such catastrophic problems, and the negative environmental and social impacts of shrimp
farming throughout the world have been significantly reduced. The use of wild-caught
postlarvae in shrimp culture, which has a significant impact on aquatic biodiversity, has
almost stopped or is little practised. The recent development of SPF broodstocks of some
species of shrimp has reduced reliance on wild-caught postlarvae to a minimum.
SPF shrimp if produced and maintained under good biosecurity have proved successful.
The success of SPF stocks may be more pronounced in large-scale industrial shrimp culture
facilities where maintaining stringent biosecurity is possible. The use of this successful
biotechnological approach in the rather disorganized small-scale shrimp aquaculture
production sector poses another challenge (FAO, 2004b).

4.5 Key Issues where Biotechnologies Could be Useful
Environmental sustainability
Aquaculture is the fastest growing food producing sector in the world. It is poised to
expand, diversify and intensify over the coming decades to bridge the increasing global
gap between the supply and demand of aquatic food. Responsible production through
sustainable practices is the key to achieving this massive task. In the effort to maximize the
contribution from aquaculture it is inevitable that many constraints and hurdles need to be
overcome. The biggest hurdle is to maintain environmental sustainability,
Conventional methods of controlling diseases such as chemotherapeutants are ineffective
for many new pathogens (notably viruses). Molecular techniques have therefore received
increasing attention for pathogen screening and identification. In addition, these biotechnologies
are providing significant insights into pathogenesis (disease development) and show strong
potential for disease control and prevention programmes (e.g. DNA vaccines), as well as
for treatments of diseases. The increased sensitivity and specificity conferred by DNA- or
RNA-based probes has provided significant inroads for the early detection of diseases and
identification of subclinical carriers of infections. This has had a direct effect on enhancing
preventative management and control of disease in cultured species. Concomitant with this
has been a decrease in the need for reactive treatments using traditional methodologies such
as antibiotics or culling and disinfection. This has been particularly successful for shrimp
broodstock selection and has broken the infection cycle perpetuated for years by accidental
broodstock transmission of viral pathogens to developing offspring.
Biotechnologies can provide much assistance to improve aquatic animal health management
in aquaculture in developing countries, in particular through the development of sensitive
and accurate molecular diagnostic methods and tools as well as vaccines for tropical diseases.
Bioremediation and probiotics also provide some further opportunities.
Climate change
In the future, one of the greatest constraints could be the impact of climate change on
aquaculture. Climate change threatens fisheries and aquaculture through higher temperatures
and changes in weather patterns, water quality and supply. Important differences in the
magnitude and types of impacts on aquaculture are predicted for different regions. The ability
to adapt will confer a major advantage and should be developed by countries and regions.
There is a need for the aquaculture sector to join other economic sectors in preparing to
address the potential impact of global warming. One of the practical responses to climate
change for aquaculture could be to strengthen the adaptive capacity and resilience of the
sector, particularly those of small farmers and aquatic resources users. Increased resilience
is a desirable feature of any sector. It can mitigate the future impact of unforeseen events
(e.g. economic change, disease epidemics, tsunamis, etc.), including those related to climate.
There is some knowledge and experience from aquaculture itself, and from the broader
area of agriculture and natural resource management, which could be used. Aquaculture,
and particularly mariculture, could in fact provide adaptation opportunities to produce
good quality protein when freshwater may become scarce. On the other hand, freshwater
aquaculture can produce protein with higher water saving than other animal production
sectors. Certain biotechnologies, particularly those dealing with genetic improvement, health
and environmental mitigation should be of significant value for the discovery of adaptive
technologies and interventions to counter the ever-present menace of climate change.
To bridge the future gap between demand and supply of aquatic food, production needs to
be almost double in less than three decades. In the quest to meet this unprecedented demand,
the aquaculture sector will face serious constraints. Four major constraints are inevitable:
1) disease prevention and health management, 2) genetic improvement and domestication,
3) environmental management and 4) food safety. These constraints are not new. They
have been constantly addressed during the development of aquaculture over the past two
decades, including through the use of biotechnologies.
Over the years, aquaculture biotechnologies and other technological innovations
have had a positive impact on aquaculture diversification, investment potential, and
international technology exchange. The development of biotechnologies in aquaculture
should therefore provide a means of producing healthy and fast-growing animals by
environmentally friendly means. However, this development will largely depend on the desire
and willingness of producers to work hand-in-hand with scientists, and on the international
donor communitys readiness to assist developing counties in the related research, capacity
building and infrastructure development. Improved exchange of information and discussion
between scientists, researchers and producers from different regions about their problems
and achievements will undoubtedly help this important sector to develop with a view to
increasing sustainable global aquatic animal production.
Based on the overview and analysis contained in this Chapter, a number of specific
options can be identified for developing countries to help them make informed decisions
regarding the adoption of biotechnologies in the future, such as when and if they should
deploy one or more biotechnologies and, if they decide to do so, how they can ensure the
successful application of the chosen biotechnologies to enhance food security in the future.

}} Few biotechnological advancements and tools are currently in use in small-scale
aquaculture operations aiming at rural development, poverty alleviation and food
security. However, there is a need to identify these, their application and socio-
economic impact in developing countries. Developing countries should therefore
collect information on the aquatic animal biotechnologies that may be used and
analyse their national-level adoption and socio-economic impacts. Such information
should be used to advise policy-makers on the cost/benefit implications of such
applications. Increased efforts should be made to develop aquatic biosecurity policies
within national research and development (R&D) programmes or national aquatic
production programmes.
}} The use of biotechnologies in aquaculture worldwide has increased incrementally
over the past two decades. Several aquaculture biotechnologies have been used for
improving aquatic food production in both developed and developing countries
and have significant potential for future improvement. Since most aquaculture
biotechnologies are still too technical and costly for small-scale farmers, efforts
should be made to develop low-cost simple technologies that are easy to introduce
to less advanced aquaculture farmers. Developing countries should give priority to
developing aquaculture biotechnologies which are appropriate and conducive for
both industrial and small-scale farmers.
}} Major biotechnological achievements and advances in fisheries and aquaculture have
been mainly restricted to aquaculture and to the fields of genetics, health and the
environment. Genetic improvements using genetic manipulation (diploidy, triploidy)
and hormonal therapy etc. have shown promise for producing fish and shellfish with
improved and desirable production qualities. Disease prevention and health management
in aquaculture have benefited significantly from advances in biotechnologies. Many
reliable and accurate rapid diagnostic techniques have been developed which can be
used by small-scale farmers. There are several efficient vaccines now available for certain
aquaculture species which have significantly reduced the use of antibacterials in their
culture. However, more research is required to develop vaccines for tropical species,
particularly the major species of global production. Some environmental remediation
tools and technologies have been developed using several biotechnologies. They are
being applied in some production systems but their broad adoption across different
production systems and practices is yet to be established.
The potential contribution of biotechnologies for genetic improvement to improve
production of culture aquatic species should be recognized. National research and
development plans should include appropriate research in these areas. In aquatic animal
health research, the development of molecular diagnostics, vaccines and probiotics should
be prioritized and national research institutions should also carry out research using
appropriate biotechnologies that can help the development of sustainable aquaculture
in this area. National governments embarking on aquaculture development should
also recognize that there is ample evidence for positive aquatic environmental impacts
using various biotechnological interventions, and therefore the use of biotechnology
for improving the aquatic environment should be considered.
}} Until recently, perhaps because the application of biotechnologies in fisheries and
aquaculture has been mainly restricted to the commercial and industrial aquaculture
of temperate species, there has been little evidence in many developing countries of
national-level efforts to prioritize the development and application of biotechnologies
in aquaculture. Even when efforts were made to develop such technologies in the
public sector of developing countries, they were not always directed towards or
made available to improve small-farmer livelihoods. There is a need to create national
policy environments in developing countries, including suitable investment and
funding opportunities, to allow the development and application of appropriate
biotechnologies in support of aquaculture development. National governments
should pay special attention to the small-scale aquaculture sector. Preferential
treatment of the sector towards capacity building in appropriate biotechnologies
should also be considered.
}} The funding required in developing countries for aquatic biotechnological research
and applications should be found through national budgets or through extra budgetary
resources. An integral part of funding should be directed towards investment in
capacity building in the relevant fields of the aquaculture sector. A suitable investment
environment and funding opportunities should be created to allow the development
and application of appropriate biotechnologies in support of aquaculture development.
The appropriate involvement of the relevant stakeholders in decision-making processes
should be assured.
}} The establishment of efficient institutional structures and enforceable legal frameworks
are important for the responsible use of biotechnologies in aquaculture at the
national level. Such institutional arrangements should also strengthen research
and extension needs and enhance relevant human and infrastructural capacities.
National legal frameworks in aquaculture biotechnologies should be developed
within an integrated national biotechnology framework, which also complies with
the legal or voluntary requirements of international treaties and agreements that
the country has ratified.
}} National biotechnology programmes in developing countries should include a special
committee to oversee the aquatic biotechnology programme and research. Such committees
should be formed in all countries and regional cooperation should be sought.

}} Information gathering and dissemination on aquatic biotechnologies should be
encouraged within and between countries in a given region, and developing countries
should consider setting up dedicated websites for this purpose.
}} Aquaculture products are facing increasing competition in accessing international
markets. One of the key criteria is food safety and compliance with international food
safety standards. Many such standards can be met through better farming that uses both
simple and advanced biotechnological interventions. The aquaculture industry should
therefore consider the importance of such biotechnological interventions in improving
and maintaining food safety of cultured aquatic products. National governments in
developing countries should consider R&D interventions on food safety within the
broader framework of biotechnology.
The international community, including FAO and other UN organizations, NGOs, donors
and development agencies, can play a key role in supporting developing countries by
providing a framework for international cooperation and funding support for the generation,
adaptation and adoption of appropriate biotechnologies. Here, a set of Priorities for Action
is identified that can assist the international community in playing this role.
}} Relevant international institutions, donors and development partners should recognize
that biotechnological interventions can contribute to sustainable aquaculture development
worldwide.
}} Relevant international agencies should assist developing countries to collect, collate and
analyse information about the biotechnologies in use in fisheries and aquaculture, and
their contributions to national food security, poverty alleviation and social development.
}} Relevant international agencies should make efforts to maintain databases and information
systems to assist countries access information for national biotechnology development
programmes relating to fisheries and aquaculture.
}} Donors and international funding agencies supporting sustainable aquaculture
development for food security and poverty alleviation should dedicate an appropriate
share of their assistance projects to promoting and strengthening aquatic biotechnology
R&D in developing countries. International research efforts should focus on developing
interventions that are accessible to small-scale farmers.
}} When supporting the application of biotechnologies in fisheries and aquaculture, the
international community should consider that technical assistance in biotechnology R&D
should not be done at the expense of funding for other key research fields and that it
should support effective and intimate links to strong breeding and extension programmes.
}} The international community assisting developing countries towards aquaculture
sustainability should consider biotechnological advancement as an important area to
be supported, and should assist developing countries in strengthening capacities for
biotechnology policy development and long-term planning.
}} The international community should assist developing countries to develop the capacities
of their national agricultural research systems, which include aquaculture, to involve
relevant stakeholders in decision-making processes.
}} The international community should assist developing countries in establishing adequate
institutional capacities for the development and enforcement of regulations related to
use of biotechnologies in fisheries and aquaculture.

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chapter 5
Biotechnologies in Food Processing and
in Food Safety in Developing Countries
Summary
Food processing converts relatively bulky, perishable and typically inedible raw materials
into more useful, shelf-stable and palatable foods or potable beverages. It also contributes
to food security by minimizing waste and loss in the food chain and by increasing food
availability and marketability. Food is also processed to improve its quality and safety.
Biotechnology makes use of microbial inoculants to enhance properties such as the taste,
aroma, shelf-life, texture and nutritional value of foods through fermentation which is also
widely applied to produce microbial cultures, enzymes, flavours, fragrances, food additives
and a range of other high value-added products. Fermentation processing in most developing
countries is more art than science and, in low income economies, it often makes use of
a rudimentary technological base with poor process control resulting in low yields and
products of variable quality. Spontaneous fermentations and those which use appropriate
starter cultures produced largely through backslopping (a process which uses samples of a
previous batch of a fermented product as inoculants) are widely applied at the household
and village levels in developing countries. With increasing research and development (R&D),
a number of pre-cultured single or mixed strains of micro-organisms, called defined
starter cultures, have been developed and are being used by small manufacturers in their
fermentation processing operations. Defined starter cultures are also imported by a number
of developing countries for use in processing operations.
Traditional methods of genetic improvement such as classical mutagenesis and conjugation
can be applied to improve the quality of microbial cultures. Hybridization is also used for
the improvement of yeast strains. Molecular biology techniques are widely employed in
R&D for strain improvement. While these techniques are common in developed countries,

they are only now beginning to be applied in developing countries for the improvement
and development of starter cultures. For example, random amplified polymorphic DNA
(RAPD) techniques have been applied in Thailand in the molecular typing of bacterial
strains for the production of fermented pork sausage (nham), leading to the development
of three different defined starter cultures, which are currently used for the commercial
production of products with different flavour characteristics. Genetically modified (GM)
microbial cultures are used in the production of enzymes and various food processing
ingredients. Rennet, which is widely used throughout the world as a starter in cheese
production, is produced using GM bacteria. Thailand currently uses GM Escherichia coli
as an inoculant in lysine production. Many industrially important enzymes such as alpha-
amylase, gluco-amylase, lipase and pectinase, as well as bio-based fine chemicals such as
lactic acid, amino acids, antibiotics, nucleic acid and polysaccharides, are produced in
China using GM starter cultures.
Food safety is defined as the assurance that food will not cause harm to the consumer
when it is prepared and/or eaten according to its intended use, and food safety along the
food chain includes the good agricultural practices that establish basic principles for farming
(including aquaculture), soil and water management, crop and animal production, post-
harvest handling and treatment, good manufacturing practices for storage, processing and
distribution to the consumer. Biotechnology is widely employed as a tool in diagnostics
to monitor food safety, prevent and diagnose food-borne illnesses and verify the origins
of foods. The techniques applied in the assurance of food safety focus on the detection
and monitoring of hazards. Biotechnological developments have led to the widespread
availability of methods of identification that are more rapid and less costly than those
based on conventional techniques. Polymerase chain reaction (PCR) and enzyme-linked
immunoabsorbent assay (ELISA) methods are now applied in the detection of major food-
borne pathogens.
Genome sequence information coupled with the support of advanced molecular
techniques have enabled scientists to establish strategies to protect consumers from
pathogens and provided industry with tools for developing strategies to design healthy
and safe food by optimizing the effect of probiotic bacteria, the design of starter culture
bacteria and functional properties for use in food processing. These advances have, in turn,
led to more precise diagnostic tools and the ability to quickly develop efficient, specific
and sensitive detection kits for new microbial strains. Kits are now also available for the
detection of mycotoxins which are major hazards associated with pulses and grains, the raw
material inputs for a number of traditional fermented foods in many developing regions.
The identification of food ingredients and the origins of foods through traceability studies
have also been enhanced by molecular methods.
chapte r 5 Current Status and Options for Biotechnologies in Food Processing and in Food Safety in Developing Countries 241
5.1 Introduction
Food processing makes use of various unit operations and technologies to convert relatively
bulky, perishable and typically inedible raw materials into more useful shelf-stable and
palatable foods or potable beverages. Processing contributes to food security by minimizing
waste and losses in the food chain and by increasing food availability and marketability.
Food is also processed in order to improve its quality and safety. Food safety is a scientific
discipline that provides assurance that food will not cause harm to the consumer when it
is prepared and/or eaten according to its intended use1.
Biotechnology as applied to food processing in most developing countries makes use of
microbial inoculants to enhance properties such as the taste, aroma, shelf-life, texture and
nutritional value of foods. The process whereby micro-organisms and their enzymes bring
about these desirable changes in food materials is known as fermentation. Fermentation
processing is also widely applied in the production of microbial cultures, enzymes, flavours,
fragrances, food additives and a range of other high value-added products. These high value
products are increasingly produced in more technologically advanced developing countries
for use in their food and non-food processing applications. Many of these high value products
are also imported by developing countries for use in their food processing applications.
This Chapter describes the prospects and potential of applying biotechnology in food
processing operations and to address safety issues in food systems with the objective of
addressing food security and responding to changing consumer trends in developing countries.
It is important to note that food safety evaluation or risk assessment is not covered here,
the Chapter instead focusing on the context of biotechnologies as applied to food safety.
Technologies applied in the processing of food must assure the quality and safety of
the final product. Safe food is food in which physical, chemical or microbiological hazards
are present at a level that does not present a public health risk. Safe food can therefore be
consumed with the assurance that there are no serious health implications for the consumer.
Recent food scares such as mad cow disease and the melamine contamination of food
products have increased consumer concern for food safety. As incomes rise, consumers are
increasingly willing to pay a premium for quality, safety and convenience.
A range of technologies are applied at different levels and scales of operation in food
processing across the developing world. Conventional or low-input food processing
technologies include drying, fermentation, salting, and various forms of cooking including
roasting, frying, smoking, steaming and oven baking. Low income economies are likely
to employ these as predominant technologies for the processing of staple foods. Many of
1 Recommended International Code of Practice - General Principles of Food Hygiene (Codex Alimentarius Commission, 2009)

these technologies use a simple, often rudimentary, technological base. Medium levels of
processing technologies such as canning, oven drying, spray drying, freeze drying, freezing,
pasteurization, vacuum packing, osmotic dehydration and sugar crystallization are widely
applied in middle and upper middle income economies. Higher-level, more capital-intensive
food processing technologies such as high-temperature short-time pasteurization and high-
pressure low-temperature food processing are widely employed in middle and upper middle
income economies. Functional additives and ingredients produced using fermentation
processes are generally incorporated into food processing operations that make use of
higher-level technologies.
Traditional methods of food safety monitoring such as the detection of pathogenic bacteria
are generally based on the use of culture media. These are the techniques of choice in low
and lower middle income economies which lack the resources, infrastructure and technical
capacity to utilize modern biotechnologies. Conventional bacterial detection methods are
time consuming multi-step procedures. At least two to three days are required for the initial
isolation of an organism, followed by several days for additional confirmatory testing.
Biotechnology based methods can provide accurate results within a relatively short time
frame. Biotechnological developments have resulted in the widespread availability of low-
cost rapid methods of identification compared with the significant cost/time requirements
of conventional techniques. Lower middle income economies apply both traditional and
more sophisticated methods for monitoring the microbiological quality of foods and their
conformity with international standards.
A number of case studies are described in the text to demonstrate the utility of
biotechnology-based applications in food processing and food safety. These case studies
provide the basis for the development of strategic interventions designed to upgrade food
processing and food safety in developing countries through the application of biotechnology.
This paper is divided into two main Sections Stocktaking: Learning from the Past
and Looking Forward: Preparing for the Future. In the first Section, Part 5.2 provides
a brief definition of biotechnologies; Part 5.3 gives an overview of the current status of
the application of biotechnologies in developing countries; Part 5.4 provides an analysis
of the successes/failures of the application of biotechnologies in developing countries
and underlying causative factors; and some case studies of applications in developing
countries are described in Part 5.5. In the second Section, Part 5.6 deals with a key issue in
the sector where application of biotechnologies might be useful; Part 5.7 proposes options
for developing countries to make informed decisions about the application of appropriate
biotechnologies; and Part 5.8 presents priorities for action for the international community.
5.2 Biotechnology: Definition and Scope
For the purpose of this Chapter, biotechnology is defined in accordance with the Convention
on Biological Diversity (CBD), i.e. any technological application that uses biological
systems, living organisms, or derivatives thereof, to make or modify products or processes
for specific use.
Biotechnology in the food processing sector uses micro-organisms for the preservation
of food and for the production of a range of value-added products such as enzymes,
flavour compounds, vitamins, microbial cultures and food ingredients. Biotechnology
applications in the food processing sector, therefore, target the selection and manipulation
of micro-organisms with the objective of improving process control, product quality, safety,
consistency and yield, while increasing process efficiency.
Biotechnological processes applicable to the improvement of microbial cultures for use in
food processing applications include traditional methods of genetic improvement (traditional
biotechnology) such as classical mutagenesis and conjugation. These methods generally focus
on improving the quality of micro-organisms and the yields of metabolites. Hybridization is also
used for the improvement of yeasts involved in baking, brewing and in beverage production.
Saccharomyces cerevisiae strains have, for example, been researched for improved fermentation,
processing and biopreservation abilities, and for capacities to increase the wholesomeness and
sensory quality of wine (Pretorius and Bauer, 2002). Methods employed in genetic R&D of
wine yeasts are described in detail in Pretorius (2000) and some are summarized in Table 1.
TABLE 1
Some methods employed in genetic R&D of wine yeasts
Method Comments
Hybridization Cannot generally be used directly, but the method is not entirely obsolete. Has been used to study the genetic control
of flocculation, sugar uptake and flavour production. Cross-breeding and hybridization of spore-derived clones of
S.cerevisiae have also been accomplished.
Mutation and For example, to induce autotrophic and de-repressed mutants for efficient sugar fermentation and ethanol tolerance.
selection
Rare mating Mixing of non-mating strains at high cell density (ca. 10 8 cells/ml) results in a few true hybrids with fused nuclei.
Cytoduction (introduction of cytoplasmic elements without nuclear fusion) can also be used to impart killer activity
(using karyogamy [nuclear fusion] deficient mutants).
Spheroplast fusion Spheroplasts from yeast strains of one species, the same genus, or different genera can be fused to produce
intraspecific, interspecific or intergeneric fusants, respectively. The possibility exists to introduce novel characteristics
into wine yeast strains which are incapable of mating.
Single-chromosome Transfer of whole chromosomes from wine yeast strains (using the karyogamy mutation) into genetically defined strains
transfer of S. cerevisiae.
Transformation Introduction of genes from other yeasts and other organisms.

Recombinant gene technology is widely employed in R&D for strain improvement.
The availability of genetic manipulation tools and the opportunities that exist to improve
the microbial cultures associated with food fermentations are tempered by concerns over
regulatory issues and consumer perceptions. GM microbial cultures are, however, used in
the production of enzymes and various food processing ingredients such as monosodium
glutamate, polyunsaturated fatty acids and amino acids.
Biotechnology is also widely employed as a tool in diagnostics to monitor food safety,
prevent and diagnose food-borne illnesses and verify the origins of foods. Techniques
applied in the assurance of food safety focus on the detection and monitoring of hazards
whether biological, chemical or physical. These applications are explored and discussed later.
5.3 Current Status of the Application of Biotechnologies in

5.3.1 Methods of microbial inoculation in food fermentations

The fermentation bioprocess is the major biotechnological application in food processing.
It is often one step in a sequence of food processing operations which may include cleaning,
size reduction, soaking and cooking. Fermentation bioprocessing uses microbial inoculants to
enhance properties such as the taste, aroma, shelf-life, safety, texture and nutritional value of
foods. Microbes associated with the raw food material and the processing environment serve
as inoculants in spontaneous fermentations, while inoculants containing high concentrations
of live micro-organisms, referred to as starter cultures, are used to initiate and accelerate the
rate of fermentation processes in non-spontaneous or controlled fermentation processes.
Microbial starter cultures vary widely in quality and purity.
Starter culture development and improvement is the subject of much research both
in developed and developing countries. While considerable work on GM starter culture
development is ongoing at the laboratory level in developed countries, relatively few
GM micro-organisms have been permitted in the food and beverage industry globally. In
1990, the United Kingdom became the first country to permit the use of a live genetically
modified organism (GMO) in food. It was a bakers yeast, engineered to improve the rate
at which bread dough rises by increasing the efficiency with which maltose is broken
down. This modification was done using genes from yeast and placing them under a strong
constitutive promoter. The United Kingdom has also approved a GM brewers yeast
for beer production. By introducing a gene encoding gluco-amylase from yeast, better
utilization of carbohydrate present in conventional feedstock can be obtained, resulting
in increased yields of alcohol and the ability to produce a full strength, low-carbohydrate
beer. More recently, two GM yeast strains were authorized for use in the North American
wine industry (Bauer et al., 2007).
Current literature documents the many research reports on the characterization
of microbes associated with production of traditional fermented foods in developing
countries. Relatively few of these studies document the application of diagnostic tools
of modern biotechnology in developing and designing starter cultures. The development
and improvement of microbial starters have been driving forces for the transformation of
traditional food fermentations in developing countries from an art to a science. Microbial
starter culture development has also been a driving force for innovation in the design of
equipment suited to the hygienic processing of traditional fermented foods under controlled
conditions in many developing countries.
Starter culture improvement, together with the improvement and development of
bioreactor technology for the control of fermentation processes in developed countries, has
played a pivotal role in the production of high-value products such as enzymes, microbial
cultures and functional food ingredients. These products are increasingly produced in more
advanced developing economies and are increasingly imported by less advanced developing
countries as inputs for their food processing operations.
Spontaneous inoculation of fermentation processes

In many developing countries, fermented foods are produced primarily at the household
and village levels using spontaneous methods of inoculation. Spontaneous fermentations
are largely uncontrolled. A natural selection process, however, evolves in many of them
which eventually results in the predominance of a particular type or group of micro-
organisms in the fermentation medium. A majority of African food fermentation
processes use spontaneous inoculation (Table 2). Major limitations of spontaneous
fermentation processes include their inefficiency, low yields of product and variable
product quality. While spontaneous fermentations generally enhance the safety of foods
owing to a reduction of pH and through detoxification, in some cases there are safety
concerns relating to the bacterial pathogens associated with the raw material or to
unhygienic practices during processing.
Appropriate starter cultures as inoculants of fermentation processes

Appropriate starter cultures are widely applied as inoculants across the fermented food
sector, from the household to industrial levels in low income and lower middle income
economies. These starter cultures are generally produced using a backslopping process
which uses samples of a previous batch of fermented product as inoculants (Holzapfel,
2002). Appropriate starter cultures are widely applied in the production of fermented fish
sauces and fermented vegetables in Asia (Table 3) and in cereal or grain fermentations in
African and Latin American countries (Tables 2 and 4).

The inoculation belt (Holzapfel, 2002) used in traditional fermentations in West Africa
serves as a carrier of undefined fermenting micro-organisms, and is one example of an
appropriate starter culture. It generally consists of a woven fibre, mat, piece of wood or
woven sponge saturated with high quality product of a previously fermented batch. It is
immersed into a new batch to serve as an inoculant. The inoculation belt is used in the
production of the African indigenous fermented porridges uji and mawe, as well as in the
production of the Ghanaian beer, pito (Table 2).
TABLE 2
African fermented foods and information about their fermentation processes
Raw Local Region/country Type of Micro-organisms Methods of State of

material product fermentation associated with the inoculation development*
name fermentation process
A. Fermented starchy staples
Cassava Gari West and Central Africa Solid state Corynebacterium mannihot, Natural/chance 1, 2, 5, 7, 8
Geotrichum species,
Lactobacillus plantarium,
Lactobacillus buchnerri,
Leuconsostoc species,
Streptococcus species.
Fufu West Africa Submerged Bacillus species, Natural/chance 1, 2, 5, 6
Lactobacillus species such
as Lactobacillus plantarum;
Leuconostoc mesenteroides;
Lactobacillus cellobiosus;
Lactobacillus brevis;
Lactobacillus coprophilus;
Lactobacillus lactis;
Leuconostoc lactis and
Lactobacillus bulgaricus,
Klebsiella species,
Leuconostoc species,
Corynebacterium species
and a yeast of the Candida
species.
Lafun, West Africa Submerged Bacillus species, Klebsiella Spontaneous 1, 2, 5, 6
Konkonte species, Candida species,
Aspergillus species;
Leuconostoc mesenteroides,
Corynebacterium manihot,
Lactobacillus plantarum,
Micrococcus luteus and
Geotrichum candidum
Chikwangue Central Africa / Zaire Solid state Corynebacterium, Bacillus, Spontaneous 1, 2, 7
Lactobacillus, Micrococcus,
Pseudomonas, Acinetobacter
and Moraxella
Cingwada East and Central Africa Solid state Corynebacterium, Bacillus, Spontaneous 1, 2
Lactobacillus, Micrococcus,
B. Gruels and beverages
Maize Ogi West Africa, Nigeria Submerged Lactobacillus plantarum, Appropriate 1, 2, 3, 4, 5, 7
Corynebacterium specie, starters produced
Aerobacter, by backslopping
yeasts Candida mycoderma,
Saccharomyces cerevisiae
and Rhodotorula and
moulds Cephalosporium,
Fusarium, Aspergillus and
Penicillium
Sorghum Abreh Sudan Solid Lactobacillus plantarum Appropriate 1, 2

state and starters produced
Submerged by backslopping
Millet Uji East Africa, Kenya Submerged Leuconostoc mesenteroides, Appropriate 1, 2

Lactobacillus plantarum starters produced
by backslopping/
inoculation belt
Maize Kenkey, West Africa, Ghana Solid state Enterobacter cloacae, Spontaneous 1, 2
Koko, Akasa Acinetobacter sp.,
L. brevis,
Saccharomyces cerevisiae,
Candida mycoderma
C. Alcoholic beverages
Palm Palm wine, West Africa Submerged Saccharomyces cerevisiae, Spontaneous 1, 2, 7
Emu Schizosaccharomyces pombe,
L. mesenteroides
Various Busa East Africa, Kenya Submerged Saccharomyces cerevisiae, Spontaneous 1, 2, 7

types of Schizosaccharomyces pombe,
African Lactobacillus plantarum,
cereal L. mesenteroides.
grains
(maize, Mbege Tanzania Submerged Saccharomyces cerevisiae, Spontaneous 1, 2
sorghum, Schizosaccharomyces pombe,
millet) Lactobacillus plantarum,
L. mesenteroides.
Burukutu West Africa Submerged Saccharomyces cerevisiae, Spontaneous 1, 2

S.chavelieri, Candida sp. and,
Leuconostoc meseteroides.
Acetobacter sp.
Pito West Africa Submerged Geotrichum candidum, Natural/chance 1, 2

Lactobacillus sp. and Inoculation belt
Candida sp.

D. Acid leavened bread/pancakes
Various Kisra Sudan Submerged Appropriate
types of starters produced
African by backslopping
cereal
grains Enjera, Tef, Ethiopia Submerged Appropriate
Injera starters produced
by backslopping
E. Legumes and condiments
Locus Iru, West Africa Bacillus subtilis, Spontaneous 1, 2, 3, 6, 7
bean, Dawadawa, B. pumilus, B. licheniformis
soybean Etchum, Kal and Staphylococcus
Soumbara, saprophyticus
Chu
African oil Ugba Bacillus subtilis, Spontaneous

bean B. pumilus,
B. licheniformis
and Staphylococcus
saprophyticus
Melon Ogiri, Ogili West, East and Central Bacillus subtilis, Spontaneous 1, 2
seeds, Africa B. pumilus,
castor oil B. licheniformis,
seeds, Staphylococcus
pumpkin saprophyticus,
bean, Lactobacillus plantarum
sesame
Cotton seed Owoh West Africa Bacillus subtilis, Spontaneous 1

B. pumilus,
B. licheniformis,
Staphylococcus
saprophyticus
F. Animal products
Goat milk Ayib East and Central Africa Canida spp., Saccharomyces Spontaneous 1, 2
spp., Lactobacillus spp.,
Leuconostoc spp.,
Cow milk Leben, Lben North, East Central Candida spp., Saccharomyces Spontaneous 1, 2, 3
Africa spp., Lactobacillus spp.,
Leuconostoc spp.,
Source: compiled from Odunfa and Oyewole (1997)
* Personal assessment of data, literature, Internet search and other information by O.B. Oyewole as at March 2009. Key to the codes is 1 = micro-organisms involved
known; 2 = roles of individual micro-organisms known; 3 = genetic improvement carried on organisms; 4 = starter cultures available for the fermentation; 5 = varieties
of raw materials that are best suited for the product known; 6 = improved technology available and adopted; 7: pilot plant production; 8 = industrial plant production.
TABLE 3
Examples of technologies used in indigenous fermented food production systems in Asia
Substrate Indigenous Country Type of technology Inoculum Bioreactor Nature of Food safety
material fermented production of starter techniques
food starter used in
quality control
Defined starter Natural Solid Liquid Dry Liquid and quality
culture fermentation powder assurance
Soybean Soy Sauce China Koji Aspergillus ELISA for
oryzae detection of
toxigenic fungi
and mycotoxins
Japan Koji and Moromi Aspergillus sp., ELISA

Saccharomyces and/or GC-MS
rouxii to detect
and/or monitor
carcinogens
3-MCPD
Thailand Koji Aspergillus
flavus var
columnaris
Pork Nham Thailand, Defined Strains Lactic acid Selective
Vietnam, bacteria cultural medium
Lao and Staphylococcus for pathogen
Cambodia xylosus detection
(Salmonella,
Staphylococcus)
TABLE 4
Examples of fermented foods produced in Latin America
Substrate Local product name Country Micro-organisms associated Uses

Maize Abati Paraguay, Alcoholic beverage
Argentina
Maize Acupe Venezuela Beverage
Maize Agua-agria Mexico Beverage
Rice Arroz requemado Ecuador Bacillus spp., Aspergillus spp., Actinomycete spp.* Porridge
Maize Atole Mexico Lactic acid bacteria Porridge
Black maize Atole agrio Mexico Porridge
Maize, manihot or Cachiri Brazil Beverage
fruits

Substrate Local product name Country Micro-organisms associated Uses
Maize or rice Champuz Colombia, Beverage
Peru
Maize, yuca, Chicha Argentina, Saccharomyces spp., Lactobacillus spp., Alcoholic beverage
cassava, sweet Bolivia, Leuconostoc spp., Acetobacter spp., Aspergillus spp.,
potatoes, quinoa or Brazil, Penicillium spp.
ripe plantains Colombia,
Ecuador,
Peru
Pulque syrup, chili Charagua Mexico Alcoholic beverage
and toasted maize
leaves
Maize Fub Brazil Porridge
Maize Jamin-bang Brazil Bread
Maize Nap Peru Beverage
Maize juice and Ostoche Mexico Alcoholic beverage
pulque or brown
sugar
Cassava** Po de Queijo Brazil Lactobacillus cellobiosus, Streptococcus lactis, Bread
Corynebacterium spp.
Maize Pozol Mexico Lactobacillus spp., Leuconostoc spp., Candida spp., Non-alcoholic acidic
Enterobacteriacea, Bacillus cereus, Paracolobactrum beverage
aerogenoides, Agrobacterium azotophilum,
Alkaligenes pozolis, Escherichia coli var. napolitana,
Pseudomonas mexicana, Klebsiella pneumoniae,
Saccharomyces spp. and moulds
Aguamiel (Agave Pulque Mexico Saccharomyces carbajali, Lactobacillus plantarum, Alcoholic beverage
atrovirens and Leuconostoc spp.
A.americana)
Maize juice, toasted Quebranta huesos Mexico Alcoholic beverage
maize and pir
fruits
Maize and red chili Sendech Mexico Alcoholic beverage
Maize Sora Peru Alcoholic beverage
Maize, pineapple, Tepache Mexico Bacillus subtilis, B. graveolus and the yeasts Alcoholic beverage
apple or orange Torulopsis insconspicna, Saccharomyces cerevisiae
and Candida queretana
Germinated maize Tesgino Mexico Lactobacillus spp., Streptococcus spp., Leuconostoc spp., Alcoholic beverage
ground and cooked Pediococcus spp., Saccharomyces spp.,
with fragments of Candida spp., Cryptococcus spp., Hansenula spp.,
plants Brettanomyces spp., Pichia spp., Geotrichum spp.
and Penicillium spp.
Maize Tocos Peru Dessert
Barley Zambumbia Mexico Alcoholic beverage
Maize beer and Zarzaparrilla bark Mexico Alcoholic beverage
zarzaparrilla bark wine
Source: Information adapted and modified from FAO (1998 and 1999); * from Van Veen and Steinkraus (1970), ** from Ray and Sivakumar (2009)
Iku, also referred to as iru, is another example of an appropriate starter culture produced
by backslopping. This starter culture is produced from concentrated fermented dawadawa
(a fermented legume product) mixed with ground unfermented legumes, vegetables such
as pepper, and cereals, such as ground maize. It is stored in a dried form and is used as an
inoculant in dawadawa fermentations in West Africa (Holzapfel, 2002).
A range of appropriate starter cultures either in a granular form or in the form of a pressed
cake are used across Asian countries as fermentation inoculants. These traditional mould starters
are generally referred to by various names such as marcha or murcha in India, ragi in Indonesia
and Malaysia, bubod in the Philippines, nuruk in Korea, koji in Japan, and Loog-pang in
Thailand. They generally consist of a mixture of moulds grown under non-sterile conditions.
Defined starter cultures as inoculants of fermentation processes

Few defined starter cultures have been developed for use as inoculants in commercial
fermentation processes in developing countries. Nevertheless, the past ten years have witnessed
the development and application of laboratory selected and pre-cultured starter cultures in
food fermentations in a few developing countries, primarily in Asia (Table 3). Defined starter
cultures consist of single or mixed strains of micro-organisms (Holzapfel 2002). They may
incorporate adjunct culture preparations that serve a food safety and preservative function.
Adjunct cultures do not necessarily produce fermentation acids or modify texture or flavour
but are included in the defined culture owing to their ability to inhibit pathogenic or spoilage
organisms. Their inhibitory activity is due to the production of one or several substances
such as hydrogen peroxide, organic acids, diacetyl and bacteriocins (Hutkins, 2006).
Defined starter cultures are mainly produced by pure culture maintenance and
propagation under aseptic conditions. They are generally marketed in a liquid or powdered
form or as a pressed cake. Loog-pang, a defined culture marketed in Thailand in the form
of a pressed rice cake, consists of Saccharomyces cerevisiae, Aspergillus oryzae or Rhizopus
sp. and Mucor. Loog-pang has a shelf-life of 23 days at ambient temperature and 57 days
under refrigerated conditions. Ragi cultures are commercially produced by the Malaysian
Agricultural Research and Development Institute by mixing a culture inoculum which
generally consists of Rhizopus oligosporus with moistened sterile rice flour, and incubating
it at ambient temperature for four days. This starter has a shelf-life of two weeks under
refrigerated conditions (Merican and Quee-Lan, 2004). It is widely used as an inoculant in
the production of traditional Malaysian fermented foods. Ragi-type starter cultures for the
production of a range of fermented Indonesian products such as oncom, tape and tempeh
are currently marketed via the Internet.
Defined starter cultures are also widely imported by developing countries for use
in commercial production of dairy products such as yoghurt, kefir and cheeses and for

alcoholic beverages. Many of these cultures are tailored to produce specific textures and
flavours. In response to growing consumer interest in attaining wellness through diet, many
yoghurt cultures also include probiotic strains. Probiotics are currently produced in India
for use as food additives, dietary supplements and in animal feed. Methodologies used in
the development and tailoring of these starters are largely proprietary to the suppliers of
these starters. Monosodium glutamate and lactic acid, both of which are used as ingredients
in the food industry, are produced in less advanced developing countries using defined
starter cultures.
The use of DNA-based diagnostic techniques for strain differentiation can allow for
the tailoring of starter cultures to yield products with specific flavours and/or textures.
For example, random amplified polymorphic DNA (RAPD) techniques have been applied
in Thailand for the molecular typing of bacterial strains and correlating the findings to
flavour development during the production of the fermented pork sausage, nham (see Case
Study 5.5.2). The results of these analyses led to the development of three different defined
starter cultures which are currently used for the commercial production of products having
different flavour characteristics (Valyasevi and Rolle, 2002).
GM starter cultures
To date, no commercial GM micro-organisms exist that would be consumed as living
organisms. Products of industrial GM producer organisms are, however, widely used in
food processing and no major safety concerns have been raised against them. Rennet which
is widely used as a starter in cheese production across the globe is produced using GM
bacteria. These are discussed in more detail below. Thailand currently uses GM Escherichia
coli as an inoculant in lysine production. Many industrially important enzymes such as
alpha-amylase, gluco-amylase, lipase and pectinase and bio-based fine chemicals such as
lactic acid, amino acids, antibiotics, nucleic acid and polysaccharides, are produced in China
using GM starter cultures. Other developing countries which currently produce enzymes
using GM micro-organisms include Argentina, Brazil, Cuba and India.
5.3.2 Food additives and processing aids

Biotechnologies are currently used for the production of food additives and food processing
aids such as enzymes, flavouring agents, organic acids, amino acids and sweeteners.
Enzymes
Enzymes occur in all living organisms and catalyze biochemical reactions that are necessary
to support life (Olempska-Beer et al., 2006). They are commonly used in food processing
and in the production of food ingredients. The use of recombinant DNA technology
has made it possible to manufacture novel enzymes that are tailored to specific food
processing conditions. Alpha-amylases with increased heat stability have, for example, been
engineered for use in the production of high-fructose corn syrups. These improvements
were accomplished by introducing changes in the alpha-amylase amino acid sequences
through DNA sequence modifications of the alpha-amylase genes (Olempska-Beer et
al.,2006). Bovine chymosin used in cheese manufacture was the first recombinant enzyme
approved for used in food by the US Food and Drug Administration (Flamm, 1991). The
phospholipase A1 gene from Fusarium venenatum is expressed in GM Aspergillus oryzae
to produce the phospholipase A1 enzyme used in the dairy industry for cheese manufacture
to improve process efficiencies and cheese yields.
Considerable progress has been made in recent times toward the improvement of
microbial strains used in the production of enzymes. Microbial host strains developed for
enzyme production have been engineered to increase enzyme yields. Certain fungal producing
strains have also been modified to reduce or eliminate their potential for producing toxic
metabolites (Olempska-Beer et al., 2006). Food processing enzymes in the United States
derived from GM micro-organisms are listed in Table 5.
Table 5
Food processing enzymes derived from GM micro-organisms
Source micro-organism Enzyme

Aspergillus niger Phytase
Chymosin
Lipase
Aspergillus oryzae Esterase-lipase
Aspartic proteinase
Glucose oxidase
Laccase
Lipase
Bacillus licheniformis alpha-amylase
Pullulanase
Bacillus subtilis alpha-acetolactate decarboxylase
alpha-amylase
Maltogenic amylase
Pullulanase
Escherichia coli K-12 Chymosin
Fusarium venenatum Xylanase
Kluyveromyces marxianus var. lactis Chymosin
Pseudomonas fluorescens alpha-amylase
Trichoderma reesei Pectin lyase
Source: Olempska-Beer et al. (2006)

Enzymes used in food processing have historically been considered non-toxic. Some
characteristics arising from their chemical nature and source, such as allergenicity, activity-
related toxicity, residual microbiological activity and chemical toxicity are, however, of
concern. These attributes of concern must be addressed in light of the growing complexity
and sophistication of the methodologies used in the production of food-grade enzymes.
Safety evaluation of all food enzymes including those produced by GM micro-organisms
is essential if consumer safety is to be assured (Spok, 2006). Enzymes produced using GM
micro-organisms wherein the enzyme is not part of the final food product have specifically
been evaluated by the Joint FAO/WHO Expert Committee on Food Additives (JECFA).
Safety evaluations have been conducted using the general specifications and considerations
for enzyme preparations used in food processing (JECFA, 2006). Preparations of asparaginase
enzymes have also been evaluated by JECFA (2008).
Flavours, amino acids and sweeteners

Volatile organic chemicals such as flavours and aromas are the sensory principles of
many consumer products and govern their acceptance and market success (Berger, 2009).
Flavours produced using micro-organisms currently compete with those from traditional
agricultural sources. According to Berger (2009), more than 100 commercial aroma
chemicals are derived using biotechnology either through the screening for overproducers,
the elucidation of metabolic pathways and precursors or through the application of
conventional bioengineering. Recombinant DNA technologies have also enhanced
efficiency in the production of non-nutritive sweeteners such as aspartame and thaumatin.
Market development has been particularly dynamic for the flavour enhancer glutamate
(Leuchtenberger, Huthmacher and Drauz, 2005) which is produced by fermentation
of sugar sources such as molasses, sucrose or glucose using high-performance strains
of Corynebacterium glutamicum and Escherichia coli. Amino acids produced through
biotechnological processes are also of great interest as building blocks for active ingredients
used in a variety of industrial processes.
5.3.3 Current status of the application of traditional and new biotechnologies in food
safety and quality improvement in developing countries
Food safety issues and concerns in food fermentation processing

Microbial activity plays a central role in food fermentation processes, resulting in desirable
properties such as improvements in shelf-life and quality attributes such as texture
and flavour. Pathogenic organisms are, however, of prime concern in fermented foods.
Anti-nutritional factors such as phytates, tannins, protein inhibitors, lectins, saponins,
oligosaccharides and cyanogenic glucosides are naturally occurring components of raw
materials commonly used in food fermentations in developing countries. Contamination
of the fermentation process can pose a major health risk in the final fermented product.
Methodologies for identifying and monitoring the presence of chemical (pesticide residues,
heavy metals, trace elements) and biochemical (aflatoxins) hazards in fermented foods are
therefore a critical need. Furthermore, with growing consumer interest in the credence
attributes of the products that they consume, and the premium currently being placed on
quality linked to geographical origin, the traceability of foods with selected properties is
of increasing importance.
Advances in microbial genetics

In recent times, genetic characterization of micro-organisms has advanced at a rapid pace with
exponential growth in the collection of genome sequence information, high-throughput analysis
of expressed products, i.e. transcripts and proteins, and the application of bioinformatics
which allows high-throughput comparative genomic approaches that provide insights for
further functional studies. Genome sequence information coupled with the support of
highly advanced molecular techniques have allowed scientists to establish mechanisms of
various host-defensive pathogen counter-defensive strategies and have provided industry
with tools for developing strategies to design healthy and safe food by optimizing the effect
of probiotic bacteria, the design of starter culture bacteria and functional properties for
use in food processing. Characterization of the genomes of lactic acid probiotics has, for
example, shed light on the interaction of pathogens with lactic acid bacteria (de Vos, 2001).
Nucleotide sequences of the genomes of many important food microbes have recently
become available. Saccharomyces cerevisiae was the first food microbe for which a complete
genome sequence was characterized (Goffeau et al., 1996). This was followed by genome
sequencing of the related yeast, Kluyveromyces lactis (Bolotin-Fukuhara et al., 2000) as well
as filamentous fungi which are major enzyme producers and have significant applications
in the food processing industry.
Genome nucleotide sequences of many Gram-positive bacteria species have also been
completed. The Bacillus subtilis genome was the first to be completed followed by that of
Lactococcus lactis. Genome sequences of food-borne pathogens such as Campylobacter jejuni
(Parkhill et al., 2000), verocytotoxigenic Escherichia coli O157:H7 (Hayashi et al.,2001) and
Staphylococcus aureus (Kuroda et al., 2001) have also been completed. Genome sequences of
microbes that are of importance in food processing such as Lactobacillus plantarum (Zhang
et al., 2009) are likewise available. The genome of Clostridium botulinum, responsible for
food-borne botulism, was also recently sequenced (Sebaihia et al., 2007).

Detection of pathogens
The rapid detection of pathogens and other microbial contaminants in food is critical for
assessing the safety of food products. Traditional methods to detect food-borne bacteria
often rely on time-consuming growth in culture media, followed by isolation, biochemical
identification and, sometimes, serology. Recent technological advances have improved the
efficiency, specificity and sensitivity of detecting micro-organisms. Detection technologies
employ PCR, where short fragments of DNA (probes) or primers are hybridized to a
specific sequence or template which is subsequently amplified enzymatically by the Taq
polymerase enzyme using a thermocycler (Barrett, Fang and Swaminathan, 1997). In theory,
a single copy of DNA can be amplified a million-fold in less than two hours with the use
of PCR techniques; hence, the potential of PCR to eliminate or greatly reduce the need
for cultural enrichment. The genetic characterization of genome sequence information has
further facilitated the identification of virulence nucleotide sequences for use as molecular
markers in pathogen detection. Multiplex real-time PCR methods are now available to
identify the E. coli O157:H7 serogroup (Yoshitomi, Jinneman and Weagant, 2003). PCR-
based identification methods are also available for Vibrio cholerae (Koch, Payne and Cebula,
1995) and for major food-related microbes such as Campylobacter jejuni, C. coli, Yersinia
enterocolitica, Hepatitis A virus, Salmonella and Staphylococcus aureus (FDA, 2003).
Sophisticated culture media such as chromogenic or fluorogenic media are not readily
used in low income economies but are relatively widespread in lower middle income and
upper middle income economies. The use of immunoassays such as ELISA is also very
limited in low income economies but is more widespread in the form of diagnostic kits in
lower middle and upper middle income economies. DNA methods, which require elaborate
infrastructure and high technical competence, find minimal application in lower income
and some lower middle income economies. Biotechnologies applied in food safety assays
in developing countries are summarized in Table 6.
There are movements toward implementing safety control programmes such as the
application of Hazard Analysis and Critical Control Point (HACCP) in food fermentations
in many developing countries. A HACCP plan for the production of the Thai fermented
meat product nham is summarized in Table 7. The application of HACCP necessitates the
deployment of good agricultural practices (GAPs), good manufacturing practices (GMPs),
good hygienic practices (GHPs) and the monitoring of critical control points for potential
microbial and chemical contamination during bioprocessing (FAO, 2006). Rigorous adherence
to sanitary practices in the processing environment necessitates rapid, dynamic, sensitive,
specific as well as versatile and cost-effective assay methods. The molecular approach of
biotechnology entails near-time or real-time bacterial detection and offers levels of sensitivity
and specificity unchallenged by traditional/conventional methods.
TABLE 6
Biotechnologies applied in food safety assays in developing countries
Food production Risk factor Hazard profile Biotechnology Country level

chain Development
Traditional New
I. Pre-processing Improper practice Chemical Chromatography Biosensors for pesticides, Low income
of incoming yyPesticide residues metals, antibiotics and
TLC (thin layer
raw material yyUnapproved micro-organisms
chromatography
from producers chemotherapeutics ELISA for aflatoxins and
(farms) GC (gas chromatography) natural plant toxins
HPLC (high-performance
liquid chromatography)
Presence of Heavy metals
yy Atomic absorption GC-MS Some lower
contaminants Dioxins
yy spectrophotometry middle and
middle income
Chromatography
II. Processing raw Improper handling Chemical TLC, GC, HPLC Mass spectrometry (MS) Low, lower
material (time/temperature) yyUndeclared methods for additives middle and
additives and middle income
supplements economies
yyEconomic
adulteration
Fermentation Microbial Growth in culture media Chromogenic/fluorogenic Middle income
procedures indicator culture media
involving micro- ELISA,
organisms
Antibody based
biosensors
PCR detection of specific
genes
Quality parameters Consistency
yy Biochemical and enzyme Biosensing of
Composition
yy assays fermentation-related
pH measurements enzymes
Monitoring of sugars,
alcohol, organic and
inorganic ions
Surface plasmon
resonance
III. Packaging and Contamination Chemical Chromatography GC-MS Some lower
end product from packaging yyUndeclared middle and
TLC, GC, HPLC, fast protein
analysis material allergens and middle income
liquid chromatography
additives economies
Microbial Growth in culture media Chromogenic/fluorogenic
yyNon-sterile indicator culture media
conditions leading ELISA
to microbial
growth PCR detection of specific
genes
Physical Inspection and sampling Metal detection systems Middle income
yyPieces, fragments economies
of materials

Mycotoxin detection
The problem of mycotoxin contamination in food, including fermented foods, is a global
concern. Mycotoxin contamination is particularly prevalent in tropical areas such as South
Asia and Africa. High-performance liquid chromatography (HPLC) and gas chromatography-
mass spectrometry (GC-MS) are two of the most widely used methods for the detection and
quantification of mycotoxins in developing countries. These methods, however, are time
consuming, difficult to use and require laboratory facilities. Immunoassays that are economical,
sensitive and easy to use would greatly facilitate the detection and quantification of mycotoxins.
A number of ELISA kits are now commercially available for the detection of aflatoxins,
deoxynivalenol, fumonisins, ochratoxins and zearalenone (Schmale and Munkvold, 2009).
Detection and identification of foods and food ingredients

DNA-based identification systems rely on polymorphisms at the nucleotide level for the
differentiation of living organisms at the variety and species levels. Currently, PCR-based
methods are used either for the purpose of detecting single nucleotide polymorphisms (SNPs)
giving rise to restriction fragment length polymorphisms (RFLPs) or for detecting small sequence
length polymorphisms (SSLPs), often known as variable number tandem repeats (VNTRs).
These methods facilitate the identification of unique polymorphisms of a variety of food
commodities and can be used to identify their source or origin. These unique polymorphisms
are often referred to as DNA barcodes (Teletchea, Maudet and Hnni, 2005). The DNA barcode
is used for the identification of specific varieties in food detection and in food traceability and,
for example, for the identification of many products for export in countries such as Argentina,
Brazil, China, Cuba and Thailand. The DNA barcode of microsatellite markers has also been
successfully used for differentiating and identifying fermented products such as premium
wines, cheeses and sausages on the basis of their origins, as well as for differentiating Basmati
rice varieties and olive cultivars used in olive oil production (Sefc et al., 2000).
5.4 Analysis of the Reasons for Successes/Failures of Application of

Biotechnologies in Developing Countries
Socio-economic factors have played a major role in the adoption and application of
microbial inoculants in food fermentations. In situations where the cost of food is a major
issue, uptake and adoption of improved biotechnologies has been generally slow. Demand
for improved inoculants and starter culture development has been triggered by increasing
consumer income, education and new market opportunities.
Socio-economics of the consumer base
The consumer base of traditionally fermented staple foods in most developing countries
is largely poor and disadvantaged. Price, rather than food safety and quality, is therefore a
major preoccupation of this group when purchasing food. Fermented foods provide that
target group with an affordable source of food and make a substantial contribution to their
food and nutritional security. These foods are generally produced under relatively poor
hygienic conditions at the household and village levels. Fermentation processing is practised
largely as an art in such contexts.
Interventions designed to upgrade processes used in the production of these traditionally
fermented staples have been largely carried out through donor-funded projects and have focused
primarily on reducing the drudgery associated with the fermentation processes. Improvements
have also targeted the upgrading of hygienic conditions of fermentation processes and the
introduction of simple and appropriate methodologies for the application of inoculants
such as the use of backslopping. While the uptake of simple backslopping technologies at the
household level has, in general, been very good by that target group, the uptake of defined
starter cultures has been less successful owing to cost considerations. Case Study 5.5.3 on the
household level production of Som Fug in Thailand highlights the poor uptake of improved
starter culture technologies by household-level processors, primarily on the basis of cost.
With growing incomes and improved levels of education in urban centres across a number
of developing countries, dietary habits are changing and a wider variety of foods is being
consumed. Fermented foods are no longer the main staples but are still consumed as side dishes
or condiments by that target group. The demand of that target group for safe food of high
quality has begun to re-orient the traditional fermented food sector and led to improvements
in the control of fermentation processes through the development and adoption of defined
starter cultures, the implementation of GHPs and HACCP in food fermentation processing,
and the development of bioreactor technologies, coupled with appropriate downstream
processing to terminate fermentation processes and thus extend the shelf-life of fermented
foods. The packaging of fermented products has also improved. Case Study 5.5.1 on soy sauce
production in Thailand highlights an example of how starter culture development coupled
with bioreactor technology has improved yields and the efficiency of fermentation processes,
while Case Study 5.5.2 highlights how consumer demand for safe food led to R&D into
starter culture development designed to improve the safety of nham in the marketing chain.
Changing consumer demand trends

Apart from their changing dietary patterns and their demand for safety and quality, higher
income consumers demand convenience and are increasingly concerned about deriving health
benefits from the foods they consume. Many of these consumers also show a preference

for shopping in supermarkets. Consumer demand for deriving wellness through food
consumption has stimulated the development of industrial fermentation processes for the
production of functional ingredients such as polyunsaturated fatty acids and probiotic
cultures for use as food ingredients in developing countries. These functional ingredients
are currently applied in the fortification of fermented foods as well as in the production of
dietary supplements in countries such as India.
The growth of supermarkets in developing countries has promulgated the need for
standardized products of a reasonable shelf-life that meet safety and quality criteria. Packaged
fermented products such as kimchi, miso and tempeh, for example, are widely available in
supermarkets across Asia. The production of traditional beer in a powdered format and in
ready-to-drink containers in Zambia is a good example of product development that has taken
place in response to consumer demand for convenience, both in local and export markets.
Shifting consumer preferences in South Africa away from basic commodity wine to
top quality wine is yet another example of how market demand has led to research and
biotechnological innovation in the wine industry. Biotechnological innovations in that
country are currently focused on the improvement of Saccharomyces cerevisiae strains to
improve wholesomeness and sensory quality of wines.
The enabling environment for starter culture development

A considerable amount of research in developing countries has focused on the identification
of starter micro-organisms associated with the fermentation of staple foods. The greatest
strides in starter culture development have, however, been realized in countries that have
prioritized the development of technical skills, the infrastructural support base and funding
support for research into the upgrading of fermentation processes. Linkages between
research institutions and the manufacturing sector have also been critical to the successful
introduction of starter cultures. Case Study 5.5.1 on soy sauce production exemplifies how
success was achieved through such collaboration. Case Study 5.5.2 on nham production in
Thailand also highlights how collaboration between the manufacturing sector and public
sector research institutions resulted in the development of improved starter cultures and
the uptake of these cultures by nham manufacturers to assure product safety.
Collaborative initiatives among research institutions have also had a major positive
impact on biotechnological developments in developing countries. Collaboration among
African institutions and their counterparts in the North has greatly facilitated improvements
in biotechnological research and capacity development in the area of food biotechnology
on the continent. One success story in this regard has been a series of collaborative projects
on traditional African fermented foods involving research institutions in Africa and Europe
(Mengu, 2009). The programme facilitated the typing and screening of microbial cultures
associated with fermented African foods as a basis for starter culture development, and
results of this work led to improvements in the production of gari, a fermented cassava
product, and dawadawa, a fermented legume product.
Issues related to the protection of intellectual property rights (IPR) are of growing
concern with respect to starter culture development. Case Study 5.5.4, describing flavour
production using alkaline-fermented beans highlights the critical importance of IPR in
reference to processes applied in the production of traditional fermented foods.
Proactive industrial strategies

Biotechnology developments have been most successful in areas where proactive approaches
are taken by industry. The Thai food industry successfully creates perceived quality by
launching new product logos and associating these new products with biotechnology or
with the fact that they were developed using traditional biotechnology such as starter
cultures. The goal of the industry is to project an image of itself as producing products of
superior quality and safety that represent progress based on a higher level of technology.
Export opportunities for fermented products

Increasing travel due to globalization has changed the eating habits of consumers across
the globe. Export markets for fermented foods have grown out of the need to meet the
requirements of the developing country diaspora in these markets as well as to satisfy growing
international demand for niche and ethnic products. Indonesian tempe and Oriental soy
sauce are well known examples of indigenous fermented foods that have been industrialized
and marketed globally. The need to assure the safety and quality of these products in
compliance with the requirements of importing markets has been a driving force for the
upgrading of starter cultures as well as for diagnostic methodologies for verifying their
quality and safety. Growing interest and trade in fermented food products is also likely to
lead to the greater use of the DNA barcode for identifying the origins of specific fermented
food products produced in developing countries.
5.5 Case Studies of Applications of Biotechnologies in

5.5.1 Fermented soy sauce production

This Case Study on the production of soy sauce highlights success in the application of
starter culture technology and the use of improved bioreactor technology. It exemplifies
the transition of a craft-based production system to a technology-based production system.
Research leading to these developments was supported by an international organization,
followed by funding support from the Government of Thailand and the Thai soy sauce

industry. Developments of the process were largely driven by the demand pull created by
a soy sauce industry consortium in Thailand in order to meet market requirements.
Soy sauce production involves a two-step fermentation process that makes use of koji
inoculants in the initial phase followed by moromi inoculants in the second phase. The
initial phase of the fermentation involves the soaking of soybeans in water for 12 hours,
boiling for approximately 17 hours to hydrolyze the protein complex, and the addition of
the koji culture Aspergillus oryzae for proteolysis of the soy proteins. Using this traditional
method of production, the process of proteolysis takes between 40 hours and seven days
depending on the method and the conditions used. The second phase of the fermentation
process, referred to as a moromi fermentation, involves the addition of brine solution to
the koji. Saccharomyces rouxii, a salt-tolerant yeast, is the predominant micro-organism in
this phase of the fermentation which lasts as long as 812 months. Moromi fermentations
are traditionally conducted in earthenware jars, which often pose a limitation to the
manufacturers both in terms of expansion and in terms of production capacity (Valyasevi
and Rolle, 2002). The soy sauce industry has moved up the ladder of development from an
art to a technology-based process through the introduction of defined starter cultures
and improvements in the control of the fermentation process. Physical and biological
parameters of the fermentation process are controlled through the use of koji and moromi
cultures and koji and moromi fermentors.
Use of the koji starter, Aspergillus flavus var. columnaris, was found to enhance
product safety and uniformity. The introduction of pressure cookers as an innovation
for hydrolyzing the soybeans reduced the time required for solubilization from 17 hours
to 2.5 hours. Moreover, the use of starter culture technology facilitated the development
of fermentation chambers with controlled temperature and humidity conditions, which
resulted in shortening the duration of the fermentation process. The resulting soy sauce
had a higher (6 percent) soluble protein content than that derived from boiled soybeans.
These developments resulted in economic gain for the soy sauce industry and greater value
added to the product in terms of quality and safety.
5.5.2 Traditional fermented pork sausage (nham)

This Case Study demonstrates how consumer demand for safe food resulted in the commercial
use of defined starter cultures, with the collaboration and support of government agencies.
The diagnostic role of biotechnology in starter culture development for the tailor making
of cultures is also highlighted.
Nham is an indigenous fermented pork sausage produced in Southeast Asia. It is prepared
from ground pork, pork rinds, garlic, cooked rice, salt, chili, sugar, pepper and sodium
nitrite. It is traditionally consumed as a condiment in the uncooked state in Thailand. It is
generally produced using an uncontrolled fermentation process. Fermentation of the product
occurs during transportation from the manufacturer to the point of retail. The product is
generally retailed under ambient conditions. Traditionally produced nham is considered
high risk by the Thai health authorities, who require a warning label on the package stating
that the product must be cooked before consumption.
The first step in the transition to science-based technology for nham fermentations
was the development of a starter culture. This starter was subsequently adopted by a nham
manufacturer who also implemented HACCP in his operation to assure safety and to satisfy
the compulsory standard requirements of GMP in the food processing industry imposed by
the Thai Food and Drug Administration. A microbiological hazard profile was developed
for nham by the manufacturer in collaboration with scientists from the Ministry of Science,
who established that the prevalent pathogens in nham were Salmonella spp. (16 percent),
Staphylococcus aureus (15 percent) and Listeria monocytogenes (12 percent) (Paukatong
and Kunawasen, 2001). Nitrite, an additive used in nham production, was identified as a
chemical hazard and the metal clips used for closing the package were identified as physical
hazards. A HACCP plan which included four critical control points was developed for
nham (Table 7).
The critical control point on nitrite was monitored by checking the pre-weighed nitrite
prior to adding it to the product formulation. Scientific data from studies on starter cultures
showed that a rapid increase in acidity within 3648 hours of fermentation inhibited
the growth of bacterial pathogens such as Staphylococcus aureus and Salmonella spp.
(Paukatong and Kunawasen, 2001; Chokesajjawatee et al., 2009). With the application of
these starter cultures, the final product was sent to retailers after the fermentation reached
its end-point (pH< 4.5). An innovative pH indicator which undergoes a colour change
on attainment of the end-point of the fermentation process (pH<4.5) was included in the
package. With these innovations and the implementation of a HACCP plan, local health
authorities waived the requirement for the warning must cook before consumption
on the package. This authorization was seen by the public as an endorsement of product
quality and safety by the health authority. Subsequently, three medium-sized manufacturers
followed suit in adopting the improved technology. Recognition of the starter culture
technology as a food safety measure by the health authority was, of itself, an effective
public awareness campaign.
RAPD markers were used for molecular typing of approximately 100 bacterial strains
at 12-hour intervals during nham fermentations. These studies resulted in the development
and commercialization of three different starter formulae for use by larger manufacturers of
nham. These starter cultures are marketed in a liquid form which requires refrigeration. Dried
starter cultures have a shelf-life of one month at ambient temperature. Further innovations

have led to the incorporation of local yeast extracts into starter culture development,
resulting in a 20 to 30 fold reduction in cost. The adoption of starter culture technology in
nham fermentations has had a positive impact on the industry in terms of safety assurance
to consumers and product consistency.
5.5.3 Traditional fermented fish paste Som Fug

Som Fug is a traditional fermented minced fish cake. It is considered a healthy and highly
nutritious product and is an excellent source of protein (protein content: 15.7 percent,
fat: 3.2 percent and total carbohydrates: 4 percent). It is produced using a spontaneous
microbial fermentation process similar to that used for producing nham and many other
Southeast Asian fermented foods. This Case Study demonstrates that the uptake and use of
starter culture technologies is still largely contingent on cost considerations and consumer
appreciation of the nutritional value of the product.
TABLE 7
HACCP plan for the production of nham
Process step Hazard Critical limits Monitoring Corrective actions HACCP records
procedures
Weighing nitrite Improper nitrite 100 ppm < initial The quality control Supervisor reweighs nitrite weighing
yy
weight: if too high - nitrite level < 200 (QC) supervisor every bag of records
chemical hazard, if ppm randomly checks nitrite since last deviation records
yy
too low - may result the pre-weighed satisfactory check; balance calibration
yy
in microbiological nitrite according to record deviation; records
hazard appropriate sampling recalibrate the
frequency weighing balance
Stuffing Failure to remove No metal in product Line worker to Line worker notifies visual inspection
yy
metal clips may visually inspect each supervisor; separate log
contaminate product nham product during contaminated deviation records
yy
stuffing. Change product; segregate
worker every 30 metal; and record
minutes deviation
Labelling Failure to provide Label to contain Line worker randomly Line worker notifies visual inspection
yy
microbiological information such checks the label on supervisor; recheck log
safety information to as safe if cooked nham products nham product; label deviation records
yy
the consumer before consumption product; and record
on each nham deviation
product
Fermentation Inadequate The pH of nham QC worker randomly QC worker notifies monitoring pH
yy
fermentation product lower than monitors pH of nham supervisor; hold lot; records
resulting in growth of 4.6 in each lot prolong fermentation; holding records
yy
pathogens and record deviation deviation records
yy
Source: Paukatong and Kunawasen (2001)
Compositionally, Som Fug consists of minced freshwater fish (mud carp, Cirrhina
microlepis) 84 percent (by weight), garlic 8 percent, water 4 percent, salt 2 percent, boiled
rice 1 percent, sucrose 0.1 percent and black pepper. It is fermented for about 24 days at
ambient temperature. Lactic acid bacteria are the dominant microflora associated with the
fermentation (Paludan-Muller, Huss and Gram, 1999). RAPD-PCR analyses determined
that the garlic-fermenting lactic acid bacteria associated with Som Fug fermentations
belonged to Lactobacillus pentosus and Lact. plantarum (Paludan-Muller et al., 2002).
Furthermore, the studies concluded that fructans from garlic are important carbon sources
which catalyze the fermentation. The studies on Som Fug illustrate the high discriminatory
power of biotechnology in differentiating lactic acid bacteria at the strain level. The Som
Fug industry did not see the benefit of implementing starter culture technology. Although
the important micro-organisms for Som Fug fermentation had been identified, there were
no attempts to develop starter cultures. One major reason for the lack of development of
starter culture technology was the widespread production of Som Fug at the household
level. Household manufacturers do not see the benefit of starter culture technology but
rather view starter cultures as a burden to the cost of production. Moreover, there is no
scientific information to substantiate the nutritional value of Som Fug and hence there is
very little public awareness of the nutritional value of the product.
5.5.4 Flavour production from alkaline-fermented beans

This Case Study on the indigenous fermentation of the locust bean is a classic example of
how traditional fermentations can be exploited for the production of high-value products
such as flavour compounds. The work, however, was undertaken by a large corporation
with little involvement of local researchers. Returns on commercial successes derived from
this study did not go back to the people who invented the traditional method of producing
this indigenous fermented food. This Case Study, therefore, serves to highlight the critical
issue of IPR in traditional production systems.
Dawadawa is produced by alkaline fermentation of the African fermented locust bean
(Steinkraus, 1995). It is an important condiment in the West/Central African Savannah
region (Odunfa and Oyewole, 1986). Similar fermented food products can be found
throughout Africa with regional differences in the raw materials used as processing inputs
or in post-processing operations. Similarly, fermented products are referred to as kinda in
Sierra Leone, iru in coastal Nigeria, soumbara in Gambia and Burkina Faso, and kpalugu
in parts of Ghana (Odunfa and Oyewole, 1986). Foods produced by alkaline fermentation
in other parts of the world include natto in Japan, thua noa in Thailand and kinema in India
(Tamang, 1998). These are mainly used to enhance or intensify meatiness in soups, sauces
and other prepared dishes.

The production of dawadawa involves extensive boiling and dehulling of the beans
followed by further boiling to facilitate softening. Spontaneous fermentation of the softened
beans is subsequently allowed to take place over 24 days. Micro-organisms associated
with the fermentation include Bacillus subtilis (Ogbadu and Okagbue, 1988), B. pumilus
(Ogbadu and Okagbue, 1988), B. licheniformis (Ogbadu, Okagbue and Ahmad, 1990) and
Staphylococcus saprophyticus (Odunfa, 1981). During the fermentation process, the pH
increases from near neutral to approximately 8.0, temperature increases from 25 oC to 45oC
and moisture increases from 43 to 56 percent (Odunfa and Oyewole, 1986). At the same
time, a five-fold increase in free amino acids takes place, and glutamate, a flavour enhancer,
increases five-fold during the process. Mechanisms of flavour production during the
fermentation process as well as flavour principles generated during dawadawa fermentation
processing have been studied by international food manufacturers and used as a basis for
the development of flavours for incorporation in bouillon-type products (Beaumont, 2002).
5.6 EmergingPathogens: A Key Issue where the Application of
Biotechnologies Could be Useful
The identification of infectious agents requires high-end technologies which are not usually
available in developing countries. Developing countries must therefore seek assistance
from countries with higher calibre technologies in order to characterize infectious agents,
put in place surveillance and monitoring systems and develop strategies to contain the
disease(s). Biotechnology can play a key role in facilitating the characterization of new
emerging pathogens.
Traditional cultural methods for the detection and enumeration of microbial pathogens
are tedious and require at least 1218 hours for the realization of results. By that time,
the food products would have been distributed to retailers or consumers. Immunoassay
diagnostic kits facilitate near-real-time monitoring, sensitivity, versatility and ease of use. The
emergence of multi-antibiotic resistance traits is prevalent in intensive farming in developing
countries due to the abuse of antibiotics. The spread of multi-antibiotic resistant micro-
organisms poses public health concerns because pathogens exhibiting such resistance would
be difficult to control with the use of currently available antibiotics. The rapid detection of
these pathogens with high sensitivity is one way of monitoring and containing the spread
of multi-antibiotic resistant traits. A strategic approach being employed by some is the
development of affinity biosensors with an antibiotic resistant nucleotide sequence as the
detection probe.
It is important that countries recognize the potential of fermented foods and prioritize
actions to assure their safety, quality and availability. Based on the stocktaking exercise in
this Chapter, a number of specific options can be identified for developing countries to help
them make informed decisions regarding adoption of biotechnologies in food processing
and in food safety for the future.
Regulatory and policy issues

}} Governments must be committed to protecting consumer health and interests, and to
ensuring fair practices in the food sector.
}} There has to be consensus at the highest levels of government on the importance of
food safety, and the provision of adequate resources for this purpose.

}} Government policy must be put in place that is based on an integrated food-chain
approach, is science-based, transparent and includes the participation of all the
stakeholders from farm to table.
}} The importance of the regional and international dimensions of using biotechnologies
in food processing and safety must be recognized.
}} Priority must be accorded to promoting fermented foods in the food security agendas
of countries.
}} Governments must also provide an enabling environment that is supportive of the growth
and development of upstream fermentation processes such as the production of high-value
fermented products, such as enzymes, functional food ingredients and food additives.
International cooperation and harmonization

}} The organization and implementation of regional and international fora are critical
requirements for the enhancement of national organizational capability and performance
and to facilitate international cooperation. Further, the setting up of administrative
structures with clearly defined roles, responsibilities and accountabilities could efficiently
govern processed foods and safety issues.
}} Biotechnology-based standard operating procedures (SOPs) for food safety should
also be documented for use in authorized laboratories.
}} National food control databases for the systematic collection, analysis and reporting
of food-related data (food inspection, analysis, etc.) with set regulations and standards
based on sound science and in accordance with international recommendations (Codex)
are key requirements.
Education policy
While the consumption of fermented foods is growing in popularity among higher income
consumers thanks to increasing interest in wellness through diet, the consumption of
fermented foods by lower income consumers in many developing countries is perceived
to be a backward practice.
}} Strategies should therefore be developed for the dissemination of knowledge about
food biotechnology and particularly fermented foods. Targeted consumer education
on the benefits of consuming fermented food products and on applying good practice
in their production is required.
}} Food biotechnology should be included in educational curricula in order to improve
the knowledge base in countries on the contribution of fermented foods to food and
nutritional security and to generate awareness of the growing market opportunities for
fermented foods and high-value products derived from fermentation processes.
Information-sharing
Access to specialized technical information on biotechnology and biotechnological
developments in the food processing sector are critical and necessary inputs and support
systems for guiding and orienting the research agendas of countries. The necessary
information systems should therefore be developed to facilitate rapid access to information
on biotechnological developments across both the developed and the developing world.
Legislation and policy on technologies

Expertise in legislation and technology licensing as well as knowledge about how to nurture
innovation and turn it into business ventures are critical requirements for developing
countries. Successful technology transfer requires all of these elements and an environment
that is conducive to innovation. Government policy in developing countries should therefore
prioritize technology transfer that helps create new business ventures, an approach that
requires government support such as tax incentives and infrastructure investment.
Intellectual property rights

}} Many of the traditional fermentation processes applied in developing countries are based
on traditional knowledge. Enhanced technical and scientific information is required
to claim ownership of the traditional knowledge underpinning the craft of indigenous
fermented foods. Lack of technical knowledge and official documentation has resulted
in the failure to realize the benefits of the industrialization of indigenous fermented
foods by individuals who are the rightful owners of the technology.
}} Greater focus is also required on issues of relevance to IPR and on the characterization
of microbial strains involved in traditional fermentation processes. Emphasis must be
placed on IPR education for scientists. National governments should put in place the
requisite infrastructure for IPR to facilitate the process. At the institutional level, this
infrastructure would include technology management offices for assisting scientists in
procedures relating to IP matters. The processes used in the more advanced areas of
agricultural biotechnology are generally covered by IPR and the rights are generally
owned by parties in developed countries.
Communication and consumer perceptions

}} Communication between various stakeholders is critical in proactively engaging with
consumers. Communication must be established with the public at large on processed
food and associated hazards. Communication gradually builds confidence and will
be critical to advancing the application of biotechnologies in food processing and
safety. The primary role of communication in this respect is to ensure that information

and opinions from all stakeholders are incorporated in the discussion and decision-
making processes. The need for specific standards or related texts and the procedures
followed to determine them should also be clearly outlined. The process, therefore,
should be transparent.
}} Public awareness and education are critical to the success of food bioprocessing and
food safety in developing countries.
}} Greater attention must be directed toward understanding consumer and producer
(processor) perceptions on food safety and quality in developing countries.
}} If foods are to be promoted as being safe and healthy, their nutritional and safety
attributes must be transparently demonstrated by presenting scientific data to substantiate
the nutritional and health benefits and by applying good manufacturing/hygiene
practice and HACCP as safety measures to ensure that issues of consumer concern
are addressed.
Technical capacities and technology transfer

}} Traditional fermented foods should be viewed as valuable assets. Governments should
capitalize on these assets and add value to them by supporting research, education and
development, while building on and developing the indigenous knowledge base on
food fermentations.
}} Government agencies in developing countries should focus on the development of
technical capacities to deal with emerging technical issues.
}} The technical capacities of academic and research institutes should be strengthened in the
fields of food biotechnology, food processing, bioprocess engineering and food safety
through training and exchange programmes for researchers. Such programmes should
emphasize collaboration with both developed and developing country institutions
engaged in work on food biotechnology, starter culture development, bioprocess
engineering and food safety.
}} Training capabilities in food biotechnology and food safety should be developed
within developing country institutions through the introduction of degree courses
in order to broaden the in-country technical support base for food bioprocess
development. Given the similarities among fermentation processes across regions,
an inventory of institutions engaged in food biotechnology in developing countries
would be an asset in facilitating networking among institutions. Food processors,
policy-makers and equipment manufacturers should also be integrated into the
networking activities.
}} The development of appropriate levels of bioreactor technology with control bioprocess
parameters will be necessary to improve the hygienic conditions of the fermentation processes.
}} Research and infrastructural development to enable the cost-effective production of
defined starter cultures in a stable format (i.e. cultures which do not require refrigeration
and have prolonged shelf-lives under ambient conditions) should be prioritized.
}} Infrastructure development to facilitate the transfer and adaptation of fermentation
technologies developed at the laboratory level to the household and village and, where
necessary, the enterprise level should be prioritized.
}} Appropriate levels of equipment will also be required to facilitate the downstream
processing of these products.
}} Traceability systems that facilitate the differentiation and identification of food products
should be prioritized in order to broaden market opportunities for these products.
}} A food-chain approach to assuring food safety should be prioritized by governments.
}} Food safety management systems should be strengthened by implementing systematic
food safety measures such as GHP, GMP and HACCP in food fermentation operations.
Diagnostic kits are important tools for monitoring and verifying the level of sanitation
in processing plants.
Highly sensitive and rapid diagnostic kits are invaluable for monitoring and rapidly
detecting chemical and microbiological hazards with high precision and sensitivity
that pose threats to human health. The development of low-cost diagnostic kits
suitable for use by small processors would greatly facilitate food safety monitoring.
Development should target the realization of multiplex diagnostic systems with the
capacity to detect several pathogens or many chemical contaminants using a single
diagnostic kit. The development of diagnostic kits at a national level could further
reduce their cost of production. Given the regional specificity of bacterial pathogens
at the species and subspecies levels, such diagnostic kits should be developed with
specificity and sensitivity to the species or subspecies that are prevalent in a specific
region. Investment is therefore needed for the development of expertise, facilities
and infrastructure for the mass production of antibodies, cell culture technology and
for the formation of technical know-how on assembling the requisite components
of diagnostic kits.
The development of national hazard profile databases that document the prevalent
pathogens in different regions will be critical. Such information would be useful for further
research into the development of diagnostic kits with high precision and sensitivity and
in implementing HACCP as well as risk assessment research. The culture collection
of identified infectious agents in the hazard profiles could play an important role for
producing specific antibodies for use in developing immunoassay diagnostic kits.

The last decade has witnessed considerable change with respect to the applications of
biotechnology in food processing and food safety. Market forces have been the major
drivers of change in the food sector of developing countries. Modern biotechnological
tools are likely to play a greater role in the development of efficient science-based processes
for food processing and safety in order to respond to consumer demand. The production
of high-value fermented products such as enzymes, functional food ingredients and food
additives is likely to continue to increase in developing countries.
The international community (FAO, UN organizations, NGOs, donors and development
agencies) can play a major role in assisting developing countries to maximize the benefit to
be derived from food bioprocessing. The adoption of biotechnology-based methods in food
processing and for food safety and quality monitoring is dependent on several factors that
include capacity building in technical and regulatory areas, policy formulation, regulatory
frameworks and regional networks.
Based on the analysis in this Chapter, a number of priority areas are identified for
support by the international community. These are:
Capacity building and human resource development

}} support basic and advanced education;
}} prioritizespecific areas for investment;
}} develop policy options, priorities and action programmes that promote food fermentation
as a means of addressing food security;
}} support human resource development in a range of scientific disciplines food
biotechnology, food safety, bioengineering and enzyme technology;
}} support capacity building initiatives for household-level, small- and medium-scale
processors of fermented foods;
}} support IPR development.
Technology transfer and support for R&D

}} improve the relevance of national research to the needs of the food sector in developing
countries;
}} enhance competitiveness and the creation of an enabling environment that is conducive
to private sector investment in research, development and innovation for the upgrading
of food fermentation processes to respond to market demand;
}} establish and strengthen the research and infrastructural support base for work on
starter culture development, bioreactor design and for the development of diagnostic
tests and equipment for monitoring food safety and traceability. This infrastructural
support base would include laboratories, laboratory equipment and cell bank facilities
for the proper preservation and storage of microbial culture preparations;
}} develop scientific data to examine the nutritional, health and health-benefit claims
associated with fermented foods;
}} establish pilot processing facilities for the scaling-up and testing of technologies to
facilitate their adoption.
Networking and clusters

}} support the development of regulatory frameworks for food safety;
}} support North-South and South-South training and exchange on food biotechnologies,
bioprocess engineering and food safety;
}} promote and facilitate networking among scientists, researchers, small- and medium-scale
food processors and the retail sector to facilitate knowledge and information-sharing;
}} support leveraging the traditional knowledge base in the upgrading of food fermentation
processing operations.

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chapter6
Learning from the Past: Successes
and Failures with Agricultural
Biotechnologies in Developing
Countries over the Last 20 Years
An E-Mail Conference
6.1 Introduction
The FAO Biotechnology Forum is an e-mail-based mechanism which was launched in 2000
with the aim of providing access to quality balanced information and to make a neutral
platform available for all interested stakeholders to openly exchange views and experiences
on agricultural biotechnology in developing countries. It covers applications in the crop,
forestry, livestock, fisheries and agro-industry sectors. The Forum covers the broad range
of tools included under the general term biotechnology. Some of these technologies, such
as the use of molecular markers or genetic modification, may be applied to all food and
agricultural sectors, while others are more sector-specific, such as tissue culture (in crops
and forest trees), embryo transfer (livestock) or sex-reversal (fish).
Each conference takes one particular theme that is relevant to agricultural biotechnology
in developing countries and opens it up for debate for a limited amount of time. From 2000
to 2008 the Forum hosted 15 moderated e-mail conferences, with messages coming roughly
equally from participants living in developing and developed countries.
For each conference, two key documents are produced. Firstly, before the conference
takes place, a Background document is prepared to give a good overview of the conference
theme, in a balanced neutral way, and written in easily-understandable language so that
people with little knowledge of the area may understand what the theme is about. The
document also highlights any particular issues of special relevance to developing countries.

Secondly, after the conference, a Summary document is prepared to provide an overview
of the main issues that were discussed based on the messages posted by the participants.
This Chapter presents these two documents from conference 16 of the Forum, entitled
Learning from the Past: Successes and Failures with Agricultural Biotechnologies in
Developing Countries Over the Last 20 Years , that took place from 8 June to 8 July
2009 as part of the build up to ABDC-10. As for other conferences of the Forum, it was
moderated by John Ruane from the FAO Working Group on Biotechnology.
For ABDC-10, FAO prepared five sector-specific technical documents on biotechnology
applications in crops, forestry, livestock, fisheries and aquaculture, and in food processing
and food safety (presented in Chapters 1 to 5 respectively of these proceedings). Their
aim was to document the current status of application of biotechnologies in developing
countries in the relevant sector, provide an analysis of the reasons for successes/failures in the
application of biotechnologies in developing countries, present some relevant case studies,
and provide options for the future. To complement these documents, the Forum hosted this
cross-sectoral e-mail conference to bring together and discuss relevant, often undocumented,
past experiences of applying biotechnologies in developing countries, ascertain the success
or failure (partial or full) of these experiences, and determine and evaluate the key factors
that were responsible for their success or failure. The sector-specific documents were in
draft form when the Background document was being prepared; it therefore benefited from
the information already available in these drafts. The Background document is presented in
Part 6.2. In turn, the drafts also benefited from the discussions and case studies that emerged
from the e-mail conference. The Summary document is presented in Part 6.3.
6.2 Background to the Issues
In this e-mail conference, as well as in the context of ABDC-10, the term agricultural
biotechnology encompasses a variety of technologies used in food and agriculture for
a range of different purposes such as the genetic improvement of plant varieties and
animal populations to increase their yields or efficiency; genetic characterization and the
conservation of genetic resources; plant or animal disease diagnosis; vaccine development;
and the improvement of feeds. Note, the term agriculture here includes the crop, livestock,
fisheries and aquaculture, forestry and food processing sectors, and so the term agricultural
biotechnologies encompasses their use in any of these sectors.
This Background document aims to provide information that participants will find useful
for the e-mail conference. In Part 6.2.1 an overview is provided of the different agricultural
biotechnologies to be considered, while Part 6.2.2 presents some specific guidance about
the e-mail conference.
chapte r 6 Learning from the Past: Successes and Failures with Agricultural Biotechnologies in Developing Countries 279
6.2.1 Overview of agricultural biotechnologies in developing countries
A short overview is provided below of the main kinds of agricultural biotechnologies that
have been used in developing countries over the past 20 years and that should be covered
in the e-mail conference. They are described separately, although in practice more than one
may be used in certain situations (e.g. in wide crossing programmes, see later). Note, new
biotechnologies that are still at the research level, be it in the laboratory or at the field trial
stage, but have not yet been applied (i.e. used for commercial production by farmers) in
developing countries are not included.
This overview also indicates what the biotechnologies are used for, the food and
agricultural sectors involved, and gives some examples of their applications in specific
developing countries. Regarding the examples, their inclusion in the document does not
imply that these applications have been a partial or complete success (or, conversely, that
they have been any kind of a failure). Indeed, these are the kind of issues to be addressed
by participants during this e-mail conference. Although not the subject of this conference,
it should also be kept in mind that the path from research, for example in the laboratory, to
the eventual application of a product in the field (e.g. farmers cultivating a new genetically
improved plant variety or using a new vaccine against an animal disease) can be long,
resource-demanding and unsuccessful. Many biotechnologies of seemingly high promise
at the experimental stage have had limited applications in developing countries so far.
As many of the biotechnologies described below are related to molecular biology and
genetic material, some basic terminology is introduced here. Living things are made up of
cells that are programmed by genetic material called deoxyribonucleic acid (DNA). A DNA
molecule is made up of a long chain of nitrogen-containing bases. Only a small fraction of
this DNA sequence typically makes up genes, i.e. that code for proteins, which are molecules
essential for the functioning of living cells, made up of chains of amino acids. The remaining
and major share of the DNA represents non-coding sequences whose role is not yet clearly
understood. The genetic material is organized into sets of chromosomes (e.g. five pairs in
Arabidopsis thaliana a model plant species; 30 pairs in cattle), and the entire set is called the
genome. In a diploid individual (i.e. where chromosomes are organized in pairs), there are two
alleles of every gene one from each parent transmitted by gametes (reproductive cells) that
are normally haploid (having just one of each of the pairs of chromosomes). A typical genome
contains several thousand genes, e.g. about 30 000 genes in grasses like rice and sorghum
(Paterson et al., 2009). Definitions of technical terms used below can be found in FAO (2001).
6.2.1.1 Molecularmarkers
Molecular markers are identifiable DNA sequences found at specific locations of the
genome and transmitted by standard Mendelian laws of inheritance from one generation
to the next. They rely on a DNA assay, and a range of different kinds of molecular marker

systems exist such as restriction fragment length polymorphisms (RFLPs), random amplified
polymorphic DNAs (RAPDs), amplified fragment length polymorphisms (AFLPs) and
microsatellites. The technology has improved in the past decade and faster, cheaper systems
like single nucleotide polymorphisms (SNPs) are increasingly being used. The different
marker systems may vary in aspects such as their technical requirements, the amount of
time, money and labour needed and the number of genetic markers that can be detected
throughout the genome.
Molecular markers have been used in laboratories since the late 1970s and are applied
across all the food and agricultural sectors. They are very versatile and can be used for a variety
of purposes. Thus, they are used in genetic improvement through so-called marker-assisted
selection (MAS), where markers physically located beside (or even within) genes of interest
(such as those affecting yield in maize) are used to select favourable variants of the genes
(FAO, 2007a). MAS is made possible by the development of molecular marker maps, where
many markers of known location are interspersed at relatively short intervals throughout the
genome, and the subsequent testing for statistical associations between marker variants and the
traits of interest. Marker maps are now available for a wide range of economically important
agricultural species (see e.g. FAO, 2007a for details). Progress in the field of genomics (the
study of an organisms entire genome) has also provided much useful information for MAS,
enabling in some cases markers to be used that are located within the genes of interest.
Molecular markers are also used to characterize and conserve genetic resources where
some of the approaches can be applied in each of the crop, forestry, livestock and fishery
sectors (e.g. estimating the genetic relationships between populations within a species).
Other uses are more sector-specific, such as their utilization to identify duplicate accessions
in crop genebanks, monitor effective population sizes (Ne) in capture fish populations or
carry out biological studies (e.g. of mating systems, pollen movement and seed dispersal) in
forest tree populations (FAO, 2006a). They are also used in disease diagnosis to characterize
and detect pathogens in livestock, crops, forest trees, fish and food (see later).
Molecular markers have been used in a number of developing countries. In livestock, for
example, they have been used in four African countries for characterizing genetic resources
and in eight Asian countries where six used them for genetic distance studies and two for
MAS (FAO, 2007b). In Latin America and the Caribbean, most countries have used molecular
techniques primarily for characterization purposes, while their use has been limited in
the Near and Middle East (FAO, 2007b). In crops, several examples of new hybrids and
varieties developed through MAS are available, and in progress, in different crops such as
pearl millet, rice and maize, and in several developing countries such as Bangladesh, India
and Thailand (Varshney, Hoisington and Tyagi, 2006). Different centres of the Consultative
Group on International Agricultural Research (CGIAR) have been working with partners
in developing countries to accelerate plant breeding practices through MAS.
6.2.1.2 Genetic modification
A genetically modified organism (GMO) is an organism in which one or more genes (called
transgenes) have been introduced into its genetic material from another organism. The genes
may be from a different kingdom (e.g. a bacterial gene introduced into plant genetic material),
a different species within the same kingdom or even from the same species. For example,
so-called Bt crops are crops containing genes derived from the soil bacterium Bacillus
thuriengensis coding for proteins that are toxic to insect pests that feed on the crops. The
issue of GMOs has been highly controversial over the past decade. Many countries have
introduced specific frameworks to regulate their development, release and commercialization.
GM crops were first grown commercially in the mid 1990s. While the majority continues
to be grown in developed countries, an increasing number of developing countries are reported
to be cultivating them. Recent estimates (James, 2008) indicate that 10 developing countries
planted over 50 000 hectares (ha) of GM crops in 2008: Argentina (21.0 millionha), Brazil
(15.8), India (7.6), China (3.8), Paraguay (2.7), South Africa (1.8), Uruguay (0.7), Bolivia
(0.6), Philippines (0.4) and Mexico (0.1). For comparison, in 1997 the only developing
countries reported were Argentina (1.4 million ha), China (1.8) and Mexico (less than 0.1).
Almost all GM crops grown commercially are genetically modified for one or both of two
main traits: herbicide tolerance (63 percent of GM crops planted in 2008) or insect resistance
(15percent), i.e. Bt crops, while 22 percent have both traits (James, 2008).
The commercial release of GM forest trees has been reported in one country, China. In
2002, approval was granted for the environmental release of two kinds of Bt trees, the European
black poplar (Populus nigra) and the hybrid white poplar clone GM 741, together representing
about 1.4 million plants on 300500ha (FAO, 2004). Regarding GM livestock or fish, there
has been no reported commercial release for food and agricultural purposes in any country.
Although documentation is generally quite poor, the use of GM micro-organisms (GMMs)
in agro-industry and for animal feeds is routine in developed countries and is also a reality
in many developing countries. In agro-industry, the use of enzymes (proteins that catalyze
specific chemical reactions) is important. Many of the enzymes used in the food industry are
commonly produced using GMMs. For example, since the early 1990s, preparations containing
chymosin (an enzyme used to curdle milk in the preliminary steps of cheese manufacture)
derived from GM bacteria have been available commercially (FAO, 2006b). Similarly, many
colours, vitamins and essential amino acids used in the food industry are also from GMMs.
In animal nutrition, feed additives such as amino acids and enzymes are widely used in
developing countries. The greatest use is in pig and poultry production where intensification
has increased over the last decade, further accelerating the demand for feed additives. For
example, most grain-based livestock feeds are deficient in essential amino acids such as
lysine, methionine and tryptophan. For high-producing monogastric animals (pigs and

poultry) these amino acids are added to diets to increase productivity. The amino acids
in feed, L-lysine, DL-methionine, L-threonine and L-tryptophan, constitute over half of
the total amino acid market. The essential amino acids are produced in some cases by GM
strains of Escherichia coli (Chapter3).
In the dairy industry, recombinant bovine somatotropin (rBST), a protein hormone
from an Escherichia coli K-12 bacterium containing the bovine somatotropin gene, has been
used to increase milk production in a number of developing countries. Chauvet and Ochoa
(1996) report that rBST was first used in Mexico in 1990 and has been sold in a number
of other developing countries, including Brazil, Malaysia, South Africa and Zimbabwe.
6.2.1.3 Chromosome set manipulation

As mentioned earlier, genetic material is organized into sets of chromosomes and each plant
and animal species has a characteristic number of chromosomes. Manipulation of whole
sets of chromosomes is possible and is used for a range of different purposes in agriculture.
For example, fish and shellfish have been extensively studied in relation to the manipulation
of their chromosomes during the early stages of development. Using relatively simple
techniques such as cold and heat shocks it is possible to produce triploid individuals (i.e.
with three sets of chromosomes), leading to the production of almost completely sterile
populations. Sterility may be desirable in conservation programmes where it can prevent
the introgression of escaped individuals from commercial stocks into natural populations.
It may also be of interest in commercial fish operations, e.g. when developing hybrid stocks
or to prevent the side-effects of sexual maturation on carcass quality (Chapter4). As in
fish, induction of sterility in crops may be desirable in certain breeding programmes, e.g. to
produce seedless fruits, and one of the most rapid and cost-effective approaches is to create
polyploids (i.e. with more than two complete sets of chromosomes), especially triploids.
Triploid varieties have been produced in numerous fruit crops including most of the citrus
fruits, acacias and the kiwifruit (Chapter1).
Another example of chromosomal set manipulation in fish is the production of haploid
individuals after eggs are fertilized by sperm that do not contribute genetic material (a
process called gynogenesis) or else when normal sperm fertilize eggs whose DNA has been
deactivated (a process called androgenesis). In both cases the haploid chromosomes can then
be duplicated using shocks. The importance of gynogenesis/androgenesis is that it is possible
to develop inbred individuals, which may be useful in fish breeding experiments aimed at
producing clonal lines for detecting genomic regions affecting quantitative traits (Chapter4).
In crops, chromosome doubling is one of the most important technologies for the creation
of fertile inter-specific hybrids (wide crosses). Wide crossing involves hybridizing a crop
variety with a distantly related plant from outside its normal sexually compatible gene pool.
Its usual purpose is to obtain a plant that is virtually identical to the original crop except
for a few genes contributed by the distant relative. The technique has enabled breeders to
access genetic variation beyond the normal reproductive barriers of their crops (Chapter1).
For example, the New Rice for Africa (NERICA) hybrids are derived from crossing two
species of cultivated rice, the African rice and the Asian rice, combining the high yields
from the Asian rice with the ability of the African rice to thrive in harsh environments.
Wide-hybrid plants are often sterile so their seed cannot be propagated due to differences
between the sets of chromosomes inherited from genetically divergent parental species
that prevent stable chromosome pairing during meiosis. However, if the chromosome
number is artificially doubled, the hybrid may be able to produce functional pollen and
eggs and be fertile. Colchicine has been used for chromosome doubling in plants since
the 1940s and has been applied to more than 50 plant species including most important
annual crops. More recently, several additional chromosome doubling agents, all of which
act as inhibitors of mitotic cell division, have been used in plant breeding programmes.
To date, with the help of chromosome doubling technology hundreds of new varieties
have been produced worldwide.
In crops and forest trees, chromosome doubling has also been used, as for fish, to
generate doubled haploids. The haploid plants can be produced using anther culture
which involves the in vitro culture of immature anthers (i.e. the pollen-producing organs
of the plant). As the pollen grains are haploid, the resulting pollen-derived plants are also
haploid (FAO, 2009a). Doubled haploid plants were first produced in the 1960s using
colchicine and today, thermal shock or mannitol incubation can be used. They may also
be produced from ovule culture. Breeders value doubled haploid plants because they are
100 percent homozygous, so any recessive genes are readily apparent. The time required
after a conventional hybridization to select pure lines carrying the required recombination
of characters is thus drastically reduced. Since the 1970s, doubled haploid methods have
been used to create new varieties of barley, wheat, rice, melon, pepper, tobacco and several
Brassicas. In the developing world, a major centre of such breeding work is China where
numerous doubled haploid crops have been released and many more are being developed.
By 2003, China was cultivating over two millionha of doubled haploid varieties, the most
important being rice, wheat, tobacco and peppers (Chapter1).
6.2.1.4 Biotechnology-based diagnostics

Applications of biotechnology for diagnostic purposes are important in crops, forest
trees, livestock and fish as well as for food safety purposes. Two main kinds of methods
are used: those based on the enzyme-linked immunosorbent assay (ELISA) and those
based on the polymerase chain reaction (PCR).

ELISA systems are antibody-based techniques to determine the presence and quantity
of specific molecules in a mixed sample. They are used in a range of formats, both for
the detection of pathogens and for the detection of antibodies produced by the host as
a response to the pathogens, and a range of commercial kits are available, e.g. to detect
fish and shrimp pathogens (Adams and Thompson, 2008). Some of the ELISA-based
methods use monoclonal antibodies, produced by a cell line that is both immortal
and able to produce highly specific antibodies, or polyclonal antibodies, produced by
many cell lines. In livestock, ELISAs form the large majority of prescribed tests for
OIE-notifiable animal diseases, and many diagnostic kits are available in developing
countries (Chapter3).
The PCR-based methods rely on the fact that each species of pathogen carries a
unique DNA or ribonucleic acid (RNA) sequence that can be used to identify it. PCR
allows the production of a large quantity of a desired DNA from a complex mixture of
heterogeneous sequences. It can amplify a selected region of 50 to several thousand DNA
base pairs into billions of copies. After amplification, the target DNA can be identified
using techniques such as gel electrophoresis or hybridization with a labelled nucleic acid
(a probe). Real-time PCR (or quantitative PCR) enables the quantification of DNA or
RNA present in a sample. The genomes of certain viruses, such as the influenza A virus,
are made of RNA instead of DNA. To identify RNA from these viruses, a complementary
DNA (cDNA) copy of the RNA is first synthesized using an enzyme called reverse
transcriptase. The cDNA then acts as the template to be amplified by PCR. This method
is called reverse transcriptase PCR (RT-PCR).
PCR-based techniques offer high sensitivity and specificity, and diagnostic kits
allow the rapid screening of viruses or bacteria and have a direct use in situations where
individuals show no antibody response after infection. For example, molluscs do not
produce antibodies, and therefore antibody-based diagnostic tests are limited in their
application to pathogen detection in these species. In fisheries, PCR-related tools are
increasingly being used in developing countries, although they require detailed knowledge
of the genomics of the pathogen itself and extensive validation in practice (Chapter4).
In livestock, public sector production of diagnostic kits for animal diseases in
Asia and Latin America can be found in Brazil, Chile, China, India, Mexico and
Thailand. Research capabilities for development, standardization and validation of
diagnostic methods are also well advanced in these countries. PCR-based diagnostics
are increasingly being employed in developing countries to back up findings from
serological analyses. However, their use is largely restricted to laboratories of research
institutions and universities and to central and regional diagnostic laboratories run by
governments (Chapter3). In aquaculture, there are some highly integrated companies
operating in developing countries (e.g. in shrimp production) and these companies
commonly use PCR-based diagnostic systems where the analyses are either carried
out by the laboratories of the companies themselves or are outsourced to specialized
private laboratories.
Biotechnology-based diagnostics are also important in food analysis. Many of
the classical food microbiological methods used in the past were culture-based, with
micro-organisms grown on agar plates and detected through biochemical identification.
These methods are often tedious, labour-intensive and slow. Genetic-based diagnostic
and identification systems can greatly enhance the specificity, sensitivity and speed of
microbial testing. Molecular typing methodologies, commonly involving PCR, ribotyping
(a method to determine homologies and differences between bacteria at the species or
subspecies/strain level using RFLP analysis of ribosomal RNA genes) and pulsed-field
gel electrophoresis (a method of separating large DNA molecules on agarose gels), can
be used to characterize and monitor the presence of spoilage flora (microbes causing
food to become unfit for eating), normal flora and microflora in foods (FAO, 2006b).
RAPD or AFLP molecular marker systems can also be used for comparing genetic
differences among species, subspecies and strains depending on the reaction conditions
used. The use of combinations of these technologies and other genetic tests allows the
characterization and identification of organisms at the genus, species, subspecies and even
strain levels, thereby making it possible to pinpoint sources of food contamination, trace
micro-organisms throughout the food chain or identify the causal agents of food-borne
illnesses (FAO, 2006b).
6.2.1.5 Vaccinesdeveloped using biotechnology

Immunization can be one of the most effective means of preventing and hence managing
animal diseases. In general, vaccines offer considerable benefits for comparative low cost,
a primary consideration for developing countries. In addition, the development of good
vaccines for important infectious diseases can lead to reduced use of antibiotics, which is
an important issue in developing countries.
As described by Kurath (2008), biotechnology has been used extensively in the
development of vaccines for aquaculture, and is applied at each of the three main stages of
vaccine development, as follows:
a) the identification of potential antigen candidates that might be effective in vaccines
(where an antigen is a molecule, usually a protein foreign to the fish, which elicits an
immune response on first exposure to the immune system by stimulating the production
of antibodies specific to its various antigenic determinants. During subsequent exposures,
the antigen is bound and inactivated by these antibodies);

b) the construction of a new candidate vaccine (where biotechnology tools can be used
to produce different kinds of vaccines such as DNA vaccines, recombinant vaccines
or modified live recombinant viruses. For example, a DNA vaccine is a circular DNA
plasmid containing a gene for a protective antigenic protein from a pathogen of interest);
c) the assessment of candidate vaccine efficacy, its mode of action and the host response
(where e.g. quantitative RT-PCR [see earlier] can be used to examine the expression of
fish genes related to immune responses).
Of the countries that responded to a recent World Organisation for Animal Health (OIE)
survey, four out of 23 and seven out of 14 African and Asian countries respectively indicated
that they produce or use animal vaccines derived from biotechnology, including experimental
use as well as commercial release (MacKenzie, 2005).
6.2.1.6 Reproductive biotechnologies (livestock and fish)

A number of reproductive biotechnologies have been applied in developing countries to influence
the number (and sex) of offspring from given individuals in fish and livestock populations.
In artificial insemination (AI), semen is collected from donor male animals, diluted in
suitable diluents and manually inseminated into the female reproductive tract during oestrus
(heat), to achieve pregnancy. The semen can be fresh or preserved in liquid nitrogen and
then thawed. The efficiency of AI can be increased by monitoring progesterone levels, e.g.
using ELISA, to identify non-pregnant females, and/or by oestrus synchronization where
females are treated with hormones to bring them into oestrus at the desired time.
AI is widely used in developing countries (Chupin, 1992; FAO, 2007b). For example, in
India 34 million inseminations were carried out in 2007 while about eight million were carried
out in Brazil (Chapter3). For Africa, Asia and Latin America and the Caribbean regions, AI
is mostly used for cattle production (dairy). Other species for which AI is used in all three
continents are sheep, goats, horses and pigs. In addition, in Asia, AI is used for chickens, camels,
buffaloes and ducks, and in Latin America and Caribbean regions for rabbits, buffaloes, donkeys,
alpacas and turkeys. For the most part, semen from exotic breeds is used in local livestock
populations. To a lesser extent, semen from local breeds is also used for this purpose. Most AI
services are provided by the public sector but the contribution of the private sector, breeding
organizations and NGOs is also substantial. In Africa and Asia, AI use is concentrated in
peri-urban areas (FAO, 2007b). Progesterone monitoring and oestrous synchronization have
been applied in a number of developing countries. Applications of oestrous synchronization
have been limited to some intensively managed farms where AI is routinely used.
Embryo transfer
Embryo transfer (ET) involves the transfer of an embryo from a superior donor female
to a less valuable female animal. A donor is induced to superovulate (produce several ova)
through hormonal treatment. The ova obtained are then fertilized within the donor, the
embryos are allowed to develop and then removed and implanted in recipient females for
the remainder of the gestation period. Alternatively, the embryos can be frozen for later use.
FAO (2007b) reports that five, eight and twelve countries respectively in Africa, Asia
and the Latin America and the Caribbean regions provided information on use of ET in
their countries. In Latin America and the Caribbean, ET is increasingly used by commercial
livestock producers and the species involved are cattle (in all twelve countries) and alpacas,
donkeys, goats, horses, llamas and sheep (in one to three of the twelve countries). In Brazil
and Chile, private sector organizations are involved in providing the technology.
Hormonal treatment in aquaculture

In the same way as female reproduction in livestock can be controlled by hormonal treatment,
it is also an important tool in aquaculture where it is applied for two main purposes. The
first is to control reproduction of fish and shellfish, primarily to induce the final phase of
ova production in order to synchronize ovulation and to enable broodstock to produce
fish early in the season or when environmental conditions suppress the spawning timing of
females. The second is to develop monosex (single sex) populations, which can be desirable
in many situations. This can be, inter alia, because one sex is superior in growth or has
more desirable meat quality or to prevent sexual/territorial behaviour. For example, female
sturgeons are more valuable than males because they produce caviar. Female salmon are
more valuable because sexually precocious males die before they can be harvested, and
salmon roe has an economic value. Male tilapia are more desirable than females because
they grow twice as fast. In many fish and shellfish species, sex is not permanently defined
genetically and can thus be altered in a number of ways, including through treatment with
sexual hormones such as testosterone or estrogen derivatives in early stages of development.
To develop all-male tilapia populations, methyltestosterone can be used, while monosex
trout can be produced using androgens (Chapter4).
Sperm/embryo sexing
In livestock, to obtain offspring of a desired sex (e.g. females are preferred for dairy animals,
males for beef animals), the separation of X and Y sperm (e.g. based on staining DNA with a
fluorescent dye) for AI and sexing of embryos (e.g. using specific DNA probes) can be used.
These technologies are being developed and refined in a number of research institutions,
but are not widely used by farmers or breeders in developing countries.

6.2.1.7 Cryopreservation
Cryopreservation the preservation of germplasm in a dormant state by storage at ultra-low
temperatures, usually in liquid nitrogen (-196C) can be used to preserve biological material
(e.g. seeds, sperm, embryos) of crop, livestock, forest or fish populations for potential use
in the future (FAO, 2006a). The technology can be used for genetic improvement purposes
and for the management of genetic resources. In livestock, cryopreservation is used in many
developing countries and well-established genebanks exist in India and are being established
in China and Vietnam (Chapter3). In fish, the cryopreservation of embryos is not possible
but sperm cryopreservation works for many species (FAO, 2006c) and has been used in
carp, salmon and trout breeding, especially when the aim has been to refresh populations
that have gone through a bottleneck.
Considering crops and forest trees, about 90 percent of the six million plant accessions in
genebanks, mainly crops, are stored in seed genebanks. However, storage of seeds is not an
option for crops or trees that do not produce seed such as banana, or that produce recalcitrant
or non-orthodox seed (i.e. seed that does not survive under cold storage and/or the drying
conditions used in conventional ex situ conservation) such as mango, coffee, oak and several
tropical forest tree species. In these situations, as well as for long-term storage of seeds from
orthodox species, cryopreservation offers an alternative strategy for ex situ conservation,
although its routine use is still limited. Plants can be regenerated after plant cell, tissue or organ
storage at low temperatures. For various herbaceous (i.e. non-woody plants), hardwood (i.e.
broadleaf, deciduous trees) and softwood species (i.e. coniferous trees), cryopreservation of a
wide range of tissues and organs has been achieved. There is large-scale application of shoot tip
cryopreservation in fruit crop germplasm collections such as plum and apple. Seeds of most
common agricultural and horticultural species can be cryopreserved (FAO, 2006a and 2006d).
6.2.1.8 Tissueculture-based techniques

Tissue culture refers to the in vitro culture of plant cells, tissues or organs in a nutrient
medium under sterile conditions. It has been widely used for over 50 years and is now
employed to improve many of the most important developing country crops (Chapter1).
There are a number of tissue culture-based technologies and they can be employed for a
range of different purposes. Some of them, used with chromosome set manipulation, have
been described earlier. Others include:
Micropropagation
Micropropagation is the laboratory practice of rapidly multiplying stock plant material
to produce a large number of progeny plants using plant tissue culture methods. For
instance, the shoot tips of banana or potato are excised from healthy plants and cultivated
on gelatinized nutrient media in sterile conditions (in test tubes, plastic flasks, or baby-
food jars), so that contamination with pests and pathogens is avoided. The plantlets
obtained can be multiplied an unlimited number of times by cutting them into single-
node pieces and cultivating the cuttings in similar aseptic conditions. Millions of plantlets
can be produced in this manner in a very short time. The plantlets are then transplanted
in the field or nurseries where they grow and yield low-cost, disease-free propagation
materials ready to be distributed to farmers (FAO, 2009a). Even if healthy plants are not
available initially, specific in vitro techniques can also be applied to produce disease-free
propagation material.
Today, micropropagation is widely used for a range of developing country subsistence
crops including banana, cassava, potato and sweetpotato; for commercial plantation crops,
such as oil palm, coffee, cocoa, sugarcane and tea; for niche crops such as cardamom and
vanilla; and for fruit trees such as almond, citrus, coconut, mango and pineapple. Some of
the many countries with significant crop micropropagation programmes include Argentina,
Cuba, Gabon, India, Indonesia, Kenya, Nigeria, Philippines, South Africa, Uganda and
Vietnam (Chapter1).
In vitro slow growth storage

Micropropagation procedures have been developed for over 1 000 plant species, many
of which are today micropropagated commercially. The procedures include rapid
multiplication, involving rapid growth and frequent subculture (regeneration) which is
generally the objective of commercial micropropagation. Instead, the basis of successful in
vitro storage of stock cultures is to increase the interval between subcultures by retarding
the growth without any deleterious effects on the plants in culture. The strategy is used
to conserve plant genetic resources, and in vitro slow growth procedures can be used
so that plant material can be held for 115 years under tissue culture conditions with
periodic subculturing, depending on the species. Normally, growth is limited using low
temperatures often in combination with low light intensity or even darkness. Temperatures
in the range of 05C are employed for cold-tolerant species and 1520C for tropical
species. Growth can also be limited by modifying the culture medium and reducing
oxygen levels available to the cultures (Rao, 2004; FAO, 2006a).
In vitro embryo rescue

Wide crossing (see Part 6.2.1.3) has become possible only by advances in plant tissue culture.
A particular challenge was to overcome the biological mechanisms that normally prevent
inter-specific and inter-genus crosses, as a high proportion of wide-hybrid seeds either do
not develop to maturity or do not contain a viable embryo. To avoid spontaneous abortion,

embryos are removed from the ovule at the earliest possible stage and placed into culture
in vitro. Mortality rates can be high, but enough embryos normally survive the rigours of
removal, transfer, tissue culture, and regeneration to produce adult hybrid plants for testing
and further crossing (Chapter1).
First generation, wide-hybrid plants are rarely suitable for cultivation because they
have only received half of their genes from the crop parent. From the other (non-crop)
parent they have received both the small number of desirable genes and also thousands
of undesirable genes that must be removed by further manipulation. This is achieved by
crossing the hybrid with the original crop plant, plus another round of embryo rescue to
grow up the new hybrids. This backcrossing process is repeated for about six generations
(sometimes more), until a plant is obtained that is almost identical to the original crop parent
except that it now contains a small number of desirable genes from the non-crop parent
plant. Wide crossing programmes can take more than a decade to complete, although MAS
and anther culture can be used to speed up the process (Chapter1).
6.2.1.9 Mutagenesis
This involves the use of mutagenic agents such as chemicals or radiation to modify DNA
and hence create novel phenotypes. Induced mutagenesis has been used in crop breeding
programmes in developing countries since the 1930s. It also includes somaclonal mutagenesis,
involving changes in DNA induced during in vitro culture. Somaclonal variation is normally
regarded as an undesirable by-product of the stresses imposed on a plant by subjecting it
to tissue culture. However, provided they are carefully controlled, somaclonal changes in
cultured plant cells can generate variation that is useful to crop breeders (Chapter1).
Almost 3 000 new crop varieties have been developed and released by countries using
mutation-assisted plant breeding strategies and an estimated 100 countries currently use
induced mutation technology (FAO/IAEA, 2008; IAEA, 2008). Case studies from Kenya
(wheat), Peru (barley), sub-Saharan Africa (cassava) and Vietnam (rice) are described in
IAEA (2008).
In the livestock sector, mutagenesis has also been used in developing countries. The
sterile insect technique (SIT) for control of insects (e.g. screwworm and tsetse flies)
relies on the introduction of sterility in the females of the wild population. The sterility
is produced following the mating of females with released males carrying in their sperm
dominant lethal mutations that have been induced by ionizing radiation. This method is
usually applied as part of an area-wide integrated pest management (AW-IPM) approach
and has been applied in developing countries in the livestock sector as well as for the
control of crop pests. An estimated 30 countries use the SIT against insect pests, including
Chile and Peru (FAO/IAEA, 2008).
Mutagenesis is also extensively used to improve the quality of micro-organisms and
their enzymes or metabolites used in food processing. The process involves the production
of mutants through the exposure of microbial strains to mutagenic chemicals or ultraviolet
rays. Improved strains thus produced are selected on the basis of specific properties such
as improved flavour-producing ability or resistance to bacterial viruses (Chapter5).
Fermentation
6.2.1.10
Fermentation is the process of bioconversion of organic substances by micro-organisms
and/or enzymes of microbial, plant or animal origin. During fermentation, various biochemical
activities take place leading to the breakdown of complex substances into simple substances
and resulting in the production of a diversity of metabolites including simpler forms of
proteins, carbohydrates, fats, such as sugars, amino acids, lipids, as well as new compounds
such as antimicrobial compounds (e.g. lysozyme, bactericins); organic acids (e.g. lactic acid,
acetic acid, citric acid); texture-forming agents (e.g. xanthan gum); and flavours (esters and
aldehydes). Apart from the various new products that are yielded during fermentation, the
process is widely known for its preservative benefits (FAO, 2006b).
The new products that emerge following fermentation have been found to have potential
for longer shelf-lives, and they have characteristics quite different from the original substrates
from which they are formed. Fermentation is globally applied to preserve a wide range
of raw agricultural materials (cereals, roots, tubers, fruit and vegetables, milk, meat and
fish, etc.). Commercially produced fermented foods which are marketed globally include
dairy products (cheese, yogurt, fermented milks), sausages and soy sauce (FAO, 2006b).
Fermentation of sugars is also central to the production of bioethanol from agricultural
feedstocks (FAO, 2008a).
Certain micro-organisms associated with fermented foods, in particular strains of
the Lactobacillus species, are probiotic i.e. used as live microbial dietary supplements or
food ingredients that have a beneficial effect on the host by influencing the composition
and/or metabolic activity of the flora of the gastrointestinal tract (FAO, 2006b). They
can also be used as feed additives for monogastric and ruminant animals, and have been
applied for this purpose in China, India and Indonesia (Chapter3).
In developing countries, fermented foods are produced generally at the household
and village level using traditional processes that are uncontrolled and dependent on
spontaneous chance micro-organisms from the environment. Modern fermentation
processes employ the use of well-constructed vessels (fermenters/bioreactors), with
appropriate mechanisms for controlling temperature, pH, nutrient levels, oxygen tension,
among others, and also use selected micro-organisms and/or enzymes for their operations
(FAO, 2006b; Chapter5).

Biofertilizers
6.2.1.11
Soils are dynamic living systems that contain a variety of micro-organisms such as bacteria,
fungi and algae. Maintaining a favourable population of useful microflora is important
from a fertility standpoint. The most commonly exploited micro-organisms are those that
help in fixing atmospheric nitrogen for plant uptake or in solubilizing/mobilizing soil
nutrients such as unavailable phosphorus into plant-available forms, in addition to secreting
growth-promoting substances for enhancing crop yield. As a group, such microbes are
called biofertilizers or microbial inoculants. They can be generally defined as preparations
containing live or latent cells of efficient strains of nitrogen-fixing, phosphate-solubilizing or
cellulolytic micro-organisms that are applied to seed or soil with the objective of increasing
the numbers of such micro-organisms and accelerating certain microbial processes to
augment the availability of nutrients in a form that plants can assimilate readily (FAO,
2008b). Biofertilizers are used in a number of developing countries such as Kenya and
Thailand, often involving nitrogen-fixing Rhizobia bacteria (FAO, 2009a).
Biopesticides
6.2.1.12
Living organisms that are harmful to plants and cause biotic stresses are collectively called pests,
and they cause tremendous economic damage to plant production worldwide. Biopesticides
are mass-produced, biologically-based agents used for the control of plant pests. They can be
living organisms such as micro-organisms or naturally occurring substances such as plant
extracts or insect pheromones. Micro-organisms used as biopesticides include bacteria,
protozoa, fungi and viruses and they are used in a range of different crops (Chandler et al., 2008).
For example, different biopesticides are available for controlling locusts. In one example
of their application, a biopesticide containing spores of the fungus Metarhizium anisopliae
was used to control a migratory locust infestation in 2007 in Timor-Leste, supported by
FAO. Surveys revealed that an area of about 20 000ha was infested with gregarious nymphs
and that there was a serious threat to the rice crop. The target area was considered unsuitable
for chemical spraying because of high density human settlement and many water courses.
The infestation was therefore treated with the biopesticide which was targeted at flying
swarms using a helicopter, with spraying in a time period of over one month (FAO, 2009b).
Note that since biopesticides generally have a slower action than conventional chemicals,
the latter are preferred if crops are under immediate threat.
6.2.2 Specific points about this e-mail conference

The general aim of the e-mail conference is to bring together and discuss relevant, often
previously un-documented, past experiences of applying biotechnologies at the field level
(i.e. used by farmers for commercial production) in developing countries, ascertain the
success or failure (whether partial or total) of their application, and determine and evaluate
the key factors that were responsible for success or failure. The conference does not cover
experiences in developed countries.
Issues to be addressed in the e-mail conference

For any one (or combination) of the biotechnologies described above, considering its
application at the field level in one of the different food and agricultural sectors (crops,
livestock, forestry, fishery or agro-industry), in any particular developing country or region,
and in any specific time period over the past 20 years:
}} provide an overall assessment of the experience of applying the biotechnology (i.e.
whether it was a partial or full success or failure, and provide a justification for this
assessment); based on this, describe some of the key features that determined its partial
or complete success (or failure)
}} indicate, where possible, how transferable these results might be to other, 1)developing
countries/regions, 2)biotechnologies, and 3)food and agricultural sectors;
}} indicate any lessons that can be drawn from this experience that may be important for
applications of agricultural biotechnology in developing countries in the future.
Defining success and failure

When considering a given situation where a biotechnology was implemented in a specific
developing country, sector and time period, and attempting to assess whether it was a full
or partial success (or failure), a number of different aspects may be taken into consideration
such as any potential impacts its application had of a socio-economic, cultural, regulatory,
environmental, agro-ecological, nutritional, health and hygiene, consumer interest and
perceptions, sustainable livelihoods, equity, technology transfer or food security nature.
For example, if the use of a reproductive technology such as AI in a certain livestock species
(e.g. dairy cattle) in a given developing country is considered, some of the factors that might
influence whether the technology can be judged to be a success or failure might include the
impact of the biotechnology on:
}} milk production (the trait of main interest);
}} other traits, such as cow fertility and health, that can be indirectly affected (often
negatively) by improvements in milk production;
}} trade (e.g. did use of the biotechnology result in surpluses that led to creation of new
trade opportunities? Alternatively, did its use result in closure of some existing markets,
e.g. due to regulatory issues?);
}} economic returns to the farmer, considering the increased financial returns from increased
milk yields as well as any additional costs from using the biotechnology, such as the
cost of inseminating the cow, any additional feed or veterinary bills, etc;

}} food security (e.g. was more milk produced, leading to greater food security?);
}} equity (e.g. was use of the biotechnology restricted to already rich farmers or did its
use also extend to the more food-insecure smallholders; also who gained from sale of
the biotechnology itself ? [e.g. were the AI services provided by a foreign multinational
company or by a local farmers cooperative?])
}} consumer interests (did use of the biotechnology produce a negative consumer reaction,
resulting in reduced milk consumption?);
}} genetic resources (e.g. if AI was used to cross local females with semen from bulls of
developed countries, did it result in erosion of valuable genetic resources in developing
countries?);
}} technical aspects related to applying the biotechnology (e.g. did it work properly, was
much training/equipment needed for people to use it?);
}} any unexpected impacts of using the biotechnology.
The number of factors that could potentially influence the overall assessment of the
biotechnology as a success or failure (partial or complete) is therefore quite large and for any
given case, some factors might be negative and others positive. Thus, the fact that a certain
biotechnology has been used (and perhaps continues to be used) does not in itself mean it
has been a success, although in certain cases it may be considered as an indicator of success.
A major hurdle to determining fully whether a specific application of biotechnology
has been a success or failure is that there is normally a lack of solid, scientifically sound
data and documentation about the impacts of its application on peoples livelihoods
and their socio-economic conditions etc. (FAO, 2009a). Indeed, one of the aims of this
e-mail conference is to try and get a better insight into and more information about
such areas.
Coverage of GM and non-GM biotechnologies

The conference will be moderated. One of the Moderators main tasks is to ensure that
all of the biotechnologies as well as all of the food and agricultural sectors are adequately
covered. As anyone following this area knows, the topics of genetic modification and GMOs
are of major interest and have been the object of highly polarized debates, particularly
concerning GM crops. One of the consequences of this is that the actual impacts and the
potential benefits of the many non-GM biotechnologies have tended to be neglected.
However, to learn from the past regarding applications of agricultural biotechnologies in
developing countries, the entire range of biotechnologies should be considered as there
may be many specificities related to any particular biotechnology tool regarding aspects
such as its financial, technical and human capacity requirements, its purpose (e.g. genetic
improvement, genetic resources management or disease diagnosis), its potential impacts
etc. For this reason, participants are asked to ensure that all the biotechnologies and all
the food and agricultural sectors are covered adequately. In addition, regarding GMOs,
discussion should not consider the issues of whether GMOs should or should not be used
per se or the attributes, positive or negative, of GMOs themselves. Instead, the goal is to
bring together and discuss specific experiences of applying biotechnologies (including
genetic modification) in the past in developing countries.
6.3 Summary of an International Dialogue
6.3.1 Executive summary

Participants in the e-mail conference shared a wealth of experiences regarding the use of
agricultural biotechnologies across the different food and agricultural sectors in developing
countries. They provided concrete examples where agricultural biotechnologies were
benefiting smallholders. They also discussed at length why specific biotechnologies, as
well as agricultural biotechnologies in general, had not succeeded in developing countries
and they offered suggestions to increase their success in the future. The conference also
indicated that there is no general answer to whether applications of a given agricultural
biotechnology have succeeded or failed in the past, but that every application is different
and its success depends primarily on the local context in which it is used.
A total of 834 people subscribed to the conference and 121 e-mail messages were posted,
74 percent of which were from people living in developing countries. Most contributions
focused on whether applications of one or more biotechnologies had been a success or a
failure in the crop, livestock, forestry or food processing sectors, as well as the factors that
determined their success or failure. The remaining messages were cross-sectoral in nature,
discussing agricultural biotechnologies in general without specifying a given sector, and
focused on reasons for failures and suggestions for increasing their success in the future.
Of the different sectors, the greatest focus was on crops and here the use of genetic
modification, in particular, as well as tissue culture, molecular markers, biofertilizers and
induced mutagenesis were discussed. For GM crops, most of the messages focused on
specific case studies, in particular Bt cotton in India and herbicide tolerant soybean in
Argentina. For the former, it was considered a major success by some participants, while
others indicated that the situation was more complex with performance depending on the
hybrid background, growing conditions and institutional context, among others. For the
latter, there seemed to be general agreement that GM soybean had resulted in substantial
economic benefits in Argentina as well as some undesirable correlated environmental impacts
which were not caused by the technology per se but by failures to incorporate appropriate
planning and policy interventions. There was also considerable discussion about the impact

of regulation on the success or failure of GM crops in developing countries. The practical
benefits of establishing a regulatory system for GM crops were underlined as it enabled
commercial release. Many participants also argued that GM crops were over-regulated,
which was negatively impacting their adoption in developing countries, imposing additional
costs and delays.
Discussions on tissue culture focused on its use for micropropagation and numerous
participants described how it had been applied successfully in different countries such as
Sri Lanka, India, the Philippines and Venezuela, for banana, cassava, cocoa and ornamental
plants among others. It was also argued that more could be done to make it accessible to
farmers, and practical suggestions including low-cost micropropagation and creation of
small regional micropropagation laboratories were proposed. Apart from micropropagation,
other successful uses of tissue culture were also discussed, including the release of new
wheat varieties in the Sudan and the well-known NERICA varieties.
For MAS, a number of MAS-derived crop varieties that have been released in developing
countries were discussed including rice tolerant to submergence, released in the Philippines,
and pearl millet hybrids with resistance to downy millet disease, released in India. Success
of the latter was attributed to long-term donor support and collaborative partnerships as
well as good linkages between the upstream biotechnology end and the downstream product
development, testing and delivery ends. CGIAR centres were mentioned as often playing
an important role in these MAS developments. Many messages addressed the issue of slow
progress in the field and a key factor identified was the lack of collaboration/interaction
between plant breeders and biotechnologists.
Biofertilizers have been applied successfully in a number of developing countries
including Mexico, the Philippines, Honduras and Peru. Most of the messages emphasized
the importance of communicating with the farmers, particularly concerning the relative
advantages of biofertilizers. Successful examples of applications of induced mutagenesis
were also described, leading to the release of new varieties of banana, groundnut and sesame
in Sri Lanka and banana in the Sudan.
Participants indicated that application of biotechnologies in livestock and forestry was
less advanced than in crops. Most livestock-specific messages focused on biotechnologies
for genetic improvement, in particular AI as well as ET and the use of molecular markers.
AI was considered to have had a substantial impact in only few developing countries and
numerous explanations were proposed for this, including the lack of extension services,
economic incentives and appropriate policies. The lack of proper animal recording
systems in developing countries was identified as one of the major constraints to applying
biotechnologies for genetic improvement. Successful use of a DNA test for a major gene
to increase the fertility of Deccani sheep in India was described.
In forestry, most discussion was about micropropagation with the remainder dedicated
to biofertilizers, biopesticides and molecular markers. Clear messages emanating from the
contributions are that there is a big gap between research developments and their use in the
field; and that enhancing collaboration and understanding between researchers in the laboratory
and forestry professionals in the field will enhance the application of forestry biotechnologies.
Several contributions were dedicated to the production and importance of traditional fermented
foods in developing countries. There was general consensus about the need to develop defined
starter cultures for indigenous fermented foods and to transform fermentation from being an
art to a technology-driven process, and successful examples from Thailand were provided.
Cross-sectoral discussions covered four main reasons for failures of agricultural
biotechnologies in developing countries. The first was the lack of funds, facilities and
trained professionals, where their negative impacts were highlighted. The second was brain
drain which weakened national capacities, although some participants argued that it should
not always be considered in a negative light. The third was inappropriate research focus,
where it was argued that researchers were increasingly focusing on basic rather than applied
research. The fourth was the lack of political will, where it was considered that there was
government apathy to research in general, as well as biotechnology research in particular,
while the positive enabling roles that government policies could play was underlined.
Cross-sectoral discussions also included four main suggestions for increasing the success
of agricultural biotechnologies in the future. The first was that research should be focused
on the real problems of the farmers, where discussions included practical recommendations
to make this possible. The second was that extension systems should be strengthened, as
they can ensure that relevant R&D results actually reach the farmer. The third was that
regional and sub-regional cooperation should be increased, and establishment of sub-regional
centres of excellence was proposed. The fourth was that public-private partnerships (PPPs)
be formed, and participants described some recent examples and discussed the potential
advantages and disadvantages of PPPs.
6.3.2 Introduction
This Summary document presents a concise account of the major issues discussed by the
participants. A total of 834 people subscribed to the moderated conference and 121 e-mail
messages were posted by 83 participants from 36 different countries. Most contributors
discussed whether applications of one or more biotechnologies had been a success or a failure
in a given sector, including the factors that determined their success or failure. Greatest
attention was given to crops and least to the fishery sector. Although each sector has its
specificities, some of the discussions, especially on the features that determined success or
failure, are also of general relevance.

In Part 6.3.3 to 6.3.6 the main sector-specific issues discussed during the conference
are summarized. Parts 6.3.7 and 6.3.8 cover cross-sectoral discussions, where participants
discussed successes and failures of agricultural biotechnologies in general, without
specifying a given sector or biotechnology, with Part 6.3.7 covering discussions about the
reasons for failures and Part 6.3.8 focusing on suggestions for increasing their success in
the future. Specific references to messages posted, giving the participants surname and the
corresponding message number, are included1. Part 6.3.9 provides a summary of information
on participation in the conference, including the area of work and geographic distribution
of the participants as well as the names and countries of those who sent messages that are
referenced in this document.
6.3.3 Biotechnologies in crops

Participants focused particularly on the use of genetic modification, as well as tissue culture,
molecular markers, biofertilizers and induced mutations.
6.3.3.1 Genetic modification

There was considerable discussion about the success or failure of GM crops in developing
countries. Most discussion focused on specific case studies (i.e. a single GM crop cultivated
in a specific country) although a few messages considered GM crops in general. There was
also discussion about regulation and its impact on the success or failure of GM crops.
Regarding GM crops in general, Ahmed (95), C.S. Prakash (107) and Giddings (118)
referred to the 2008 figures from the International Service for the Acquisition of Agri-Biotech
Applications (ISAAA), estimating that GM crops were cultivated on 125 millionha in 25
developed and developing countries. Giddings (118) emphasized that the figures show that
genetic modification is not merely promise and potential, but increasingly is already delivering
value to farmers on the ground in developing countries. C.S. Prakash (107) similarly argued
that GM crops had demonstrated value in terms of economic returns and environmental
and social benefits and thus farmers were buying the GM seeds. Falck-Zepeda (20) noted
that commercial diffusion so far was mainly in four crops (maize, soybeans, cotton and
canola) and two traits (insect protection and herbicide tolerance), although other products
were in the regulatory pipeline (some examples were provided in the conference for Brazil
(Souza, 102), India (Prakash, 28), Nigeria (Beach, 18) and the Philippines (Tababa, 67)).
Falck-Zepeda (20) presented the results from a set of case studies that he and his
colleagues from the International Food Policy Research Institute (IFPRI) had carried out,
examining the impact on farmers of the adoption of insect resistant maize in Honduras
1 The messages are available at www.fao.org/biotech/logs/c16logs.htm
and the Philippines; insect resistant cotton in Colombia; and herbicide tolerant soybeans
in Bolivia. Results showed that the impact of adopting GMOs in developing countries
had been overall positive, but it masks significant outcome variability between countries,
regions, households, crops and traits. Furthermore, we have seen that the level of economic
benefits tend to be more dependent on the institutional context than on the technology
itself. In essence, issues such as access to credit and complementary inputs, availability
of knowledge and information flows about using the technology and about markets; are
critical for determining the level of benefits.
Regarding individual case studies, there was considerable discussion about the cultivation of
Bt cotton in India, i.e. containing genes derived from the soil bacterium Bacillus thuriengensis
coding for proteins toxic to insect pests that feed on the cotton plants. For Gupta (2), Banerjee
(15) and Prakash (28), it was a clear success story. For example, Prakash (28) wrote: since
its introduction in 2002, Bt technology in cotton is a huge success in India. Looking at the
speed of adoption of this technology, now India has become the second largest producer
of cotton in the world. Gupta (2), similarly, described it as a major success and looked
forward to other GM crops benefiting farmers in India.
Glover (51) felt that the situation was more complex. Based on his own research
and that of IFPRI, he argued that the overall picture regarding Bt cotton was of broadly
beneficial impacts but that the general overview masked considerable variation between
farms, farmers, regions and seasons. He suggested that at the aggregate level there is good
evidence that the overall productivity of cotton had increased following the introduction
of Bt technology but that, at the microscale, the picture was much more complicated, as
the performance of Bt cotton depended on favourable growing conditions especially good
soils and reliable water, farmer skills and the presence/absence of supportive institutional
frameworks. He concluded: to label Bt cotton as a great success would be just as crude as
to dismiss it as a disastrous failure. We also cannot assume that Bt cotton must be a success
merely because it has spread rapidly.
Banerjee (53) agreed with Glover (51) that the rapid spread of a technology should
not be considered as the sole factor for deciding its success or failure, but argued that it
was an important factor. Banerjee (53), supported by Glover (58), also underlined that the
performance of Bt cotton depended not only on the Bt gene but also on the performance of
the hybrid background. Responding to the comment of Glover (51) about the dependence
of Bt cotton performance on favourable growing conditions, Banerjee (53) stated that this
was true for all crops. Glover (58) agreed with Banerjees comments and concluded that
it was important to consider the specific local circumstances (bio-physical, social and
institutional) under which biotechnologies need to perform and to evaluate the positive
and negative outcomes in developmental terms (e.g. their effects on labour, incomes,

equity, empowerment etc.) - recognizing that these impacts will be different for different
people in different places and circumstances. This last observation applies to all kinds of
biotechnologies, of course, not just to GM crops.
Zambrano (59) followed up on this thread by reporting on the results of their IFPRI
study on Bt cotton in Colombia where, overall, farmers benefited from the technology but
that the results, nevertheless, were not generalized for all cotton growing regions or for all
farmers in the country. The most successful results were seen in areas that had irrigation,
better lands and more farmer-friendly associations which provided farmers with inputs and
credit. Zambrano (59) also reported that results from herbicide tolerant cotton in Colombia
seemed much less successful and that the lack of, or incorrect, information about crop
management and herbicide application appeared to be implicated in losses2.
There was also ample discussion about GM crops in Argentina, most of which are
herbicide tolerant soybean and where the majority of soybeans planted is GM. Discussions
highlighted that the technology could provide substantial benefits and that appropriate
planning and policy interventions were needed to prevent undesirable impacts.
Trigo (33, 47) argued that GM crops had meant a real agricultural production revolution
in Argentina and referred to a report he had co-authored in 2006, which estimated that the
total accumulated benefit from 10 years cultivation of herbicide tolerant soybeans was about
US$20 billion and that they may have contributed to the creation of almost one million
jobs. Similarly, Sharry (25) noted that Argentina was one of the worlds leading exporters
of GM crops; that several GM and non-GM products had been developed; and that these
developments usually start in the public sector and then the private sector develops and
markets them. She (25) argued that this had been made possible by the development of a
strong and transparent biosafety regulatory system; government support, including financial,
communication and information aspects; support for the creation/hosting of companies
that use or produce biotechnology inputs; and good interaction between government,
scientists and producers.
Escandon (39) also underlined the role that the Technical Co-operation Network on
Agricultural Biotechnology in Latin America and the Caribbean (REDBIO) had played
in Argentina regarding acceptance of GMOs by the public, as public perception is one
of the most important factors for the success of GM products (a point also made by
Tababa (67) concerning the experience of Bt corn in the Philippines). The network had
organized symposia, workshops and courses, which had facilitated the exchange of ideas
between people. Escandon (39) proposed that it was an example that could be followed
2 Presentations by Zambrano and by Fonseca & Zambrano on GM cotton in Colombia were given at ABDC-10, available at www.fao.org/fileadmin/
templates/abdc/documents/zambrano.pdf and www.fao.org/fileadmin/templates/abdc/documents/fonseca.pdf respectively.
in other countries. Indeed, Tchouaff (75), in the context of dissemination of low-cost
micropropagation, underlined the role that fora to exchange views between researchers
and local populations could play and that governments could act as a facilitator in
establishing such fora. Sharry (25) also pointed out the importance of REDBIOs role in
communication in Argentina.
Echenique (41, 64, 73) agreed with Trigo (33) about the economic benefits of GM
soybean in Argentina, stating: it is a highly profitable extremely recent technology which
has been widely accepted by farmers in a very short time period (64). However, she also
highlighted the need to consider environmental and social aspects related with adoption
of the technology, focusing on two main issues. The first is the move towards soybean
monocultures, strongly accentuated in some provinces, leading to nutrient loss and soil
fertility problems unless appropriate measures are taken (such as crop rotation and application
of fertilizers to replace nutrients taken from the soil). The second is the expansion of land
areas dedicated to soybean cultivation at the expense of forest areas, horticulture, milk
production, cattle and forage (41).
Echeniques comments evoked a number of responses, most of which generally agreed
with her while arguing that the problem was not the technology per se but the related
policy environment. Thus, Trigo (47) and Parrott (52) both pointed out that there were
more economic incentives for farmers to grow soybean than maize, which triggered the
monoculture problem, and that the social and environmental impacts in Argentina would
be totally different if the incentives were different (52). Escandon (70) agreed in general
terms with Echenique (64) and called for government policies to encourage farmers to
practise crop rotation. Parrott (52) also noted there was growing recognition among farmers
that current practices were not sustainable and that there was now a strong movement to
implement more sound agronomic practices such as crop rotation. Regarding deforestation,
Trigo (47) noted that while availability of herbicide tolerant soybeans may have contributed
to the process and even sped it up, the problem existed before GM soybeans were released
and was the result of policy failure in terms of forest protection and land use planning and
was independent of GMOs. Echenique (73) concluded by stating that the problem was
not the technology, but that planning of agriculture was needed when any new technology
was introduced.
There was also discussion about the success or failure of two GM crops that had not been
commercialized. The first was GM sweetpotato in Kenya, resistant to the feathery mottle
virus, where GMOs developed in the United States were imported by the Kenya Agricultural
Research Institute in 2000 for field testing, but they were not later commercialized. For
Gurian-Sherman (26), the project was a failure as it involved substantial financial and scientific
inputs over a decade without resulting in any product, whereas there had been a reported

success in Uganda with conventional breeding. Kamanga (45) did not agree, saying instead
that it had been a great success, as it had allowed GMO trials to be carried out in accordance
with international standards; facilitated capacity building and building of partnerships in
GMOs; led to development of an institutional framework in GMOs/biosafety in Kenya
and, indirectly, to the passing of the national biosafety law. Bett (49) agreed, giving her
personal testimony that the project had allowed her to get training in biotechnology and
to get direct experience of carrying out GMO field trials.
The second was GM cassava resistant to the cassava mosaic virus disease (CMVD),
where GM varieties of cassava developed by the Danforth Center were later found to have
lost their resistance to the virus. Anderson (46) from the Danforth Center noted that the
problem referred to experimental work carried out at their laboratories and that to speak
of success or failure during the experimental phase of this or other research projects was
not appropriate as meeting problems and solving them was a normal part of the scientific
process. Usman (37) confirmed that the varieties had never been field tested in Nigeria,
and stated that the development of improved cassava varieties was critical to Nigerias food
sustainability and agricultural development, a project in which the Danforth Center was a
partner (Anderson, 46). Egesi (13) said it was important to avoid hype and propaganda and
that this case did not mean that virus resistance cannot be acquired by genetic modification.
Nassar (7) reported that CMVD resistant cassava cultivars had been produced by non-
GMO methods from inter-specific hybridization with the wild species Manihot glaziovii,
and estimated that they were cultivated on four millionha in Nigeria.
In addition to the many messages discussing specific examples of GM crops, there was
considerable discussion about the impact of regulation on the success or failure of GM
crops in developing countries. As noted by Nzeduru (27), the aim of regulation is to ensure
that the benefits of GM crops can be harnessed without compromising human/animal
health or environmental sustainability. Specific aspects of national regulatory frameworks
were described by participants, for Kenya (Kamanga, 45), Nigeria (Usman, 86) and Brazil
(Souza, 102). Pathirana (110) mentioned the difficulties involved in establishing a biosafety
framework in Sri Lanka, including the fact that five government departments were involved
in the process. Ahmed (95) noted that biosafety legislation had not yet been approved in
most African and Arab countries and urged that it should be done.
The practical benefits of establishing a regulatory system for GM crops were underlined
by some participants, with Roca (74) describing the establishment of a science-based biosafety
regulatory framework in Honduras as a success since it had allowed the country to deploy
and legally commercialize herbicide tolerant and insect resistant GM maize since 2001.
Similar sentiments were expressed by Sharry (25) and Tababa (67) for Argentina and the
Philippines respectively.
Many participants also argued that GM crops were over-regulated, which was negatively
impacting their adoption in developing countries. In India, Gupta (2) and Dudhare (24)
considered that the regulatory process was too slow, discouraging work in this area (Gupta, 2),
and was very costly (Gupta, 2; Keshavachandran, 82). Sharry (25) warned about the dangers
of excessive bureaucratic delays, which can limit investment and technology transfer. Van
der Meer (115), noting the challenges of preparing and conducting GM crop field trials,
proposed that a support network for public researchers be established so that they could
help each other in this work. Roca (74, 119) wrote that regulation is often not science-based,
which had dire consequences for public sector research. Trigo (71) argued that there was a
very thin red line between being careful and over-regulation; that these were the most
watched-over technologies in agricultural history; and that regulation should evolve based
on the accumulation of scientific evidence. C.S. Prakash (107) agreed, and concluded that over-
regulation was leading to excessive costs and needless delays in commercialization of GM crops
for both the private and public sectors. Similarly, Giddings (118) argued that scientifically
unsupportable regulatory burdens were blocking wider dissemination of GM crops.
6.3.3.2 Tissueculture
As described earlier, tissue culture refers to the in vitro culture of plant cells, tissues
or organs in a nutrient medium under sterile conditions. There are a number of tissue
culture-based technologies and they can be employed for different purposes. They include
micropropagation, involving the rapid multiplication of stock plant material to produce
disease-free propagation materials for dissemination to farmers; in vitro embryo rescue to
enable wide crossing; anther culture and ovule culture to produce haploid plants; and in
vitro slow growth storage to conserve plant genetic resources.
Discussions on tissue culture focused on its use for micropropagation, although its use
for wide crossing, creation of doubled haploids and conservation of genetic resources were
also briefly considered. The messages illustrated that application of micropropagation has
been successful in realizing substantial benefits in countries such as Sri Lanka, India, the
Philippines and Venezuela, although in some other cases it was seen to have failed. Important
factors which influenced its success or failure included the degree of involvement of the
extension system or the private sector.
Pathirana (81) informed participants that micropropagation together with the technique
of mutation induction had resulted in successful development of early flowering, high-
yielding banana clones in Sri Lanka, which were also free of banana bract mosaic virus, which
significantly reduces yield in infected plants. An estimated 25 percent increase in annual
income had been attributed to intensification of the production cycle through use of the early
maturing mutant banana cultivars and Pathirana (81) stated that micropropagated bananas

were now common and popular among farmers and encouraged by governmental authorities.
He noted that a key component for success of the project was that the scientists involved
in the project held many field days to inform farmers how to care for the micropropagated
plants in the early period of growth.
After giving a brief history of commercial micropropagation in India, Dinesh Kumar
(87, 101) estimated that over 135 million plants are currently produced by 300 tissue culture
laboratories in India; production of tissue culture bananas was rising fast and nearing 100
million plants; and 30-35 million ornamental plants were exported annually. He noted
that the Government of India had set up a committee to accredit all the commercial tissue
culture laboratories in the country and had prescribed a detailed standard procedure for
them. He concluded that commercial tissue culture production in India was poised for a big
leap forward (87). Interest of the private sector for this biotechnology was also indicated
by Pathirana (110) who noted that apart from micropropagation, the private sector in Sri
Lanka had yet to play an important role in contributing to biotechnology development or
research. The important work carried out by Indian public funded institutions in tissue
culture was highlighted by Seshadri (113).
Tababa (67) wrote that in the Philippines, mass propagation through tissue culture,
supported by both public and private institutions, had contributed to making large-scale
banana plantations economically viable and led to the introduction of new varieties of
flowers in the cutflower industry. Both the private sector and the backyard plant growers
had benefited. Mass production of mutant coconuts through embryo rescue had, however,
been less successful as production costs were high and productivity was relatively low (67).
Infante (38) wrote about successful cassava and cocoa micropropagation programmes
in Venezuela. He noted that a key feature which allowed the cassava research results to
reach the farmers was the creation of transfer laboratories, where small micropropagation
laboratories were established in several regions, whose personnel were trained in the main
research facility in Caracas. People in the regional laboratory were thus able to act as a
two-way communication link between the research facility and the farmers so that farmers
could receive inputs and provide eventual feedback. Muralidharan (63) commended this
approach. He also argued that too little had been done around the world to harness the
full potential of micropropagation, except perhaps by the ornamental plant industry. He
highlighted the scope for simple low cost micropropagation in several crop species,
noting that the orchid industry in Thailand was a good example, where micropropagation
was carried out in small household laboratories (63).
Orellana (62) described the long history and wide range of tissue culture activities
on potato, sugar cane and hybrid coffee in his institutions laboratory in El Salvador, and
reported that the disease-free plants had been provided to farmers. Roca (74) also noted
that there was a well established structure for tissue culture work in Honduras. Caesar
(121) reported that in Guyana, successes had been achieved in tissue culture of pineapple,
sweetpotato and plantain among others.
For Tonjock (9), the provision of tissue cultured seedlings at low cost was a success in
Cameroon, although she noted that some farmers were still unable to afford them. Similarly,
Loquang (97) argued that the production of disease-free banana planting material by tissue
culture could be considered a success in Uganda as the clean planting material boosted food
and income security. In Nigeria, micropropagation had also been used for the production of
disease-resistant varieties of crops but doubts were expressed about its success (Chikezie, 48;
Echereobia, 78; Oselebe, 57). Chikezie (48) argued that disease-resistant varieties of staple
root crops resulting from research in Southeast Nigeria had not benefited many farmers
in that part of the country, which could be because of inadequate funding to enable large-
scale micropropagation of these staple root crops or the lack of well-developed agricultural
extension networks. Echereobia (78) also mentioned the need for training and provision of
technical support to sustain the technology.
Oselebe (57) reported on progress with micropropagation in plantains and bananas,
noting also its potential as it could lead to rapid multiplication of disease-free plantlets for
farmers. However, she concluded: it is highly technical, can only be employed in very few
research institutes (in most cases for other crops) and is not amenable to the resource-poor
farmers who are the main producers of plantain and banana. Infante (85) noted that research
activities may be carried out without focusing on eventual applications, reporting that some
laboratories in Venezuela had carried out micropropagation work for years without it ever
resulting in the release of plant materials to farmers.
In the Sudan, Gama (54) wrote that a tissue culture laboratory had been established
under a long-term project and it had been extensively used for banana tissue culture and
wheat doubled haploid production. He noted that the laboratory had been able to provide
banana planting materials during critical times of post-flood devastation of banana plantations
along the Nile banks and that anther culture techniques for production of doubled haploid
wheat had yielded good results leading to the release of several cultivars.
Also in Africa, Manneh (35) described the successful combination of conventional
breeding and biotechnology to produce the NERICA varieties by crossing Asian (Oryza
sativa) with African rice (Oryza glaberrima Steud.), mentioning in particular the role of
anther culture to create doubled haploids and fix desirable genotypes. While noting that
upland NERICAs are now widely cultivated (over 200 000 ha) by farmers in Africa, he
argued that one of the major impediments to the widescale use of these biotechnological
products is the weak seed system in many developing countries especially those in Africa
and that the present demand for NERICA seeds in developing countries surpassed their

supply. He concluded by urging that to enable wider usage of these rice biotechnologies
and their products there is a need to reinforce national capacities especially those involved
in the seed sector such as the national research and extension systems as well as farmers,
farmers organizations and the private sector3.
Tissue culture has also been used to conserve plant genetic resources in developing
countries. Cruz (32) reported that in the Philippines, tissue culture was used in the
national genebank to preserve a backup collection of banana and yam. Pathirana (116) also
described the numerous activities of the Plant Genetic Resources Centre which is the focal
point for promoting and facilitating the conservation and sustainable utilization of plant
genetic resources in Sri Lanka. He reported that in vitro conservation protocols had been
established for about 15 different species and that some accessions of cassava, sweetpotato,
potato, yams, colocasia, innala and banana were maintained in storage under normal or
minimal growth conditions.
6.3.3.3 Molecular markers

Several messages dealt with the use of molecular markers for genetic improvement in crops.
It was suggested that marker-assisted selection (MAS) has been used with reasonable success
in countries such as India and the Philippines. Using this technology, a number of improved
varieties of crops such as pearl millet, rice, maize and wheat have been developed and are
in use in some countries in Asia and Africa. The CGIAR institutions have often played an
important role in these developments.
Banerjee (15) stated that MAS is becoming increasingly popular in India and that both
public and private sectors are investing in it. Hash (44) provided a detailed overview of the
successful development and adoption of HHB 67 Improved, a pearl millet hybrid with
resistance to downy mildew disease which was approved for release in India in 2005. In 2008,
F1 hybrid seed was produced to sow at least 300 000ha with HHB 67 Improved, while he
predicted that the 2009 area could exceed 500 000 ha, if sowing conditions are favourable
(Hash, 44). He noted that the research product development and testing chain for the
hybrid was long and had many partners in India and the United Kingdom, and estimated
that economic benefits to farmers were substantial. To him, the success story had clearly
demonstrated how research partners with widely disparate interests could come together,
each contributing something for which they have a comparative advantage, to deliver an
appropriate research product targeted to meet the needs of the poor. In conclusion, he
felt that the most important factors for its success were long-term donor support (over
3 A presentation of the NERICA case study was given at ABDC-10, www.fao.org/fileadmin/templates/abdc/documents/nerica.pdf and further details on
NERICA are given in Chapter1.5.1.
15 years); long-term collaboration of the partners; and reasonably strong linkage of the
upstream biotechnology end of the projects to the more applied plant breeding product
development, testing and delivery ends.
In India, Gupta (2) maintained that MAS had been used successfully in crop improvement,
with the development of products that were already commercially available or being field
tested, namely superior hybrids of pearl millet and quality protein maize, high protein
wheat cultivars, wheat resistant to rust, rice resistant to bacterial blight and rice tolerant to
submergence. Nevertheless, he felt that the pace of work and adoption of marker technology
was slow, attributing this to lack of expertise and motivation among those involved in
breeding, lack of cooperation between molecular biologists and plant breeders and high costs
of the technology compared with conventional plant breeding. Singh (60) agreed, arguing
that the lack of interest of plant breeders had meant that few populations for molecular
mapping and tagging had been developed for field crops in India. Predeepa (111) agreed
that a lack of collaboration/interaction between breeders and molecular biologists was a
hurdle in India. Murphy (100) felt it was not just an Indian phenomenon but also applied
to developed countries to some extent although his impression was that it was much more
serious in developing countries, possibly due to the more recent development/introduction
of some biotechnologies there. Indicating that he had experienced the same phenomenon
in Malaysia, he concluded: it needs to be addressed by improved education of agricultural
science graduates in ways that emphasize the unity of the discipline and especially the role
of biotechnology as the servant of breeders and agronomists rather than their master (100).
Based on his own experience, Jordan (83) argued that marker technology works well
if breeders have the appropriate skills, understand the technology well and are involved in
developing the technology for a particular application; biotechnologists have some understanding
of plant breeding; there is appropriate balance between investments in traditional disciplines
and marker technologies; skills in statistics and informatics are sufficiently advanced to
support the use of molecular technology by breeders; and rational decisions are made
regarding resource allocation in applied programmes based on true costs and returns. From his
limited experience of plant breeding programmes in developing countries, he suggested that
investments in conventional plant breeding and related disciplines often seem insufficient to
allow technologies like markers to be used effectively and that, in many cases, much greater
genetic improvements could be made by enhancing the conventional breeding programme
rather than investing in markers. Trigo (93) agreed with Jordan (83) that appropriate and
intelligent investment is essential. However, he argued: molecular biology applications are
the way of the future to make breeding more efficient and effective and we should push in
that direction and that strengthening conventional breeding alone is not the solution even
when we accept that there is still a lot to be achieved through conventional breeding (93).

In the Philippines, Cruz (32) noted that molecular markers had been used to develop
disease resistant rice varieties, analyse the purity of hybrid rice seeds and to study collection
diversity and manage germplasm in the national genebank. Manneh (35) described some
of the biotechnology work carried out on rice by two CGIAR institutes, the International
Rice Research Institute (IRRI) and the Africa Rice Center. He noted that they and other
research institutes were using MAS to introduce a number of traits (such as tolerance
to salinity and low temperature, resistance to rice yellow mottle virus disease, and grain
quality) into rice varieties already adopted by farmers. He reported that MAS had been used
by IRRI to transfer submergence tolerance into stress-tolerant improved varieties such as
Swarna and IR64, which are very widely cultivated in Asia and have already been tested and
released in some Asian countries. Rigor (42) from the Philippine Rice Research Institute
confirmed that through collaboration with IRRI, they had recently recommended release
of IR64 with submergence tolerance. Using MAS and anther culture, they had also released
rice varieties suited to irrigated lowland conditions and varieties tolerant to salinity. In his
institute, Rigor (42) noted that the technical aspects of using DNA markers had not yet
been optimized, so it was not possible to fully use markers in their breeding programme,
and that the high rate of staff turnover was negatively impacting the sustainability of certain
biotechnology projects.
Roca (74) wrote that biotechnologies have been successfully used in Honduras for
the past 20 years and listed various examples including a strong regional MAS breeding
programme for beans. Singh (76) underlined the role that markers could play in inter-
specific hybridization, where markers could be used to accelerate transfer of novel genes
for important traits such as disease resistance from related/wild species of field crops. He
reported that these techniques had been used in wheat in India where genes for resistance
to leaf rust, stripe rust, Karnal bunt, powdery mildew and cereal cyst nematode had been
transferred. He concluded by highlighting the need for capacity building in developing
countries on this subject, especially for crops that are solely/largely cultivated in developing
countries (76).
6.3.3.4 Induced mutations

A small number of successful applications of induced mutagenesis were described in the
conference. Thus, Pathirana (108) reported that its application (using gamma rays) in Sri
Lanka had led to release of the Malee variety of sesame (resistant to fungal diseases,
mainly Phytophtera nicotianae var. parasitica) and he suggested that its release had halted
the decline in the area cultivated with sesame (which had been declining because of the
disease). Mutation breeding had also resulted in release of the Tissa variety of groundnut
(more drought resistant, early maturing and high yielding), which was in popular demand
by the farmers (108). He reported that they were the only mutant cultivars of oilseed crops
released in Sri Lanka and that they had been cultivated for almost two decades (108). Both
Pathirana (81) and Gama (54) reported on the successful application of mutation breeding
in bananas in combination with tissue culture in Sri Lanka and the Sudan respectively. The
projects were supported by the Joint FAO/IAEA Division of Nuclear Techniques in Food
and Agriculture and led to the release of new varieties in both countries.
6.3.3.5 Biofertilizers
The application of biofertilizers has met with some success. For example, Tababa (67) stated
that in the Philippines, biofertilizers for corn and rice had been successful, which could be
attributed to the farmers education on their use and benefits, inclusion of their use in the
package of technologies adopted by the National Corn Programme, and the governments
uninterrupted financial support to their production. Peralta (22) reported that in Mexico a
Rhizobium-based biofertilizer for the common bean (Phaseolus vulgaris) had been developed
by the university and was now successfully commercialized by a private company. Initial
efforts to involve government agencies in promoting and using the product were unsuccessful.
The biofertilizer is used mainly in central and northern Mexico (Peralta, 50) and he (22) felt
that this is the beginning of the common bean fertilizer era in Mexico. He pointed out
that much educational/promotional work is required (22) and that the farmers who bought
the biofertilizers also received access to printed material, sessions with agronomists and
further assistance (50)4. Sangar (56) appreciated this example from Mexico and wondered
whether biofertilizers had helped poor farmers in India, which suggests that documentation
of such cases in India is weak.
Roca (74) stated that in Honduras, biofertilizers had also been used successfully, with
strong programmes for Rhizobium and mycorrhizal fungi. Listing a selection of ongoing
biofertilizer programmes in her country, Dvila (109) noted that biofertilizers are increasingly
being used in Peru. She emphasized the need for training and that farmers need to have
evidence that biofertilizers enhance crop performance, are more economical than chemical
fertilizers, and are environmentally-friendly. Seshadri (113) argued that, despite long-term
research and the fact that many products are already on the market, much more could be
done regarding biofertilizers and biopesticides in India. Farmers were seldom convinced
by them, primarily due to issues of profitability, and he urged that, with concerted efforts,
biofertilizers and biopesticides could be presented in a better way. He highlighted that
there was room for improvement in areas such as formulation, shelf-life, number of cells,
packaging quality and price (113).
4 A presentation of this case study was given by Peralta at ABDC-10, www.fao.org/fileadmin/templates/abdc/documents/peralta.pdf.

6.3.4 Biotechnologies in forestry
Several participants wrote about forestry biotechnologies. Their main focus was on
micropropagation, although biofertilizers, biopesticides and molecular markers were also
mentioned. Clear messages emanating from the contributions are that there is a big gap
between research developments and their use in the field; and that enhancing collaboration
and understanding between researchers in laboratories and forestry professionals in the
field will enhance the application of forestry biotechnologies.
Muralidharan (89) thought it was important to draw attention to the subject of
biotechnology in forestry, noting that any benefit from using technology in tropical forests
would have a great impact on the environment and peoples livelihoods. Similarly, Sharry
(106) underlined the important role that forest biotechnology could play, but observed that
the understanding of tree biology is poor compared with that of agricultural crops and that
individual trees remain much longer in the landscape than short-lived agricultural crops,
meaning they are subject to a much wider range of environmental stresses.
Sharry (106) summarized some results from FAO (2004) which indicated that most
non-GMO biotechnology activities in forestry were still largely confined to the laboratory,
although the application of micropropagation in field plantings was becoming more
common. Indeed, most discussions about forest biotechnology in the conference focused
on micropropagation. Sharry (106) wrote that it was the most applied forest biotechnology
in Argentina. Muralidharan (89) also reported on the successful use of micropropagation
and molecular markers for clonal propagation of teak in Malaysia, yielding superior quality
planting materials for both the local market and export5.
Muralidharan (89), however, was critical of the fact that, despite the availability of laboratory
protocols for almost all of the important tree species in India, micropropagation had been
rarely used in the field. He attributed this failure to the situation where biotechnologists
worked in isolation instead of joining forces with the practising forest managers, i.e. the
State Forest Departments. He quoted the example of teak, the most important and widely
planted timber species, where almost three decades after they succeeded in cloning mature
trees the technique was still barely used in practice although micropropagated plantlets
would be better than conventional grafts for establishing clonal seed orchards (89). In
addition, he argued that in the few cases where large scale micropropagation of a forestry
species had actually been undertaken, it was done with insufficient scientific backing. He
underlined that unless there was proper selection and testing of the material to be propagated,
the technology would not disseminate material superior to plantlets raised from seed (89).
Similarly, Rajalakshmi (104) felt that the application of forest biotechnologies such as
5 The Malaysian case study was presented at ABDC-10, www.fao.org/fileadmin/templates/abdc/documents/teak.pdf
micropropagation still had a long way to go in India and that key issues to be addressed were
the existing gap between research and the field; limited funds and inadequate infrastructure;
and the lack of trained professionals.
From his own experience, Muralidharan (63) indicated that low-cost and simple
micropropagation technology for bamboo, teak and several medicinal plants now appeared
feasible and he was looking at the possibility of training small groups, consisting mainly
of rural women, and setting up small production units. In response to Muralidharans (63)
request for information on aspects to consider when transferring such technology to the
field, Tchouaff (75) suggested that it could be disseminated and transferred through capacity
building and networking with communicators and the local population.
Regarding more advanced biotechnologies, Sharry (106) indicated that Brazil and
Chile have developed a strong forest industry and are using all available biotechnologies
including genomics. In her own country, Argentina, she reported that genetic maps and
molecular markers had been developed to support eucalyptus breeding programmes;
molecular markers had been used to identify areas of protection for native forest species;
and research on GM poplar was ongoing. However, she argued that compared with the
crop sector, these biotechnologies had not yet had a major impact at the forest chain
level in Argentina. Similarly, Muralidharan (89) noted that molecular markers were
increasingly used in studying the provenances and the breeding behaviour of some of
the important tree species of India, but the results were not assimilated into ongoing
breeding programmes.
Regarding microbial-based biotechnologies, Caesar (121) noted that the use of
biofertilizers for inoculation of seedlings of the local forest species Eperua grandiflora
ssp. guyanensis had met with partial success in Guyana. Rajalakshmi (104) also mentioned
the importance of biofertilizers in India as they could boost agriculture and reduce the
debt burden on farming communities. Muralidharan (114) presented a case study of the
development of a biopesticide for the biological control of a serious insect pest of teak,
the teak defoliator (Hyblaea purea). Based on a virus isolated from natural populations
of the insect larvae, a biopesticide was successfully developed in India after nearly two
decades of research, culminating in an elegant solution to a serious problem (114).
However, the technology had not yet been applied in the State Forest Departments, and
he underlined that biotechnology research had a much better chance of producing results
when conceived, developed and implemented in a broader framework consisting not just
of scientists and technologists but also involving at every stage the forestry professionals
who work at the field level and, also at some level, the policy-makers who eventually have
to give the green signal.

6.3.5 Biotechnologies in livestock and aquaculture
The majority of livestock-specific messages focused on biotechnologies for genetic
improvement including AI, ET and the use of molecular markers. In the conference, only
one message was dedicated specifically to the fishery sector and it is summarized at the
end of this section.
For AI, Cruz (32) reported that in the Philippines its application in the genetic improvement
programmes of local buffalo was a good example. He said that although also introduced
for cattle and swine, AI had led to a more organized governmental genetic improvement
scheme in buffaloes. Loquang (97) reported that AI had made significant contributions to
the livestock industry in Uganda through its impact on milk and beef production and the
emerging milk processing industry, which had created many jobs.
Traor (88) observed, however, that AI is practised at a level that substantially impacts
livestock production in only very few developing countries. Looking at the past, he felt
that apart from some technical constraints (such as its relatively high costs, poor heat
detection and nutrition), a major reason for the less successful development of AI in Mali
in the 1970s and 1980s was that there were insufficient economic incentives for farmers to
use it. Nevertheless, he was more optimistic about the future as he noted that the situation
had changed drastically with the emergence of new market opportunities for milk and
milk products in urban areas and subsequently the rise in demand for crossbred cattle. He
argued that the main current constraint to AI development was the lack of infrastructure and
appropriate policy. From his experience of dual-purpose cattle in Mexico, Moro (14) wrote
that the reasons why farmers failed to adopt a technical package (including practices such
as AI, record keeping, mineral supplements and generation of value-added products such
as cheese) were the lack of trained extension agents; low income and/or limited access to
credit; and poor documentation of the economic returns of adopting the technology package.
Apart from AI, another reproductive technology discussed in the conference was ET,
where participants reported that it had been used successfully in Honduras (Roca, 74),
was approaching the commercial stage in Pakistan (Ali, 77) and that embryos from the
British Texel breed had been successfully transferred to local Blackbelly sheep in Guyana
(Caesar, 121).
Ali (77) was upbeat about the potential benefits of applying biotechnologies to the
livestock sector in Pakistan. He reported that molecular markers had been used for genetic
characterization of the Nili, Ravi and Nili-Ravi buffalo breeds and that DNA fingerprinting
had been successfully used in legal proceedings for paternity confirmation to resolve an
issue regarding animal ownership. Nimbkar (55) described the successful introgression of
the FecB mutation allele for fecundity from the small prolific Garole sheep into the larger
Deccani sheep in Maharashtra in India, resulting in Deccani sheep that were more prolific
while retaining their larger size, local adaptation and meat-producing ability. The FecB
mutation increases ovulation rate considerably and a PCR-RFLP test was used to detect
the mutation while backcrossing. She concluded (55) that the gene had provided farmers
with the opportunity for moderate and sustainable intensification of production, which
was a step towards raising the efficiency of resource use. She noted that it was possible to
use the patented gene and DNA test without paying a royalty because those patents were
not valid in India6.
Lack of proper animal recording systems in developing countries was seen as one of the
major constraints to using biotechnologies for genetic improvement. Moro (40) highlighted
the importance of keeping accurate records and based on his experiences with dual-purpose
cattle in Mexico, he stated that the lack of phenotypic recording was a reason for failure
of the research/technology transfer programmes for genetic improvement (involving AI,
planned crossbreeding, genetic selection). For farmers that might eventually join a milk
recording scheme, he underlined the importance of enabling them to make quick and
practical use of the records, e.g. to assist them with daily management issues (Moro, 40). In
a similar vein, Satish Kumar (31) bemoaned the fact that in India good-quality phenotypic
performance records are lacking and was critical of the fact that in this situation most of
the animal breeding researchers have gone high-tech. Unless some basic animal genetics
experiments were carried out and there was collection of quality data, he argued that research
into molecular markers would have no impact, concluding: let us count our sheep before
worrying about genes!
For Africa, Adebambo (72) also highlighted the difficulties of animal improvement.
Rather than importing poorly adapted exotic breeds, he urged that more attention be
give to African livestock, and that issues of description and census of African livestock
needed to be addressed first. Like Adebambo (72), Kumarasamy (29) argued that the use
of biotechnology in the animal sector was far behind the crop sector. The reasons he cited
for this included the lack of coordination between agencies and between the laboratory
and the field; excessive bureaucracy and lack of encouragement from the administration;
and short-term project funding (34 years), which is too short for animal breeding schemes
because of the long generation intervals in animals (29).
A small number of messages were dedicated to biotechnologies applied to animal health.
Pathirana (110) noted that R&D in biotechnology had progressed at a very slow pace in
Sri Lanka, and that only plant micropropagation, AI in cattle and ELISA techniques for
disease diagnosis in cattle and buffalo had made any impact at the field level. Roca (74)
6 The Deccani sheep case study was presented by Nimbkar at ABDC-10, www.fao.org/fileadmin/templates/abdc/documents/chanda.pdf and further
details are given in Chapter3.6.1

also noted that good progress had been made on the use of immunological and molecular
approaches for diagnosis of animal pathogens in Honduras. Ali (77) noted the major potential
of producing indigenous recombinant DNA vaccines against highly prevalent livestock
diseases (such as foot-and-mouth disease and hemorrhagic septicaemia), but indicated that
the facilities were not yet available for this in Pakistan.
For aquaculture, Zidana (98) wrote about the use of hormonal treatment to generate
single sex populations in tilapia, where males are more desirable as they grow faster than
females. He reported the production of YY males in indigenous tilapias with improved
growth rates as a success at the technical level in Malawi. However, due to the high cost of
importing hormones from Asia, its use at the field level was not economically feasible and
farmers had reverted to producing mixed sex tilapia. He also mentioned that it had not been
possible to produce or buy the hormones locally or regionally or to get any collaborators
to support the project (98).
6.3.6 Biotechnologies in food processing

Several messages were dedicated to the production and importance of traditional fermented
foods in developing countries. There was general consensus regarding the need to develop
defined starter cultures for indigenous fermented foods and to transform fermentation from
an art to a technology-driven process.
Raheem (1) pointed out that many developing countries, especially those where
cold storage is lacking, rely on fermentation to preserve food. Edema (79) argued that
fermentation could be regarded as a success in Nigeria as virtually every household depends
on fermented food for its daily meals. In addition, some of the fermented foods and their
by-products are used as medicines, such as Omidun, the liquid derived from the fermented
cereal gruel called Ogi, used to treat childhood diarrhoea. In a similar vein, Loquang (97)
highlighted the importance of traditional fermentation in indigenous food processing among
pastoralist communities in Uganda. He described how fermented milk was used to produce
ghee and listed many of this products important functions, both food and non-food, in
the communities. He concluded that since such techniques have sustained the livelihoods
of pastoralists for generations, it is only fair to say they have been successful. Sivakumar
(112), writing about Nepal, advocated applying biotechnology for fermented products,
also because it could be an effective use of limited financial and infrastructural investments.
The successful use of novel enzymes and micro-organisms for agro-industrial processes in
Honduras was noted by Roca (74).
Olusegun (17) highlighted the importance of cassava-based fermented foods such as
gari, fufu and lafun in Nigeria and said there was an urgent need to apply biotechnologies
to these popular foods. He noted, however, that most research findings in this area had not
led to anything concrete and concluded by advocating the production of starter cultures
for traditionally fermented foods in Africa. Raheem (1) commended recent initiatives to
diversify the industrial utilization of cassava such as the production of dried yeast, alcohol,
L-lactic acid and phytase through fermentation, and wrote that cottage industries should
be established to commercialize them.
Edema (79) argued that fermentation could also be considered a failure in Nigeria
because more advanced biotechnologies had not been applied, as back-slopping (rather than
application of defined starter cultures) was used at the household level. Highlighting the need
to move production of indigenous fermented foods in developing countries from an art
to a technology-driven process, Olusegun (61) noted that starter culture development
is one of the steps in this transition, mentioning the successful use of starter cultures in
production of fermented pork sausage (nham) and soy sauce in Thailand7.
Nevertheless, Olusegun (61) noted that although important micro-organisms for
fermentation might have been identified, starter cultures had not been developed for most
indigenous fermented foods in Africa and for some in Asia. He argued (61) that one of
the reasons was that the industry was still at the household level and manufacturers view
starter culture technology as a burden to the cost of production.
To improve traditional fermentation processes and products in developing countries,
Olusegun (61) concluded that the way forward involved more research on process
standardization and controls and on the nutritional benefits of fermented foods; capacity
building in biotechnology, especially in starter culture technology; development of fermenters
(bioreactors) with control parameters (to overcome the tedious and time consuming nature
of traditional processing); and promoting public awareness of the potential of biotechnology
and the need to improve traditional food biotechnology with modern knowledge.
6.3.7 Cross-sectoral discussions: Reasons for failures of agricultural biotechnologies

in developing countries
In Parts 6.3.3 to 6.3.6, summaries were provided of messages that discussed the successes
or failures of specific biotechnologies in specific sectors. A large number of messages were
also posted which considered agricultural biotechnologies in general without specifying any
sectors or biotechnologies. In this part, these cross-sectoral discussions about the reasons
for failures in applying agricultural biotechnologies in developing countries are summarized.
7 A presentation of the soy sauce case study was given at ABDC-10, www.fao.org/fileadmin/templates/abdc/documents/soysauce.pdf and further details
are given in Chapter5.5.1

Lack of funds, facilities and trained professionals
Chikezie (4) thought that a major reason for the failure of agricultural biotechnologies
in developing countries was the lack of funds, facilities and properly trained personnel
to use them. As a follow-up to this message, Oyewole (8) added that many scientists in
developing countries who work in the field of agricultural biotechnologies have also limited
possibilities to disseminate the outcomes of their research to the people who could benefit
from them. Additionally, he noted that the lack of funds and facilities meant that much of
the agricultural biotechnology research carried out by developing country scientists was
done in advanced institutions in developed countries (8). Tonjock (9) also described the
negative impacts that the lack of funding, facilities and training had on the use of agricultural
biotechnologies to fight against plant diseases in Cameroon.
Apart from Chikezie (4), lack of availability of funds was reported in many messages
as one of the reasons for the failure (e.g. Tchouaff, 10; Moro, 11; Sharry, 15; Muchadeyi,
16; Oyewole, 36; Roca, 74; Pathak, 96; Ubi, 120). Van der Meer (115) also noted that
the funding levels for biotechnology were far inferior to the levels promised in the past.
However, Yongabi (19) cautioned that even if funds were available for biotechnology, the
improvement of agricultural productivity might not be significant in developing countries
unless sustainable locally-adapted technologies were used, concluding: agriculture can
be improved in developing countries if appropriate technologies are developed simply
and accessible to everyone rather than the over reliance on high-tech which is usually
expensive!. Moro (40) agreed that some failures of biotechnologies may be due to lack of
appropriate (local) solutions aimed to solve local problems and that lack of funds was not
necessarily the main problem.
The negative impacts of poor research facilities were mentioned in several messages.
Ajambang (30), supported by Oyewole (36), noted some of the routine challenges that
many researchers face in developing countries were high customs duties for importing
scientific equipment; difficulties in getting spare parts for broken scientific equipment; and
power failures. Ubi (120) also named inadequate power supply as one constraint to their
research in Nigeria. Pathak (96) noted that in Nepal there was no local industry producing
the reagents and chemicals required for biotechnology work so they had to be imported
which meant that prices were high, thus discouraging investments in this area. Oselebe
(57) indicated that apart from the International Institute of Tropical Agriculture (IITA), a
CGIAR institute, there were few laboratories in Nigeria equipped with facilities to assist
with molecular markers. Edema (79) noted that many scientists who visited advanced
laboratories abroad often had problems continuing their work when they returned home
due to limited facilities.
Several messages, including Sharry (25), Rajalakshmi (104) and Pathirana (110) pointed to
the lack of trained professionals. For example, Manneh (35) stated that the lack of sufficient
trained manpower was most acute in Africa where there is a serious shortage of breeders
and biotechnologists in many national research programs. For sub-Saharan Africa, Danquah
(99), supported by Gama (103), emphasized the importance of education, stating: we
have to go back to basics and develop not only the post-graduate schools in sub-Saharan
Africa but the entire plant science programmes in institutions of higher learning. Today, a
number of universities in Africa are struggling and many cannot run a good practical class
for science students and many people graduate without the necessary skills to confront the
challenges of any workplace. Its important for us to recognize that many of these half-baked
students are those who end up in higher offices, some as politicians who never appreciate
the application of science to development. Similarly, Driss (117) concluded that training
should be the priority, while both Chikezie (48) and Oselebe (57) urged that donors provide
funding for training. Caesar (121) proposed that a global biotechnology capacity building
project be established, possibly spearheaded by FAO and UNEP.
Brain drain
Another important reason cited for failures of biotechnology was brain drain. For example,
Yifru (23) reported that in the past decade or so, a number of prominent African agricultural
researchers and policy analysts had left their respective national agencies, which had weakened
the capacity of national agricultural research organizations and created knowledge gaps.
For Caesar (121), human capacity sustainability and brain drain in developing countries
were a threat to effective biotechnology development. Specific examples of brain drain were
mentioned with Caesar (121) naming two key professionals that had migrated from his
country, Guyana, in the past decade and Rigor (42) reporting that many trained biotechnology
staff in his institute in the Philippines stayed only a short time before migrating/moving,
which normally led to their projects being suspended or prematurely terminated.
Some participants felt, however, that brain drain need not be only negative, and that
the professionals who migrated from developing countries could still contribute to solving
problems back home. Thus, Murphy (100) felt that brain drain was real but need not
be catastrophic. He cited the case of the 2009 World Food Prize winner, Gabisa Ejeta,
an Ethiopian-born scientist who worked in the United States and who developed Striga-
tolerant sorghum hybrids that were widely disseminated in Africa, noting that he had been
able to leverage know-how from the United States for the direct benefit of subsistence
farmers in Africa. Caesar (121) noted that this model of brain gain could be explored as
a way to lever the knowledge and support of citizens of developing countries who are
fully established in developed countries. Predeepa (111) thought that brain drain was a
necessary evil, which made it possible to learn about science, share resources and transfer

technologies between countries. Gama (103) agreed that the story of Gabisa Ejeta was
inspiring, but argued that Africa needs to build its own expertise at home, a point which
echoed Yifrus (23) conclusion: at the end of the day, there will be no effective substitution
for national capacity.
To act against brain drain, Caesar (121) proposed that scholarship programmes for
developing country trainees in developed countries should be complemented by a subsequent
home-country sustainability/support programme. C.S. Prakash (107) advocated government-
sponsored building of a science-based infrastructure to prevent the problems of high staff
turnover rates mentioned by Rigor (42).
Inappropriate research focus

Muralidharan (43) argued that, unlike some African countries, there was no lack of funds,
facilities or expertise in biotechnology research in India, and yet agricultural biotechnology
had hardly produced any benefits so far. He attributed this to excessive duplication of research;
the lack of a clear objective or perspective in terms of eventual application; and over-emphasis
in most organizations on purely academic aspects of research. The need to consider the end
user was also emphasized in other messages such as Adebambo (72) and Tchouaff (5), with
the latter urging that national research should be re-oriented towards addressing practical
problems in the country based on the farmers needs and should be demand-driven, which
was not the case currently. Murphy (80) argued that one of the reasons for the lack of capacity
and focus on practical areas of agricultural research in developing countries was the general
worldwide trend for scientists to shift from applied to basic research which is perceived as
being more prestigious. He noted that this issue had been of concern to Norman Borlaug,
the father of the green revolution, who insisted that his staff focus on projects relevant
to increasing production and discouraged researches in pursuit of irrelevant academic
butterflies. Both Jordan (83) and Yifru (84) agreed with Murphy (80), although Trigo (93)
was not convinced that such a trend was seen in reality, explaining that his experience in
national agricultural research systems in the Latin America and the Caribbean region was
that the bulk of research was dedicated to more applied, problem solving efforts.
On a related issue, Kojo (21) argued that international donors had undue influence on
the research agenda, supporting research projects in their own commercial interest and
leaving the problems facing Africa and the other developing countries still unattended
to, calling it indirect brain drain.
Lack of political will

Kojo (21) argued that another pressing issue which had contributed immensely to the
failure of agricultural biotechnologies in developing countries over the last 20 years was
the lack of political will in most developing countries, especially in Africa, to support
research in general. Oyewole (36) also highlighted the challenge in developing countries
of governmental apathy towards research including biotechnology research, as did Gama
(103) who wrote that development of indigenous biotechnology capacity was damaged by
the lack of awareness or willingness of policy-makers to support biotechnology projects.
Yifru (23) noted that Africa was still far behind in the development and dissemination
of appropriate agricultural technologies and products and urged that governments should
give utmost priority to reinvigorating their educational systems and institutions and
creating a conducive environment for biotechnology R&D in agricultural colleges and
universities. The positive enabling role that government policies could play for application
of biotechnologies was mentioned in several messages (Tchouaff, 5; Olusegun, 61; Edema,
79: Traor, 81; C.S. Prakash, 107; Muralidharan, 114). Danquah (99) also emphasized the
importance of policy development, mentioning that most countries in sub-Saharan Africa
did not have a science policy or a biotechnology policy, and that international organizations
such as FAO needed to place policy development high on their agenda. Some developing
countries have, nevertheless, prepared national biotechnology policies, including Nigeria
(Usman, 37) and Sri Lanka (Pathirana, 110).
6.3.8 Cross-sectoral discussions: Suggestions for increasing the success of

agricultural biotechnologies in developing countries
In the conference, many participants also suggested ways to ensure that applications of
agricultural biotechnologies would be successful in developing countries in the future.
These discussions are summarized below.
Research should be directed to the real problems of farmers

To enhance the benefits of applying biotechnologies in developing countries, one of the key
suggestions made by participants was that research should be directed to address the real
practical problems of farmers in developing countries. For example, Kumarasamy (29) stated
that for biotechnology to be more effective in the future, problems from the field should
be identified, the research should be results-oriented and it should lead to applications in
the field. Similar views were expressed by Tchouaff (5), Satish Kumar (31), Muralidharan
(43) and Infante (85). Nimbkar (55) agreed with Satish Kumar (31) and Muralidharan (43)
that biotechnology research should fit into a comprehensive improvement programme for
the given sector and be focused on applicability. Otherwise, she said, it would use scarce
financial resources without delivering the expected progress (55).
To encourage researchers to focus on applied, more practical research than basic, more
academic research, Murphy (80) suggested that the status of applied researchers should be
boosted and they should be rewarded equally compared with their more academic colleagues;

the public sector in all countries should shift the emphasis to socially valuable applied R&D;
and resource-strong bodies like the European Union should channel collaborative funding
with developing countries towards such areas. Jordan (83) agreed, and advocated increasing
the funding and status of the applied disciplines so that the potential gains from applying
biotechnologies can actually be realized. Yifru (84) also agreed, stating that national
governments in developing countries and their international partners need to work towards
revitalizing applied research in the public sector. To arrive at a successful application of
biotechnology, however, Infante (85) and Trigo (93) argued that both basic and applied
research are needed, with Infante (85) giving an example of his work in sequencing the
cocoa genome to indicate why this was true, and Trigo (93) arguing that an examination of
success stories indicates that most of them had both research components.
Strengthened extension services

As stated eloquently by Murphy (100): R&D is like a hosepipe - there is little point in
filling it with water if the outlet remains blocked!. Having directed R&D towards the
real problems of the farmers, to ensure that these results actually reach and benefit farmers
in developing countries, participants suggested that extension systems be strengthened
(Tonjock, 9; Moro, 14; Cruz, 32). Tababa (67) reported that one of the factors that facilitated
adoption of biotechnologies in the Philippines was strong agricultural extension. For rice
biotechnologies and their products, Manneh (35) concluded that to enable their wider use
there was a need to reinforce national capacities such as the national research and extension
systems. The importance of providing appropriate and timely information to farmers was
also highlighted by Falck-Zepeda (20) and Zambrano (59) in their IFPRI studies on adoption
of GM crops in South America.
Increased regional and sub-regional cooperation

Several participants suggested that increased regional and sub-regional cooperation would
increase the benefits of applying biotechnologies. For sub-Saharan Africa, Danquah
(99) concluded that biotechnologies had failed to deliver on their promise in the past
and to change this he highlighted the importance of education, capacity building and
close collaboration between institutions and universities in sub-Saharan Africa. He also
proposed the establishment of sub-regional centres of excellence and innovations in sub-
Saharan Africa to train the next generation of African biotechnologists. Gama (103) agreed
with this proposal as did Hash (105) who, however, underlined that the centres should
be linked with agencies involved in technology delivery to ensure that research products
were delivered and accessible to farmers. Hash (105) noted that for breeding programmes
wishing to use molecular markers it would be very useful if service laboratories providing
high quality and cost-effective marker data could be established at sub-regional hubs.
Agreeing with Danquah (99), Caesar (121) stressed the need for capacity building and
outlined the key features of a potential global biotechnology capacity building project,
building on regional and sub-regional groupings of developing countries and including a
comprehensive scholarship/fellowship programme for developing countries. Commenting
on the many messages describing the lack of facilities and capacity for biotech R&D in
developing countries, Murphy (100) felt it might be unrealistic for each country, however
small, to have its own research programme and he advocated increased collaboration with
neighbouring countries and with centres in developed countries. Gama (103), however,
disagreed that it was unrealistic to have a national programme.
Regional collaboration can be promoted through South-South cooperation programmes
and a number of UN and non-UN international organizations provide assistance for South-
South cooperation. McGrath (69) described one such example from the Academy of Sciences
for the Developing World (TWAS), which supports young scientists from developing
countries to carry out research in centres of excellences in other developing countries.
Public-private partnerships (PPPs)

Several participants suggested strengthening collaboration between the public and the
private sectors as, following Roca (74), it can create a win-win outcome in addressing
local problems. Some recent examples of PPPs were described, including the water
efficient maize for Africa project, a PPP led by the African Agricultural Technology
Foundation (AATF), involving five African national agricultural research systems, two
donor foundations, the International Maize and Wheat Improvement Center (a CGIAR
institute) and Monsanto (C.S. Prakash, 107). Launched in 2008, its goal is to produce
drought-tolerant maize varieties and make them available to small-scale farmers in sub-
Saharan Africa. Echenique (41, 64) also described the WheatBiotech project launched
in 2008 and developed by 12 partners including seven private breeding companies in
Argentina. Its goal is to exploit biotechnological tools to improve the competitiveness
and sustainability of the Argentinean wheat chain.
The private sector is playing a significant role in commercializing products resulting
from agricultural biotechnologies in various developing countries, and numerous messages
in the conference documented this. Examples were provided for biofertilizers in Mexico
(Peralta, 22, 50); genetic modification in the Philippines (Cruz, 32) and India (Banerjee,
15; Prakash, 28); MAS in India (Hash, 44; Banerjee, 15); and tissue culture in El Salvador
(Orellana, 62), the Philippines (Tababa, 67) and Sri Lanka (Pathirana, 110). Both national
and multinational companies are involved (e.g. Priyadarshan, 6; Moro, 11; Banerjee, 15;
Prakash, 28).

Hash (68) underlined that use of biotechnology tools needed to be strongly linked to
applied product development, testing and delivery systems that address any relevant regulatory,
multiplication and marketing issues. He therefore concluded: this means that public sector
biotechnology research will generally need to have strong links to the private sector if it is to
have a high likelihood of delivering successful applied products within a reasonable time frame.
For species that are already the target of large-scale private sector research investments, he
did not, however, exclude investments by the public sector, but advised that they be focused.
Similarly, Trigo (93) argued that because of the lack of management capacities and resources
most public sector institutions had difficulties in handling many of the downstream issues
such as biosafety (for GMOs) and intellectual property rights, and so they often ended up
making agreements with private companies to handle those stages. Hash (68) noted, however,
that it may then be difficult to apply biotechnology in situations where there are very small
markets or where much of the product delivery and dissemination occurs via informal or
traditional technology exchange systems. In many African countries, more than 80 percent
of seeds used in agriculture are supplied by the informal system (Manneh, 35).
Yifru (84) argued that when commercialization was dominated by the private rather
than the public sector, the crops or traits of critical importance for poor farmers (such as
orphan crops) received less attention and there was an increasing shift in research/funding
from food crops to export-oriented crops. To overcome these kinds of hurdles, he and
others (e.g. Trigo, 93) called for increased public sector investments and to focus them on
applied research so that the public sector can ensure that biotechnologies are employed
for the common good as well as for private profit (Murphy, 100).
6.3.9 Participation in the conference

A total of 834 people subscribed, of whom 83 (i.e. 10 percent) submitted at least one message.
Of the 121 messages that were posted, 33 (27 percent) came from people living in Asia; 32
(26percent) from Africa; 24 (20 percent) from Latin America and the Caribbean; 16 (13percent)
from North America; 10 (8 percent) from Europe; and 6 (5 percent) from Oceania. The
messages came from people living in 36 different countries, the greatest number coming from
India (27 messages), Nigeria (12), Argentina (11), United States (9) and Cameroon (5). A total
of 90 messages (i.e. 74 percent) were posted by participants living in developing countries.
Forty eight messages (40 percent) came from people working in universities; 34
(28percent) from people working in research centres (28 in national institutes and 6 in
CGIAR centres); 12 (10 percent) from people in the private sector; ten (8 percent) from
participants from non-governmental organizations; eight (7 percent) from people working
as independent consultants; six (5 percent) from people in Governments; two from the UN
and one from a development agency.
Here below, the names are provided of participants with referenced messages,
as well as the country in which they are living:
Adebambo, Ayotunde Falck-Zepeda, Jos

Nigeria United States of America
Ahmed, Kasem Zaki Gama, Peter
Egypt The Sudan
Ajambang, Walter Giddings, Val
Indonesia United States of America
Ali, Ahmad Glover, Dominic
Pakistan The Netherlands
Anderson, Paul Gupta, P.K.
United States of America India
Banerjee, Partha Gurian-Sherman, Doug
India United States of America
Beach, Larry Hash, Tom
United States of America India
Bett, Bosibori Infante, Digenes
Kenya Venezuela
Caesar, John Jordan, David
Guyana Australia
Chikezie, Uche Kamanga, Daniel
Nigeria South Africa
Cruz, Von Mark Keshavachandran, R.
The Philippines India
Danquah, Eric Kojo, Agyemang
Ghana Ghana
Dvila, Doris Ziga Kumar, Dinesh
Peru India
Driss, Sadok Kumar, Satish
Tunisia India
Dudhare, M.S. Kumarasamy, P.
India India
Echereobia, Christopher Loquang, Thomas
Nigeria Uganda
Echenique, Viviana Manneh, Baboucarr
Argentina Senegal
Edema, Mojisola McGrath, Peter
Nigeria Italy
Egesi, Chiedozie Moro, Jos
Nigeria Canada
Escandon, Alejandro Muchadeyi, Farai
Argentina South Africa

Muralidharan, E.M. Roca, Maria Mercedes
India Honduras
Murphy, Denis Sangar, Sunita
United Kingdom India
Nassar, Nagib Seshadri, S.
Brazil India
Nimbkar, Chanda Sharry, Sandra
India Argentina
Nzeduru, Chinyere Singh, Harjit
Nigeria Canada
Olusegun, Obadina Adewale Sivakumar, S.
Nigeria India
Orellana, Mario Antonio Souza, Lcia de
El Salvador Brazil
Oselebe, Happiness Tababa, Sonny
Nigeria Singapore
Oyewole, Olusola Tchouaff, Norbert
Nigeria Cameroon
Parrott, Wayne Tonjock, Rosemary
United States of America Cameroon
Pathak, Dhruba Traor, Adama
Serbia Mali
Pathirana, Ranjith Trigo, Eduardo
New Zealand Argentina
Peralta, Humberto Ubi, Benjamin
Mexico Japan
Prakash Usman, Raheef Ademola
India Nigeria
Prakash, C.S. Van der Meer, Piet
United States of America The Netherlands
Predeepa, Rachel Yifru, Worku Damena
Australia Canada
Priyadarshan, P.M. Yongabi, Kenneth Anchang
India Cameroon
Raheem, Dele Zambrano, Patricia
United Kingdom United States of America
Rajalakshmi, K. Zidana, Hastings
India Malawi
Rigor, Alex
The Philippines
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7
chapter
Targeting Agricultural
Biotechnologies to the Poor
Summary
Designing and implementing policies for targeting agricultural biotechnologies to the poor
requires holistic or joined up analyses of proposed interventions to identify their possible
direct and indirect, immediate and longer-term ramifications and to foster coherence with
overarching national policies for economic and social development, including agriculture and
food security, as well as for science and technology (S&T). Doing so requires taking account
of the institutional arrangements for developing new agricultural technologies into tangible
products and the social contexts that influence the incentives for farmers and markets to
adopt these, and fostering collective and transparent processes for decision-making. Policies
for agriculture itself now have to deal with a multitude of new and emerging issues, and
decision-making is further complicated by influential legally-binding instruments negotiated
globally, regionally and bi-nationally. This plethora of cross-cutting considerations cannot
be tackled effectively by an individual ministry and different interests will drive negotiations
towards particular outcomes and priorities. Competing economic and social interests do
not favour targeting biotechnologies in food and agriculture (BFA) towards small-scale and
often poor farmers living in resource-challenged areas only strong and persistent political
commitment can achieve this.
This Chapter begins by outlining some of the broader considerations within which
national agricultural and wider rural development policies and policy-making operate
nowadays, and some principles that should be followed for formulating a national policy or
strategy for BFA including the critical issue of deciding on the distribution of benefits from
introducing technological change through biotechnologies (i.e. direct and indirect effects).
A rationale is provided for establishing a national biotechnology policy/strategy
(NBS) framework something which few countries actually have in place as well as

some principles and examples of how some countries have gone about planning and
implementing biotechnology applications. The Chapter describes the type of analytical
work that should underpin preparation of the NBS; the essentiality of ensuring the widest
possible engagement with the public, including with representatives of farmer/producer
organizations, private companies, non-governmental organizations (NGOs), civil society
organizations (CSOs) etc., the ultimate aim being participatory decision-making. In
addition, the Chapter makes suggestions for content, based on a consideration of core
government roles and responsibilities as well as on the assignment of roles and responsibilities
for its implementation. It recommends that notwithstanding the need to develop policies,
strategies and programmes that are aligned with those existing for the agricultural sector and
its sub-sectors and tailored to meet the requirements of BFA, the governance of agricultural
biotechnologies at national level should be horizontal. It also deals with the question of
NBS approval, providing examples of options available.
Coordination across government ministries, across government departments (within
ministries), with sub-national governance structures and with other governments via
bilateral, regional and multilateral mechanisms is a key issue in designing and following
through on policies for BFA. Horizontal as well as vertical coordination are therefore
essential for comprehensive and balanced biotechnology policies and several options are
outlined for achieving this between and within individual ministries. Important issues to
be resolved here include the reach of such mechanisms where working at the policy and
at the operational levels has to be clarified, as does how to involve others who may not be
at the table, e.g. NGOs, the business community and other partners from civil society.
A further consideration is securing independent advice, and several principles and options
are provided for countries and institutions wishing to obtain such input.
The Chapter includes an analysis of the NBS documents that have been developed and
approved by 15 selected developing countries. Few of the countries analysed have formal
structures to oversee development of agricultural biotechnologies and in even fewer do these
appear to involve collective government. The option chosen was to assign responsibility for
implementation as an add on to the ministry assigned to lead development of the framework
(normally the Ministry of S&T), with no indication given about delegation of responsibility
for specific areas such as BFA or for bringing policy issues to the top table for discussion
and decision-making. A further gap seems to exist in countries with federal and local systems
of governance, i.e. the lack of a specific national forum for coordinating policy, raising the
distinct danger of, e.g. policy and funding overlaps and production and trade distortions.
Priority-setting for biotechnologies in general and specifically for BFA is arguably
the biggest challenge faced by government and sector-level policy-makers, particularly
if the goal is to tackle hunger and poverty in rural areas. Options to aid decision-making
chapte r 7 Targeting Agricultural Biotechnologies to the Poor 329

include establishing a national system of biotechnology statistics and indicators; setting
up systems of biotechnology foresight; and introducing instruments that encourage
research and development (R&D) institutional transformation with a premium placed
on multi-disciplinarity and networking (i.e. innovation systems approaches). Also,
policy-makers have to decide on public sector research entry points the appropriate
balance between basic/fundamental and applied research, and between crops, livestock,
aquaculture and forestry; the breadth of the R&D portfolio; and the division of labour,
i.e. which technologies can or will be developed exclusively by, or in partnership with,
local or international private sector companies. Here, it should be recognized that for the
most part, the role of private sector R&D and delivery systems will remain limited without
significant government inducements, particularly for small-scale/subsistence farmers
in marginal areas. Irrespective of whether one or a number of ministries is responsible
for Agriculture, a collective decision-making forum for priority-setting and resource
allocation for R&D within or between the ministries involved would seem appropriate.
As noted in Chapter8, a number of countries are beginning to establish such mechanisms
for dealing with regulatory issues, but no country seemed to have a similar forum for
biotechnology priority-setting across the agricultural sector as a whole.
The potential for R&D to improve productivity and reduce hunger and poverty will
be strongly influenced by the types of farms and production systems, and by the strength
of the research, extension and higher education institutions available. Its focus should
be directed at areas where the largest number of poor people live and respond to their
vulnerabilities and livelihood strategies. This type of information needs to feed into a
process that considers all the technical options available for dealing with the issue(s)
in question. This in turn may require expertise in ex ante impact assessment supported
where possible by ex post assessments to assess whether a particular biotechnology
adds value to more conventional and probably lower-cost and technically less
demanding R&D approaches for improving livelihoods through productivity or quality
enhancements, the effectiveness of government or private services and the returns on
government investments. For some biotechnologies, assessment should take account of
socio-economic issues like intellectual property rights (IPR), the associated costs and
assumptions concerning user and consumer acceptability nationally and internationally
for commodities earmarked for trade, and the skills and infrastructure needed to cover
possible R&D as well as post-release costs of biosafety and food/feed safety regulations.
Other priority-setting considerations include: the current status and likely future strength
of the national breeding, management and disease/pest control programmes; the delivery
systems for the technology in question and their sustainability; and the national and
international S&T landscape.

A summary is provided of methods for conducting impact (mostly economic)
assessments, the majority of which feed into top-down approaches. Some, however, like
the sustainable livelihoods approach can be adapted to bottom-up mechanisms although in
general the associated data requirements are substantial. Impact assessment should be part
and parcel of priority-setting processes and overall research evaluation and management
systems within research organizations and therefore should be institutionalized throughout.
Priority-setting ultimately comes down to assessing the appropriateness of the
technological packages being considered i.e. their technical feasibility, economic viability,
social acceptability, environmental friendliness, relevance to the needs of farmers, consumers
etc. issues that inevitably vary over time and space. Assessing appropriateness requires
capacity to identify and make hard choices among the many critical problems facing rural
communities that can be addressed better with agricultural biotechnologies than by taking
other approaches. This, in turn, depends on the quality of the background information
available, the methods used, and who participates and how, in informing decision-making.
The results will always be speculative, open to uncertainties and different interpretations
and certainly cannot reliably be extrapolated from one country to another or even from
one location to another within a country. It is therefore important to review results against
studies from other countries with similar and different socio-economic conditions.
Government-level policy-makers should encourage the introduction within their national
agricultural research systems (NARS) of more rigorous and participatory mechanisms and
methods to inform decision-making on these matters, including allocation of resources
through specific programmes, projects and activities. However, new approaches are
needed to assess, and compare with conventional approaches, the likely impacts social
as well as economic, immediate and long-term, positive and negative of all major
modern biotechnologies used in food and agriculture, particularly for smallholders in
disadvantaged areas.
7.1 Introduction
ABDC-10 takes place against the backdrop of global food, energy and financial crises,
and a number of worrying statistics and trends concerning hunger, food insecurity, the
state of the worlds climate, and its resources of land, water and biodiversity upon which
everyone ultimately depends for their livelihood and very existence. It benefits from the
comprehensive and thought-provoking insights provided by the World Development
Report on agriculture for development (World Bank, 2007), the International Assessment
of Agricultural Knowledge, Science and Technology for Development (IAASTD, 2009)
and the State of Food Insecurity in the World (FAO, 2008) into the challenges faced and

the opportunities available through agriculture at regional and global levels for meeting
hunger and wider sustainable development objectives, such as reducing poverty, food
insecurity and environmental degradation.
These and other reports serve to highlight the fragility and vulnerability of the worlds
food system. They also raise serious concerns about the adequacy of the business as usual
response that has characterized the individual and collective actions of so many countries
since the World Food and Millennium Summits for avoiding the prospect of many millions
more falling into poverty and chronic hunger and for getting back on track for meeting the
Millennium Development Goals (MDGs) and other internationally agreed development goals.
The vast majority of the worlds hungry people live and work in rural areas as do
three-quarters of the 1.4 billion living on less than US$ 1.25 per day (Chen and Ravallion,
2008), and most depend on agriculture for their livelihood both directly and indirectly
through rural off-farm activities. Addressing food insecurity therefore requires policies,
strategies and programmes that (1) stimulate widespread and long-term increases in the
production of staple foods and other products through enhanced productivity, (2) doing so
in ways that protect the environment, conserve and use agricultural and wider biodiversity
sustainably, (3) ensure food safety and quality to protect the health of consumers, and
(4)promote fair trade.
At the same time, incentives must be provided for encouraging broad-based rural
development and private sector investment through, e.g. diversification into higher-value
horticultural, livestock and aquaculture products and providing greater access to services
such as credit, insurance, market information and technical support. And while not neglecting
the importance of larger scale and/or higher input commercial agriculture that is practised
in more favourable environments, in order to cut poverty significantly the focus of national
and international initiatives must be on empowering the roughly 1.3 billion smallholders
and landless workers to broaden their opportunities for engaging in local, national and
international markets, reducing food prices and generating demand for locally produced
goods and services.
Technologies and knowledge that increase productivity, facilitate diversification and
marketing of products, and improve natural resource management can be powerful forces for
reducing hunger, food insecurity, poverty and environmental degradation. Earlier Chapters of
this book document the main scientific and technological advances offered by biotechnologies
in crops, livestock, fisheries/aquaculture and forestry for producing food, feed or fibre in
developing countries and for processing, marketing and trading in agricultural products.

This Chapter (along with its companion Chapters 8 and 9), deals with policy1 options
for strengthening national capacities to make informed choices about using BFA. The
Chapters recognize that views vary widely among countries, institutions and individuals
about the contributions that biotechnologies, particularly advanced biotechnologies like
genetic modification, can make to improve agricultural productivity and food security in
developing countries, and whether, for example, strengthened intellectual property regimes
are necessary to achieve these goals. Beneficial or regrettable, both are facts of life, and the
Chapters do not advocate the use or avoidance of any particular biotechnology or approach
towards their development and application, although each one highlights some key and
unique issues that should be taken into account when considering its application.
The three Chapters also analyse the national biotechnology policy/strategy (NBS)
documents that have been developed and approved by 15 selected developing countries
(Table1), as well as other relevant documents and policies from the same countries. These
NBS documents may evolve and be revised by governments over time. However, by analysing
the documentation from these 15 countries together with many peer-reviewed papers and
global assessments, these Chapters set out to describe the range of policy/strategy roadmaps
that have actually been prepared by a spectrum of developing countries from different regions
for exploiting BFA, as well as to provide some additional options that may be considered
by these and other countries.
The three Chapters are closely inter-connected because they include an analysis of
the same 15 countries and by the reality that a national biotechnology policy covers the
pursuit of many inter-linked policy objectives and strategies at any given point of time
while striving for the best possible coherence among them to maximize benefits.
This Chapter therefore attempts to paint the broad picture, covering some of the
foundations and principles for countries to consider when targeting biotechnologies to
the poor. Chapters 8 and 9 on the other hand while not losing sight of these target end-
user/beneficiary groups emphasize policy options for dealing with the more specific
technical, legal, regulatory and socio-economic dimensions of BFA for fostering their
pro-poor development and diffusion.
This Chapter is divided into four main Parts, with Part 7.2 providing the broad context
(national and international) within which agricultural policies operate, and stressing
the essentiality of ensuring that biotechnology policy contributes to wider policies for
agricultural and overall national development. Against some background of the key issues
surrounding agricultural biotechnologies, Part 7.3 deals with the why, what and how
1 For the purposes here a policy refers to a documented plan of action announced by a Head of State and/or agreed by a Government, Ministry,
legislature, regulatory authority and national and international standard setting or other legally recognized body e.g. research institution, university, funding
agency. Policy instruments can include laws, regulations, rules, standards, and politically and legally authorized funding instruments and programmes.
A strategy refers to an integrated package of policies for the sector, a sub-sector, technology or issue. Policies may or may not be legally binding.

of developing, approving and implementing a NBS framework, including a list of the key
policy issues that should be addressed at the governmental level. Part 7.4 provides options
for the governance of BFA, dealing with both its structural and organizational aspects
(e.g. leadership, coordination and options for independent advice), while Part 7.5 covers
the all-important issue of R&D priority-setting at government, ministerial and research
institution levels, including the division of labour between the public and private sectors.
The Annex, in Part 7.6, provides concrete examples of processes and procedures followed
by 15 selected developing countries.
7.2 Agricultural and National Development Policy Contexts
Agricultural policies that address a single issue (e.g. BFA) in a piecemeal manner without
considering the totality of its dimensions will not contribute positively to meeting the challenges
faced by the sector or the people whose livelihoods depend directly and indirectly upon it.
This is because each policy initiative (e.g. using semen or embryos to upgrade livestock as
Table 1
National biotechnology policy/strategy (NBS) frameworks of 15 selected developing countries
Country Year Lead Ministry Prepared by Approved by

Argentina 2004 Econ. & Prodn. Secretariat of Agriculture, Livestock, Fisheries Ministry of
& Food Production
Brazil 2007 Science & Technology (S&T) Interministerial Committee Congress
Chile 2004 Econ. Nat. Committee on Dev. Of Biotech. Government
China 1988 S&T/ State Dev. & Planning Committee/ Ministry S&T State Council
State Economic Commission
India 2007 S&T Department of Biotech. Government
Jamaica 2006 Nat. Commission on S&T National Biotech. Coord. Committee Government
Kenya 2006 S&T Nat. Council S&T Government
Malawi 2009 Educn., S&T Nat. Res. Council Government
Malaysia 2005 S&T & Innovn. Ministry S&T & Innovn. Government
Namibia 1999 Higher Educn., Vocational Training, S&T Namibian Biotech. Alliance Ministry
Peru 2006 Education Nat. Council S&T & Innovn. Congress
South Africa 2001 Arts, Culture, S&T Universities, Private Sector and Research Council Government
Thailand 2005 S&T Dev. Agency Nat. Econ. & Social Dev. Board Government
Uganda 2008 Finance, Planning & Econ. Develop. Nat. Council S&T Government
Zambia 2003 S&T & Vocational Training Ministry S&T & Vocational Training Government

part of a dairy development programme) can have enormous knock-on effects positive
and negative on others, e.g. the people involved in small-scale integrated crop-livestock
production systems and the suppliers of feeds and veterinary services.
Likewise, policies aimed at fostering agricultural biotechnologies for improving the
livelihoods of small-scale/subsistence farmers will neither help them nor promote their
interests without prior consideration of the constraints to the productivity of the plant
and animal species used within the specific farming systems in which they are currently
engaged. Holistic or joined up analyses of proposed interventions are therefore not just
sensible, they are essential in the first place for identifying the possible direct and indirect,
immediate and longer-term ramifications of the intervention itself, and then for designing
and implementing policies and practices that will give a pro-poor direction to intended
improvements in national agricultural and rural development and food supplies.
The institutional arrangements for developing new agricultural technologies into tangible
products and the social contexts that influence the incentives for farmers and markets to
adopt them must also be taken into account. This cannot be based solely on a science
push. Scientists, industry, farming, consumer and other groups can legitimately inform
but it is the role of governments and their delegated ministries and agents to decide. In
addition, essential to the process of deciding about BFA is that it fosters collective and
transparent national ownership and an outcome consistent with meeting the countrys
priorities for economic and social development in general. Ensuring coherence with the
countrys overarching policies for agriculture and food security, as well as for science and
technology (S&T) are also clearly essential for achieving this outcome.
Before dealing with policies for BFA a brief overview is given of some of the complexities
of agricultural and associated rural development policy-making and of the basic principles
for formulating sound policies and follow-up actions. Since these principles apply across
all relevant sectors and irrespective of the particular issue within them, they are not
discussed further in relation to policies for using agricultural biotechnologies. However,
implementing them within national contexts is essential for developing sound policies for
such applications, whether these are in connection with developing and applying the S&T;
deciding on a regulatory framework for safety; dealing with IPR; or involving the public
in decision-making.
7.2.1 National and international dimensions of agricultural policy-making and policies

The national settings within which public policy operate are wide, highly variable, complex
and unpredictable, and since governments have obligations and are answerable to society,
balances have to be struck and priorities set among a wide range of competing economic and
social interests. For example, policies for agriculture have to deal not only with a multitude of

different issues concerning the use of plants, animals, land and water within different production
systems, they also have to include consideration of issues like food insecurity, poverty and
wider rural development, environmental services, processing and marketing, human health,
trade, S&T, intellectual and other property rights and of course financial investments.
These cross-cutting issues cannot be tackled effectively by an individual ministry and clearly
different interests will drive negotiations towards particular outcomes and priorities. Also,
agriculture has to compete for treasury appropriations against other commercial and social
sectors such as manufacturing, infrastructure, education and health, a task made increasingly
demanding in the face of rapid urbanization and in nations where agriculture is no longer the
backbone of economies, e.g. in countries characterized as transforming and urbanized
(World Bank, 2007). In addition, within agriculture itself, small-scale subsistence-oriented
farms, farmers and their organizations have to compete with larger, more commercial and
possibly export-oriented systems and their better-organized representatives at the tables of
decision-making regarding levels, locations and orientation of government policy and direct
and indirect financial support. None of this favours targeting biotechnologies towards the
poor only strong and persistent political commitment can achieve this.
National agricultural policies, and the legal and regulatory frameworks that support
them, are also increasingly influenced by legally-binding instruments negotiated globally,
regionally and/or bi-nationally. While countries may choose not to take part in one or more
of these international agreements, they increasingly set the scene e.g. for global trade, and
their influence cannot be ignored. As discussed in Chapters 8 and 9, of particular relevance
to biotechnology are the global rules that:
}} govern trade, i.e. the Agreements of the World Trade Organization (WTO) and in particular
those on Sanitary and Phytosanitary Measures (SPS) and related Codex Alimentarius
and International Plant Protection Convention (IPPC) standards, Technical Barriers
to Trade (TBT) and on Trade-Related aspects of Intellectual Property Rights (TRIPS);
}} aim to conserve and sustainably use biodiversity and share the benefits from using
it, i.e. the Convention on Biological Diversity (CBD) and its Cartagena Protocol on
Biosafety (CPB);
}} make special provisions for the plant genetic resources used in food and agriculture, i.e. the
International Treaty on Plant Genetic Resources for Food and Agriculture (ITPGRFA).
Added to this are globally and regionally agreed commitments to tackle hunger, poverty,
environmental degradation and trade disparities urgently and in a concerted manner through
a combination of national and international private and public goods (e.g. the MDGs, the Plan
of Implementation from the World Summit on Sustainable Development, the New Partnership
for Africas Development [NEPAD] and the Doha Development Round of trade negotiations).

This Chapter does not detail the history and current status of negotiations leading
to these international agreements and their constituent provisions, nor does it attempt to
describe the positions taken by individual or groups of nations in such processes. Interested
readers are directed elsewhere for this information (e.g. Stannard et al., 2004; Bragdon, 2004;
Tansey and Rajotte, 2008). What is important to note, however, is the dynamic interaction
that takes place between policies negotiated within different global fora (e.g. between trade
and biodiversity).
Introducing, amending and implementing national laws, regulations, structures and
practices to tailor the requirements negotiated through these fora in ways that are most
appropriate for national development are challenges that policy-makers in even the most
technologically advanced countries struggle to meet successfully. For low income and
food deficit countries, crafting policies for protecting/balancing the interests of small-scale
producers and the systems they manage against competition from within and outside their
national borders is much more onerous. And yet, the decisions made and paths chosen by
all countries for meeting the obligations embedded in these agreements will profoundly
influence the speed and direction of R&D and diffusion of biotechnology products, as
well as the distribution of any benefits (and risks) arising from them. This holds for all
biotechnologies, but especially so for genetically modified organisms (GMOs)2 which are
singled out for special treatment within the framework of some international legally-
binding agreements.
7.2.2 Towards comprehensive agricultural development policies and strategies

From the foregoing, it is clear that now and in the future, agriculture needs to contribute
to a much more complex set of outcomes than simply producing more food and other
primary products. There can therefore be no single strategy for putting all the pieces
together for achieving sustainable food security and wider development objectives through
national agricultural and food policies and there will be many potential entry points. For
a start, policy-makers rarely begin with a clean sheet they have a baseline of knowledge
and experience which evolves over time, and it is a well-known maxim that each policy
2 The CPB uses the term living modified organism (LMO), defined as any living organism that possesses a novel combination of genetic material
obtained through the use of modern biotechnology, where modern biotechnology is defined as the application of in vitro nucleic acid techniques,
including recombinant deoxyribonucleic acid (DNA) and direct injection of nucleic acid into cells or organelles, or fusion of cells beyond the
taxonomic family, that overcome natural physiological reproductive or recombination barriers and that are not techniques used in traditional breeding
and selection. Technically, there are differences between a GMO and an LMO but for the purposes here the more commonly used term GMO is
used, although reference may be made to an LMO. It is also questionable technically, whether some products referred to as GMOs are in fact GMOs
since processing has removed all traces of the organism from which the product was obtained. Clear definitions are, however, essential when making
laws and regulations transparent and predictable, and differences in these can lead also to misunderstandings between nations; this aspect is not
expanded upon further here.

has its own politics (IDB, 2006). Also, given the tremendous diversity of the agricultural
and wider productive and socio-economic sectors across countries and within and even
between sectors, and in the cultures of the institutions and individuals that make and
implement policies or regulatory standards, it should not be surprising that the processes
of reaching agreement nationally, and more particularly internationally, on a particular
issue are inevitably protracted with many twists and turns.
While there are many options open to countries for developing agricultural policy (see
e.g. FAO, 2007a), certain principles should be followed for formulating a national policy
or strategy framework if it is to attract widespread legitimacy and buy-in. In particular,
the mechanisms that are set up should have the following overlapping features:
}} The processes should be both forward and outward looking, e.g. based on informed
predictions of climate, technological, demographic and other changes and look at how
other countries are dealing with the sector.
}} The information available should be evidence-based i.e. come from a wide range of
sources that are transparent, take account of past lessons and consider a range of costed
and appraised options.
}} They should be inclusive, i.e. involve stakeholders directly and meet the needs and/or
take account of the impact of the policy on all groups directly or indirectly affected by
it, i.e. it should involve key stakeholders directly.
}} Processes should take a holistic or joined-up view, looking beyond sector and
institutional boundaries to ensure that the sum of agricultures contributions to
the nations strategic sustainable development objectives are greater than the parts
contributed by its different sectors.
}} They should be balanced, i.e. consider both the scientific and social and economic
issues as well as the cultural and ethical dimensions. For example, just because something
can be done doesnt necessarily mean that it should be done; consideration should also
be given to how the policy will be communicated to the public, reviewed and evaluated.
}} The anticipated outcomes should improve or at least should not disproportionately
harm the sustainability of agriculture or the livelihoods of the most vulnerable groups
that contribute directly to, or are affected by the sector.
Developing these frameworks requires consideration and prioritization of many different

policy options inevitably a very difficult call with many caveats and trade-offs since the
contribution of agriculture to pro-poor growth will vary with the stage of development
of the country and also between locations within countries, the key determinant being
the existing conditions (Dorward et al., 2004; Byerlee, Diao and Jackson, 2005; World
Bank,2007; Hazell, 2008).

Nevertheless, possibly the most fundamental policy issue faced by governments is
deciding on the types and levels of public support that should be directed towards small
and large farms for reducing hunger and poverty, e.g. through introducing technological
change via biotechnologies. The dilemma arises because the benefits of a technology can be
both direct and indirect. In the former, they arise through, e.g. improving growth rates in
yields for home consumption and generating incomes for poor farmers thereby increasing
food security largely at the household level. Indirect benefits, on the other hand, have a
wider reach, arising from the effects of adoption by both poor and non-poor farmers; they
include improving food availability through lower food prices and creating employment
opportunities both on- and off-farm, thereby improving the welfare of a broader spectrum
of the poor, e.g. landless farm workers and rural and urban non-agricultural workers. So,
although technological change in agriculture can help to reduce hunger and poverty, the
distribution of these gains between direct and indirect effects is highly dependent on, e.g.
the structure of the economy, the location of hunger and poverty, and on the focus of the
envisaged technological change. If the technologies used to produce these two effects are
not the same, there may be trade-offs in allocating public funds such that using a particular
(bio)technology to improve smallholder welfare leads to a lesser aggregate gain in total
productivity and a lower reduction in poverty and access to food (de Janvry et al., 1999;
Hazell et al., 2007). Relying on the direct route to hunger/poverty reduction therefore
requires knowledge of national land distribution patterns, the specifics of production systems
(e.g. crops, livestock, biotic and abiotic constraints), access to markets and institutional
support etc. of poor small-scale producers. In highly diversified systems, the biotechnology
option could be costly if restricted, e.g. to changing any one crop since the overall effects
on household income may be small (de Janvry et al., 1999). On the other hand, over time
and certainly in climate- or input-challenged areas, positive effects may be more significant.
Other considerations include the reality that in some localities (e.g. where soils are fertile,
water readily available and where input and output markets and other infrastructure are relatively
well developed), smallholder development can drive growth and equitable development through
the rural non-farm sector and more widely through rural-urban linkages. Conversely, in areas
where significant and widespread increases in productivity cannot be achieved (e.g. those with
poor resources and high population pressure), agriculture will not be able to drive the growth
needed for significant hunger and poverty reduction. In these situations, it still has an essential
role in protecting livelihoods and the natural resource base and therefore the policy dilemma
is whether to invest in technology and other services or provide safety nets and help people
out of farming. Thus, while few would question the need to substantially re-direct public
investments to rural areas, policies concerning technologies and other means of support for
smallholders need to be tailored to context, in particular to location and resource endowments.

Much of this comes down to setting wider fiscal and monetary policies since these
have as much to do with how well the sector achieves its objectives as do more traditional
agricultural and food policies per se. Recent reports (World Bank, 2007; UNCTAD, 2008)
provide useful analyses of the roles of macroeconomic, price and trade policies and of public
spending and development assistance bias towards urban needs, and describe how the effects
of these on agricultural production and socio-economic development have been far from
benign. This again reinforces the need to go beyond policies for improving crops, livestock,
fisheries and forestry when developing agricultural and food policies, and to ensure that
inter-sectoral, economic, environmental and trade policies are mutually supportive. Success
in doing so depends very much on the quality of the coordination mechanisms used to
shape, implement and sustain policies. While participation will depend on country-specific
ministerial and other structures, these mechanisms should provide a basis for effective
interministerial relations, foster partnerships with all stakeholders, and build open and
transparent processes to increase public understanding and confidence. Options used by
countries for establishing such mechanisms to deal with BFA are described below.
7.3 National Biotechnology Policy/Strategy Frameworks
7.3.1 Biotechnology issues from a policy perspective

Government and agricultural policy-makers have to make hard choices amongst the many
legitimate demands made on public finances, and in considering their options they will
inevitably be confronted with questions like why agricultural biotechnologies?; which
biotechnology?; is it safe?; what will it cost and who will benefit?; and can the products
be traded freely?
In addressing these and other questions, a number of pertinent issues should be
considered. Firstly, contrary to the impression given by the popular and scientific press,
biotechnology is much more than GMOs. The first five Chapters document the fact that
biotechnology represents a broad collection of tools that are being used for a variety of
different purposes in food and agriculture in developing countries. Notable examples include:
genetic improvement of plant varieties and animal populations to increase their yields or
efficiency; genetic characterization and conservation of genetic resources; plant and animal
disease diagnosis; vaccines to protect livestock and fish from disease; and improvement of
feeds. There are therefore many potentially useful tools included in BFA both traditional
and modern to be considered by policy-makers for contributing to the technological
mix needed to advance sustainable agriculture and rural development, and which will
continue to offer wide choice in the types of agriculture being pursued. GMOs also have
potential. However, their development and use, as well as the use of products derived from

them, require attention to scientific, legal, regulatory, financial and other considerations that
are not generally encountered with other biotechnologies (see below and Chapters 8 and 9).
In addition, at its top end, biotechnology is best described as a platform or generic
technology, embracing applications of genomics and bioinformatics, microarray technologies,
high-throughput DNA sequencing, genotyping, polymerase chain reaction (PCR),
transgenesis, robotics, mass spectrometry etc., across sectors and biological boundaries,
i.e. it is both sector- and scientifically cross-cutting and requires the determined pursuit
of multi-disciplinarity. Policies and strategies for research involving the wider application
of modern biotechnologies should therefore be developed in ways that maximize the
opportunities arising from their cross-fertilization features. This requires strong inter-
ministerial coordination and collaboration.
Biotechnology approaches to agricultural research are not alternatives to conventional
technologies but are complementary. However, whereas developments in conventional technologies
are generally driven from within applied science research settings, modern biotechnology
evolves from discoveries, knowledge and innovations coming from the basic sciences. There
is therefore an institutional disconnect between these two research environments, e.g.
between institutions involved in mapping, isolating and discovering the function of genes and
producing gene constructs and those using genetic markers, gene constructs, and strands of
DNA to characterize or provide improved germplasm, vaccines, diagnostic tests etc. Even at
the more downstream end of modern biotechnology (e.g. using validated molecular markers,
diagnostic reagents, tissue culture and micropropagation), biotechnology R&D comes at
additional cost. Working further upstream (e.g. in structural and functional genomics, basic
immunology and cell biology, bioinformatics and genetic transformation) increases both
start-up and maintenance costs considerably. This is particularly so in the veterinary field or
when dealing with diseases transferred from livestock to man (zoonotic diseases) where
laboratories and animal facilities with high levels of physical containment may be required.
Another consideration is that biotechnology R&D needs physical facilities, expensive
and sophisticated equipment and a critical mass of scientists with new skills to complement
existing expertise in the traditional agricultural specialities like plant and animal breeding,
disease management etc. Shortcomings in either these new or conventional knowledge
arenas (arising from quantitative or qualitative deficiencies in school and tertiary education,
opportunities for continuous learning and funding of more traditional research including
monitoring the status and trends in agricultural and wider biodiversity and the environment)
will seriously limit the potential of BFA.
Realizing the full potential of agricultural biotechnologies takes more than laboratory-
based research. Innovations from upstream research need to be developed and scaled up
through further innovations into tangible products (e.g. seeds, plantlets, diagnostic kits,

vaccines, batches of enzymes, foods) that are useful, affordable and acceptable to farmers,
to diagnostic and other support and input providers, and to consumers. Of course, to be
useful, these products have to be delivered to them. Assuming regulatory requirements are
satisfied (see Chapters 8 and 9), these critically important aspects development/scaling up
and delivery are invariably the major missing links or stumbling blocks to deploying
most technologies, including biotechnologies, in developing countries i.e. the capacity to
commercialize biotechnology through the creation or support of demand-driven private
sector firms or public-private enterprises that can deliver to end users is key for success.
Underpinning the success of such firms and arrangements is the availability of entrepreneurial
and business management skills and financial capital.
An additional issue to consider is that the international legal and regulatory framework
surrounding biotechnology R&D and the diffusion of some of its products are complex
and constantly evolving. They also add significantly to the cost of innovations and to
uncertainty about returns on investments. While certainly not restricted to GMOs, the
following should be noted:
}} Research involving, and products derived from recombinant DNA (rDNA) techniques,
need to satisfy additional scientific and other requirements for ensuring the safe use
of laboratory techniques and field testing of new products before they are released for
general use, i.e. biosafety3 (Chapter8; see also National Research Council, 2002 and
2008). Products may also require environmental monitoring after commercial release
and restrictions may be placed on how and where they are cultivated or used (National
Research Council, 2002; FAO, 2007b). Products entering food and feed chains also have
to meet safety regulations. Meeting regulatory requirements requires additional legal
and scientific skills and laboratory, administrative and management infrastructures.
Ideally, these should be independent from those available within public and private
research and product development institutions;
}} GMOs and products derived from them and other evolving technologies (e.g. animal
cloning) can potentially come up against trade restrictions due to national differences in
approaches to, interpretation of, or enforcement of laws and regulations (e.g. labelling
and IPR), as well as asynchronous approvals (Chapter8). These differences may increase
if, as expected, new products with additional features come to market, but they may
also decrease if adoption of the technology and products becomes more widespread;
3 The CPB does not define biosafety. Judging by the scope of their primary laws and regulations on biotechnology, countries surveyed for Chapters
7-9 employed the term variously in relation to protecting agricultural or agricultural and wild biodiversity, or the environment as a whole (i.e. both
the biotic and abiotic components of landscapes or ecosystems); they may or may not include human health in all its dimensions or one particular
aspect e.g. food safety. For the purposes of these Chapters, the term biosafety refers to assessing and managing the potential risks to the environment
and human health, including food and feed safety arising from R&D, use (contained and not contained), and marketing for food and feed uses of GM
products and the processed materials derived from them.

}} Related to the above, there are many social and economic issues surrounding the use of
modern BFA. These require more complex ways of organizing the interplay between
science, decision-making and society to address public concerns about risks and benefits.
In any event, a number of international instruments, such as the CPB, specifically
address the issue of public awareness and participation regarding GMOs (Chapter9).
}} Many of the tools and much of the biological information used for some of the
biotechnologies considered at ABDC-10 have intellectual property and tangible property
(IP/IT) protection (Chapter9). Also, access to some genetic resources (particularly
animals, micro-organisms and from plant and tree species not covered by the ITPGRFA)
will inevitably be subject to bilateral access and benefit-sharing arrangements. In
addition to private sector companies, public sector universities and research institutes
as well as the international research centres of the Consultative Group on International
Agricultural Research (CGIAR) increasingly seek IP/IT protection for the fruits of their
research. All of these increase substantially the complexity of R&D management, can
restrict freedom to operate and can be barriers to technology transfer and diffusion.
As shown in Chapter9, a range of options, including public-private partnerships, are
available that may be useful for reducing such barriers.
Introducing any technique and product into the research mix is one thing introducing it
into the marketplace is quite another. Both require careful consideration and priority-setting.
However, in view of the costs and the legal, scientific, managerial and other complexities
involved, using some modern biotechnologies to develop products that will be released
into the wider environment for producing foods and feeds for marketing nationally, and
particularly internationally, does raise the bar very substantially in terms of identifying
opportunity and justifying need.
Countries have many options for tackling these challenges through public policy. The
instruments they choose will be determined by the prevailing macro-economic environment,
the structure of the sector, the legal and regulatory environment within which it operates, and
the strength of their innovation systems (scientific, technological, marketing) including the
regional and global links that support them. But choices will also be determined by vision,
i.e. belief based on realistic analysis that if biotechnology is integrated appropriately with
other science-based and traditional knowledge, then it will make R&D more efficient and
farming more productive and competitive while not by-passing the most vulnerable in society.
While there is general agreement within scientific establishments and international bodies
regarding the scientific principles underpinning most biotechnologies, positions between
and within countries differ on a variety of issues connected primarily with applying genetic
modification and using GMOs for agriculturally important species. These include their potential

compared with other technologies and economic and social policy instruments for contributing
to reduced hunger and poverty; their potential risks and the adequacy of the regulatory
frameworks to deal with them; the roles of multinational companies and public institutions;
the appropriate role of communities in decision-making; and their ethical dimensions.
Increasingly, developing countries and regional groups are beginning to come to grips
with these and other related issues by pursuing dialogue with key stakeholders and ordinary
citizens and developing longer-term policy and strategy frameworks and specific laws and
regulations for using biotechnologies within their agrifood sectors. Some principles and
examples of how some countries have gone about doing this are now described.
7.3.2 Purpose and content of biotechnology frameworks

The foundation for appropriate governance of agricultural biotechnologies is a comprehensive
NBS framework. Research for this Chapter shows that most countries do not have a single
joined up NBS. What they have is usually a patchwork of many sector and sub-sector
specific policies and strategies overlaid by cross-sectoral frameworks at international, national,
state and even local levels. There appears to be a general absence of overall responsibility
and control, indecision, ineffective priority-setting and therefore a high likelihood of
duplication of effort and wastage of resources.
As noted earlier, biotechnology cuts across several sectors and is of interest to a wide
spectrum of stakeholders. Therefore, notwithstanding the need to develop policies, strategies
and programmes that are aligned with those existing for the agricultural sector and tailored
to meet the requirements of BFA, the governance of biotechnology at national level should
be horizontal.
A NBS framework should provide a shared longer-term vision and a coherent and
integrated framework for how government intends to work with key stakeholders to
capture the benefits and deal with the challenges presented by agricultural biotechnologies,
describing the core priorities and linking the key issues that emerge from the setting up of
a national horizontal coordination mechanism. As such, it should cover the strategic goals
that will support that vision, and the guiding principles that will be followed in the process
of implementation. Each goal should have specific objectives and a set of actions/strategies
to achieve these objectives. These can include actions already underway or new initiatives,
and some objectives and actions can contribute to more than one goal. Objectives should
be specific, measurable, achievable and time-bound with performance indicators against
which progress can be measured.
In essence, therefore, a NBS sets out the roles and responsibilities of government in
realizing the opportunities from biotechnology and dealing with the challenges it poses.
These should be based on a detailed audit/inventory of the current situation nationally with

respect to human, financial, and institutional assets, of national laws and regulations, and a
detailed knowledge of international obligations and developments. All this helps to identify
the specifics of where, why and in what areas biotechnology is important for the countrys
future development as well as what can reasonably be expected to be achieved over a given
time period, such as 10 years. A NBS should also describe who will be responsible for
what and how progress will be monitored and any necessary changes introduced. The
NBS document should not be considered as set in stone but rather act as a guide that can
be revised to take care of new technological advancements or unforeseen developments.
Putting all this together is a formidable challenge, requiring much effort to collect and
analyse national baseline data and information, as well as information on how other countries
have approached the issues in question. In addition to close interministerial coordination
at scientific, technical, legal, administrative and financial levels, it requires the widest
possible engagement with the public, including with representatives of farmer/producer
organizations, private companies, NGOs, CSOs etc., the ultimate aim being participatory
decision-making (Chapter9). Bijker (2007) provides an excellent description of the key
criteria for building policies via a policy dialogue and a methodology for carrying out a
diagnostic study, emphasizing the importance of ensuring that the policies and strategies
identified support institutional reforms, including greater cooperation at national, regional
and international levels; strengthen national capacities; and identify new funding mechanisms.
7.3.3 Developing and approving national frameworks

The institutions involved in developing and approving the frameworks in the 15 selected
countries analysed for this Chapter are shown in Table 1. Key features regarding the
development and approval of these frameworks, as well as of those from the two countries
that have prepared strategies specifically for BFA, are described in the Annex (Part 7.6.1).
Most national biotechnology policy documents are available from the FAO biotechnology
website4 while other information was obtained from ISAAAs AfriCenter and from other
Internet sources.
While there were several commonalities to the mechanisms established to develop
these frameworks, the Annex indicates that there were also significant differences between
the 15 countries particularly with respect to the level and degree of cross-ministerial
engagement, but even more noticeably in terms of involving or consulting non-ministerial
and non-scientific entities in the process. For most countries, the process could be described
as top down and lacking involvement of both industry and civil society groups. For
most countries also, the NBS was directed at modern biotechnology and particularly at
4 www.fao.org/biotech/country.asp

the governance of R&D and diffusion of GMOs and their products. Moreover, within
that context, virtually every country stressed as a fundamental principle the importance
or essentiality of protecting health and sustaining the environment as pre-conditions for
success in applying biotechnology. Many also mentioned precaution, liability and redress,
and labelling of GMOs and their products as important regulatory principles, with one
country placing a moratorium on the use of genetic use restriction technologies (GURTs).
Others emphasized the importance of integrating and protecting indigenous knowledge,
resources and practices, and of benefit-sharing.
Countries took, or intended to take, one of three routes for approving their NBS
documents, i.e. creating new primary legislation that embraced substantial elements of the
entire document; obtaining full government approval for the NBS and, separately, creating
primary or secondary laws and regulations to cover specific aspects e.g. on biosafety, IPR,
funding instruments etc.; and obtaining approval from the ministry with lead responsibility
for the issue and creating non-binding guidelines for specific matters.
A comparatively recent development in an increasing number of countries is the
development of biotechnology policies and strategies at sub-national levels. An important
policy issue for countries that have moved, or are moving, towards decentralized decision-
making is therefore the extent to which powers are invested in sub-national governments
and agencies to make laws or regulations with respect to R&D, technology diffusion,
and local and international markets, and any risks to these markets associated with the
introduction of e.g. GMOs.
7.3.4 Issues for policy consideration

Core government roles and responsibilities identified within most NBS frameworks were:
}} coordination nationally, regionally and globally;
}} strengthening the scientific knowledge base and scientific infrastructure;
}} encouraging investment in commercial development (particularly Argentina, Brazil,
Chile, China, Malaysia, Peru, Thailand and South Africa);
}} providing strategic investments and other incentives to foster partnerships between
universities, public research institutions and commercial companies (Argentina, Brazil,
China, India, Malaysia, Peru, Thailand and South Africa);
}} providing a regulatory system that is both transparent and effectively assesses and
manages the risks from developing and introducing new and modified products while
allowing innovation (all countries);
}} introducing, reviewing and/or, if necessary, proposing amendments to laws and regulations
concerning intellectual property and access to and benefit sharing from plant and other
biological resources (all countries with reference to GMOs);

}} fostering community understanding about biotechnology by improving access to
understandable information and providing the means by which citizens can express
their views;
}} providing opportunities for considering cultural and ethical issues (some countries).
How the countries concerned proposed to deal, or have actually dealt, with each of these
issues forms the basis of much of the remainder of this Chapter and the two following
Chapters. An attempt has also been made to identify gaps or areas in need of further
attention within each of these themes both nationally and internationally (regionally and
globally). However, although many countries have established biosafety frameworks (see
Chapter8), very few countries have actually prepared NBS frameworks and even fewer
have done so for BFA, leaving considerable scope for the remainder to consider their
options on both fronts.
7.4 Governance Structures and Organization
7.4.1 Leadership and coordination: principles and options

Because of its inherently science-driven character and with applications across a range of
sectors and activities being undertaken within different jurisdictions, successful governance
of biotechnology requires policies and strategies that address all stages of the innovation
chain, i.e. from fundamental through to adaptive research, from there to the development
of tangible products and then on to their diffusion to end users, i.e. both farmers and
consumers. This, as well as related trade issues, requires coordination across governments,
across government departments, with sub-national governance structures as well as with
other governments via bilateral, regional and multilateral mechanisms.
Without active and specific government-level intervention, individual development
sectors (including sectors within food and agriculture) are unlikely to coordinate effectively,
including for dealing with issues that require reconciliation. Government coordination is
clearly appropriate also from an efficiency perspective, as a total government approach
reduces duplication, enhances consistency of work and should facilitate more effective
international networking and formation of strategic alliances by putting out a single
consistent message. It could also facilitate investment by donors, private companies,
and national and regional investment banks, thereby facilitating achievement of other
policy/strategy objectives.
Coordination, horizontal as well as vertical, is therefore essential for a comprehensive
and balanced policy on biotechnology, the key issue being to ensure that whatever approach
is taken within each will be effective in achieving concrete objectives which should include:

}} reinforcing the importance of biotechnology as a government priority;
}} providing leadership in developing and implementing relevant laws, regulations, policies
and practices;
}} integrating strategies and activities and avoiding duplication of effort;
}} ensuring that initiatives advance a common vision and do not work at cross purposes;
}} informing and educating government officials and the public.
Horizontal coordination
While the options for a horizontal coordinating mechanism include a national working group,
commission, council or task force with a coordinator, the most important consideration is that
its composition is organizationally sound i.e. interministerial and engages those ministries
that form the nucleus of competencies involved in a coordinated response. Inclusion of the
Economic Ministry would improve understanding of biotechnology and the role it plays,
or could play, in economic development and for maintaining dialogue on budgetary issues.
These links would also be vital for advocating increased budgetary allocations.
One issue that has an important influence on the effectiveness of a horizontal coordinating
mechanism is its reach. Irrespective of the number or identities of the ministries involved,
the officials serving on a horizontal coordinating mechanism will only have some of the
competencies, jurisdiction and expertise needed to successfully coordinate biotechnology
efforts, and it is therefore important to determine how to involve others who are not at the
table. This will be a major challenge since jurisdictions and competencies among and within
ministries may overlap while at the same time being highly specialized and compartmentalized.
Another factor to be considered is the scope of its work. The distinction between
working at policy and at the operational level is a significant one, although the lines
between the two are often blurred. The policy level relates to establishing, strengthening
and coordinating the overall legal, regulatory, institutional and strategic frameworks used
to plan and implement biotechnology. The operational level, on the other hand, is geared
towards building or enhancing the professional capacities and effective implementation of
service providers, e.g. NARS, universities, regulatory bodies, NGOs, CSOs.
While countries have the option of separating these roles and responsibilities, a fully
functioning horizontal coordinating mechanism should be able to develop, support and
advance both policy and operational elements of the governments NBS framework. This
makes the structural challenge all the more demanding since the coordinating body needs
to be able to accommodate and bridge distinct but overlapping policy and operational
activities even though these may be organized in different ways in the relevant offices by
different nations (for example, when agriculture is covered by separate Ministries for
Agriculture, Livestock, Fisheries and Forestry and, as noted earlier, when Ministries of
Environment, Trade, Natural Resources etc. engage on specific issues).

Also, although setting the membership of a horizontal coordinating body at a sufficiently
high level to have policy decision-making authority will increase the likelihood that
coordination will be effective at the level of national policy, it has to be recognized that
ministers themselves or high level ministerial representatives such as permanent secretaries
are unlikely to be engaged in, or responsible for operations, on a day-to-day basis. In
practice, therefore, it is the work of lower ranking officials (heads of departments, directors
of research institutes, university faculty heads etc.) who have these responsibilities for
planning and implementing specific programmes, projects and activities that need to be
effectively coordinated.
If the coordination mechanism does not have the official authority to provide policy
leadership or engage in operational decisions itself, but primarily gives advice to those who
make those decisions, then it can be weighted more heavily towards individuals possessing
technical expertise who are not necessarily policy and/or operational decision-making
officials. One option then is to delegate much of the work of the high level interministerial
mechanism to a more technical mechanism that provides information to all the relevant
offices and officials within each of the represented ministries and in the government, thereby
making it possible for them to be involved and coordinated.
Vertical coordination
Setting up working sub-groups to incorporate some of the broader range of expertise needed
is one mechanism. Since efforts to promote responsible development of biotechnology
centre on planning and delivery at the sectoral level, an appropriate action by government
would be to direct sector ministries to work with their stakeholders and other interested
parties by setting up a vertical coordination mechanism based on sub-groups to refine or
develop sectorspecific strategies and plans. As noted earlier, only two developing countries
appear to have done so for BFA, although it is possible that others have embedded these
in national S&T frameworks.
Because not all of the relevant competencies, expertise and perspectives that are needed
to respond most effectively and appropriately to the opportunities and challenges posed
by biotechnology reside within government or a particular ministry, there are important
roles to be played by NGOs, the business community and other partners from civil society
within coordination mechanisms. Recognizing this, some relevant international treaties
(e.g. the CBD) contain specific provisions calling for coordination, cooperation or strategic
partnerships with NGOs and CSOs in the process of developing national coordination
mechanisms, strategies and other components necessary for pulling together measures and
activities. This aspect is expanded upon later, but it is part and parcel of engaging all relevant
stakeholder groups in providing inputs to the development and implementation of both a
NBS and a strategy for BFA that is consistent with the NBS.

Analysis of the 15 selected developing countries (Annex, Part 7.6.2) shows that while all
governments recognized that no single ministry could hold all responsibilities in moving their
national agendas forward, and therefore the need for effective inter- and intra-ministerial
coordination and decision-making, in only a few cases have new formal structures been
established or proposed to oversee biotechnologys development and in very few cases do
these appear to involve collective government.
In most countries, the option chosen was to assign responsibility for implementation as
an add-on to the ministry assigned to lead development of the framework (normally the
Ministry of S&T), with no indication given about delegation of responsibility for specific areas
such as BFA or for bringing policy issues to the top table for discussion and decision-making.
A further gap seems to exist in countries with federal and local systems of governance,
i.e. the lack of a specific national forum for coordinating policy, raising the distinct danger
of, e.g. policy and funding overlaps and production and trade distortions.
In the case of the African Union, an African Ministerial Council on Science and
Technology was set up as the overall governance body to provide political leadership and
make recommendations on policies while the AU Commission and the NEPAD Office of
Science and Technology are responsible for mobilizing financial and technical resources to
implement programmes and projects.
7.4.2 Independent advice: Principles and options

Institutional arrangements are needed at all levels of government to advise on both generic
and specific biotechnology issues and ensure that appropriate government or ministerial
responses or actions can be established which are both cost-effective and expeditious. There
are many options available in terms of roles and responsibilities, size, terms of appointment
and range of expertise. Membership should, however, be based on individual expertise,
knowledge and experience. It should be balanced, i.e. represent a broad spectrum of
society including science, private sector, further education, law, ethics, etc., and it should
engender trust, credibility and inclusiveness.
Issues should be addressed in an inter-disciplinary manner and there should be
opportunities to introduce emerging issues such as the role of biotechnologies in mitigating
climate change, dealing with avian influenza etc. In addition, the committee should meet
regularly (say twice annually), be prepared to provide ad hoc inputs between meetings and
its reports should be made widely available. Appointment should be through a nomination
and selection process agreed by the members of the horizontal and vertical coordinating
mechanisms as appropriate.
Options for advisory structures include:
}} an individual acting as chief scientific advisor to the Head of State or to the government
and chairing a broad-based panel of well-respected individuals;

}} establishingpermanent advisory committees within sectoral ministries;
}} dealing with specific/emerging issues through ad hoc committees;
}} engaging the expertise available within a national science academy or research council,
one of whose roles is to ensure that the best possible evidence and advice are available
to policy-makers.
While some of the 15 selected developing countries established an independent biotechnology

advisory committee or council to provide strategic policy advice to government, more
often the mechanism was set up to advise an individual ministry or department (see Annex,
Part 7.6.3, for details). Concerning the representation of NGOs and CSOs in advisory
mechanisms, there was no evidence for this having been done or intended in any of the
countries reviewed. Only Argentina appeared to have set up an advisory mechanism to
cater specifically for food and agriculture, the remaining countries relying on a broad-
based/horizontal mechanism reporting to government or more often to the Ministry for
S&T. Other countries should consider their options for obtaining more focused advice
relating to BFA rather than leaving this up to generalists.
7.5 Setting Priorities for R&D
7.5.1 At the level of government

Agricultural research can provide high returns on investments but, as noted earlier, investing
in biotechnology can be an expensive business. Because the demand for research outstrips
the available resources, priority-setting involving biotechnology in general and specifically
for BFA is arguably the biggest challenge faced by government and sectoral level policy-
makers, particularly if the goal is to tackle hunger and poverty in rural areas.
Priority-setting is fraught with difficulties due to the widespread lack of credible
socio-economic information (e.g. about where poor people live, their vulnerabilities and
livelihood strategies), and because many priority-setting processes lead to decisions that
tend to be ad hoc and occur more by chance than by well-founded choice. Priority-setting
is also value-laden and there is no consensus either about the values or the criteria that
should guide it. For example, although relevant, cost-benefit analysis should not be the
only approach when dealing with pro-poor technology choices, since this would almost
certainly bias investments towards commercial crops and high potential areas.
Priority-setting reflects the values of the people and institutions involved and apart from
lack of information, the major challenges in trying to get it right involve overcoming the
disconnects between who is setting priorities, and who should be setting them; between the
values that are driving priority-setting and those that should be; and the limited capacities
of the institutions and people who are making decisions.

As the principal funder of public research institutions, the governments main business
is to maximize the effectiveness of its investments in building and sustaining national
capacities to produce innovations that benefit society. It should therefore have a more
outcome and impact-oriented approach to the governance of R&D than, for example,
the typical university and research institute approach which is geared towards outputs of
scientific publications (and in biotechnology, increasingly of patents). As such, government
level policy-makers should ensure that research investments are closely aligned to national
development priorities and that both structures and transparent and fair mechanisms are
in place not only for selecting, funding and monitoring research performance but also for
improving priority-setting.
A number of approaches can be considered. One is to establish a national system of
biotechnology statistics and indicators to inform policy actions, bearing in mind that this
should include more than data about biotechnology R&D (e.g. funds allocated, number
of researchers involved). Data on, e.g. productivity improvements, environmental impacts
and socio-economic benefits are also required. The first step in this process is to define the
term biotechnology, a list-based definition being probably the most useful when the policy
interest relates to benefits (e.g. Van Beuzekom and Arundel, 2009).
Another strategic direction is to set up reliable systems for biotechnology foresight, to
monitor and assess the relevance for national agricultural and rural development of global
patterns of technological change as well as demand from both home and export markets for
biotechnology products including market potential, acceptability by users and consumers,
and pricing. This helps guide formulation of technology policies and strategies. Currently,
only some industrialized countries appear to have such systems in place.
A third approach is to introduce instruments that encourage the transformation of
traditional research institutions and related higher education centres from silos of often
pure discipline-oriented activity into innovation systems that put a premium on multi-
disciplinarity and networking and a much greater number and diversity of actors. Of the
developing countries reviewed, only Argentina, Brazil, China, India and South Africa
signalled their intention to move in this direction and, as illustrated in Chapter8, have
actually done so. Other countries were silent on such initiatives.
7.5.2 For biotechnologies in food and agriculture

7.5.2.1 Strategic
considerations
Although not specifically addressing priority-setting for BFA, the papers by Hazell and
Haddad (2001), Byerlee and Alex (2003) and Meinzen-Dick et al. (2004) provide many useful
pointers for making pro-poor investments in agricultural R&D and should be consulted
for further information.

As noted earlier, essentially all countries have accorded high priority to BFA in their NBS
frameworks and, in these and very many more countries, research institutions and university
departments are increasingly undertaking biotechnology research in fields relevant to food
and agriculture (see e.g. FAO, 2005; Cohen, 2005; Spielman, Cohen and Zambrano,2006).
In many cases, the research appears fragmented, uncoordinated horizontally with other
national biotechnology initiatives, and vertically within agriculture or one its sectors,
e.g. plant breeding and seed production systems, and internationally. In other cases, the
range of activities being pursued is so vast and resources thereby so widely and thinly
spread that the attainment of successful outcomes within a reasonable timeframe has to be
seriously questioned. Clearly, most countries do not seem to be prepared to make critical
choices about their investments in BFA, reflecting no doubt absence or insufficient rigour
in priority-setting, and perhaps undue influence from donors, supporters of particular
technologies and scientific journals.
Of course, all the technologies being used within the confines of laboratories or
experimental stations could potentially play a role in improving productivity, incomes and
trade and thereby contribute to reducing food insecurity and poverty. But what was the
rationale behind their introduction?; who asked for them?; what was the process that led to
their initiation?; what steps were taken to assess the need for, and to identify, partnerships
to achieve the projects aims?; how will the R&D and subsequent transfer to end users be
conducted and funded?; how will the risks be managed and the benefits captured by those
who need them most directly, or indirectly by trickling down from others able to capture
them earlier?; were regulatory (environmental, food/feed safety and IPR) implications
considered before the work was started?
These are questions not normally requiring answers from scientists, but they are
questions for which convincing answers are needed to produce and transfer technologies
that are supposed to improve livelihoods irrespective of whether the products are being
developed and disseminated by public and/or private sector entities. Answers to these types
of questions are critically important for setting priorities for R&D. If the research simply
bubbles up through the initiative of an individual researcher rather than being embedded
in a more structured and hunger/poverty outcome/impact-driven process that involves not
simply the public sector but also the private sector and, e.g. voluntary organizations, the
possibility of anything coming out of it by way of contributing to pro-poor growth is
remote indeed.
This is not to imply that more fundamental and curiosity-driven research is unimportant
or that biotechnologies used in laboratory settings (or, for example, as penside tests by
agricultural protection and extension agents) are not worthwhile. In fact, probably most
biotechnology research aims to generate innovative intermediate products, protocols,

markers, information, and new tricks for getting answers to research questions etc.
that can be used by other researchers, rather than products that can be taken up directly
by farmers and government and private support services. Diagnostic and genetic
characterization tests/methods certainly have a proven track record for improving
disease surveillance and control by increasing the efficiency of tackling some national,
regional and global constraints. The virtual eradication of rinderpest using vaccines
supported by immunoassay and molecular diagnostics is one excellent example. Rather,
it means that in setting priorities, decision-makers have to decide on research entry points
appropriate to different national objectives (basic or applied research?; cell or tissue
culture?; immunoassay or molecular methods?; molecular or other markers?; rDNA or
other methods for developing new plant varieties, animal vaccines, bacterial strains etc?),
bearing in mind that producing scientific knowledge is one thing but having it absorbed
and appreciated by society is something else.
A related strategic policy consideration is to ensure adequate breadth in the R&D
portfolio and thereby an appropriate balance between whats available and can be relatively
easily applied through local adaptation (e.g. immunoassays for some animal and plant
diseases; cell and tissue culture methods), and what needs more upstream, and therefore
much longer-term, work but which may make the research enterprise or service more
efficient and the products potentially more useful to beneficiaries (e.g. molecular markers,
GMOs). The point here is that despite the claims of some scientists and commentators,
there is no reason to believe that, in the absence of much smarter policies and institutions
for development, diffusion and possibly regulation, the uptake of any new technology
(including GM crops with their claimed advantage of shorter development timescales relative
to traditional breeding methods), will generally be other than slow and incremental (see
Pardey and Beintema, 2001; Nightingale and Martin, 2004). That said, and as demonstrated
by Bt cotton in China and India, with supportive policies some technologies can be taken
up very rapidly indeed if beneficial to farmers and their communities.
A further fundamental consideration is ensuring that priorities for public sector
engagement in R&D take due account of which technologies can or will be developed
exclusively by, or in partnership with, local or international private sector companies. The
strategic importance of ensuring an appropriate division of labour between the public and
private sectors has been highlighted by Byerlee and Fischer (2001) and Naseem, Omamo and
Spielman (2006). Although rapidly evolving, particularly in relation to plant breeding (FAO,
2004) and poultry production (Narrod, Pray and Tiongco, 2008), and therefore requiring
continuous adjustment to the scope and intended beneficiaries of public goods research
interventions, trends in financing agricultural R&D by developing countries coupled with
the generally low investment of the private sector in all but a handful of these countries

suggest that without significant government inducements, the role of private sector R&D
and delivery systems will remain limited particularly for small-scale/subsistence farmers
in marginal areas.
The reasons for this include the strengthening of IPR on biological innovations (Chapter9),
and because private R&D investments will be largely directed at medium- and large-scale
commercial agriculture (especially export crops, fruits, vegetables, flowers, aquaculture and
livestock products) and food processing. Also, some technologies particularly the key
platform technologies employed in genetic modification, disease diagnosis and molecular
analysis which are needed for downstream and adaptive research are controlled by private
firms. Most of these are not applied to the crop or animal-trait or disease combinations
important to small-scale and resource-poor farmers, and therefore there is substantial space
for the public sector to engage in pro-poor biotechnology R&D by complementing and not
duplicating or substituting for private initiatives and filling gaps relevant to the poor who
cannot pay. It does, however, mean that the NARS are going to have to largely go it alone.
This reality has substantial policy implications for governments, not least of which is the
need to decide on the emphasis to be placed on home grown production/self-sufficiency
of particular commodities, and on the proposed beneficiaries of R&D investments.
Some argue that by putting the emphasis on local rather than national problems and on
small-scale farmers, the pay off from R&D investments in biotechnologies in terms of
aggregate poverty and hunger alleviation would be compromised, and that other social
policy instruments would be more appropriate for tackling household food insecurity
particularly in resource-poor environments. On the other hand, there is now growing
pressure to change research strategies and target research on the production systems within
disadvantaged regions to generate direct benefits for the poor.
This pressure is both political and, in some situations, justified on the grounds that
the combination of market liberalization and private sector investment is already reducing
the need for continued public sector research investment (e.g. in areas most relevant to
commercial farmers). Are these issues being factored into national and international R&D
priority-setting processes? For example, in addition to the small number of well-known
major global crops such as maize, rice, wheat and cotton, many more crops are regionally
and nutritionally as important (if not more so) for poor farmers and households (examples
include sorghum, millets, bananas and plantains, roots and tubers like cassava and yams,
groundnuts and indigenous crops like tef and quinoa). These under-researched orphan
crops are nutritious, well adapted to harsh environments, and genetically diverse and have
great potential for improving food security, livelihoods, cropping system stability and
genetic diversity. Is the biotechnology being considered targeting the crops and animals of
small-scale and poorer farmers and their traits of interest?

Yet another challenge is setting priorities between agricultural sectors, e.g. between crops,
livestock, aquaculture and forestry. Here again, although not by any means suggesting that
R&D on crop biotechnologies is even close to adequate, policy-makers should be aware
that livestock and livestock products now constitute 40 percent of global agricultural GDP
and that in many countries forestry and aquaculture are assuming increasing importance.
Irrespective of whether one or a number of ministries is responsible for Agriculture, a
collective decision-making forum for priority-setting and resource allocation for R&D
within or between the ministries involved would seem appropriate. As noted later, a number
of countries are beginning to establish such mechanisms for dealing with regulatory issues,
but no country seems to have a similar forum for biotechnology priority-setting across the
agrifood sector as a whole.
Clearly, the potential for R&D to reduce hunger and poverty will be strongly influenced
by the types of farms and production systems and by the strength of the research, extension
and higher education institutions available. In addition, its focus should be directed at
areas where the largest number of poor people live and respond to their vulnerabilities and
livelihood strategies (FAO, 2007a). For subsistence farmers, this means reducing production
risks for staple food and feed crops for home and on-farm livestock/fish consumption and
encouraging marketing of higher value crops, milk, eggs, fish etc. Is the biotechnology
package being considered matched to the location, livelihoods and vulnerabilities of the
people living there and engaged in agriculture (farmers/livestock keepers/landless labourers),
and do these locations intersect with high levels of hunger and poverty?
This type of information then needs to feed into a process that considers all the technical
options available for dealing with the issue(s) in question. Depending on the level and
source of investments being considered, this may require a team of competent economic
and social analysts to conduct an ex ante impact assessment, supported where possible by
ex post assessments, to assess whether a particular biotechnology adds value to more
conventional (and probably lower cost and technically less demanding) R&D approaches
for improving livelihoods through productivity or quality enhancements; the effectiveness
of government or private services; and the returns on government investments.
Particularly, but not only for GMOs and derived products, this ex ante assessment
should also take account of socio-economic issues like IPR and the associated costs and
assumptions concerning user and consumer acceptability nationally and internationally
for commodities earmarked for trade. Also, there is a need to consider the additional skills
and infrastructure to cover possible R&D as well as post-release costs of biosafety and
food/feed safety regulations. Have these costs/issues been assessed and factored into the
research agenda/priority-setting exercise?

7.5.2.2 Assessing impact
Several methods are available for conducting impact assessments, most of them feeding
into top-down approaches, but some can be adapted to bottom-up mechanisms. The most
common are:
}} Precedence: uses previous funding levels as the basis for the next programme cycle;
quick, not to be recommended, but all too common;
}} Congruence: ranks alternative themes on the basis of a single criterion; quick, demands
very little data, questionable rigour;
}} Weighted scoring: ranks alternative programmes and projects by identifying and
weighting multiple criteria; easy, does not require advanced quantitative skills, relatively
transparent, promotes multi-disciplinarity and stakeholder involvement. The analytical
hierarchy process (Braunschweig, 2000) is one variation of this. It involves breaking
the decision problem down into a number of more easily understood sub-problems.
These elements are then played off against each other in pairs using both evidence-
based and subjective data, and with uncertainty in cost, benefit etc. The essence of the
approach is that human judgements and not just hard factual data are used to inform
decision-making;
}} Cost-benefit analysis methods: widely used, the simplest involving examining the
streams of both costs and benefits of a particular technology in financial terms only.
Another approach takes into account the costs of alternatives;
}} Economic surplus models, such as the Dynamic Research Evaluation for Management
(DREAM) model (Alston, Norton and Pardey, 1998), are also available to guide
priority-setting based on the expected financial return to investments from research or
uptake of a particular technology. The economic analysis by Foltz (2007), supporting
priority-setting for investment in modern biotechnologies to deal with biotic and
abiotic constraints to crop production in countries in West and Central Africa, is an
excellent example of this approach. Similarly, Vitale et al. (2007) have employed the
approach to assess the economic impacts of introducing Bt technology in smallholder
cotton/maize production systems in Mali, concluding that the use of the technology in
cotton would have a much higher priority than in maize due to the price differentials
between these crops, and the fact that farmers spray cotton but not maize for controlling
insect pests a conclusion consistent with studies conducted elsewhere (Brookes and
Barfoot, 2005). This approach requires a great deal of data, is done independently of
stakeholder input and, while appropriate for ranking benefits from research or user
uptake from particular commodities, it is not well suited to ranking upstream research
or bringing in social issues.

Traditional economic impact studies make important contributions to decision-making on
the appropriateness and priority to be given to different technological approaches, but they
do not take into account their environmental, human health, food insecurity and poverty
dimensions (Falck-Zepeda, Cohen and Komen, 2003; Hazell, 2008; IAASTD, 2009). Falck-
Zepeda, Cohen and Komen (2003) have suggested a sustainable livelihoods approach to
examine the context in which poor people live in a rural community. It includes issues of
vulnerability, natural, physical, financial, human and social assets that are valued by the
community and how policies, institutions and processes affect the use of, and access to, these
assets in pursuing different livelihood strategies. Simulation models such as computable
general equilibrium models (Lofgren, Harris and Robinson, 2002; Dorward et al., 2004) are
increasingly being used for tasks ranging from the collection and analysis of socio-economic
data to the conduct of model-based policy simulations. These could also respond to some
of the constraints associated with economic-based models and to the need for combining
social and economic data in biotechnology R&D decision-making. However, like the
sustainable livelihoods approach, data requirements are substantial.
Getting well grounded information and answers using one or a combination of these
methods is important. Yet, the methods themselves should not drive the process they
should inform it. They should not be used to replace sound judgement, experience and
ingenuity or to leave so little room for manoeuvre that freedom to explore new avenues
is inhibited. Nevertheless, impact assessment should be part and parcel of priority-setting
process and of the overall research evaluation and management systems within research
organizations, and therefore should be institutionalized throughout. Further information on
impact assessment for agricultural research is available elsewhere5, while Anandajayasekeram
et al. (2007) provide specific examples of using these methods in an African context.
7.5.2.3 Other considerations for R&D priority-setting

These include the current status and likely future strength of the national breeding, management
and disease/pest control programmes for the crops, trees and animals in question and for
processing their products, bearing in mind that the biotechnologies being considered would
normally complement rather than fully replace the technological package available to the
farmer or used by the plant protection and veterinary services; and in the case of improved
genetic traits, that these would need to be added on, singly or more likely combined, to
local germplasm containing other agronomic traits valued by farmers and rural households
(e.g. higher yield, tolerance to drought, resistance to other diseases or pests, high nutritional
value, better cooking quality etc.) and not included in the new technology itself.
5 http://impact.cgiar.org/

They also include the delivery systems for the technology in question and their sustainability.
How and by whom will the new technology be disseminated? Is there a formal market for
seeds or planting materials of the crops concerned or for the semen, embryos, chicks and
broodstock for the livestock and aquaculture enterprises? Will dissemination be carried out
by public agencies, the private sector, NGOs or the local community? Pointedly, in Cohens
(2005) paper dealing with GM crop development in a range of developing countries, few
of the research groups surveyed had considered how their products would be diffused to
farmers, let alone identified partners for doing so.
Another consideration is the national and international science and technology
landscape, to decide, for example, whether to rely on spillovers from R&D conducted
through other national or international initiatives or engage actively in the entire basic-
applied-adaptive research continuum, the decision on which to choose being determined by
the assumptions made about the strings attached to each (see Chapter9). Information that
has to be gathered here includes availability of the technology; who owns it; best guesses
of the effort, time and costs to develop it from scratch or adapt it for local use; interest of,
and conditions for, private sector investment in the required R&D, mechanisms of product
delivery and skills in its use through partnership with the public sector and availability of
policy instruments to encourage such partnerships (Chapter8); and acceptability of the
product to farmers and communities in terms of both price and cultural considerations.
In relation to costs of GM crop development, Manalo and Ramon (2007) estimated the
cost of developing MON 810 Bt corn in the Philippines from the confined greenhouse stage
at US$2.6 million. Costs in the United States which preceded the work in the Philippines
(i.e. for gene discovery, making the gene construct, introgression of the gene, selection of
transformed plants, laboratory and greenhouse testing, confined field trials, multi-location
field trials) were US$29 million. Over 65 percent of the costs in the Philippines were for
meeting government regulatory requirements. Other estimates of regulatory costs include
those for virus resistant papaya and herbicide resistant soybeans in Brazil (US$700 000
and US$4 million respectively, in the latter case due to requirements for animal studies),
and US$160 000 for insect resistant maize in Kenya (Atanassov et al., 2004). Also, a study
of regulatory costs in 10 countries concluded that the cost of introducing a GM trait can
range from US$615 million (Kalaitzandonakes, Alston and Zilberman, 2007). These costs
will, of course, be heavily dependent on national regulatory requirements (Chapter8).
Also, the introduction of GM crops (whether obtained in the form of the owners
protected variety, by backcrossing this with a local well-adapted variety, or by introgressing
an imported or local gene construct into a local variety), will inevitably involve charging
farmers a technology fee in effect, a higher price for the seed. The price at which this
is set will influence both adoption rates and social welfare benefits and will vary with the

profitability of the crop, in general being higher for industrial/export crops than for traditional
subsistence crops (see, for example, Vitale et al., 2007). At the same time, consideration needs
to be given to the issue of collecting technology fees. Inability of technology owners to
collect these at the time of seed sale due to lack of appropriate IP laws or their enforcement
(see Chapter9) could significantly affect estimates of social and economic benefits.
Policy-makers must therefore consider these and other cost, price and benefit variables when
setting priorities for BFA development and diffusion but few, if any, of the ex ante approaches
currently available build assessment of these costs into models of cost-benefit analysis.
It is also important to stress here that technologies described by some scientists as being on-
the-shelf, simple or quicker, are nevertheless new for many countries and can require substantial
and consistent investments in building knowledge, know-how, infrastructure etc. to adapt and
use them appropriately within local contexts. Policy-makers should be aware of the tendency
of some academics, the biotechnology industry and some governments to exaggerate the ease of
developing and commercializing technology and transferring it between countries and institutes.
Advanced biotechnologies in general, and GMOs in particular, have not been immune
from inappropriate expressions of optimism. For example, the costs and time savings involved
in establishing traits through genetic modification in crops compared with conventional
breeding are sometimes exaggerated. It took approximately 16 years from the cloning of the
first gene coding for the Bt toxin until the commercialization of maize Bt hybrids (Goodman,
2004). While advances in genomics and breeding technologies may accelerate that process,
since most traits that would be useful for farmers and consumers are polygenic, the tasks
of finding, cloning and inserting the requisite gene combinations, and more particularly
getting such products through regulatory processes, may not be any quicker or less costly
than introducing, for example, an already well established trait for insect resistance.
In summary, priority-setting ultimately comes down to assessing the appropriateness
of the technological packages being considered, i.e. their technical feasibility, economic
viability, social acceptability, environmental friendliness, relevance to the needs of farmers,
consumers etc. issues that inevitably vary over time and space. Assessing appropriateness
requires capacity to identify and make hard choices among the many critical problems
facing rural communities that can be addressed better with biotechnologies than by taking
other approaches. This, in turn, depends on the quality of the background information
available, the methods used, and who participates, and how, in informing decision-making.
Priority-setting therefore requires a comprehensive approach for assessing the technology
itself and its transfer to end users, and in so doing takes account of both its functional and
institutional dimensions. The results will always be speculative, open to uncertainties and
different interpretations and certainly cannot be extrapolated reliably from one country to
another or even from one location to another within a country. It is therefore important

to review results against studies from other countries with similar and different socio-
economic conditions. Rigour can, however, be improved by considering the results of ex
post impact assessments, and in both cases by comparing the proposed biotechnological
with the conventional package.
Given the paucity of information about the long-term costs, benefits and risks associated
with essentially all biotechnologies, especially for the rural poor, and particularly the conflicting
conclusions reached by different authors concerning GM crops (Smale, Zambrano and Cartel,
2006; Smale et al., 2009; IAASTD, 2009), new approaches are needed to assess (and compare with
conventional approaches) the likely impacts social as well as economic, immediate and long-
term, positive and negative of all major modern biotechnologies used in food and agriculture.
Priorities should be need and demand-driven, and decisions therefore based on national
priorities and policies for agricultural and rural development and wider food security.
Nevertheless, in most countries research priorities for BFA are still neither examined nor
defined systematically, and much still needs to be done to accelerate priority-setting methods
at national and institutional levels.
Government policy-makers should encourage the introduction within their NARS of
more rigorous and participatory mechanisms and methods to inform decision-making on
these matters, including allocation of resources through specific programmes, projects and
activities. Possible mechanisms for doing so are presented in Chapter8.
Regional research organizations and the CGIAR could also foster more systematic
priority-setting for BFA by focusing on capacity building and advocacy, possibly through
a web portal and community of best practice to promote appropriate methods. Related
to this, it is important that methodologies are developed to improve impact assessment
practices for biotechnological products based on economic, environmental and social data,
particularly for smallholders in disadvantaged areas.
7.6 Annex: The processes of developing, approving and overseeing biotechnology

policy/strategy frameworks and of providing independent advice in selected
developing countries
7.6.1 Development and approval of NBS frameworks
7.6.1.1 National frameworks

Leadership
In some countries, the process was led from the top, i.e. by the Prime Minister and/or
through setting up a high level (i.e. interministerial) coordination mechanism (team, council
or committee) involving a lead minister or permanent secretary (normally for S&T) with

participation of Ministers/Secretaries for Agriculture, Health, Education, Environment,
Finance, Trade and, in some cases, Foreign Affairs and Justice. This was done by Brazil,
Chile, India, Malaysia and Thailand.
In the other countries, there appeared to be no formal interministerial coordination.
Rather, the process was assigned to the Ministry of S&T or similar and from there to one
of its constituent entities, e.g. National Council for Science/Research Council. Examples
of this approach include Kenya and Uganda.
In most countries, the NBS was prepared only very recently, but some national
biotechnology policies go back many years and have been updated as the technology
evolved. In the case of China, biotechnology first emerged in 1977 through the declaration
of the Four Modernizations as its State policy. Here, biotechnology was a focal point
of the countrys S&T development programme and agricultural biotechnology perhaps
the most important component. The first policy document on the subject (the National
Biotechnology Development Policy Outline) was prepared in 1985 and revised in 1986 at
the beginning of the Seventh Five-year Plan under the leadership of the Ministry of S&T,
the State Development and Planning Commission and the State Economic Commission
and approved by the State Council in 1988 (Huang and Wang, 2002).
In the case of India (see Chaturvedi, 2005), originally a National Biotechnology Board
(NBTB) was set up chaired by a Science Member of the Indian Planning Commission
with representation from almost all the S&T agencies in the country. It produced a Long
Term Plan in Biotechnology for India in 1983 outlining priorities for achieving national
development objectives. Later, the NBTB graduated to the Department of Biotechnology
within the Ministry for S&T and together with other agencies it coordinated development
of the current National Biotechnology Development Strategy.
Developing the draft policy/strategy

In countries that set up an interministerial mechanism, responsibility for drafting the NBS
was assigned to a 1020 person task force, advisory/steering committee, consultative group
or expert panel. This included representatives from key departments within ministries,
universities, research institutions, science funding bodies, private foundations, industry
and, in some instances, civil society and consumer groups. In some cases, separate working
groups were established to lead consultations and report on specific topics (e.g. R&D,
communication) and sectors (e.g. agriculture, health, environment, industry). For example,
in Thailand, six sub-committees were established under the National Biotechnology Policy
Committee to obtain inputs and draft the document, and a further sub-committee dealt
specifically with genetic modification and biosafety policy development.

Some countries (e.g. Malaysia, Malawi, South Africa and Zambia) brought in outside
consultancy organizations, development partners or individuals to assist the process. Others
(e.g. Argentina, Brazil, India and Uganda) provided opportunities for consultations at state,
regional or provincial levels, while some countries (notably India) also solicited public
comments by placing their draft strategies on the Internet, while Chile sought the views of
parliamentarians and experts. In other countries (Jamaica, Kenya, Namibia and Uganda),
the tasks of both coordinating inputs and drafting the document were undertaken by the
National S&T/Research Council or similar.
NBS scope
While a number of countries (e.g. Jamaica, Kenya, Malawi and Uganda), emphasized that the
policy/strategy applied to both conventional and modern biotechnologies, in the majority
of cases, and although not specifically stated (except in the case of Namibia and Peru), the
thrust was clearly toward modern biotechnology and particularly the governance of R&D
and diffusion of GMOs and their products.
NBS content
Despite the wide differences between countries in terms of population, economic strength,
scientific and technological capabilities and cultures, there was a remarkable consistency
to their vision of biotechnology as contributing to social and economic development by
improving productivity, creating jobs, promoting health and a better environment. However,
a specific vision statement was provided by only five countries, namely India, Malawi,
Malaysia, Thailand and Uganda.
In terms of overarching principles, virtually every country stressed the importance or
essentiality of protecting health and sustaining the environment as pre-conditions for success
in applying biotechnology, and many stressed public participation. Malaysia stressed the
importance of strong IPR protection while the precautionary principle or approach was
mentioned as a cornerstone to regulation by many countries as was liability and redress
(e.g. Malawi, Namibia, Uganda and Zambia). Many included labelling of GMOs and their
products (e.g. Malawi, Thailand), and Namibia put a moratorium on the use of GURTs. Brazil,
Kenya, Peru and Uganda mentioned the importance of integrating and protecting indigenous
knowledge, resources and practices, and of benefit-sharing. The priority sectors identified by
the majority of the countries were health, agriculture, industry (and trade) and the environment.
R&D and communication were cross-cutting themes included by all countries. Many
countries included bio-resources (specifically biodiversity in only a few), education (also
of the general public), and ethical, cultural and socio-economic issues, although little or no

detail was provided by any country as to how exactly such considerations would be included
in decision-making and what mechanisms would be set up to address them. Except in the
case of Uganda, promoting gender equality was a non-issue in all documents.
With respect to agriculture itself, most countries dealt with it in an integrated across the
board manner (i.e. covering crops, livestock, forestry, aquaculture), while some emphasized
particular areas of interest (e.g. aquaculture, fruits and forestry in Chile), crops resistant or
adapted to drought, pests, diseases and climate change (Brazil, India and Kenya), livestock
vaccines, diagnostics, feeds, drugs and reproductive technologies (Argentina, Brazil, India
and Kenya), biopesticides and biofertilizers (Kenya), and the creation of bio-industries
from crop and animal by-products (Argentina, Brazil and India).
Apart from the national BFA strategy documents developed specifically by Argentina
and India (see below), the plans outlined by Kenya, Uganda and Malawi are also almost
exclusively or heavily directed towards BFA and related issues. Kenyas strategy, for
example, covers the crop, livestock and fish/aquaculture sub-sectors, while those of
Uganda and Zambia have a heavy bias towards crops and towards micropropagation (and
particularly GM crops in Uganda), although both Kenya and Uganda also include the
development of industries using biotechnology for capitalizing on their rich resources
of biological diversity.
The Zambian document (entitled National Biotechnology and Biosafety Policy)
and particularly the Namibian policy document (entitled Enabling the Safe Use of
Biotechnology) are heavily oriented towards biosafety, while the documents e.g. from
Brazil, Chile, Kenya, Malawi and Peru deal equally with promotion and regulation.
Documents from China, India, Thailand, South Africa and, particularly, Malaysia are
oriented towards promotion, with limited or no reference to regulation.
Approval of NBS frameworks

Countries took, or intended to take, one of three routes for approving their NBS documents:
}} creating new primary legislation that embraced substantial elements of the entire
document (including the creation of new financial and/or regulatory institutions and
mechanisms and/or additional roles and responsibilities of existing institutions, financing
arrangements etc); The legislatures of China, Brazil, Peru and Chile (in progress) passed
decrees/laws covering the policy/strategy documents prepared by government authorities;
}} obtaining full government approval for the NBS and, separately, creating primary
or secondary laws and regulations to cover specific aspects e.g. on biosafety, IPR,
establishment of funding instruments etc; This was the path chosen by the vast majority
of countries reviewed (see Table 1).

}} obtaining approval from the ministry given the lead responsibility for the issue and
creating non-binding guidelines for specific matters; Based on available information,
this was the path chosen by essentially all countries initially and has been retained by
many for particular aspects.
While the advantages of the first of the three options include wider debate, greater political
and possibly financial commitment and level of enforcement, and up front agreement on
the roles and responsibilities of governments and legislatures, one disadvantage would be the
significantly longer timeframe between preparation and initiating implementation. The second
option would lead to earlier implementation of activities requiring regulatory action and
oversight, but in some jurisdictions it may not have the same level of enforcement. The third
option would most likely be ineffective and even counter-productive in terms of moving forward,
particularly on the many regulatory matters associated with some modern biotechnologies.
7.6.1.2 Strategy frameworks for BFA

Two of the countries (Argentina and India) prepared comprehensive BFA policy/strategy
papers although, as described in more detail in Chapter8, these and most other countries
have also developed laws and regulations on GMOs. In Argentina, the strategy was
developed under the leadership of the Secretariat of Agriculture, Livestock, Fisheries and
Food (SAGPyA). Its development involved many stakeholders including the offices of
Senators and Deputies, the Secretariats of Industry, Sustainable Development and S&T,
the Ministry of Foreign Affairs, all the main universities, funding bodies, industry and
civil society groups and individual companies, including multinationals. In India, the
Department of Agriculture and Cooperation within the Ministry of Agriculture set up
a Task Force to formulate a draft long-term policy on applications of biotechnology in
agriculture, including suggestions to streamline/harmonize decision-making under various
ministries/organizations. The strategy covers the crop, livestock, forestry and fish sectors.
It also deals with related issues like genetic resource conservation and use, food safety, co-
existence of organic, conventional and GM agriculture, regulation, public participation and
commercialization. Five working groups were set up to examine, report on and provide
recommendations on the various issues, culminating, after eleven meetings and interactions
with a wide variety of stakeholders, in a comprehensive report issued in 2004.
7.6.1.3 Sub-national biotechnology policy and strategy frameworks

A comparatively recent development in an increasing number of countries is the initiative taken
by sub-national (e.g. state and provincial) governments to develop biotechnology policies and
strategies. In India, for example, the Governments of Andhra Pradesh, Maharashtra, Karnataka

and Tamil Nadu have each produced their own policy and strategy documents. It is outside
the scope of this Chapter to deal further with this subject, but an important policy issue for
countries that have moved, or are moving, towards de-centralized decision-making is the
extent to which powers are invested in sub-national governments and agencies to make laws
or regulations with respect to R&D, technology diffusion, local and international markets
and any risks to these markets associated with the introduction of e.g. GMOs. Failure to do
so has already lead to inter-jurisdictional competition for investment from both federal and
foreign sources, and although they may have the same or similar regulatory approaches to
those promulgated by national authorities, sub-national bodies have interpreted these in an
inconsistent manner leading e.g. to production and trade inconsistencies within countries.
7.6.2 Oversight
}} Brazil established a high level National Biotechnology Ministerial Council/Committee
within the Prime Minister/Presidents office to coordinate implementation of their
strategy/law;
}} India set up a Department of Biotechnology within its Ministry of S&T to promote
and coordinate all aspects of biotechnology development in the country;
}} Malaysia established a Biotechnology Corporation overseen by an Implementation
Council and advised by an international Advisory Panel, both under the leadership of
the Prime Minister;
}} Peru established an Interministerial Commission to harmonize sectoral policies, and
a National Executive Committee on Biotechnology (CONEBIO) within its National
Council for Science, Technology and Innovation Technology (CONCYTEC) to deal
specifically with biotechnology;
}} In Thailand, the National Biotechnology Policy Committee was chaired by the Prime
Minister and assisted by seven sub-committees including one dealing with genetic
engineering and biosafety policy development;
}} Kenya proposed the setting up of a National Biotechnology Enterprise Programme
consisting of a National Commission to oversee implementation of the policy framework
and a National Education Centre to coordinate and facilitate training, develop databases
and a national culture collection, but whether an interministerial mechanism will be
created to oversee these initiatives is unclear.
7.6.3 Independent advice

Among the countries analysed, various mechanisms were used:
}} South Africas Biotechnology Advisory Committee is a sub-committee of the National
Advisory Council on Innovation which assists the Minister for S&T;

}} Argentina set up a National Advisory Commission on agri-biotechnology to advise its
Secretariat on technical and biosafety requirements. Public and private organizations
with competencies in BFA are represented;
}} Chile established a Commission for the Development of Biotechnology and plans to
set up an independent Biotechnology Forum to be consulted on issues and charged
with promoting public debate;
}} In India, the Department of Biotechnology set up a Scientific Advisory Committee
and an international Standing Advisory Committee;
}} In the case of Malawi, a National Biotechnology Commission with representatives
from academia, R&D, education and commerce is proposed to advise the National
Research Council;
}} Peru established a National Advisory Committee for Biotechnology R&D within
CONEBIO to advise on non-regulatory issues;
}} The African Union (AU) and the New Partnership for Africas Development (NEPAD)
put together the High Level African Panel on Modern Biotechnology, whose specific
remit was to provide the AU and NEPAD with independent and strategic advice on
developments in modern biotechnology and its implications for agriculture, health and the
environment. The Panel, consisting of two co-chairs and 12 panel members assisted by a
Secretariat and a Research Team, delivered a comprehensive report about biotechnology
and the role it can play for development in Africa (Juma and Serageldin,2007). The
final report was based on many meetings, submissions from various stakeholders,
requests for comments on the web and feedback from workshops and conferences in
Africa and elsewhere. An Executive Summary of the draft report was submitted to the
Ministers Meeting of the extraordinary conference of the African Ministerial Council
on Science and Technology in November 2006 and in their meeting Declaration, the
Ministers endorsed the report.

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chapter 8
Enabling R&D for
Agricultural Biotechnologies
Summary
The planning, conduct, financing and organization of research and development (R&D),
including its interplay with local traditional and indigenous knowledge, are necessary parts
of national development policies and strategies for harnessing the potential of agricultural
biotechnologies. Technical options for using biotechnologies in food and agriculture (BFA)
and the accompanying legal and institutional policies to support their implementation
should be founded on inventories and analyses of existing national capacities for science
and technology (S&T) and biotechnologies generally, and for agricultural S&T and BFA in
particular. Countries considering developing genetically modified organisms (GMOs), or
using GMOs and their products developed by others, have to consider also both the S&T and
the wider legal and institutional support needed by regulatory agencies before authorizing
their marketing. Examples include the capacity to conduct risk assessments for environmental
releases, to determine food and feed safety, and to test products for GMO content.
Most developing countries wishing to pursue biotechnology applications in food and
agriculture meaningfully need to consider policy options for addressing three inter-related issues.
First, the pervasive under-investment in human and infrastructural capacities within public
agricultural research organizations and universities something that can only be remedied by
political commitment to raise both awareness and the financial investments needed to build
and maintain the human capacities and infrastructure for planning and implementing the kind
of R&D appropriate to meet the needs of smallholders. Second, the generally fragmented and
uncoordinated manner in which biotechnology R&D is often pursued, reflecting insufficient
rigour in priority-setting, and leading to reduced effectiveness and efficiency of the public
R&D enterprise. This calls for exploring alternative institutional arrangements for both setting
priorities and funding agricultural S&T. Third, policy-makers must determine the appropriate
371
balance between modern biotechnology and other technical approaches for addressing the
constraints faced by smallholders, and in particular the balance between phenotype-based and
genotype-based solutions, especially where inadequate capacities already exist for evaluating
and improving genetic resources for food and agriculture.
Most options for increasing financial commitments and the efficiency and effectiveness
of R&D involve moving away from traditional institutional instruments and arrangements,
and the linear paradigm of planning and implementing R&D. The options generally involve
changing the division of labour in R&D between public and private entities and between
national and regional or state entities; improving coordination between academia, public
sector institutions, the private sector and non-governmental and civil society organizations
(NGOs and CSOs); and putting in place mechanisms or institutions that sit between the
funding bodies and beneficiaries of R&D to influence the research agenda and who carries
it out. They also put a premium on collective responsibility for funding (e.g. through levies
from producers, tax and other concessions for private firms and grants from foundations),
and on the areas of early stage capital funding and addressing the commercialization gap.
To illustrate some of the options available to countries, the Chapter provides an analysis
of 15 selected developing countries. Examples are provided of national funding policies and
initiatives in these countries to achieve these aims, as well as policies to build scientific and
technical capacities relevant to the pursuit of agricultural biotechnologies. Admittedly, what
remains unclear is whether the inevitable increases in transaction costs and downstream
movement of research agendas arising from some of these initiatives will actually improve
the efficiency and effectiveness of national R&D enterprises in terms of delivering a more
diverse and pro-poor relevant suite of biotechnologies in the years ahead.
A regulatory system responsive to national needs and priorities, consistent with
international agreements, and that ensures the safe and efficient development and use of
biotechnology methods, processes and products is also part and parcel of a national and
international enabling environment for BFA. Indeed, regulation itself should be seen as
a positive development demonstrating responsibility and oversight by governments
as well as collaboration between governments and developers of biotechnologies to
ensure that only products that are as safe as their conventional counterparts are released
into the environment and consumed. On the other hand, developing and implementing a
regulatory framework can be a complex and resource-intensive exercise and, irrespective
of the established structures, regulatory functions place enormous scientific, technical
and administrative demands on national institutions.
This Chapter also covers general principles and specific aspects requiring consideration
when developing and implementing a national regulatory system. Before deciding on
an appropriate regulatory structure and the legal and political means by which it can be

implemented, substantial background data collection and analysis coupled with political
negotiating skills are required to deal with the scientific, technical, legal, judicial, economic,
trade and logistic aspects involved in regulation of new technologies.
Options for giving legal authority to the regulatory system include using existing
primary laws and the delegated legal authorities within these to promulgate regulation, and
establishing a new primary law. The pros and cons of these two options are described and
examples of each provided by reference to specific developing countries. Also described
are options for establishing structures and decision-making responsibilities that promote
unified and well-coordinated systems of biotechnology governance. National examples are
again used to illustrate different options and, although containing many common elements,
they vary considerably between countries.
Essential to any regulatory system is transparency with respect to the criteria and
standards used for assessing safety; roles, responsibilities and accountabilities of national
committees and existing national institutions; and provision of information to regulators
and the public. Ambiguities within some Articles of international agreements coupled
with insufficient guidance about the scope of, and discretion available to countries for
national action makes interpretation of how to play by the rules challenging. Concerns
and disagreements within and across countries include: appropriate methodologies for risk
assessment defining the nature of the hazard(s), if any, and the most appropriate approaches
and methods to assess potential risks from employing some biotechnologies in the agrifood
sector; the roles of substantial equivalence, product- and process-based regulation, and of
labelling; and how and at what point precaution and socio-economic considerations can
be taken into account when making decisions on risks and their management. Analysis
of the information available from the 15 selected developing countries suggests that there
remains considerable scope to improve clarity with respect to these and other issues,
and again, that while there are many common features, there are clear policy differences
between national approaches with respect of risk management. This simply illustrates that
decision-making on some biotechnologies is both highly complex and has scientific, social
and political dimensions.
Concerning harmonization of biotechnology regulatory oversight, the analyses
underpinning this Chapter suggest that considerable scope exists to improve understanding
and reduce regulatory costs among developing countries through the pursuit of informal
collaborations and mutual recognition of voluntary guidelines, and possible examples are
described. Nevertheless, the prospects for comprehensive harmonization within developing
country regions do not look promising, because (1) decision-making is essentially about
dealing with uncertainty and societal value judgements concerning levels of acceptable risks,
and (2) science can only inform but never replace the decisions of policy-makers concerning
chapte r 8 Enabling R&D for Agricultural Biotechnologies 373

what they consider to be legitimate and justifiable reasons for particular courses of action.
More important, therefore, at this juncture is coordination and harmonization of regulation
between the different relevant government ministries within a country.
These and other considerations suggest that developing countries may wish to consider
adopting a strategic and integrated biosecurity approach to analysing and managing relevant
risks to human, animal and plant life and health and associated risks to the environment
from biotechnology. Many developing countries simply cannot afford GMO or other
biotechnology-specific approaches and might benefit greatly from a more integrated
approach without necessarily creating new or unified structures. This would also provide
an opportunity for greater harmonization of terminology and methodology for risk analysis
while respecting the need for individual sectors to tailor risk analysis procedures to the
characteristics of the risks involved.
8.1 Science and Technology Systems in Developing Countries
Science, technology and innovation underpin every one of the Millennium Development
Goals. It is inconceivable that gains can be made in health and environmental concerns without
a focused science, technology and innovation policy (UN Millennium Project, 2005).
This quotation does not mean that the solution to the worlds food insecurity, poverty
and other sustainable development challenges lies only in S&T, but that S&T, and particularly
the benefits from innovations in its planning, conduct, financing and organization, including
its interplay with local traditional and indigenous knowledge, are necessary parts of national
development policies and strategies. History shows that technological, institutional,
organizational, trade and other innovations relating to the use of natural resources have
played a critical role in agricultural productivity growth and reductions in food insecurity
and poverty in industrial and some advanced developing countries. Yet, few developing
countries have up-scaled overall S&T as a policy focus. The almost total neglect of S&T
in the Poverty Reduction Strategy Papers1 (PRSP) currently available for a number of
developing countries emphasizes again the need for more joined-up S&T management.
The same can be said about policy and strategy frameworks for BFA. Although all
of the 15 selected developing countries (listed in Table 1 of Chapter7) put the agrifood
sectors among or at the top of their priorities for national development, the overwhelming
emphasis to date of most of these countries is on establishing biosafety laws, regulations
and structures. Little consideration has been given either to non-GMO biotechnologies
1 The PRSP approach was initiated by the International Monetary Fund and the World Bank in 1999. Country PRSP are available at www.imf.org/
external/np/prsp/prsp.aspx

or to how the human and infrastructural requirements for successful development and use
of any of the biotechnologies would be met. For example, critical aspects like establishing
sector or sub-sector wide S&T coordination mechanisms and setting priorities for research;
for developing and diffusing products; for building scientific capacity and infrastructure; for
strengthening, closing down or establishing new institutions; for introducing new modes
of funding and providing incentives for private investment; and for establishing ways of
involving stakeholders and the public at large in biotechnology-related S&T decision-making
seem to have been neglected in all but a handful of countries.
Pursuing such strategic issues is certainly fraught with many difficulties, but it can also
provide new opportunities for innovative approaches to the identification, development
and uptake of agricultural biotechnologies. Some of the challenges and opportunities for
S&T systems in developing countries will now be considered.
The traditional developers and disseminators of agricultural technology, the national
agricultural research systems (NARS), are highly diverse in size, scientific and technical
strength, and the way in which they are managed and funded. Over the past 20 years or
so, while the central institutional structure has remained relatively intact apart from some
internal re-organizations (see e.g. Beintema and Stads, 2008a; Stads et al., 2008; and Stads
and Beintema, 2009 for detailed studies of the Asia-Pacific, Central American and Latin
American-Caribbean regions respectively), agricultural research is becoming increasingly
decentralized with the establishment of autonomous regional and provincial research
agencies (see e.g. Hartwich and Jansen, 2007). Also, in some developing countries, and
certainly in the most technologically advanced ones, universities play a much stronger role
in agricultural research (particularly basic or curiosity led and strategic research) and
training, including in biotechnology, than do publicly-funded research institutes attached
to Ministries of Agriculture or Research Councils attached to particular departments within
them which traditionally have engaged in applied or adaptive R&D, as well as providing
analytical/diagnostic support services.
In Africa, and particularly in the smaller countries of Latin America, the opposite is
generally the case. Universities are largely teaching institutions with limited research and
outreach activities. In Asia, the picture is more mixed. In China, R&D for BFA is dominated
by the Chinese Academy of Agricultural Sciences (CAAS) which is directly affiliated to
the Ministry of Agriculture while extension and education are undertaken elsewhere.
In India, the main government agency is the Indian Council for Agricultural Research
(ICAR) which comes under the Ministry for Agriculture and has responsibility also for
technology transfer and farmer training. However, BFA is also performed within the many
State Agricultural Universities and in other institutions supported by the Department of
Biotechnology within the Ministry for S&T.

Re-organizations within ministries with mandates that cover particular aspects of biotechnology
are a further challenge. Argentina created a new Ministry of Science, Technology & Productive
Innovation in 2007 to focus the countrys S&T efforts on economic development, including
through biotechnology, while at the same time splitting off education into a new ministry from
the former Ministry of Education, Science and Technology. Kenya did the opposite. In 2008 it
merged the existing Ministry of S&T with the Department of Higher Education in the Ministry
of Education to form the Ministry of Higher Education, Science and Technology with the
aim of bringing together scientists in universities and mission-oriented research institutions.
Depending on the importance given to biotechnology, changes of this nature can affect
positively or negatively the balance between education and research, among research
performing institutions (universities, publicly-funded research institutes and private sector
research), between basic and applied R&D, and between filling immediate and long-term
needs for skilled human resources.
Into this mix must be added the sub-regional and regional organizations that were
set up to promote concerted action. Examples include the Association for Strengthening
Agricultural Research in Eastern and Central Africa (ASARECA), the Asia Pacific
Association of Agricultural Research Institutions (APAARI), the Forum for the Americas
on Agricultural Research and Technological Development (FORAGRO), and specifically
for biotechnology, the Technological Cooperation Network on Agricultural Biotechnology
in Latin America and the Caribbean (REDBIO). Advanced research institutes, mainly in
developed countries, are other important players. At international levels, the research centres
belonging to the Consultative Group on International Agricultural Research (CGIAR),
the International Centre for Genetic Engineering and Biotechnology (ICGEB) and their
NARS partners continue to enhance agricultural knowledge, science and technology in
many countries to generate high rates of return on investment in terms of productivity.
Investors are changing, with new philanthropic organizations like the Bill and Melinda
Gates Foundation beginning to influence the size and nature of development assistance
to agricultural knowledge, science and technology, including through BFA. The recent
granting of US$3 million to ICGEB to strengthen sub-Saharan African regulatory regimes
in biosafety2 and of US$10.4 million to the New Partnership for Africas Development
(NEPAD) African Biosafety Network of Expertise3 exemplify this development.
The agricultural R&D agenda has itself become more complex. The issue is no longer
simply to produce more food, but to do so in ways that reduce the environmental footprint
of intensification and that create greater opportunities for small-scale producers to access
national and international input and output markets, thereby improving incomes, reducing
2 www.icgeb.org/~bsafesrv/pdffiles/%20ICGEB_Gates.pdf
3 www.nepadst.org/newsroom/pdfs/news_brs.pdf

poverty and increasing food security. This means expanding indicators of success to
include the environmental and poverty dimensions of interventions in order to understand
the potential trade-offs and complementarities between productivity, environmental and
livelihood goals and to set priorities (Hazell, 2008). In other words, the paradigm now is
research for sustainable food security.
In addressing that paradigm, it is the demand from markets rather than producers per
se (whose traditional suppliers of knowledge and technology are research institutes and
universities) that is increasingly driving change. Biotechnology clearly illustrates this fact
it has already become an industry itself within some countries and within the agrifood
sector it is increasingly moving along that path in developing countries like Argentina,
Brazil, China, India and South Africa.
Still, the key social challenge remains in ensuring that the millions of subsistence
farmers and landless workers living in less endowed areas are not further marginalized by
policies and technologies that favour larger producers and producers with higher levels of
land productivity and greater access to inputs and existing markets. The plethora of pro-
poor agricultural activities underway demonstrates the much greater commitment now
being given to this issue in S&T and wider development circles, although it remains to be
seen whether the principal beneficiaries of these national and international initiatives are
indeed poor farmers and citizens.
As free trade agreements expand and consolidate, agricultural knowledge, science and
technology is increasingly globalized and private sector led. On the one hand, this offers
both considerable potential to exploit global networks, encourage public-private sector
collaboration and improve R&D efficiency. On the other hand, private appropriation
threatens the free flow of knowledge and technology. Biotechnology increasingly exemplifies
both sides of this coin, with the issues of corporate concentration and patent monopolies,
in particular, being raised by many scientists, NGOs and government advisory bodies, e.g.
CIPR (2002). In addition, the norms for accessing and sharing the benefits of biodiversity
in general have changed, particularly for plant genetic resources in food and agriculture,
bringing new challenges to the agricultural R&D agenda.
The new catchwords innovation and knowledge economies have gained currency
to the point of even replacing S&T at times. Both stem from the increasing realization
that the standard linear or vertical model of generating and transferring knowledge
(including the knowledge embedded in technology) in which new ideas only originate from
basic and applied scientific research, move on to development and then on to farmers via
public extension services (the traditional perspective of NARS) is fast becoming obsolete.
The numerous technologies that sit on the shelf attest to this reality and to the need to
complement traditional with the more horizontal national innovation system approaches

to achieve desired social and economic outcomes. Innovation systems use all the knowledge
assets within the full network of organizations, institutions, policies and individuals involved
in the production of goods and services to identify knowledge gaps (including gaps in the
knowledge embedded in technology), understand how a countrys agrifood sector can
make better use of new knowledge, and design alternative interventions that go beyond
research system investments (Leeuwis, 2004; Hall et al., 2006; Spielman and Birner, 2008;
IAASTD,2009). It gives greater emphasis to production systems, value chains and farm to
table approaches than to individual components. It also recognizes the necessity of connecting
and learning from the knowledge of farmers, input suppliers, processors, marketers and
their institutions to successfully introduce new and useful products, processes and ways
of working through continuous and incremental upgrading.
Like S&T policies in general, national biotechnology policies are framed horizontally. The
scope for independent action by Ministries of Agriculture within their traditional portfolios of
responsibility for R&D, including biotechnology, has therefore become increasingly limited.
While undoubtedly increasing transaction costs, this should nevertheless provide greater
impetus to encouraging interministerial and institutional partnerships as well as promoting
innovative approaches to planning and implementing R&D and securing the necessary funding.
The agricultural sector must increasingly compete with other sectors in determining
the types of courses offered, research conducted and other services provided by universities
and technical training institutions, for attracting the trained scientists and technicians that
graduate from them, and for the financial resources needed to establish or strengthen the
necessary infrastructure and human capacities needed to incorporate biotechnology into
on-going R&D efforts. These challenges are made all the more difficult by the substantial
array of new opportunities for social and economic development available through other
channels within increasing numbers of developing countries.
Other relatively new trends include growing public scepticism about S&T and the
public nature of scientific debate, in particular where food and the environment are at stake.
GMOs have been at the centre of many of these concerns which demand more complex
ways of organizing the interplay between science, decision-making and society to satisfy
requirements for public proof about risks and benefits.
All of the above and other related factors have major implications for how countries develop
public policies on investments in biotechnology-related infrastructure, human resources training
and development, and institutions and organizational arrangements that provide the appropriate
enabling environment for creating and diffusing knowledge that meets the requirements of
subsistence and commercially oriented producers, the private sector and governments themselves.
At the same time, it is essential to stress yet again that all options for doing so depend
for their viability on other indirect policy measures, e.g. macroeconomic, fiscal, trade,

infrastructure (transport, water, electricity, information and communication technologies),
and education from primary through to tertiary levels. The importance of having sound
policies and actions in these areas for underpinning technology and small business creation
to increase productivity and enhance the livelihoods of poor marginal producers, cannot be
overstated. Consideration of such policies is nevertheless outside the scope of this Chapter.
This Chapter covers policies for enabling R&D, including diffusion of agricultural
biotechnologies. While relevant to the pursuit of developing, adapting and using new
knowledge and technologies for improving the agrifood sector irrespective of discipline and
approach, including the more traditional biotechnologies, its coverage focuses on policies
for meeting the additional demands scientific, technical and institutional for engaging
effectively in R&D involving modern biotechnology, including taking some of its products
onto farms and into national and international markets. Throughout the Chapter, examples
are provided from the same 15 developing countries described in Chapter7, supplemented
by data from a variety of other sources.
In this Chapter, Part 8.2 provides a general overview of the global picture with respect
to human and financial investments in agricultural S&T including biotechnology. Part 8.3
describes the funding instruments and options to be considered by countries. Both Parts
are supported by examples from individual countries about capacity building and funding
for BFA contained in Annex 1. Part 8.4 deals with regulation, describing also how the 15
selected developing countries deal, or intend to deal, with regulation from farm to fork
including the scientific research and analytical techniques needed to underpin it within
their national biotechnology policy/strategy (NBS) documents4. Also covered are some
features of the frameworks they have established, or intend to establish, to deal with the
environmental and food/feed safety regulation of GMOs. Annex 2 provides supplementary
information concerning these aspects. Part 8.4 also provides options for establishing national
biotechnology regulatory frameworks, covering issues like establishing legal authority,
structures and decision-making responsibilities. Emphasis is also given to the international
dimensions of biotechnology regulation, including international harmonization.
8.2 Agricultural Science and Technology: Capacities and Investments
8.2.1 The global picture

The starting point for countries considering their options for using BFA is to inventory
and analyse their existing national capacities for S&T and biotechnology generally, and for
agricultural S&T and BFA in particular. Each feeds off the other and consequently they
4 Most of the NBS documents of the selected developing countries are available at www.fao.org/biotech/country.asp

should not be considered in isolation. Countries considering developing GMOs, or using
GMOs developed by others, have to consider also the S&T support that will be needed
by regulatory agencies before authorizing their marketing, e.g. the capacity to conduct
risk assessments for environmental releases, to determine food and feed safety, and to test
products for GMO content (Part 8.4 below).
S&T capacity cannot easily be quantified. It is so multi-faceted and subject- and
country-specific that no set of indicators for measuring capacity can cover all circumstances
(IAASTD, 2009). Attempting to measure innovation adds to the complication. Some
countries have weak NARS but show strong innovative capacities in particular areas. For
example, some Central American and African countries which lie at the bottom of the
league in terms of traditional measures of S&T capacity have developed successful fruit,
vegetable and flower export markets with the United States and Europe sometimes with
limited or no involvement of their NARS.
Budgets for R&D expressed in absolute terms or research intensities (see below) are
both necessary and informative but they also do not tell the full story. Effectiveness and
efficiency depend greatly on the quality of coordination, rigour of priority-setting, intensity of
networking, to whom budgets are allocated and how they are spent. Despite these and other
caveats, one conclusion stands out from all the work done on both overall and agricultural
S&T indicators the vast majority of developing countries have huge deficiencies in S&T
capacity compared with economically prosperous countries in the northern hemisphere,
and substantial deficiencies relative to countries like Brazil, China, India and South Africa.
For example, Wagner et al. (2001) developed four broad categories of countries, namely
those that are scientifically advanced, proficient, developing and lagging. While there are
a number of caveats to the calculation of these indices, and hence considerable caution is
needed in interpreting them, the corresponding agricultural science and technology indicators
which deal primarily with investments in R&D suggest a very similar categorization for most
countries (Table 1). In almost every case, the highest research intensities are found in those
countries classified by Wagner et al. (2001) as scientifically proficient and scientifically
developing while the lowest values are associated with countries in the scientifically
lagging category. Notable exceptions are China and India with relatively low research
intensities and where the agricultural GDP (gross domestic product) has increased at a faster
rate than R&D spending, although this has also increased dramatically in both countries
over the last 10 years.
At the global level, US$23 billion was used for publicly-funded agricultural research in
2000 (Pardey et al., 2006; Beintema and Stads, 2008b). Notably, around 55 percent of this
R&D was spent in the 32 high income countries surveyed, the remainder by 108 middle
and low income countries. Also, over the past 25 years or so these investments have become

TABLE 1
Agricultural research intensity of 15 selected developing countries
Country Agricultural research intensity

Argentina 1.27 (2006)
Brazil 1.68 (2006)
Chile 1.22 (2006)
China 0.40 (2005)
India 0.36 (2003)
Jamaica Not available
Kenya 1.23 (2000)
Malawi 0.67 (2001)
Malaysia 1.92 (2002)
Namibia Not available
Peru Not available
South Africa 2.81 (2000)
Thailand Not available
Uganda 0.61 (2000)
Zambia 0.62 (2000)
Developed country average (Beintema and Stads, 2008b) 2.35 (2000)
Source: Agricultural Science and Technology Indicators (ASTI) data tool, www.asti.cgiar.org/data/
Measured as public agricultural R&D spending as a share of agricultural GDP. Year of data is within brackets
increasingly concentrated, with just four industrialized countries (United States, Japan,
France and Germany) accounting for around 65 percent of the publicly-funded agricultural
R&D conducted in developed countries, and five developing countries (Brazil, China,
India, South Africa and Thailand) accounting for half of developing country expenditures.
In 2000, around US$17 billion was spent by private sector entities in agricultural
R&D, but developing countries captured only 6 percent of this investment (i.e. less than
US$1billion), most of which was in the Asia-Pacific region where 8 percent of agricultural
R&D was private compared with only 2 percent in sub-Saharan Africa, almost two thirds
of which was in South Africa. Many developing countries, and particularly the low-income
food deficit countries, have failed to increase their investments for decades.
This disparity between advanced and developing countries in their financial commitments
to fostering agricultural R&D is starkly illustrated by comparing their research funding
intensities. In 2000, developing countries on aggregate spent 56 cents on R&D for every

US$100 of agricultural GDP while the developed countries spent on average US$2.35
(Table1). If the contribution of private sector funding is included, that gap increases to
more than eight-fold. In some developing country regions (e.g. in Central America), the
aggregate spending is 25 cents and some individual countries are spending less than 10
cents for every US$100 of agricultural GDP (Stads et al., 2008; Stads and Beintema, 2009).
There is therefore increasing evidence of a growing gap between developed and developing
countries and within developing countries themselves in their financial commitment towards
agricultural R&D (Pardey et. al., 2006; Alston, Pardey and Piggott, 2006).
As far as international initiatives are concerned, spending trends for the CGIAR
show that collectively the CGIAR centres spent US$445 million on agricultural R&D
in 2006 (in 2005 US$) compared with US$379 in 2000 (Beintema and Stads, 2008b), but
increasingly these funds are earmarked by particular donors to specific projects. In 2006,
these restricted funds accounted for 58 percent of total funding, compared with less than
40 percent in the early 1990s.
Expenditures for biotechnology research cannot be documented or compared with
any precision, but assuming average spending on biotechnology of 5 to 10 percent of
total agricultural R&D (Janssen, Falconi and Komen, 2000), developing countries spent
US$1.3billion on biotechnology in 2000. However, in recent years there are some indications
of new additional public BFA investments in developing countries. These include in
China (US$3 billion over the next 15 years); India (around US$125 million in the Indian
Governments ninth 5-Year Plan, plus over US$20 million in grants from bilateral donors
and the European Commission [Chaturvedi, 2005; Jayaraman, 2008]); Brazil (where the
government announced in 2007 plans to invest about 2.4 billion euros in biotechnology,
mainly in health, agriculture, industry and environment, over the next 10 years); Argentina
(US$16 million over five years with an unspecified amount for BFA); and Vietnam
(US$63million over nine years).
Together with the data available from the CGIAR and FAO on biotechnology applications
in the crop sector, these figures strongly suggest that investments in BFA now constitute
a significant and possibly increasing component of agricultural R&D in some developing
countries. Despite the limited data, both the figures provided above and the results of Wagner
et al. (2001) indicate that the categorization of NARS by Byerlee and Fischer (2001) with
respect to crop biotechnology as Type 1 (strong capacity), Type 2 (considerable) and Type3
(fragile) corresponds well with the scientifically proficient, scientifically developing
and scientifically lagging categories proposed by Wagner et al. (2001).
Although again no hard data are available, it is noteworthy that the focus of the new
additional public BFA investments in developing countries is overwhelmingly on plants and
on plant genomics and GMO technologies, while work on livestock, farmed fish, trees and

micro-organisms is attracting substantially less funding although following a similar direction.
Support for the less advanced, i.e. non-molecular, biotechnologies and more traditional
approaches for developing better tools, practices and products needed by producers and
consumers alike is progressively becoming a smaller part of the agricultural R&D mix.
Indeed when people talk about, and science commentators report on biotechnology, the
term is nowadays invariably synonymous with GMOs.
Given the many competing demands on the public purse including for agricultural
R&D, the above information raises at least three inter-related strategic policy issues for
governments and the international community:
}} Despite the increasing awareness of the social, economic and environmental importance
of agriculture and if, despite the many caveats, one accepts a figure of 1 percent of
agricultural GDP as a reasonable level of investment for agricultural S&T, then it is clear
that most developing countries substantially under-invest to reap the unquestionable
benefits that can flow from appropriate developments and applications. Awareness of the
critical role of agricultural research for addressing food security, poverty reduction and
sustainable use of natural resources must therefore be improved to tackle the pervasive
under-investment in public agricultural research in developing countries (Echeverria
and Beintema, 2009). Political commitment to raise awareness and investments in R&D
appropriate to meet the needs of smallholders is therefore a top priority (FAO, 2009a).
}} Policy-makers must also find alternative institutional arrangements such as public-private
partnerships for both setting priorities and funding agricultural S&T; information given
in Part 8.3 illustrates how some countries are attempting to tackle this in relation to BFA.
}} In setting priorities, policy-makers must determine the appropriate balance between
modern biotechnology and other technical approaches for addressing the constraints
faced by smallholders, and in particular the balance between phenotype-based and
genotype-based solutions in situations where inadequate capacities already exist for
germplasm evaluation and varietal development (FAO, 2006).
8.2.2 Examples of capacity building initiatives

In their national biotechnology planning strategies, all countries surveyed gave top priority to
building their indigenous capacities for S&T including infrastructure, recognizing that such
capacity is the key to acquiring, absorbing and diffusing biotechnology for development.
Surprisingly, a number failed to mention innovation and most gave no indication of the
instruments in place, or to be introduced, for achieving this goal.
As illustrated by looking at the selected developing countries in Annex 1 (Part 8.5.1), the
options and opportunities available are numerous. But policies for capacity building must
be accompanied by policies that avoid brain drain, surely the prime example of extreme

policy ineffectiveness because of the huge costs to societies that have paid for the investments
but do not enjoy the benefits. While domestic policies alone are insufficient to deal with this
issue, improving employment opportunities, salaries and other conditions of employment,
and ensuring the availability of the necessary equipment and supplies are part and parcel of an
effective capacity-strengthening policy package. Surprisingly again, few developing countries
mentioned the issue or how it would be tackled, China and India being notable exceptions.
Also, most countries dealt (or intended to deal) with capacity building at the top end
(i.e. postgraduate levels), omitting consideration of raising awareness and skills within their
secondary and tertiary education systems. Exceptions were Brazil, Chile, India, Kenya and
South Africa which specifically emphasized the importance of targeting these groups for
long-term growth and sustainability, and documented specific actions for doing so.
Training in biotechnology has also become highly globalized, with nationals from
essentially all the countries covered in this Chapter going to institutions in the developed
world to study, train and participate in scientific exchanges through workshops, courses etc.
under the great variety of programmes associated with inter-governmental and institutional
agreements. For example, for African countries, the Biosciences eastern and central Africa
(BecA) hub which has been set up on the campus of the International Livestock Research
Institute (ILRI) in Nairobi provides a common R&D platform, research services, training
and capacity building opportunities with top class facilities. Last year, BecA hosted more
than 180 African students and scientists in workshops and bioinformatics courses5.
In addition to building up PhD and postgraduate training opportunities, Argentina, Brazil,
Chile, China, India and South Africa have already moved forcefully into supporting innovation
by giving much greater encouragement within their S&T systems to both public-private sector
partnerships and to meeting the demands and requirements of private enterprise (examples
from selected developing countries are provided in Annex 1, Part 8.5.1). These include:
}} re-engineering existing university departments and curricula by focusing on areas
and approaches that are presently inadequately covered, e.g. degrees in regulatory
matters, product development, bioinformatics, technology transfer, entrepreneurship
and commercialization;
}} creating new institutions and re-branding existing institutions for R&D;
}} creating institutions specifically for scaling up and commercializing research outputs;
}} providing incentives for qualified citizens working abroad to participate in national
activities. Brazil, China, Chile, India, Malaysia and Thailand have all introduced
instruments for this purpose. The Indian Governments Department of Biotechnology,
for example, established the Ramalingaswami re-entry fellowships which offer five-year
placements for high calibre nationals working abroad.
5 http://hub.africabiosciences.org.

8.3 Funding: Instruments and Options
Securing appropriate and consistent levels of funding for agricultural S&T has consistently
been hugely problematic for most developing countries. With its additional requirements
for infrastructure and organizational, scientific, technical and legal skills, and the challenge
of addressing the many other priorities that have surfaced in recent years, introducing
biotechnology makes that task all the more daunting.
Even so, a number of options can be considered to both increase levels of funding and
to move away from traditional instruments that often involve little if any consideration
of priorities or planning (see examples from a number of selected developing countries in
Annex 1, Part 8.5.2). Most of these options involve changing the division of labour in R&D
between public and private entities and between national and regional or state entities,
improving coordination between academia, public sector institutions and the private sector,
and putting in place mechanisms or institutions that sit between the funding bodies and
beneficiaries of R&D to influence the research agenda and who carries it out. They also put
a premium on collective responsibility for funding (e.g. through levies from producers, tax
and other concessions for private firms and grants from foundations), and on the areas of
early stage capital funding and addressing the commercialization gap. The options include:
}} redirecting part of the total public support package for agriculture (e.g. through
subsidies and other policy instruments) to innovative technological packages directed
to tackling priority constraints to sustainable production within disadvantaged regions
with minimum economic potential;
}} introducing commodity levies and tax check-offs, and likewise directing a proportion
of the income to support pro-poor agricultural R&D; The case for special purpose
levies to fund agricultural development is reviewed in FAO (2005).
}} encouraging commercialization of agricultural R&D; On the other hand, if the goal
is to simply increase funding, the tendency of governments to substitute commercial
funds for public investments should be noted (see e.g. Rozelle et al., 1999).
}} developing much closer partnerships with, and alignment between, policies, programmes,
projects and funding mechanisms linked to R&D supported by other ministries and
their donor communities (particularly with Ministries of S&T and the Environment);
}} moving progressively away from traditional arrangements whereby block grants
provided by the Ministry of Finance and supplemented by donor contributions
are provided individually or collectively through the Ministry of Agriculture to a
centrally-based national agricultural research organization; Instead, through progressive
decentralization which provides an opportunity to adapt research to local contexts, to
grant fiscal autonomy to state or regional governments and legal status to producer

organizations, and to encourage the establishment of national and regional research
foundations with arms length boards or councils to expand and change the sources
and flows of funding, including from donors.
}} changing the criteria for priority-setting, procedures for allocating funds and the funding
instruments used at national and state levels, basing them in all cases on competitive and
often matching grants directed at a variety of entry points including more upstream and
applied biotechnology research, technology development and scholarships;
}} linking research priorities more explicitly to wider social and economic needs, i.e. poverty
reduction and rural development programmes and fund accordingly; With the political
spotlight now firmly on the MDGs and the Paris Declaration on Aid Effectiveness,
this may increase both national resource levels and encourage donors to step up and
coordinate their support for research in rural areas.
}} creating formal structures and mechanisms for stakeholder participation in R&D policy,
including its inter-related elements of priority-setting, funding and review; Since the
remit of most biotechnology advisory committees is wide, one option is to create a R&D
sub-committee with expertise in S&T, innovations and socio-economic development,
and representatives from NGO and civil society umbrella organizations including those
representing the agrifood sector.
}} giving increasing priority to research that is jointly formulated and implemented through
partnerships within the public sector (research institutes and universities), but more
particularly through public-private partnerships (e.g. research institutes, universities
and small and medium sized enterprises [SMEs]);
}} giving increased priority to research projects that arise from analysis of constraints
within local and regional product value chains and production systems;
}} establishing S&T and innovation funding windows based on thematic problem-based
priorities and value chains established by a government-level think tank; they often
require multidisciplinary approaches and cater less to the scientific interests of researchers
in specific disciplines.
}} establishing or strengthening intermediate funding structures between government and
the national S&T and innovation systems, e.g. a Research Council or Foundation with
a board or peer review panel;
}} encouraging and enforcing intellectual property protection.
As described in Annex 1 (Part 8.5.2), quite dramatic changes are taking place in some developing
countries in terms of the manner in which they plan, fund and organize biotechnology
R&D and innovation, with considerable emphasis being placed on public-private sector
partnerships. These countries have taken advantage of wider productive development policies

and institutions that were set up to encourage both trade and private sector investment
(for Latin America and the Caribbean, see Melo and Rodrguez-Clare,2006), and followed
national innovations system approaches. Although not always specific to BFA, these illustrate
options to be considered by others.
What is less clear, because of their infancy and the current global economic downturn,
is whether, with the inevitable increases in transaction costs involved and downstream
movement of research agendas, these changes will actually improve the efficiency and
effectiveness of national R&D enterprises and the prospects for a more diverse and pro-
poor relevant suite of biotechnologies coming on line in the years ahead.
8.4 Regulation
8.4.1 Context
Having a regulatory framework or system that ensures the safe and efficient development and
use of biotechnology methods, processes and products is part and parcel of a national and
international enabling environment for BFA. The objective of such a system is to ensure that
any potential risks to human health (e.g. FAO, 2009b) and the environment are identified and
that they are properly assessed and managed by identifying and putting in place appropriate
mechanisms and measures throughout the processes of research, product development and
use as well as through trade, based on the countrys stated appropriate level of protection.
Since uncertainty is an inescapable reality with any technology and not unique to food and
agriculture, designing and enforcing the primary laws, secondary regulations and the many
guidelines and standards that constitute regulatory frameworks, while never easy for legislatures,
government policy-makers and their regulatory agencies, are nevertheless fundamental
elements of sustainable agriculture and rural development and wider development.
The main challenges faced by policy-makers are first of all deciding what should
constitute a trigger for regulatory action, and then finding the right balance between
the potentially important benefits of undertaking a particular activity and the safeguards,
if needed, that should be put in place to realize the benefits. In fact, government decision-
makers may conclude from the safety review process that there is no new risk from a
particular technology and therefore safeguards are not needed. Nevertheless, finding that
balance is fraught with difficulties and trade-offs, because (1) the desirability of a particular
activity depends on societal values which themselves can vary greatly within and between
particular societies, and (2) national regulatory frameworks themselves increasingly have to
be adapted both to the rules of the game imposed by international, regional and bilateral
agreements, as well as to new developments in technology and to other changes at national
and global levels, e.g. climate change, emergence of new pests and diseases etc.

Traditionally, laws and regulations covering sanitary (human and animal) and phytosanitary
(plant) measures known collectively as biosecurity measures (FAO, 2007a) have been
used to balance the needs to produce, market and trade food and other agricultural products
with the need to ensure, as much as possible, that this is done in ways that protect the life
and health of plants and animals and as well as the interests of consumers. These measures
are based on both the processes and/or the end products themselves. Additionally, other
technical rules such as labelling of products have become an important part of market and
trade regulation to protect the wider interests of consumers and promote fair practices, or
simply to provide information.
More recently, societies have become increasingly concerned about the potential risks
to the environment and the knock-on consequences for their socio-economic development
arising from agriculture. They are also increasingly concerned about animal welfare. Indeed,
even before the UN Conference on Environment and Development (UNCED) in 1992 and
its Rio Declaration and Agenda 21 blueprint for action on sustainable development, the
linkages between poverty, food insecurity, human health and environmental degradation and
the need to strike more appropriate balances between producing goods, generating incomes
and protecting natural resources and processes were becoming increasingly recognized by
individual governments and the global community including NGOs and the private sector.
Also recognized was the need for cooperative planning between governments and societies
to address these interactions for achieving sustainable development.
With intensification remaining the cornerstone of efforts to meet the continuously growing
demand for food, and at the same time protect both wild and managed biodiversity, and with
human populations expected to reach nine billion by 2050, it is relevant to consider the likely
contribution of biotechnologies to increasing production and access to sufficient and safe
food supplies through national and international markets. Into that debate, as it has done in
the discourse on agriculture over the last half century, come two overarching questions about
BFA, namely: without better technologies and supportive policy packages, how many more
people would suffer from hunger and severe malnutrition with the same population growth?;
and what additional area of forests and other environmentally sensitive lands would be used
to produce the greater amounts and/or nutritional quality of food that will be needed?
The debate about what agricultural biotechnologies can and cannot do, have and have
not done, and will and will not do for sustainable agriculture and rural development still goes
on today and is not entered into further here. Nevertheless, over these last 1015 years of
heightened political and legislative activity, one reality stands out: unlike other biotechnologies
(such as tissue culture, artificial insemination and molecular markers), and the plants, animals,
feeds and other products developed from them, genetic modification (and to a lesser extent,
animal cloning) has been the trigger for regulatory actions across the world.

Biotechnologys continuing high global profile can be attributed to a complex set of often
intersecting factors that include their rapid proliferation in a few countries and increasing
appearance in international trade; the high dependence of many countries on food and feed
imports, including food aid; ever-increasing awareness and concerns about food safety and
quality; greater public attention to biodiversity and wider environmental issues, including
the impact of agriculture on both; increasing movement of people, pests and diseases across
borders and species; legal obligations of countries to implement international agreements;
advances in communication and global access to information; often unresolved scientific,
legal, philosophical and public debate; and scarcities in technical and financial resources.
Together, these and other considerations have raised expectations tempered by uncertainty
about the future role of advanced biotechnologies and specifically about genetic modification,
in the 21st century.
This Chapter does not discuss the appropriateness of singling out R&D and the
products and some derivatives of GMOs for regulation among all the potentially
available biotechnologies discussed at ABDC-10. That debate is history and need not be
entered into further, although regulation itself should be seen as a positive development
demonstrating responsibility and oversight by governments as well as collaboration
between governments and developers of biotechnologies to ensure that only products
that are as safe as their conventional counterparts are released into the environment and
consumed. On the other hand, the widespread introduction of artificial insemination for
example in some developing countries (a biotechnology which is generally not regulated)
has had serious negative repercussions on livestock biodiversity and the livelihoods of
many small-scale farmers.
What is significant from a policy perspective is the scope for national regulation of
biotechnology through the two international legally-binding environmental agreements
designed to shape national and international actions, i.e. the Convention on Biological
Diversity (CBD) and its Cartagena Protocol on Biosafety (CPB), as well as through the
all-embracing World Trade Organization (WTO) Agreements on trade and the standards
set by the Codex Alimentarius Commission, International Plant Protection Convention
(IPPC) and the World Organisation for Animal Health (OIE). Mackenzie et al. (2003)
provide a comprehensive explanatory guide to the CPB, including its relationship to the
WTO Agreements, while FAO (2007b) describes the WTO Sanitary and Phytosanitary (SPS)
Agreement and its relevance to biosafety. Options available to countries for meeting their
obligations under these Agreements are therefore not covered here. Nor does this Chapter
enter into the legalities of relationships between multilateral environmental agreements and
the WTO Agreements or into trade disputes between certain countries on matters relating
to GMOs. Both have already been covered comprehensively by Zarrilli (2005).

Instead, it describes how the same selected developing countries surveyed for Chapter7
intended to deal with regulation within their NBS documents as well as some features of the
frameworks that they have established, or intend to establish, to deal with environmental
and food/feed safety regulation. Information about these frameworks was obtained from a
wide variety of official and UN sources, the most important being: websites of the relevant
government authorities (e.g. the Department of Biotechnology [DBT], India and the
Secretara de Agricultura, Ganadera, Pesca y Alimentos [SAGPyA], Argentina); the national
biosafety frameworks prepared through the UNEP-GEF (United Nations Environment
Programme-Global Environment Facility) project6; information provided by countries to
the Biosafety Clearing House (BCH)7; analyses of biosafety systems of specific developing
countries (e.g. Burachik and Traynor, 2002; Sengooba et al., 2006); and fact sheets on national
biotechnology developments prepared by the United States Department of Agriculture
(USDA) Foreign Agricultural Service8.
8.4.2 Coverage of regulation within national biotechnology policies/strategies

The importance of developing up-front a collective statement of intentions with respect
to biotechnology and how these might be achieved, in effect a comprehensive NBS,
was emphasized in Chapter7. Some principles were also described for preparing such a
document and the types of information that could usefully be included, such as linkages
with other government policies, e.g. on agriculture, the environment, human health,
sustainable development and S&T. Laying out a ground plan about how to balance
enthusiasm for agricultural biotechnologies with the need to protect the agrifood sectors,
the wider environment and peoples health, livelihoods and cultures against unforeseen risks
should be an integral part of that policy/strategy. This should include general principles
and direction to the subsequent process of putting in place a framework or system that is
responsive both to national needs and obligations arising from international undertakings.
At a minimum, it should describe the objectives of the system and highlight the key public
policy issues and options that need to be considered, e.g. the roles of science vis--vis social
and economic issues in decision-making, and how and where in the regulatory process the
public may participate.
Annex 2 (Part 8.6) provides a synthesis of how the selected developing countries deal
with regulation in their national policy/strategy documents. In some cases, these go into
great detail about intentions for dealing with the safety aspects of GMOs, while others
provide little or much less detail. In the former category (e.g. Chile, Kenya, Malawi and
6 www.unep.org/biosafety/
7 http://bch.cbd.int/
8 www.fas.usda.gov/info/factsheets/reports.asp

Zambia), this may be attributed to the fact that new biosafety laws had either recently
reached the statutes or were in an advanced stage of preparation for their legislatures at
the time of preparing the NBS documents. The lack of detail for other countries may have
been because entire systems were already in place and the countries concerned considered
it unnecessary to provide details already available elsewhere (e.g. Argentina, China, Brazil
and South Africa). In other cases, it appeared that the main intent of the NBS documents
was to emphasize promotion (India, Malaysia and Thailand in particular).
Irrespective of the scope and depth of coverage, all countries have established, or intend
to establish, a specific legal framework, mostly through one or a number of new laws and/or
secondary regulations, to deal with the safety issues surrounding GMOs. While considerable
variation was noted in the institutional constellations for implementing these legal and
regulatory frameworks (see below), certain features were relatively common and indeed
were also prominent within the laws subsequently approved by national legislatures. These
include requirements for labelling, for liability and redress, for taking social and economic
considerations into decision-making, and informing and/or otherwise engaging the public
in such decision-making.
8.4.3 Establishing national biotechnology regulatory frameworks

The challenge of putting in place and implementing a comprehensive, multifaceted
regulatory system responsive to national needs and priorities, to the various articles of the
CBD and CPB and that is consistent with other international obligations (e.g. on trade)
requires substantial inter-institutional involvement to: (1) conduct inventories of national
and international laws, national regulations, research agendas and institutions directly and
indirectly concerned with biotechnology and biosafety, (2) analyse these and identify gaps
and overlaps, and compare them with other national systems, (3) assess available human and
other capacities, and (4) examine choices among the various policy options and delineate
their social and other dimensions and trade-offs (also considering the policies of other
countries, particularly with respect to trade). Ideally, this should be done before deciding
on an appropriate regulatory structure and the legal and political means by which such a
structure can be implemented.
Underpinning all these steps and iterations is the requirement for scientific, technical,
legal, judicial, economic, trade, logistic, as well as the political skills needed to negotiate with
all relevant ministries with their different priorities and perceptions of the appropriate balance
to strike between regulating and encouraging the unrestricted use of new technologies. A
further key requirement is inclusiveness and balance ensuring the appropriate participation
of representatives of all groups directly and indirectly affected by biotechnology and its
regulation (see Chapter9). While countries should find the conceptual framework developed

by the International Service for National Agricultural Research and FAO in consultation
with UNEP-GEF useful for developing their regulatory systems for advanced biotechnology
(McLean et al., 2002), they should bear in mind that this is only a guide, and that whatever
is decided initially should be constantly evaluated and through experience modified to deal
with developments in technology, social attitudes and within other countries.
8.4.3.1 Legalauthority
When developing these systems, countries should establish clear legal authorities and
responsibilities for implementing them. They have two, but not mutually exclusive
options for doing so. The first is using their existing primary laws and the delegated legal
authorities within these, to promulgate regulations for dealing with activities involving
genetic modification. This provides a basis for regulating GMOs within a short time. At
the same time, to create or strengthen inter-institutional linkages voluntarily. The second
is to introduce a new primary law. This is a longer-term undertaking, but one that might
be justified on several grounds, e.g. many primary laws are very old, lack or provide
questionable authority to regulate biotechnology or make such authority weak, and/or
are confusing and lack transparency and coordination by being scattered among different
ministries. The pros and cons of these options and an analytical tool for assessing wider
biosecurity legislation are described by FAO (2007c).
While the majority of developing countries surveyed have introduced new biosafety
or GMO acts/laws, Argentina, Chile and China regulate GM applications within the
framework of existing general legal authorities and specific regulations that have evolved
with experience gained over more than 20 years. Brazil and South Africa are examples of
countries that have successfully regulated GM applications through amendments to their
original GMO-specific laws, while India does so through rules for implementing its 1986
Environment Protection Act.
In other cases (e.g. Peru and essentially all the African countries covered), the relevant
laws are very recent and therefore few of the regulations, and particularly the administrative
requirements that flow from them, may have been completed. It is therefore premature for
these countries to judge whether their regulatory systems will stand the test of time or,
as in the case of Brazil, have to be re-negotiated by national legislatures or simply adjusted
through changes/additions to the regulations and procedures that are initially put in place.
Jamaica, Thailand and Uganda presently oversee biotechnology through voluntary
guidelines developed through their S&T agencies which do not have regulatory mandates
except perhaps for laboratory work. Thailand, on the other hand, has amended all its
fundamental laws dealing with sanitary and phytosanitary measures, fisheries, food and
feed etc. to cover modern biotechnology.

8.4.3.2 Structure and decision-making responsibilities
One of the main justifications for establishing new laws and regulations is to provide a
unified, or at least well coordinated, national system for dealing with regulation of BFA
applications throughout a chain that may stretch from R&D to use and consumption. The
selected developing countries examined for this Chapter have systems in place that are both
variable and, in some cases, fairly complex.
In Brazil, a National Biosafety Council under the Office of the President and composed of
11 Cabinet ministers is the top decision-making authority. It provides advice to the President
in formulating and implementing the national biosafety policy, establishing principles and
directives for administrative actions by the federal agencies involved in preparing and overseeing
biotechnology guidelines, and considering the socio-economic convenience and opportunities
and national interest relating to commercial authorization of GMOs. It is the highest institutional
body to make a final decision on release of products for planting. It does not evaluate safety.
In China, the Joint-Ministerial Conference for Biosafety Management of Agricultural
Genetically Modified Organisms coordinates actions on major issues in biosafety management
of agricultural products. It consists of seven government agencies under the State Council,
including the Ministries of Agriculture, Environmental Protection, S&T, Commerce, Health
and other bodies.
The structure established by most countries consists of a National Biosafety (or
Biotechnology or Genetic Engineering) Authority (or Board, Committee, Commission,
Council, or Executive Council) for overseeing regulation. In some cases notably Argentina
and China responsibilities are restricted to BFA. While varying greatly also in size (from
less than 10 to over 70 members), their composition generally includes government officials,
technical experts and in some cases, representatives of the private sector and CSOs. In
China, there is both large ministerial and scientific representation, while in India three
non-ministerial experts together with ministerial representatives constitute the national
committee. Argentina, Brazil, Jamaica, Kenya and Uganda have representation from
ministry, scientific, industry and civil society sources within their multidisciplinary and
inter-institutional bodies. China, Malaysia and South Africa appear to have no civil society
representation while Namibias committee appears to be purely scientific in nature.
The authority entrusted to these committees varies. In some countries they take full
responsibility for all major decisions concerning the safety of activities and products, e.g.
authorizing imports, contained and non-contained field releases and consumption as food or
feeds through to approval of specific guidelines and certification of premises. This appears to
be the case in India and South Africa. In other cases, their mandate is restricted. For example,
in Argentina, the Comisin Nacional Asesora de Biotecnologa Agropecuaria (CONABIA)
does not cover food safety and regulation of recombinant products of fermentation such

as microbial inoculants and processing enzymes, although it does deal with GM animals
(Burachik and Traynor, 2002). In many cases, these committees are advisory only, making
recommendations to the Minister for Agriculture in China and South Africa; to the Minister
of Environment in Malawi, Malaysia, Peru and Thailand; to the Minister of S&T or similar
in Jamaica, Kenya, Namibia and Zambia; and to the Secretaries for Agriculture, Livestock,
Fisheries and Food and for Livestock and Agricultural Services in Argentina and Chile
respectively, and to the Minister for Finance, Planning and Economic Development in Uganda.
In both Argentina and Brazil, separate procedures are in place for advising the President
and Secretary for Agriculture respectively of possible impacts on socio-economics and
trade before final approval of commercial releases. One outcome of this procedure is that
Argentina does not authorize commercial planting of GM crops that are not approved by its
main trading partners. South Africa also appears to include socio-economic considerations
in biosafety decision-making (Grure and Sengupta, 2008).
In some countries, a variety of other committees perform specific scientific and
technical functions in support of national committees. Examples are: Chinas Committee
for Standardization of Biosafety Management, Indias Review Committee for Genetic
Engineering, Malaysias Genetic Modification Advisory Committee, and South Africas
and Zambias Biosafety Advisory Committees. These have various functions ranging from
preparing guidelines, approving and inspecting research facilities and applications up to the
stage of restricted multi-location field trials, through in the case of Argentina to evaluating
the commercial impact on export markets by preparing technical reports in order to avoid
negative impacts (the National Direction of Agricultural Food Markets, DNMA). Essentially
all countries surveyed have also established Institutional Biosafety Committees to oversee
R&D activities. Usually these are under the authority of Ministries of S&T or similar.
Decentralization of regulatory authority (i.e. from national to state/regional legislatures,
governments and departments and even down to local authorities) is an issue of considerable
and increasing importance for the regulation of GMOs in all countries, both developing and
developed. It has already caused controversy, confusion and even moratoria on using GMOs
in some advanced countries. Developing countries should therefore carefully consider and
make appropriate arrangements for handling the interplay between central government and
the responsibilities devolved to sub-national jurisdictions.
8.4.3.3 Transparency: Establishing clear criteria and standards for safety - baselines,
comparators, thresholds and indicators for environmental and food safety
As Parties to the CBD and CPB and Members of the WTO, most developing countries
have to establish and implement (including enforce) regulatory measures to protect human
health and the environment while not unnecessarily restricting trade. Establishing assessment

criteria, i.e. comparator conditions against which any effects, direct and indirect, arising
from using and consuming GMOs will be judged, and specifying levels of safety expected
should be laid out in regulatory guidelines to developers. These are basic requirements for
both pre-release case-by-case environmental and food safety risk assessments, and both
specific and general post-release monitoring of potential adverse effects. This ensures that
notifiers know and understand the standards to which they will be held accountable and it
fosters even-handedness and transparency in their implementation by regulators.
Nevertheless, a combination of ambiguities arising from the wording of some Articles
within these agreements and the lack of guidance about the scope of, and discretion
available to countries for national action, makes interpretation of how to play by the
rules challenging to say the least. For example, words like significant, potential and
adverse when referring to reduction or loss of biological diversity and triggers for action;
sufficient and relevant when referring to scientific information; prevent, avoid and
minimize in relation to the degree to which risks should be managed; and appropriate
levels of health protection when dealing with food safety appear throughout the texts of
these agreements. They also lack guidance, e.g. on how and at what point, precaution and
socio-economic considerations can be taken into account when making decisions on risks
and their management, and on the thresholds (spatial or temporal) of adversity.
Much has also been written about using the concept of substantial equivalence as
the comparator within regulatory approaches for dealing with both the environmental and
food safety dimensions of GMOs. This has been criticized for being ill-defined and leading
to ambiguities concerning, e.g. the choice of growing conditions, comparator plants and
acceptable margins of differences in food and feed composition (Millstone, Brunner and
Meyer, 1999). These weaknesses have been recognized by national authorities and at the
international level, and it is now generally accepted that, rather than being a substitute,
substantial equivalence is the starting point for safety assessment. This issue is not pursued
further except to emphasize two things.
The first is that the Codex Guideline for the Conduct of Food Safety Assessment of Foods
Derived from Recombinant-DNA Plants states that the concept of substantial equivalence
is a key step in the safety assessment process. However, it is not a safety assessment in
itself; rather it represents the starting point which is used to structure the safety assessment
of a new food relative to its conventional counterpart. This concept is used to identify
similarities and differences between the new food and its conventional counterpart. It aids
in the identification of potential safety and nutritional issues and is considered the most
appropriate strategy to date for safety assessment of foods derived from recombinant-DNA
plants. The safety assessment carried out in this way does not imply absolute safety of the
new product; rather it focuses on assessing the safety of any identified differences so that

the new product can be considered relative to its conventional counterpart (FAO, 2009c).
The second is that current regulations have protected the environment and the public from
all potential hazards from currently available GMOs and their products, and while new in
vitro molecular and other techniques are being researched for hazard identification, these
are not sufficiently developed for regulatory decision-making (see e.g. Kuiper, Kok and
Engel, 2003).
Differences in philosophy and implementation of regulations for environmental release of
GMOs between industrialized countries (e.g. between product- and process-based approaches)
have also been highlighted by many commentators (see, e.g. COGEM, 2008). In relation to
risk assessment this debate is about semantics transgenesis is de facto a regulatory trigger in
all countries even if it is the phenotypic characteristics of the organism that are the potential
source of environmental risks, and the questions prescribed and the type of information
required for permits or authorizations are very similar across national jurisdictions.
While there will always be room for improving understanding between regulatory
authorities on how to measure risk in all areas of regulation and to employ the same
analytical tools for this purpose, such a common understanding could never rule out
policy differences on national approaches with respect of risk management (i.e. decisions
concerning the level of acceptable risk in a given regulatory policy or system). Further,
with few exceptions, management interventions have been developed for, and applied
to, large-scale intensively managed commercial farms supported by owner/manager-
supplier contracts that define the conditions for using the GMO and related inputs,
and in countries that do not have wild relatives of the (food) crops in question. More
research is needed to assess the appropriateness (technical, economical and social) of the
management strategies used in temperate regions and large farming operations under the
variety of climatic and ecological conditions within which small-scale farming systems
exist in developing countries.
Decision-making is both highly complex and has scientific, social and political dimensions.
In some countries, socio-economic considerations may not be appropriate in regulatory
regimes, leaving the market to respond to non-safety consumer demands. In others, it may
not simply be the prerogative of scientists and government regulators some societies
increasingly want a say in how it is done and in the decisions that are made, i.e. regulatory
systems designed to assess only health and safety risks do not address the concerns of
some people about GMOs. Other concerns influencing farming and food purchasing
decisions include the type of agricultural system from which the product originated, and
whether the foods are natural and pure. Some consumers also have moral, religious or
ethical objections to buying certain products. It seems clear, therefore, that while product
safety must be assured by the government, public confidence in modern biotechnologies

will increasingly require that socio-economic impacts are evaluated along with potential
environmental and human health risks, and that people representing diverse views have
the opportunity to participate in judgements about using new technologies. Fostering such
approaches will need a significant revamping of the current approaches taken to providing
assistance to developing countries for making rational technology choices. At a minimum,
these should ensure that the human right to adequate food and to democratic participation
in debate and eventual decisions concerning these technologies are respected, as must the
right to informed choices (FAO, 2001).
8.4.3.4 Definition of roles, responsibilities and accountabilities

Countries should also define, and make transparent, the roles, responsibilities and
accountabilities of their National Committees and of existing national institutions since,
in most cases, the roles of existing regulatory agencies remain much better defined for
conventional than for biotechnology-related activities. While the ultimate intent of most
National Committees is to encourage collective ministerial decision-making that is
informed by scientific and technical considerations, and it is then the responsibility of the
traditional regulatory agencies including their inspectors to implement the regulations, it
will take some time before most countries have reached the stage of harmonizing the many
processes and practices associated with GMO regulation.
It is particularly noticeable that in some countries the regulation of GM foods is not
covered by Biosafety or GM Acts and that full decision-making authority resides with
Ministries for Health through existing or proposed new legislation. This divorcing of the
environmental and human health aspects of biotechnology regulation may not be
optimal for encouraging the development and implementation of comprehensive, fully
integrated and balanced policies and regulatory frameworks for some biotechnologies
along entire food chains. It may also lead, e.g. to asynchronous national approvals for
different uses (see below).
8.4.3.5 Making information available to regulators and the public

One issue of considerable concern about BFA relates to the confidentiality of the information
provided to regulators when submitting dossiers seeking authorization for particular
activities. Under the CPB, Article 21 requires importing Parties to allow notifiers to identify
information that should be treated as confidential, but exactly what kind of information
can be kept confidential is not clear. Presumably, as in the Aarhus Convention on Access to
Information, Public Participation in Decision-Making and Access to Justice in Environmental
Matters (1998), the Article refers to commercial and industrial information. However,
the Stockholm Convention on Persistent Organic Pollutants, for example, states that

information on health and safety of humans and the environment shall not be regarded as
confidential and this and other agreements provide for other information being exchanged
on a mutually agreed basis.
Policy-makers should be aware that confidentially requirements under the CPB
appear to apply only to information connected with the advance informed agreement
(AIA) procedure i.e. it is silent on requirements for national development. This leaves
countries with essentially two options for dealing with the issue, namely through intellectual
property rights or specific GMO legislation. Apart from Namibia, which deals specifically
with confidential information within its Biosafety Act, it appears that most countries have
chosen to deal with this matter through IPR legislation (Chapter9). Options for making
information available to the public are also covered in Chapter9.
8.4.4 International harmonization

Many attempts have been made, and continue to this day, to harmonize biotechnology
regulations regionally and internationally. Undoubtedly, the biggest success story is the
work of the WHO/FAO Codex Alimentarius Commission whose standards are accepted
as reference points by the SPS Agreement under the Uruguay Round administered by the
WTO. These include the Principles for the Risk Analysis of Foods Derived from Modern
Biotechnology (2003); Guideline for the Conduct of Food Safety Assessment of Foods
Derived from Recombinant-DNA Plants (2003); Guideline for the Conduct of Food Safety
Assessment of Foods Produced Using Recombinant-DNA Micro-organisms (2003); and the
Guideline for the Conduct of Food Safety Assessment of Foods Derived from Recombinant-
DNA Animals (2008)9. In addition, work is underway to deal with food safety assessments
for recombinant DNA plants modified for nutritional and health benefits, and through
both Codex and the OIE to deal with the matter of assessing the safety of foods derived
from animals treated for diseases through gene therapy and recombinant DNA vaccines.
Also, from the perspective of transboundary movements of GM plants, the international
standard for phytosanitary measures (ISPM) No. 11: Pest Risk Analysis for Quarantine
Pests Including Analysis of Environmental Risks and Living Modified Organisms
(2004)10 which was developed under the auspices of the IPPC, is of key importance for
environmental risk assessment. The Association of Southeast Asian Nations (ASEAN)
has also developed (non-binding) Guidelines on Risk Assessment of Agriculture-Related
Genetically Modified Organisms11.
9 All four texts are provided in FAO (2009c)

10 https://www.ippc.int/file_uploaded/1146658377367_ISPM11.pdf
11 www.aseansec.org/6226.htm.

Other relevant documentation includes the Organisation for Economic Co-operation
and Development (OECD) work on risk/safety assessment of modern biotechnology
covering food, feed and environmental safety. The main outputs from this programme
are two series of Consensus Documents, one on the Harmonization of Regulatory
Oversight in Biotechnology (OECD, 2005) and the other on the Safety of Novel Foods and
Feeds12. These tools were developed for helping decision-makers and other stakeholders
in conducting biosafety assessments of a number of cultivated plants (including on their
basic biology), trees and micro-organisms, as well as providing general information about
traits. The documents for assessing the safety of novel foods and feeds include elements
on key nutrients, anti-nutrients, toxins and allergens. The OECD information sources are
constantly up-dated and although most relevant to developed countries, they contain much
that is invaluable for developing countries. Recent examples include documents on bananas
and plantains and on compositional considerations for cassava.
Another valuable and practical tool developed by the OECD is the unique identifier13
for global tracing of transformed events and which is currently being used by many GMO
developers as well as the BCH and the FAO International Portal on Food Safety, Animal
and Plant Health.
While there is clearly no shortage of information or readiness of numerous international
and national agencies and private consultants to provide training and capacity building
services, and despite expenditures estimated to exceed US$150 million up to 2006 on the topic
and a further US$80 million earmarked since by GEF (UNEP-GEF, 2006), few developing
countries receiving this support have actually approved a GMO for field use. Furthermore,
considerable disagreement continues to exist within and across countries concerning the
nature of the hazard(s), if any, and the most appropriate approaches and methods to assess
potential risks from employing genetic modification and other biotechnologies in the
agrifood sector. There is also much disagreement about how to deal with socio-economic
risks and whether there is a need for labelling, and whether regulatory decision-making
should directly involve people outside of regulatory agencies.
This global regulatory divide, coupled with current disagreements between countries
within the one region of the world that has established regionally-agreed standards
for biotechnology regulation, suggests that while considerable scope exists to improve
understanding, and reduce regulatory costs, among developing countries through the pursuit
of informal collaborations and mutual recognition of voluntary guidelines, prospects for
12 www.oecd.org/biotrack
13 http://www2.oecd.org/biotech/

comprehensive harmonization of biotechnology regulatory oversight within developing
country regions do not look promising. This is because: (1) decision-making is essentially
about dealing with uncertainty and societal value judgements concerning levels of acceptable
risks, (2) within all developing country regions, national policies on GMOs currently
range from moratoria to approval of field trials through to commercial field releases, and
(3) science can only inform but never replace, the decisions of policy-makers concerning
what they consider to be legitimate and justifiable reasons for a particular course of action.
This certainly does not mean that harmonizing science and data requirements cannot
be improved. Examples of voluntary guidelines might include: approaches for conducting
risk assessments; for dealing with confidential information; on criteria and procedures for
authorizing and overseeing confined field trials; on methods for obtaining and reporting
molecular characterization data; on methods of analysis and sampling for GMOs in different
matrices; approaches for conducting post-release environmental monitoring; and for producing
consensus documents on the biology of plants used by smallholders in developing countries.
Hence, while there is general consensus that harmonization of regulatory approaches
across countries is important, more important at this juncture is coordination and
harmonization of GMO regulation between relevant government ministries within a country.
Nevertheless, for countries interested in the options and implications for governance of
regional biotechnology regulations, Birner and Linacre (2008) deal with possibilities and
challenges in West Africa and provide much food for thought.
All of the above may be sufficient justification for developing countries to consider
adopting a biosecurity approach, defined as a strategic and integrated approach to analysing
and managing relevant risks to human, animal and plant life and health and associated
risks to the environment (FAO, 2007a). Traditionally such risks have been dealt with in a
sectoral manner by means of food safety laws, and animal and plant quarantine and pesticide
regulations which have also been implemented separately, resulting in costly regulatory
systems that require high investment and recurrent costs (infrastructure and human resources).
Many developing countries simply cannot afford sector- or GMO-specific approaches and
might benefit greatly from a more integrated approach without necessarily creating new
or unified structures. This would also provide an opportunity for greater harmonization
of terminology and methodology for risk analysis while respecting the need for individual
sectors to tailor risk analysis procedures to the characteristics of the risks involved.
8.4.5 Final considerations

First, developing a regulatory framework for GMOs can be a complex, resource-intensive and
daunting process. Second, irrespective of the established structures, regulatory functions
place enormous scientific, technical and administrative demands on national institutions.

This is because laws and general/specific regulations relating to S&T, import, export, transit,
use under contained and uncontained conditions, and consumption of food and feeds all
require the development of standards, technical and procedural guidelines, forms etc. These
then have to be implemented by institutes and companies that wish to undertake particular
activities and by the structures within the regulatory decision-making authorities themselves.
They include, but are certainly not limited to: preparing dossiers for and responding to
notifications, preparing guidelines for conducting risk assessments, issuing and refusing
permits and specifying conditions, certifying and inspecting facilities and field sites, preparing
guidelines for post-release monitoring, establishing methods for testing etc.
Third, while the vast majority of developing countries have ratified or are signatories to
the CBD and CPB, and through UNEP-GEF and a multitude of other externally financed
projects have drafted national biosafety frameworks or set up systems for governing GMOs
and their products, most of these have not been put into practice by the countries concerned.
In fact, a recent assessment by Johnston et al. (2008) concluded: in all probability the
majority of developing countries, perhaps as many as 100, including most countries of Africa,
Central Asia, Oceania and the Caribbean, are unable to manage modern biotechnology
and implement their national biosafety frameworks. Indeed, the capacity deficiencies are
so pervasive and broad that there is no effective international system of biosafety at the
moment. In addition, the volume of resources available to address these needs in the coming
years appears insufficient to provide the necessary support for countries to implement their
basic obligations under the CPB.
This reality is also borne out by the feedback obtained from recent CPB regional
consultations on capacity building and exchange of experiences on risk assessment and
risk management of GMOs14. It is also probably no exaggeration to state that the financial
commitments made by the international community over the last 57 years to support the
setting up of national biosafety systems has exceeded the investments made in partnering with
countries to foster R&D in agricultural biotechnologies and their applications. This has both
skewed external investments and diverted significant internal investments including human
resources into the specific, technically much more demanding and costly area of GMOs
at the expense of possibly more easily developed, applied and profitable biotechnological
approaches not requiring regulation, e.g. use of molecular markers and possibly genomics
for characterizing genetic resources and speeding up selection and breeding programmes.
This is a significant issue for reflection among national policy-makers and the international
community. On the other hand, a few developing countries have reaped substantial rewards
from their investments in biosafety systems.
14 Information documents from Africa, Latin America and Asia are available at www.cbd.int/doc/?meeting=MOP-04

Another noteworthy issue is the growing trend among researchers engaged in risk
assessments of measuring everything that can be measured. Drivers include developments
in genomics that make it possible to measure gene expression at the level of proteins and
specific metabolites, advocacy groups, regulators themselves and risk researchers. These
are constantly pushing up the costs of regulation and barriers to investments in genetic
modification compared with, for example, producing new cultivars through traditional
breeding. As discussed in Chapter7, the costs of GMO regulation are already substantial.
Developing countries are therefore becoming increasingly challenged to keep up with an
ever-widening and constantly evolving battery of scientific skills and analytical tools imposed
on developers of GMOs by their regulatory authorities as a result of developments in the
industrialized world. From a regulatory perspective, one must ask: are these measurements
really needed to measure safety or risk?
A related issue is the mass of information, guidelines and other decision-support
materials available through the BCH and elsewhere for conducting risk assessments and, on
the other hand, the palpable struggle of authorities in most developing countries to actually
do the job. This gap between information on, and practical knowledge and experience of,
risk assessment is certainly one of the many constraints to successful implementation of the
CPB and an Ad Hoc Technical Expert Group on Risk Assessment and Risk Management
was established to address, inter alia, the need for further guidance on specific aspects of risk
assessment. The report of its first meeting (CBD, 2009) suggests that specific case guidance
(i.e. a roadmap/decision tree approach) on how to actually apply the methodology for real
cases should be developed coupled with extensive hands-on training of practitioners using
real-life cases. This seems long overdue.
Given this background, developing countries clearly have to make very careful choices
concerning what biotechnology activities they propose to pursue and how. In particular,
they need to decide whether their S&T efforts should be directed solely at non-GMO
biotechnologies including tissue culture, molecular markers, molecular and immuno-diagnostics,
and reproductive biotechnologies like artificial insemination and embryo transfer etc. These
would not require any or significant regulatory oversight and all other things being equal in
terms, for example, of yields, quality and/or efficacy, they would not have the same potential
to affect: (1) existing farming practices in national landscapes, (2) arrangements for product
harvesting, storage and shipment within and between national borders, and (3) regional
and international trade through one or a combination of scenarios such as outright bans on
acceptance of GM products; zero tolerance of unapproved events present in non-GMO
shipments of the same product by a trading partner; and asynchronous approvals by different
potential importing countries (see, e.g. Stein and Rodrguez-Cerezo, 2009). In the case of
animals, a decision has to be made as to whether cloning should be regulated.

If a GMO is believed to offer potential for addressing an important constraint to
agricultural production, decisions have to be made concerning what kind of regulations
should be put in place to authorize its use(s), and how and by whom they should be
enforced. The decisions made will have a profound bearing on the S&T expertise required
and on the scope of any laws, regulations and associated administrative, inspection and
judicial procedures that need to be put in place, and hence on costs. This requires taking a
total chain approach to decision-making, linking the S&T demands of R&D with those of
regulating the environmental and human health aspects of the technology, and ensuring the
establishment and operation of a regulatory system that works in the best interests of the
country while respecting its international obligations. Unfortunately, many countries have
not considered regulatory demands outside of the laboratory and other strictly contained
environments before investing in GMOs for developing products that will be used by both
farmers and consumers.
8.5 Annex 1: Building and funding biotechnology R&D and innovation capacities
in selected developing countries
8.5.1 Training and capacity building

India now directly supports institutions providing undergraduate training in life science
and biotechnology to achieve the status of Star Colleges15 by improving teacher skills and
knowledge and providing equipment and reagents and running summer schools that expose
students to platform biotechnologies. It has also established a United Nations Educational,
Scientific and Cultural Organization (UNESCO) Regional Training Centre for school and
university teachers and researchers. The REDBIO Foundation in the Latin America and
Caribbean region has designed interactive and multimedia course materials for educating
schoolchildren specifically on BFA.
In order to fulfil their complementary mission of knowledge production and training of
skilled human resources for biotechnology, all of the selected countries reviewed increased,
or intended to increase, PhD and postgraduate training opportunities, particularly in relation
to R&D. How much of that effort has been, or will be, directed to BFA is unclear since
national statistics are unavailable or imprecise. Nevertheless, Argentina, China, India and
Malaysia are examples of countries that have shown considerable commitment to increasing
both the number and quality of research staff working on BFA, with the share of researchers
having a PhD increasing in China from 2 percent in 1986 to more than 20 percent in 2000
15 http://www.dbtindia.nic.in/proposals/Areas/HRD/Star/star_colleges_in_life_sciences.htm

(Huang and Wang, 2002). India is currently offering 18 MSc courses in BFA at various
universities and over 30 universities and higher education institutions in Argentina offer
undergraduate and graduate training in biotechnology (ProsperAr, 2008).
There are now numerous opportunities for training through programmes associated with
inter-governmental and institutional agreements. One example is the Centro Argentino-
Brasileo de Biotecnologa (CABBIO), which coordinates public-private research teams
from Argentina and Brazil that work on specific biotechnology research projects having an
industrial application. This centre runs the Escuela Argentino-Brasilea de Biotecnologa
(EABBIO), which promotes scientific exchange within the Latin American region in
biotechnology, including BFA, through courses, conferences and seminars promoted
by scientific and academic institutions of both countries, and through the financing of
scholarships in Argentinian and Brazilian research centres (da Silveira and de Carvalho
Borges, 2005). Another is the agreement reached in 2006 between the Argentinian Ministry
of Science, Technology and Productive Innovation and the Spanish Ministry of Education
and Science to expand and strengthen exchange between research groups in plant genomics.
Similar arrangements now exist also between the more advanced developing countries
surveyed (Argentina, Brazil, China, India, South Africa) and those that are less advanced,
e.g. in sub-Saharan Africa, South Asia and Central America.
Developing countries in all regions also benefit from the numerous meetings, workshops
and courses that are held under the auspices of international and regional organizations,
banks and development agencies. These address needs ranging from national and agricultural
development, S&T and legal and regulatory policy-making, through to implementing
specific projects and using specific techniques.
For countries in all developing regions, a further important option to build knowledge
and know-how concerning BFA is through partnerships with the CGIAR centres, most
of which have significant capabilities for specific training and wider capacity building.
These partnerships continue to be highly valued by even the most advanced developing
countries and their continuing pursuit and strengthening should be a cornerstone of BFA
policy for the technologically weaker countries, particularly in areas like crop and livestock
improvement and genetic resource characterization. An overview of the wide range of
capacity building activities that have been organized over the past years by FAO, other
UN agencies/bodies and the CGIAR centres regarding BFA in developing countries is
available from FAO-BiotechNews16.
Countries that have created new institutions or re-branded existing institutions for
biotechnology R&D include:
16 www.fao.org/biotech/

}} Argentina, which set up INDEAR, the National Institute for Agro-biotechnology,
and CEBIGEVE, a new centre for plant genomics resulting from Spanish-Argentinian
scientific cooperation (ProperAr, 2008);
}} Brazil, which set up ONSA (Organization for Nucleotide Sequencing and Analysis), a
virtual genomic research institute initially encompassing 30 laboratories located at several
research institutions within the State of So Paulo (da Silveira and de Carvalho Borges,
2005); also, the Centre for Molecular Biology and Genetics of the State University of
Campinas (CBMEG);
}} China, which established 12 National Key Laboratories (NKLs) specifically working
on BFA (Huang and Wang, 2002);
}} India, which established seven Centres for Plant Molecular Biology (CPMB) and a
National Centre for Plant Genome Research (Sharma, Charak and Ramanaiah, 2003),
and a National Agri-food Biotechnology Institute (NABI);
}} Malaysia, which created a National Institute of Agrobiotechnology at its Agricultural
Research and Development Institute (MARDI);
}} Thailand, which set up a National Centre for Genetic Engineering and Biotechnology
with units for plant and microbial genetic engineering.
Several countries have also established biotechnology incubators, technology parks

or clusters, the key goals of which are commercialization, employment and economic
development through facilitated interaction between government, universities and industry.
While many leading universities in the countries concerned now offer entrepreneurial
education to support new venture creation, incubation goes a step further by co-locating the
resources and capabilities needed for the support of new ventures helping them to navigate
the challenges of funding, management and identifying market needs. Though incubator
models vary widely, most have some degree of government involvement and many are
spin-offs from, or affiliated to, universities and research institutions and receive a large
part of their support from the parent university, national and state governments, industry
and foundations.
While the core business of these incubators is S&T based, their potential to provide
added value comes from the intangible soft services they provide such as networking,
grouping competencies, learning and promoting synergies. This approach has been given
high priority for BFA by governments like those in Brazil (Chandra, 2007), e.g. through
Cietec in So Paulo and Biominas in Belo Horizonte; India, e.g. the Biotechnology Park
at Lucknow for tissue culture and Knowledge City at Mohali, Punjab for bioprocessing;
Malaysia (BioValley); and Thailand (the Thailand Science Park at Rangsit which emphasizes
genetic engineering and other biotechnologies).

8.5.2 National funding policies and initiatives
Argentina: Through reforms to its S&T system, Argentina established a National Agency
for Scientific and Technological Promotion (ANPCyT) in 1996 with a board to encourage
and finance cooperative agreements with national, provincial and municipal governments,
corporations and foundations. It administers two funds, the Fund for Scientific and
Technological Research (FONCyT) and the Argentine Technology Fund (FONTAR),
which finance projects on a competitive basis ranging from basic research to improving
competitiveness through technological innovation. A major part of these funds is directed
at biotechnology (ProsperAr, 2008).
Biotechnology also benefits from a Law 26,270 published in 2007 for the promotion
of the development and production of modern biotechnology managed by the Ministry
of Economy which is valid for 15 years. This law created a fund for the stimulation of new
entrepreneurs in modern biotechnology which finances (at a subsidized cost) the start-up
capital for new SMEs, including training of human resources. Interesting aspects include
providing leave of absence to employees in public sector institutions to work in the private
sector, and a requirement to register new innovations arising from the projects with the
National Registry of Industrial Property. Significant also are the sources of finance for this
fund which include the State budget; income from legacies and donations; non-repayable
funds provided by multilateral agencies, foreign governments or NGOs; and funds repaid by
entrepreneurs benefiting from the incentives afforded by the law to individuals, institutions
and firms which include:
}} accelerated amortization (for income tax purposes) of capital goods and special equipment
purchased specifically to be used in the projects;
}} early reimbursement of the value-added tax on the purchase of these capital goods;
}} transforming 50 percent of payroll taxes into fiscal credit bonds;
}} transforming 50 percent of the cost of hired R&D services into fiscal credit bonds;
}} special access to the ANR PATENTES PyMEs, a call through which FONTAR finances
the costs faced by SMEs to obtain patents for innovations in the area of biotechnology.
Brazil: Federal funds for financing S&T, including BFA, come from the Ministry for S&Ts
National Fund for Scientific and Technological Development (FNDCT) which is channelled
through its National Council of Scientific and Technological Development (CNPq), whose
main goals are to support human resource training and research infrastructure, and a
specialized public company FINEP which addresses innovation. In 2001, the government
introduced Sectoral Funds as a way of targeting research at particular sectors, with agrifood
and biotechnology being two of the beneficiaries. As in Argentina, funding is competitive,
not restricted to public sector institutions and promotes public-private sector partnerships.

Funds do not flow directly to the company but to the university, public research institute
or foundation to finance a project within a company. Many projects of the Brazilian
Agricultural Research Corporation (EMBRAPA) and universities have been funded to
develop the Brazilian agricultural system. FINEP also has a venture capital programme called
Inovar, as well as a seed capital programme that provides funding for early stage growth.
The Brazilian Development Bank (BNDES) which used to finance only large companies
now has a support programme also for micro-enterprises.
The State of So Paulo also has an autonomous research foundation (FAPESP) linked
to the Secretary for Higher Education in that State which serves essentially the same
purposes competitive grants and both public and private sector involvement. Its funds
are guaranteed by the Constitution of the State of So Paulo which ensures it a 1 percent
share of the total tax revenue of the State.
Another option available is to secure a loan from a development bank. This was done
by a biotechnology incubator in Belo Horizonte which started a programme with the
Inter-American Development Bank (IDB) to finance new companies. The IDB provides
grant money of US$200 000 US$1 million for the incubator to invest in promising new
firms, subject to the recipient providing matching financing. The programme allows the
incubator to invest money in the company and the return on investment is then reinvested
in other companies. This particular incubator has financed 12 companies through the IDB
programme and it has also started a US$4 million seed capital programme in partnership
with FINEP and FAPEMIG (the State Agency for Science and Technology) to invest in
early stage biotechnology ventures, with the incubator taking a 2530 percent stake in the
venture in return for its investment.
Additionally, the Brazilian Congress approved a new Innovation Law in 2004 aiming to
encourage researchers in public institutions to establish partnerships aiming at developing
new technologies. For example, it gives researchers the possibility to work in other S&T
institutions for the time necessary to conclude joint projects or they can request special
leave without pay if they decide to become involved with a start-up company to further
develop their new technologies17.
India: The Biotechnology Industry Partnership Program (BIPP) introduced by the

Department of Biotechnology (DBT) supports cost-sharing research between public and
private sector entities according to four categories:
}} areas of high relevance with no assured market, e.g. new crops against drought, salinity
and major diseases and orphan crops of regional interest;
17 www.wipo.int/sme/en/documents/brazil_innovation.htm

}} cutting-edge technology for second generation biofuels and for increasing global
competitiveness and leading to high value products, e.g. bio-based energy, genomics,
proteomics and metabolomics;
}} evaluation and validation of products already developed by SMEs with high national
importance, e.g. through field trials of new cultivars provided there is an Indian
innovation involved;
}} shared major facilities for platform technologies, e.g. large animal and transgenic facilities,
genomic technology sectors and good manufacturing practice (GMP) facilities for vaccines.
Different financing and management models are foreseen for these facilities including,
for example, government supported (100 percent grant-in-aid), joint ownership, located
in an existing national laboratory managed by a consortia of industries; public-private
partnership (50 percent grant-in-aid), shared profits, and differential fees for public and
private use, specialized facility for discovery and innovation, soft loan, differential fee for
public and private users, and certain percent of time devoted to education and training of
DBT-identified people for capacity building. Intellectual property, technology transfer
and licensing arrangements would vary with the model of partnership and cost-sharing.
Kenya, Tanzania and Uganda: With joint funding from the Rockefeller Foundation and
the Gatsby Charitable Foundation, the Maendeleo Agricultural Technology Fund was
established in 2002 and since then it has helped different organizations and institutions in
Kenya, Tanzania and Uganda to move innovative agricultural technologies from research
into farmers fields. With an advisory panel of local experts from these three countries and
donor representatives, and supported by the Ministries for Agriculture and local governments
and NARS, this Trust provides grants on a competitive basis to projects identified through
value chain priority-setting. In Kenya and Uganda, tissue culture derived banana planting
materials were acquired by large numbers of small farmers through a micro-credit scheme.
FARM Africa, a UK charity, provides support and strategic direction to the management of
the fund. In Uganda, supplies of plantlets come from a large commercial laboratory which
has also set up nurseries and demonstration gardens in different parts of the country to
distribute plantlets and train farmers.
Malaysia: Various initiatives and mechanisms have been introduced by the government to
promote the development of biotechnology. These include:
}} grants to support both R&D and commercialization of research findings in specific areas
of national importance to the Malaysian industry, BFA being a high priority. There is
a range of schemes available which have a fund allocation to biotechnology and these

are administrated by various governmental bodies such as the National Biotechnology
Directorate (NBD) and the Malaysian Technology Development Corporation (MTDC);
}} venture capital to support companies and enterprises in exchange for a percentage
of ownership in the firm. A government-owned company, Malaysia Venture Capital
Management Berhad (Mavcap)18, was set up to manage an approximately US$135 million
fund in 2001. Out of this, US$25 million was allocated to biotechnology in the form of
direct investment, and outsourced to smaller fund managers;
}} companies approved by the Malaysian Biotechnology Corporation are eligible for income,
investment and import tax or duty exemptions as well as other financial inducements.
South Africa: An Innovation Fund was set up to promote technological innovations and South
Africans seeking IP protection, with the aim of establishing new enterprises and expanding
existing industrial sectors, including biotechnology. The main funding instruments are:
}} a Technology Advancement Programme (TAP) which offers public venture capital
support for projects in the late stages of R&D (i.e. where proof-of-science already
exists) and which is open to higher education institutions, science councils, SMEs and
consortia of these entities;
}} a Missions in Technology (MiTech) TAP which invests in public-private partnerships aiming
to develop technological platforms that will improve entrepreneurial competitiveness,
and where the co-investments are with industry players on projects identified and
driven by that industry;
}} a seed fund which supports early commercialization or business start-ups in order
to take a novel and inventive technology that is at the prototype stage through to
the market. The Commercialization Office administering this fund also engages in
strategy formulation, development of commercial routes to market, due diligence and
deal-structuring;
}} Patent Support Funds which are instruments targeted at SMEs and techno-entrepreneurs to
assist with the costs associated with IP support and protection, and supported by an IP office.
8.6 Annex 2: Coverage of regulation within national biotechnology policy/strategy

frameworks in selected developing countries
Argentina: One of only two developing countries to develop a specific BFA strategy,
Argentina mentioned as priorities the need to strengthen the legal and institutional
framework through laws on regulation and development of a communication plan and
18 www.mavcap.com/v2/

system for engaging the public. As part of its strategy, it proposed to establish an Office of
Biotechnology within SAGPyA to advise and assist in the management of biotechnology and
to act as the secretariat of the National Advisory Commission on Agricultural Biotechnology
(CONABIA) which had been established in 1991 to regulate the introduction and release
of GMOs into the environment.
Brazil would ensure safety to human health and the environment in compliance with
obligations under the CBD and CPB, and specifically strengthen implementation of
legislation related to research, production and marketing of GMOs and promote training
in risk assessment, management and communication. It would also promote monitoring of
GMOs released into the environment and strengthen institutional biosafety management.
Chiles NBS gives high importance to the environmental and food safety aspects of GMOs
and the need to take protective measures. Of the 23 actions outlined in the policy, nearly
half relate to an overall goal of establishing a regulatory framework that guarantees a safe,
sustainable and responsible development of biotechnology. These include recommendations
to draft a framework law on biotechnology; provide training of staff in public institutions;
develop regulations for foods derived from GMOs; labelling; procedures for release into
the environment; certification of GMO products for export, including mechanisms of
traceability; reviewing, and where necessary amending, legislation on the environment,
agriculture, aquaculture and health as well as CONICYTs (Comision Nacional de
Investigacin Cientifca y Tecnolgica) Manual on Biosecurity Standards which includes
technical standards for laboratory safety. Other recommendations include the creation of
a Committee on Biotechnological Regulations to ensure appropriate coordination between
public regulatory authorities and review proposals for regulation from different agencies,
and a Biotechnology Forum for public participation and information allowing for the
development of informed public opinion.
India would reinforce its regulatory framework, create a National Biotechnology Regulatory
Authority (now called the Biotechnology Regulatory Authority of India) within the DBT
which would be set up as an independent, autonomous and professionally led body to
provide a single window mechanism for safety clearance of GM products and processes.
Jamaicas biotechnology policy includes addressing the environmental and food safety aspects
of GMOs through promoting research on risk assessment and management. The NBS notes
that prior to beginning GM trials in 1997, a National Biosafety Committee was legislated
[through the Plants (Importation) Control Regulations, under the Plants (Quarantine) Act]

to monitor importation of GMOs for experimental use (transgenic papaya and more recently,
GM cotton). The Committee has also been involved in sensitizing the public on biosafety
issues, and other tasks include preparing guidelines, and codes of conduct for relevant users
of GMOs. Through UNEP-GEF funding, a national biosafety framework project was
implemented which produced a draft biosafety policy and act which are expected to form
the basis for the establishment of requisite legislation prior to ratification of the CPB.
Kenya: Ensuring safety is one of the key objectives in its biotechnology strategy, a critical
requirement being to enhance mechanisms to adequately assess safety and to develop and
identify appropriate management practices to minimize potential risks to human health and the
environment. The Government intended to institutionalize risk assessment and management
at the stages of research, field trials and commercialization, as well as introduce an efficient
monitoring system. Any non-science issues would be separated from the risk assessment
process, and a precautionary approach would be taken to ensure the safe transfer, handling
and use of GMOs. All activities would be subject to approval by an assigned authority in
addition to fulfilling requirements of the 1999 Environmental Management and Coordination
Act, and other existing laws and standards governing the environment, phytosanitary and
sanitary measures. The need was expressed for new legislation to address all aspects of modern
biotechnology, and therefore the statutory mandates of existing institutions would be reviewed
with a view to enhancing implementation of the policy. New legislation on biosafety would
take into account international regulations and treaties, and it would apply to all experiments,
field trials and commercial activities involving GMOs. The law would also define a liability
regime. Flexibility would be achieved by investing relevant authorities with regulatory powers
to promulgate subsidiary legislation addressing specific issues. A National Biosafety Authority
would be established as a central coordinating and implementing body, working together with
the relevant government regulatory institutions to ensure adherence to laws and regulations
and provide guidance on biosafety and related legal matters. It would establish linkages with
institutions and institutional biosafety committees according to guiding principles and it
would work closely with the National Commission on Biotechnology.
Malawi: Biosafety is one of the key issues covered in the countrys biotechnology policy
document which includes descriptions of: (1) a clear goal, i.e. promote and ensure the safe
transfer, development, handling and use of biotechnology and products that may have adverse
effects on the environment and human and animal health, (2) an objective to provide
safety measures for the above and establish acceptable standards for risk assessment and
management, and (3) a series of six strategies including establishing facilities for testing and
monitoring GM products, instituting a system of risk assessment, monitoring and enforcement,

and developing bioethics capacity. Implementation would be through a National Biosafety
Regulatory Committee under the Ministry of Environment with representation from 14
ministries and other institutions. Responsibilities would include developing and publishing
regulations, guidelines and standard operating procedures (SOPs) for contained experiments,
confined field trials, commercial releases, food safety, storage, labelling and transportation;
reviewing GMO applications based on expert advice to make recommendations for final
approval to the Minister; reviewing risk assessment reports; referring licenses or permits to
appropriate reviewers for assessment and recommendation; and mobilizing resources for
biosafety programmes. Food safety is a separate policy area/theme with a separate goal, i.e.
promoting quality of life through food security in accordance with local and international
safety standards through establishing effective regulatory mechanisms for importation,
exportation, development, labelling, use and disposal of products; and ensuring proper
storage and handling of biotechnology products to protect the environment and the safety
and health of workers; protecting human rights by guaranteeing consumer choice by:
establishing thresholds for acceptance levels of specific biotechnology products; ensuring
adherence to safety requirements and appropriate labelling of products; and disseminating
information on food products derived from modern biotechnology.
The preamble to Namibias national biotechnology policy reaffirms its commitment to the
principles of the Rio Declaration and especially to those on liability and compensation for
damage and precaution. It then describes overarching principles for biosafety, including
controlling applications which could harm its biological diversity and the health of its
citizens; that the use, import, export, sale and transit of applications and products must
conform to its existing laws; and that regulation will be through a competent body advised
by a technical body independent of both government and industry. This body would be
transparent in its decision-making and take full account of environmental, public health,
social, economic and cultural concerns. All costs in the decision-making process including
field trials would be met by the applicant; there would be cooperation with other States
to ensure safe use within its borders; and pending the outcome of global and regional
assessments of the severe potential social, economic and environmental risks associated
with genetic use restriction technologies (GURTs), the country would impose a five-year
moratorium on the use of any material using this technology. Its policy provides for
the establishment of a permanent participatory planning process to feed into regulatory
decision-making; for the development of regulatory capacity to assess, test, monitor and
control applications in accordance with agreed biosafety guidelines; support for research
to safely apply biotechnology techniques; and an institutional framework for national
decision-making and international cooperation.

The regulatory framework is described in some detail in the NBS including, inter alia, its
scope, i.e. all GMOs and their products, and all existing laboratory and field applications; the
regulatory process, which would include notification, risk assessment, occupational safety, labelling
of food and feed sold in, or imported to or through the country, monitoring and enforcement
measures relating to import and export of products, laboratory and field use including handling,
disposal, containment, control, monitoring and release. The implementation strategy outlines a
national institutional framework for regulatory, administrative and R&D activities which includes
the Ministry of Higher Education, Vocational Training, Science and Technology (MHEVTST)
as the competent authority and a National Biosafety Advisory Council to receive and process
applications, convey decisions and supporting materials to the Minister for MHEVTST who
formally makes decisions. This Council will consult international and/or local expert to reach
sound decisions and applications can be dealt with on a fast track or full review basis, the former
being subject to review by one specialist and the latter by three specialist advisors plus agreement
with neighbouring countries in cases where they could be impacted.
Malaysia: Its national biotechnology policy is underpinned by nine policy thrusts, one of
which is dedicated to legislative and regulatory framework development, i.e. to create an
enabling environment through continuous reviews of the countrys regulatory framework
and procedures in line with global standards and best practices.
Perus stated principles for national regulations regarding biosafety include: guaranteeing
an adequate level of protection of human health, the environment, biological diversity and
its sustainable use during R&D, production, transport, storage, conservation, exchange,
commercialization, confined use and intentional release into the environment of GMOs
and products derived from them; their application on a case-by-case and step-by-step
basis; labelling decided by a Competent National Authority; but enforcement should not
limit the development of modern biotechnology or act as a technical obstacle or concealed
restriction to its commercialization; the concept of reserves with high agro-biodiversity
to be promoted as a way to minimize the erosion of agro-biodiversity and related cultural
diversity; research directed towards defining the potential risks associated with gene flow
to be promoted; the evaluation, management and communication of potential risks to be
based on scientific and technical knowledge, the characteristics of the biological entity, its
environment, non-target biological entities, food safety and cultural, social and economic
considerations; in risk analysis and management, the Competent National Authority would
consider the harmony and co-existence between traditional, conventional, organic and
transgenic agriculture; and oversight and risk assessment would focus on the characteristics
of the GMO or its product rather than the techniques used for its production.

South Africa: The policy document was published in June 2001 before the country became
a Party to the CPB (in 2003). The document mentions the GMO Act (1997) and subsidiary
regulations which govern biosafety and comprehensively address measures to promote
responsible development, production, use and application of GMOs. Together with the
National Environment Management Act, it provides the principles for environmental
responsibilities and liabilities. There would be a review of existing legislation with
implications for biotechnology and, based on this and gap analysis, necessary consolidation
and amendments of new legislation would be brought forward to remove duplication or
areas of conflict. It notes that there are already several Acts on the statute book that provide
conflicting legislation with respect to biotechnology, e.g. its GMO and Agricultural Pests
Acts both of which cover cross-border movement of genetic material and could conflict
with new legislation on indigenous knowledge, technology transfer and biodiversity.
Thailands policy contains little on safety, stating only that a key strategy will be introducing
a law on the protection of biological resources and policies for the development of safe
GMOs. On detail, it states only that it: will develop and use the potential of biotechnology
for quick, precise, and specific detection and diagnosis in managing food and seed safety by
setting up a biotechnology laboratory to certify quality and standards for export products, as
well as for inspection of imported products; and it will conduct research to collect scientific
data needed for risk assessment of food and agricultural products for export.
Ugandas policy on Biotechnology and Biosafety gives safety high priority within its vision
and all its proposed strategic actions for pursuing the subject (e.g. human resources and
infrastructure development, R&D, public awareness and participation, commercialization,
biodiversity conservation and utilization, and bioethics and biosafety), and that strategies
for pursuing these would be placed in the context of the CPB and the African Model Law
on Biosafety. It records that the Uganda National Council for Science and Technology
(UNCST) established a National Biosafety Committee in 1996 to provide technical advice
to the Government and that it developed guidelines for conducting research into genetic
modification at laboratory and confined field trial levels, as well as guidelines for containment
of GMOs and microbes. Also, institutional biosafety committees have been established in
some institutes. All the same, it notes that the UNCST Act is inadequate to regulate the
overall development of biotechnology and commercialization of its products, and that legally
binding instruments to regulate applications relevant to the conservation and sustainable
utilization of genetic resources are scattered in the provisions of several sectoral laws. There was
therefore a need for an explicit policy and law on biotechnology/biosafety. No new structures
are proposed to implement the policy, but a National Biosafety Act would be introduced to

regulate applications, and to legally formalize the establishment of the institutional mandates,
functions and administrative roles provided for under this policy. In addition, a monitoring
and evaluation framework for biotechnology and biosafety development would be set up to
assess performance.
Zambia: The policy is biosafety-focused and aims to guide the judicious use and regulation
of modern biotechnology for the sustainable development of the nation, with minimum
risks to human and animal health, as well as the environment, including Zambias biological
diversity. It describes how the country would implement obligations under the CPB and
contains guiding principles that include precaution, working through an advance informed
agreement (AIA) system, use of risk assessment, inclusion of socio-economic impacts in
decision-making, public participation and a scheme for liability and redress. It envisages
the formulation of a biosafety regulatory legal framework that includes creating a National
Biosafety Authority (NBA), a Biosafety Advisory Committee to advise the NBA and
government and institutional biosafety committees for local and national decision-making
and international cooperation. The NBA would be responsible for formulating and later
implementing and enforcing the legislation and guidelines to be drawn up, and would
prescribe laboratory facilities capable of verifying the presence of GMOs and products. The
Biosafety Advisory Committee would advise the NBA on prohibition, authorization and
the exercise of necessary control of imports, on authorization or notification of contained
uses, authorization of trials or general releases, and on control measures to be taken where
an intentional release of GMOs may occur.
There would be strengthening of human and infrastructural capacities to support the
development of regulations to assess, test, monitor and control research, development,
application and commercialization of biotechnology in accordance with agreed legislation
and guidelines, and to ensure effective control of transboundary movements of GMOs
or products thereof through the exchange of information and risk assessment as well as a
transparent AIA system.
Transfer, use and release of GMOs would be on the basis that there is firm and sufficient
evidence that the GMOs or their products pose no risk to human and animal health, biological
diversity or the environment. There should be no research, development, application,
release and commercialization of GMOs or combinations of GMOs and their products
without a risk assessment report and the prior approval of the NBA. The risk assessment
should include the direct or indirect effects to the economy, social and cultural practices,
livelihoods, indigenous knowledge systems, or indigenous technologies as a result of the
import, contained use, deliberate release or placing on the market of GMOs or products
thereof. Also, the NBA would provide the public with information about applications for

the research, development, use and commercialization of GMOs and products, and there
might be opportunity for the public to comment. Further, if there is a conflict between
issues pertaining to the conservation of biological diversity and trade, the conservation of
biological diversity would prevail.
The policy would apply to the research, development, application, release and
commercialization of GMOs, combinations of GMOs and their products; occupational safety
at workplaces where biotechnology procedures are used or products handled; and labelling
of GMOs or products developed in or imported into Zambia. The Ministry responsible for
S&T is charged with formulating and ensuring adoption of the policy. Other key stakeholders
are the line ministries and the statutory boards responsible for agriculture, health, commerce,
trade and industry, legal affairs, finance, home affairs, information and broadcasting, local
government and housing, transport and communications, institutions of higher learning,
research institutions, civil society, industry, and traditional administration authorities.

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UNEP-GEF. 2006. A comparative analysis of experiences and lessons from the UNEP-GEF biosafety projects.
Nairobi, Kenya and Washington, DC. (available at www.thegef.org/gef/node/490).
Wagner, C.S., Brahmakulam, I., Jackson, B., Wong, A. & Yoda, T. 2001. Science and technology collaboration:
Building capacity in developing countries? Pittsburg, RAND Corporation. (available at www.rand.org/
pubs/monograph_reports/2005/MR1357.0.pdf).
Zarrilli, S. 2005. International trade in GMOs and GM products: National and multilateral legal frameworks.
Policy Issues in International Trade and Commodities Study Series No. 29. New York and Geneva,
UNCTAD. (available at www.unctad.org/en/docs/itcdtab30_en.pdf).

9
chapter
Ensuring Access to the

Benefits of R&D
Summary
This Chapter covers three subjects of importance to applications of biotechnologies in

food and agriculture (BFA): intellectual property rights (IPR) and genetic resources; public
awareness and participation; and agricultural extension. Like its two companion Chapters 7
and 8, the Chapter also provides an analysis of 15 selected developing countries to illustrate
some of the options available to countries.
Analysis of the national biotechnology policy/strategy (NBS) documents of these 15
countries indicates that most countries mentioned IPR and the importance of their genetic
resources. However, very few (1) indicated the need to change their existing, or introduce
new, intellectual property (IP) legislation, regulations and other polices to cater for the
specific challenges posed in particular by modern biotechnology, (2) described how their
research institutions intended to go about accessing, or sharing with others, the research
tools, gene constructs or genetic resources needed for research and development (R&D)
or any end products arising from such efforts nationally or in other countries. None
mentioned the role of research funding bodies in influencing the policies and behaviour of
their national research communities.
IP protection systems in developing countries must consider both the structure and
multifunctional roles of the agrifood sector and be consistent with the minimum requirements
laid down in a number of international IP agreements, which differ in terms of eligibility and
scope of protection. Other factors to be considered include: the inter-relationships between
these IP agreements and the goal of national food security as well as the core aims of the
Convention on Biological Diversity (CBD) and the International Treaty on Plant Genetic
Resources for Food and Agriculture (ITPGRFA). Costs and benefits of implementing

national IP legislation for BFA innovations consistent with international rules are further
considerations. No single IP system will suit the needs and goals of all countries or serve
all agricultural systems within an individual country. Consequently, in the process of
designing IP legislation and related policies, countries wishing to use IP as an enabler of
BFA should make realistic projections about the future role of biotechnologies in helping
to meet their national agricultural and wider food security and poverty reduction goals,
and make maximum use of the flexibility inherent in internationally agreed rules. Countries
should also be aware that there are options outside of IPR instruments to protect developers
and suppliers of plant, animal and microbial materials.
Requirements and mechanisms for establishing IP laws, and responsibilities for
undertaking the related regulatory and administrative tasks assigned to particular institutions,
raise daunting technical, legal, judicial, administrative and financial challenges. The needs
for training and capacity building to deal with the wide scope, complexity and interplay
between all the issues involved in ways that ensure public sector R&D remains focused
on the social needs of the many, rather than the financial interests of the few, must remain
paramount if BFA is to deliver on a pro-poor agenda. Consultative mechanisms therefore
need to be established to reach agreement and strike compromises between groups both
within and outside the agrifood sector on a number of fundamental issues. These include
the extent to which, and in what forms, IP protection should be available; ownership of
agreed IPR; institutions to identify and manage technologies and knowledge to be accessed
and protected; and enforcement of legislation.
In response to changes in their laws that allow commercialization of inventions
from publicly-funded R&D, a few agricultural ministries and research organizations in
developing countries have established technology transfer offices (TTOs), working under
various levels of decentralized authority. Policy-makers should be aware of the pros and
cons of establishing such offices for BFA and, in general, of the potential issues regarding
commercializing IP assets within the public sector. They should also not dismiss the option
of exploiting the IP of their research institutes by publicly disclosing details of innovations
though defensive publication.
The IP and tangible property rights (e.g. germplasm, clones, expression vectors,
computer software, and equipment) surrounding BFA can be highly complex. Unravelling
this complexity by deconstructing each component and method followed by identifying all
the potential patents, plant breeders rights and licenses relating to each for conducting a
product clearance analysis and determining freedom to operate (FTO) requires considerable
IP management skills. The strategic IP management choices open to public organizations to
access biotechnology tools and technologies for research, development and diffusion will
depend on factors such as R&D capacity, objectives, cost, conditions and public acceptance.
chapte r 9 Ensuring Access to the Benefits of R&D 421

Research institutes in developing countries can access them without seeking the owners
permission using gaps in patent and protected variety jurisdictions or using research and
experimental use exemptions in national legislation, although both options have potential
drawbacks. They can also access them with the owners permission and several options are
available, including material transfer agreements (MTAs), licensing agreements, purchasing
outright, patent pools, open source licensing, public sector partnerships and public-private
partnerships (PPPs). The pros and cons of each are described. Particular consideration is
given to PPPs since such instruments are features of government policy in an increasing
number of developing countries, supported in many cases by the donor community. Options
to promote partnerships between public entities and the private sector in both research and
commercial undertakings on pro-poor BFA without, or with limited, complications arising
from IPR, include negotiating royalty-free access to proprietary genes, genetic constructs and
germplasm, and using the services of third party brokers. Although promising, convincing
evidence is still generally lacking about the success of such PPPs in BFA in terms of products
in widespread field or commercial use.
Policy options are provided for consideration by national and international research
funding and development agencies when dealing with technology and knowledge transfer. They
include encouraging the free exchange of materials and data; ensuring that grant applicants
include in their proposals an explanation of their stewardship plans, as well as plans for the
sharing and dissemination of research results; and encouraging non-exclusive licensing.
The current plethora of participatory planning and implementation of R&D projects and
extension services attests to how policies have been transformed within many governments
and funding bodies for organizing these services. Nevertheless, such policies have not replaced
the more traditional top-down (and often supply-driven) option and both approaches
are needed to provide balance, objectivity and transparency to government, ministerial or
institutional decision-making. Challenges to participatory bottom-up approaches to
biotechnology R&D are described, and examples from Kenya and Bolivia illustrate options
for priority-setting which can be suitably adapted to include biotechnology.
Although rarely articulated in the NBS documents and not mentioned in any national
biosafety or regulatory framework examined for the 15 selected developing countries,
participation as well as awareness and education are important dimensions in national
policy-making on biotechnology. They also carry the weight of law in countries acceding
to international environmental instruments which either require or encourage inclusion
in national laws and regulations. The Chapter outlines the many challenges involved and
the instruments and options available to countries for dealing with information-sharing,
education and communication between the public and national planning and implementing
agencies with respect to BFA decision-making and regulation. What is essential is that poor

people have a voice, that decisions on biotechnology do not further marginalize those
already marginalized, and that citizens of developing countries are able to make their own
choices rather than having these defined for them by donors.
The role of agricultural extension in enabling access to the products of biotechnology
R&D and necessary policy changes to facilitate that role, are almost totally neglected in
the NBS documents of the 15 countries. Despite reforms, government policy remains
significant within agricultural extension services. The changes to extension systems and
the new opportunities from BFA call for policies to bring researchers, extension agents,
and smallholder producers and their organizations closer together. They also call for
upgrading the skills of extension staff so they are both more capable of understanding the
implications of BFA and of facilitating interactions between farmers and others involved
in the agricultural knowledge information system.
9.1 Introduction
Other Chapters of this book clearly demonstrate the significant and ever-increasing interest
shown by the scientific and research communities in developing and developed countries
alike in using biotechnologies to both understand and improve how biophysical resources are
transformed into food and other products to enhance agricultural productivity and the quality
and safety of products. As also noted earlier, the success of these efforts clearly depends on
having a solid scientific and technical skills base and infrastructure as well as a wider enabling
environment that includes a sound regulatory framework. Clear and transparent policies
for accessing and using both the necessary research tools and tangible end products is also an
essential component of the enabling environment for fostering biotechnology innovation and
diffusion. Increasingly, these materials and associated information have become the subject
matter of grants of intellectual property (IP) protection. Consequently, a further critical
dimension of a national biotechnology policy/strategy (NBS) is that it describes how the
country intends to deal with the associated IP issues. Policies for accessing genetic resources
for food and agriculture (GRFA) and sharing the benefits from using biotechnology to
develop useful products from these resources have likewise become increasingly important.
Against this background, it is instructive to examine how the same 15 developing
countries surveyed in the companion Chapters 7 and 8 intended to deal with the IP and
(related or unrelated) genetic resources/biodiversity issues associated with BFA. It is
also useful to highlight the principal considerations that need to be taken into account
by countries in designing and managing IP policies that balance their needs to generate
and access biotechnology tools and techniques and the genetic materials for research and
producing tangible products, while promoting the diffusion of these products to small-

scale and resource-poor farmers. Topics covered here include: establishment of laws and
institutions, and IP policy options and mechanisms for accessing biotechnology tools
and products by research institutes and national and international research funding and
development agencies. These issues are covered in Part 9.2 of the Chapter.
A further, and not entirely unrelated, route to ensuring access to the benefits of
biotechnology R&D is through improving public awareness and opportunities for participating
in decision-making, and this topic is covered in Part 9.3. Decision-making about technology
still remains largely in the hands of national agricultural research systems (NARS) working
with their specific society groups farmers, farmer cooperatives etc. However, there is
increasing realization that agricultural biotechnologies (traditional and modern) will only
fulfil their full potential if all relevant stakeholders have the opportunity to provide input
to decision-making processes concerning their use. To make choices, societies have to be
informed and educated about the pros and cons of particular decisions, and they will only
accept biotechnologies if they consider they are good for them.
In addition to IPR and GRFA, this Chapter covers the issue of public awareness and
participation from the standpoints of engaging wider society (1) in planning, implementing
and assessing biotechnology R&D and extension, and (2) in the regulation of biotechnology.
It provides options for dealing with both, including for implementing commitments laid
down in international agreements and by international standard-setting bodies in relation
to regulation. In common with other strategic policy issues relating to BFA, it describes
how the 15 selected developing countries (see Table 1 of Chapter 7) proposed to deal with
participation in their NBS documents1 and/or regulatory frameworks.
The third topic, covered in Part 9.4, is agricultural extension. National agricultural
extension systems have been in transition worldwide for some time, and reforms have already
impacted, and will continue to impact, the agriculture knowledge information sub-system
and thereby access to the fruits of BFA. Since the role of government and government policy
in agricultural extension remains significant, it is relevant here to highlight the potential
roles of extension in enabling access to BFA.
9.2 Intellectual Property Rights and Genetic Resources
9.2.1 Coverage in national biotechnology policy/strategy documents

From an analysis of selected developing countries in the Annex (Part 9.5), it is noteworthy
that while most countries did indeed mention IPR and the importance of their genetic
resources, very few indicated the existence of a national IP strategy or the need to change
1 Most of the NBS documents of the selected developing countries are available at www.fao.org/biotech/country.asp

their existing, or introduce new, IP legislation, regulations and other policies to cater for the
specific challenges posed in particular by modern biotechnologies and how these would be
harmonized with the global IP and genetic resources/biodiversity legislative architecture.
Also, few described how their research institutions intended to go about accessing, or sharing
with others, the research tools, gene constructs or genetic resources needed for R&D or
any end products arising from such efforts nationally or in other countries. None of them
mentioned the role of their research funding bodies in influencing the related policies and
behaviour of their national research communities.
9.2.2 The global context

National policies on IPR and genetic resources seek to optimize the balance between the
interests of creators (e.g. scientists, breeders) and investors on the one hand, and those of
wider society (farmers and consumers) who wish to use directly and indirectly innovations
that are protected by IPR. Finding that balance has become increasingly challenging with
the progressive advances of modern plant and animal breeding and other methods in
agricultural production and processing. These advances have been accompanied by increasing
involvement of private sector companies in both R&D and the placing of innovations into
national and international markets; and, in the case of crops, IP being granted to plant
breeders for such innovations usually in the forms of plant breeders rights (PBR) (e.g. in
Chile, India, Kenya, Malaysia, Thailand and South Africa), variety or community variety
rights holder (China) or a plant variety protection (PVP) certificate (e.g. Brazil).
It has proven to be even more challenging since the arrival on the scene of BFA, particularly
advanced biotechnologies which, supported by relatively recent policies within some national
and regional jurisdictions, extended patent grant from innovative selection and breeding
processes for genetic improvement to cover life forms (e.g. plant transformation tools,
gene markers, DNA sequences, and improved germplasm and varieties). This stimulated
major R&D investments in the biosciences by the private sector and encouraged company
mergers and the establishment of biotechnology industries in industrialized countries.
Multinational corporations (MNCs) and small and medium enterprises (SMEs) that
provide seeds and other agricultural inputs as well as biotechnological reagents and
diagnostic, genetic profiling and other services form the backbone of this privatization
and industrialization of biotechnology. These entities, for example, hold proprietary
claims in the form of patents on many of the basic research tools, e.g. molecular markers
and trait-specific genetic constructs (most noticeably for insect resistance and herbicide
tolerance, but more recently also for resistance to abiotic stresses like drought and salinity),
transformation and marker-assisted selection technologies and tangible products in the
form of plant varieties and breeding lines (FAO, 2007).

However, driven by reduced or stagnant levels of core funding and increasing demands
for both cost-recovery and partnerships with private sector entities, many public research
institutions in most developed and some developing countries also now commercialize their
IP which can be in the form of patents, seeds and related biotechnological services. For
example, with respect to the widely used Agrobacteriummediated transformation system,
the share of patents held by the private sector fell from 71 percent in 1996 to 49 percent in
2004, while the share of public sector patents increased from 19 percent to 30 percent over
the same period (Michiels and Koo, 2008). The Brazilian Agricultural Research Corporation
(EMBRAPA), for example, currently holds 206 patents, 290 protected cultivars and other forms
of IP protection on books, software, videos etc., and reputedly earns around US$7million
in royalties or about 1 percent of its operating budget from these assets (Texeira, 2008).
With animals, the advent of new reproductive technologies (particularly cloning involving
nuclear transfer), molecular biology and sequencing of genomes, e.g. that recently announced
for cattle (Bovine HAPMAP Consortium, 2009) has likewise stimulated considerable
expansion in both the scope and number of technologies applied to cells, tissues, organs and
whole animals that are now protected though patents. Relating to animal breeding, these
include DNA markers for improved milk production, superior milk products and litter
size, transgenic and cloned animals and methods to produce them, new methods to measure
traits, methods to identify animals, and methods for assessing milk and beef characteristics
(Rothschild, Plastow and Newman, 2003). There are, nevertheless, some uncertainties at
the international level regarding the ownership and patentability of the basic processes of
animal cloning through nuclear transfer, the patentability of the animals created and the
derived products (Gamborg et al., 2006).
The introduction of sui generis systems of PVP and more particularly of patenting
into BFA, coupled with computer software and database rights legislation and the use
of copyrights to restrict or withhold access to genomic and other biological information
(bioinformatics) held in private databases, have become increasingly controversial. These
trends have generated much debate in developed and developing countries alike about the
ethical and moral dimensions of biotechnology, the links between IP and the efficiency
of R&D, and the prospects of biotechnology contributing to sustainable agricultural and
wider national development.
Fundamental questions raised include the criteria for patentability of gene fragments or
mutations (e.g. in some jurisdictions, expressed sequence tags [ESTs] and single nucleotide
polymorphisms [SNPs] may be patentable subject matters even in the absence of proven
utility/industrial application, although the rules on this have recently been tightened in
industrialized countries); the role of IP protection in stimulating agricultural R&D and
bringing new innovations to market, and in fostering the transfer and diffusion of techniques,

processes, products and information within and between the public and private sectors and
between developed and developing countries. The feeling often expressed by the scientific
community is that access to key platform technologies and even research tools and data
has become increasingly limited and threatens to slow progress in both the fundamental
and applied biosciences (e.g. Chapter 6 in FAO, 2001a).
Against this background, all countries should develop IP policies that carefully balance
their needs to generate and access the basic tools, techniques, breeding lines and varieties
for both research and the production of seeds and other tangible products, while promoting
diffusion of these products to small-scale and particularly resource-poor farmers. These
are particularly important for those developing countries where the entire agricultural
value chain running from R&D through to the production, distribution and oversight
in using biological inputs remains largely a public responsibility rather than a series of
commercial operations.
A further critical consideration is that irrespective of where national responsibilities lie
for breeding, and despite the emphasis given to seed industry development through, e.g.
policies encouraging the development of local seed companies and the entry of regional and
global players, in virtually all developing countries where small-scale farming predominates
it is farmers systems of selection, improvement, multiplication and diffusion that provide
by far most of the crop seeds (and animal types) used by farmers. For example, only about
7 percent of wheat seed and 13 percent of rice seed in India are sourced from the formal
(public and/or private) sector, and in many parts of Africa and Asia it is estimated that
over 80 percent of total farmers seed requirements are met from outside the formal sector
(Rangnekar, 2002). These systems are also the only way that farmers varieties of plants
and animals can be maintained and evolve in situ, thereby contributing to both national
and global agro-biodiversity and food security.
IP protection systems must consider both the structure and multifunctional roles of the
agrifood sector in developing countries and be consistent with the minimum requirements
laid down in international IP agreements, the most important from a BFA perspective being:
}} the 1961 International Convention for the Protection of New Varieties of Plants (the
UPOV Convention) and its revised Acts of 1972, 1978 and 1991. There are currently
68 country members, mostly from the Northern hemisphere but increasingly also from
Latin America;
}} the World Trade Organization (WTO) Agreement on Trade-Related Aspects of Intellectual
Property Rights (TRIPS) which had 153 members as of July 2008. Particularly relevant
here is Article 27.3(b). Although not referring specifically to biotechnology, this
contains provisions concerning patentability that are relevant to it and offers countries
three options for protecting plant and animal inventions, i.e. (1) through patents, the

criteria for which are novelty, involve an inventive step and usefulness/capable of
industrial application (2) a system created specifically for the purpose (sui generis)
which may or may not conform with one of the UPOV Acts but must be effective or
(3)a combination of the two. Such flexibility is also available for essentially biological
processes for producing new germplasm and varieties of plants and animals.
These Agreements differ in terms of eligibility and scope of protection, and it is beyond
the scope of this Chapter to deal with these differences in detail or to dwell on the many
creative interpretations by individuals concerning definitions, commitments (or lack
thereof) and inter-relationships. See Tansey and Rajotte (2008) for more details.
In designing and managing national IPR systems, countries should be aware of a number
of key issues. One is that the core assumptions of the TRIPS Agreement, and indeed of the
UPOV Acts, are that IPR will stimulate international transfer of technology and therefore
(bio) technology-related R&D in developing countries as well as the wider exchange of
improved breeding lines and varieties. However, the relationship between the strength of IP
protection and all these factors is highly complex and, as noted by FAO (2003a) and others
in relation to biotechnology, IP is only one factor influencing technological innovation,
transfer and diffusion. Others include S&T capacity and wider infrastructure, structure of the
agricultural sector, potential market size, ecological similarities between countries, the subject
matter of protection (e.g. hybrid or open pollinated crops; poultry, pigs or cattle), national
policies concerning foreign direct investment, trade, and the macroeconomic environment.
Another issue is the inter-relationships between international IP agreements (specifically
the UPOV Acts and TRIPS Agreement) and (1) the core aims of the CBD and the ITPGRFA
namely, access to and fair and equitable sharing of benefits from using genetic resources,
conservation and sustainable use of GRFA, and preservation of and respect for knowledge,
innovations and practices of indigenous and local communities/farmers rights and (2) the
goal of national food security.
Each of these has been, and remains, the subject of much contentious debate within and
between countries (see, e.g. Gehl Sampath and Tarasofsky, 2002; FAO, 2002a; UNCTAD-
ICSTD, 2003; Gepts, 2004). This only serves to emphasize the need for further empirical
work to clarify the relationship between IPR, the protection of agricultural biodiversity
and wider biodiversity and food security at national and global levels.
A further issue concerns inclusions and exclusions to patentable subject matter namely,
standards of patentability, rights granted, conditions of disclosure, what constitutes an
invention, novelty, an essential biological process and a variety. Also, what constitutes
an effective sui generis system and the procedures in place for enforcement of both patenting
and UPOV or UPOV-type PVP laws. National patent and sui generis PVP laws and regional

rules contain the same or similar terminology and incorporate similar principles with respect
to IP through patents, variety, product and process technology protection. However, there is
considerable diversity in how countries interpret their meaning and in the specifics of their
implementation for protecting plant, animal and microbial innovations irrespective of how
these are achieved. It is therefore not surprising that the global community holds widely
differing views on many of the underlying technicalities and the validity of different systems.
Modern biotechnology has served to widen these differences further.
A fourth issue is the costs and benefits of implementing national IP legislation for
BFA innovations consistent with international rules. These are simply unknown, but will
certainly be country-specific and depend, for example, on the status of current legislation,
technical and administrative capacities, and subject matter eligibility criteria such as the
number of plant species protected. Costs of implementing patent administrative systems
will certainly be higher than for sui generis PVP systems, while potential benefits (with
many underlying caveats) include contributions to greater productivity, trade, incomes and
food security. Developing countries intent on building strong breeding capacity involving
biotechnology should nevertheless be aware that granting patents for gene constructs and
genetically modified organisms (GMOs) will increase the price of seeds, propagating materials
and other products because of the IP-related technology fees charged by patent owners.
On the other hand, higher input prices must be balanced against potential yield, quality
and other benefits and costs, all of which have to be factored in when assessing uptake and
distribution of economic and social benefits (see Chapter 7).
The principal policy goal of these international agreements is to provide incentives to
biotechnologists and breeders to develop new products that are useful to the agrifood sector
and for seed, breed/brood stock and food and other input supply companies and government
support services to market or use these nationally and/or through international trade. One
complication is that they cover what might be termed conventional IPR. Since the main
driver for developing IPR policies and using IP systems is the strength of the domestic
science and (bio) technology capacities within the public and private sectors of a country,
where these capacities are weak the IP system will be used primarily to protect imported
technologies. This reality is clearly illustrated with respect to modern BFA applications
in both Brazil and Argentina where non-residents are responsible for about 90 percent of
BFA patents (Biotecsur, 2008). In South Africa, almost 60 percent of the protected plant
varieties are not owned by South Africans (Van der Walt and Koster, 2005).
Another consideration is that these agreements do not have provisions for rewarding
farmers, local communities and indigenous peoples for their roles in conserving and providing
the genetic resources used by scientists and breeders to develop the new IP-protected
varieties and other products using agricultural biotechnologies or other means. Neither do

they protect farmer-bred varieties (i.e. traditional and more informal communal systems
of innovation by farmers and indigenous communities). These are concepts covered under
multilateral biodiversity agreements (the CBD, particularly Articles 12 and 16, and the
ITPGRFA), and which countries have to address in ways that are both consistent with
international trade agreements and between different pieces of legislation. How they do
this through biodiversity or PVP laws or other instruments is also a matter of some
controversy, but is outside the scope of this Chapter. Details are provided by Bragdon
(2004) and Stannard et al. (2004).
This Chapter also does not cover the options open to countries for organizing their
national IP systems (and their systems for managing access to, and sharing the benefits
of, applying biotechnology to GRFA) in ways that are consistent with their obligations
under international, regional and bilateral treaties and arrangements. However, given the
importance of IP and access/benefit-sharing issues it would be essential for countries to
formulate a national strategy outlining the measures to be taken by government and other
stakeholders to foster the creation, development and management of IP for serving national
objectives. Excellent guidance on the legal and technical options available for developing
strategies consistent with the UPOV Acts and the TRIPS Agreement is available from the
IPGRI (1999) and FAO (2002a). These should be consistent with strategies for managing
GRFA, guidance on the formulation of which is available from Spillane et al. (1999).
Inevitably, no single IP system will suit the needs and goals of all countries or serve all
agricultural systems within an individual country. Consequently, in the process of designing
IP legislation and related policies, countries wishing to use IP as an enabler of BFA
should (1) make realistic projections about the future role of biotechnologies in helping to
meet their national agricultural and wider food security and poverty reduction goals, and
(2)make maximum use of the flexibility inherent in internationally agreed rules. Because of
the minimum standards framework of both the UPOV Acts and the TRIPS Agreement,
national governments have considerable discretion in interpreting and applying their
provisions. For example, the discretion offered by the TRIPS Agreement to protect plant
varieties through three distinct approaches allows its members to balance the protection
offered to breeders against other important (and possibly competing) development goals,
including those found, e.g. in the CBD and the ITPGRFA.
Nevertheless, in pursuing biotechnology, an important consideration is how to avoid
overlaps and contradictions between national patent and sui generis PVP systems, and thereby
balance incentives for plant breeding using biotechnology and traditional breeding. Here,
it should be borne in mind that the TRIPS Agreement does not prevent patent laws being
modified or sui generis systems being created to include exemptions for farmers and/or
breeders, and it does not define the scope of protection of patents for biological material

and biotechnology processes. In other words, countries, for example, can include genes
but not the plant in which the gene is contained, i.e. limit the scope of protection of a gene
patent so that it does not carry through to plants into which the gene has been inserted.
Countries should also be aware that there are options outside of IPR instruments to
protect developers and suppliers of plant, animal and microbial materials, e.g. biologically,
through seed, contract and biosafety laws, material transfer agreements and trade secrets.
These options are well covered by the World Bank (2004).
9.2.3 Establishing laws and institutions

Principles, requirements and mechanisms for reviewing, updating and possibly introducing
legislation to meet international obligations and establish complementary policies, and
mechanisms and responsibilities for undertaking the related regulatory and administrative
tasks assigned to particular institutions were described earlier in relation to agricultural
and biosafety policies (Chapter 8). These apply equally to coverage of IPR and related
biodiversity issues and are therefore not repeated here.
Nevertheless, the daunting technical, legal, judicial, administrative and financial challenges
in doing so should not be under-estimated. Few developing countries have amended or
introduced legislation that describes the scope of biotechnology-type patent subject matter,
often because of the complex technical, social and ethical questions it raises. For example,
should inventions from publicly-funded research be patentable and who should benefit from
IPR, considering the various social groups that may have contributed to the development
of the final product (FAO, 2002b). Similar comments apply to IP protection of animals
and micro-organisms and related inventions, all of which are highly relevant to BFA and
potentially relevant to biotechnology applications in other sectors.
Additionally, few public research institutions and funding bodies in developing countries
have established and implemented ground rules, principles and guidelines for managing
biotechnology IP and knowledge transfer, e.g. by concluding agreements concerning
research cooperation with third parties which may be public, private, national or foreign.
These are also highly complex and inter-connected tasks, the outcomes of which may be
influenced significantly by national and international developments, research funding and
commercial considerations.
Using the principles outlined earlier, consultative mechanisms therefore need to be
established to reach agreement and strike compromises between groups, within and outside
the agrifood sector, which invariably will have widely different perspectives on a number
of fundamental questions (particularly with respect to patents) concerning legislation, its
implementation and enforcement. These include to what extent, and in what forms, should
IP protection be available? who can, or should, own those agreed property rights?; how

will legislation be enforced?; and what institutions will be put in place and how will they
be resourced (staffed, equipped) to identify and manage technologies to be accessed and
protected? Graff (2007) provides an excellent account of the laws and institutions established
by Argentina, Brazil, Chile, China, India, Kenya, Malaysia, South Africa and Uganda at
central and decentralized levels to deal with IPR issues.
The economic and social consequences of GM crops grown from illegally obtained
seeds are described by Giannakas (2003), and these may be relevant for other agricultural
biotechnologies. Unlicensed copying, particularly when combined with systems allowing
use of farmer-saved seed, reduces the economic rents that come to the innovator. Also,
the price of the new technology to all farmers who purchase GM seed legally will likely
increase. Countries should also bear in mind that weak enforcement of IP laws may reduce
incentives for further innovation, negatively impact bilateral and multilateral relationships,
open the possibility of trade sanctions and restrict the inflow of foreign direct investment
and technologies needed by other sectors of the economy.
9.2.4 Intellectual property management: Options for research institutes
9.2.4.1 Accessing proprietary biotechnology tools and products

IPR allow holders to exclude others from making, using, selling and distributing their technology.
However, this right is not absolute. One restriction is the national jurisdiction of protection.
Another, present in all UPOV Acts and many national patent laws, is the so-called research
or experimental use exemption. Article 30 of the TRIPS Agreement also describes exceptions
to the rights conferred, i.e. Members may provide limited exceptions to the exclusive rights
conferred by a patent, provided that such exceptions do not unreasonably conflict with a
normal exploitation of the patent and do not unreasonably prejudice the legitimate interests
of the patent owner, taking account of the legitimate interests of third parties.
The strategic IP management choices open to public organizations to access biotechnology
tools and technologies for research, development and diffusion are described by Byerlee
and Fischer (2001) and Nottenburg, Pardey and Wright (2001). The option(s) chosen will
depend on R&D capacity, objectives, cost, conditions, public acceptance etc.
The IP and tangible property rights (e.g. germplasm, clones, expression vectors, computer
software, equipment) surrounding BFA can be highly complex, involving products, processes
and components, and knowledge of variables such as owners, who controls them, how
they were obtained, and whether they were purchased or licensed (Kowalski et al., 2002).
Other aspects like where the product will be produced, whether it will be used for national
production and consumption and/or enter international trade must also be evaluated, as
must the IP laws of all the potential countries concerned.

Unravelling this complexity by deconstructing each component and method followed
by identifying all the potential patents, PBR and licenses relating to each in order to conduct
a product clearance analysis and determine freedom to operate (FTO) requires considerable
IP management skills and access to patent, PVP and other databases as well as the scientific
literature. For individual scientific tools, the task is relatively straightforward; for single
gene expression systems it is arduous; for stacked or multi-gene systems, it becomes an
enormous task made all the more difficult by the time lag between what is contained
in a patent or PVP database and what is actually protected through filing. Disentangling
the complexity of product clearance for FTO in relation to Golden Rice exemplifies that
challenge (Kryder, Kowalski and Krattiger, 2000).
In conducting a product clearance analysis for a GMO, breeders must also clarify
the IPR in the germplasm used to produce transgenic materials. The plant cells used for
genetic modification are often from lines or varieties that are not suitable for growing in the
intended location and therefore the transgenes have to be backcrossed into agronomically
more suitable germplasm.
To use proprietary tools and products, research institutes in developing countries may
or may not request the permission of the owner. For each of these alternatives, they can
use different options.
a) Without seeking the owners permission
Using gaps in patent and protected variety jurisdictions

Patents are only valid in countries in which they are registered. Under sui generis laws,
plant varieties are only protected in the country issuing the PVP certificate or PBR and in
other countries that are members of the same UPOV Act. One option therefore is to use
the research tool or technology (e.g. a transformation or selection tool, specific transgene,
molecular marker or novel variety) without seeking the owners permission. This option is
legal in those countries where the particular patent or plant variety is not registered. Many
current and important biotechnologies (both research tools and finished technologies)
appear to be unprotected in all but a relatively small number of developing countries. Major
exceptions in the countries covered here would be large producers and/or exporters of
cotton, maize and soybeans and derived products, such as Argentina, Brazil, China, India
and South Africa, i.e. countries with Type I NARS, but also some of those with Type II
NARS (Byerlee and Fischer, 2001).
There are, however, legal and technical caveats to this option. First, that the use of
the material in laboratory, greenhouse and/or field settings and/or products derived from
biotechnology (plant, animal or micro-organism, food and feed products) is not covered

by other relevant national laws (e.g. seed, environmental/biosafety/plant protection,
animal health and/or food safety). Second, that any product derived from the proprietary
technology is not exported to a country where the invention is protected (i.e. establishing
freedom to trade is also important). This would require systems to segregate production
and these may be logistically impossible in many situations. Third, that even where a
technology is not legally protected in a particular jurisdiction, if a patent or PBR has
been granted on a tool, technology or variety that means it is under IP protection in the
owners country.
Research institutes should therefore consider seriously the option of requesting permission.
Most likely the owner would be prepared to make it available (subject, for example, to
agreement on liability issues and/or a stewardship plan), particularly for developing countries
with Type II and Type III NARS working on staple or orphan crops, and possibly also for
use within small/subsistence production systems. The advantage of this approach is that it
encourages partnership and access to the know-how needed for facilitating adaptation
of the technology to the laboratory or field conditions of the requester.
There have been several cases of IP-protected GMOs entering, being used and exported
from countries that lacked biosafety or other relevant (e.g. seed) legislation. Also, while
public research institutes in some developing countries are increasingly engaging in crop
transformation activities using genetic constructs developed nationally or by multinational
companies (Cohen, 2005), the FTO status of these materials is unclear, i.e. whether their use
for research is itself legal, restricted to research, and/or may be extended to commercialization
and trade activities.
From Cohen (2005), it is also clear that few transformation events have moved out of
laboratories or greenhouses into farmers fields. Whether this is due to concerns about
potential litigation for patent infringement, weak scientific, research and breeding capacity,
lack of partnerships for delivery to end users, biosafety and/or related trade issues is a
matter of speculation. Cohen and Paarlberg (2002) believe that commercial fears are the
main constraint to the approval and availability of GM crops in developing countries. The
reasons, however, are both more complex and context-specific than that an additional
factor being the general lack of a clear strategy and expertise for moving products from
laboratories to farmers at the domestic level and from there, to marketing and export of
commodities (FAO, 2002b).
Regarding the trade dimension, Binenbaum et al. (2000) examined the production
and trade patterns between 168 developing countries and 29 developed countries for the
15 staple crops that are most important for food security in the developing world. Their
analysis revealed that exports from developing to developed countries constituted less
than 5 percent of the total production and consumption in developing countries. Also, it

showed that the value of these exports was concentrated in only four crops, i.e. bananas,
soybeans, rice and coconuts, and that these came from very few countries (Costa Rica and
Ecuador for dessert bananas, Brazil and Argentina for soybeans, Thailand for rice, and
the Philippines for coconuts). Further, the bulk of these exports was to Western Europe
(64 percent) followed by the United States (16 percent) and Japan (11 percent). The data
also showed that for other crops covered by the CGIAR centres, the share of developed
country imports originating from developing countries varied from around 90 percent (in
the case of cassava, chickpeas and groundnuts) to figures ranging from 540 percent for
wheat, maize, barley, sorghum, millet, lentils and beans.
The implication of these findings is that for now, and at least with respect to food/feed
crops, constraints to FTO in developing countries are most likely to occur with soybeans
and their processed products. However, these could well become more serious if, and when,
additional staples and products produced through or derived from advanced biotechnologies
in developing countries enter international trade. They also indicate that IPR established
in foreign countries should not be a major stumbling block to pursuing either R&D or
commercialization of BFA in most developing countries.
Using the research and experimental use exemption within national legislation
The generality of the criteria and the vagueness regarding the scope and nature of exceptions
in IP laws for using other peoples proprietary technologies, make it difficult to interpret
rights and obligations. For example, defining the scope of a research tool or the cut-off
between basic and applied research or between research and development is
fraught with difficulties. A rice line with resistance to a bacterial pathogen is a research tool.
It can be used as a breeding tool by some, but to biotechnologists it is source material for
mapping, sequencing and cloning the gene coding for the resistance trait, and subsequently
for the grant of a patent on the gene sequence. Through an exclusive license negotiated with
the patent owner to a company it then becomes a research tool for a commercial company
to develop pest-resistant GM crops (and to gain access to the gene, the developers of the
original rice-resistant line would have to negotiate conditions for using the gene sequence
for furthering their own applied research).
In some jurisdictions, the present position is that experimental use exception to
patent rights is very narrow and that even projects undertaken without direct commercial
application may be perceived in law as furthering an institutes legitimate business interests
through undertaking projects that, by using proprietary IP, serve to increase its status
and thereby attract research grants and students. Most national laws permit private, non-
commercial/industry and experimental uses, although there is lack of clarity about whether
experimental uses include work done for commercial and industrial purposes.

In short, the situation with respect to the experimental use exemption within both
national and regional arenas is far from clear. Researchers and breeders therefore tend to
assume that they need not worry about the IPR of others when carrying out research with
no direct commercial goal, because research done for purely academic or experimental
purposes or under a government contract is thought to be protected from infringement
due to an experimental use exemption.
Of course and perhaps also because of the plethora of patents surrounding both
upstream and downstream biotechnology discoveries some scientists and their organizations
simply turn a blind eye towards respecting other peoples IPR. In practice, both they
and those who invoke the research exemption probably expose themselves to little risk of
being pursued in the courts by doing so. This is because patents and PBR on research tools
are rarely enforced; infringement is hard, if not impossible, to detect; private companies are
generally loathe to pursue non-profit research institutes for infringement; and, as described
earlier and below, there are solutions to directly using or acquiring the rights to practise
proprietary biotechnology innovations (Walsh, Arora and Cohen, 2003).
Appropriate courses of action to follow for building and retaining trust (as well as
funding) within national scientific, breeding and commercial establishments could therefore
include 1) for governments to ensure an appropriate exemption for research directed towards
providing public goods (e.g. for crops, micro-organisms and traits important to small-scale
subsistence farmers) 2) for research funding organizations and implementing institutions
to be aware of their legal rights and to develop general and specific policies, strategies
and operating procedures that set the conditions and obligations for both protecting (and
sharing) their own IP and for using technologies and resources developed by others and
3) as a rule of thumb, for those working in the BFA arena at both R&D and commercial
levels, to determine whether the permission of the owner is needed to use the material in
question, i.e. whether there is FTO.
b) With the owners permission

A number of different options are available to the public sector wishing to access proprietary
tools and technologies with the owners permission (Byerlee and Fischer, 2001). Seven
potential options are considered here.
Material transfer agreements (MTAs)

These are likely to remain the main mechanism for accessing (and providing) BFA for non-
commercial uses. Nevertheless, researchers seeking access to genetic resources in another
country (and sometimes also in their own country) may have to contact the National
Biodiversity Authority to obtain the agreement of the provider on the transfer, and clarify

the conditions under which the transfer and use are authorized. The MTA may include
provisions on whether IPR can be sought and under what conditions, i.e. joint ownership
of rights arising from inventions derived from the resources, preferential access to any
technology developed, or monetary or non-monetary benefit-sharing arising from their use.
Licensing agreements
The main difference between licensing agreements and MTAs is that usually the recipient
(licensee) is granted the right to make, use and/or sell the technology in question. However,
they are also widely used for obtaining access rights to bioinformatics databases and for
using computer software. Like MTAs, these agreements define the property to be licensed,
field(s), and sometimes the territories of use. They can also define use within regions of
countries, type of farms by size, products and income levels and therefore (in theory at least)
provide access or preferential access to small-scale and subsistence farmers. If the technology
is covered by a patent, the subject matter of the licence can be for the product (e.g. a new
micro-organism) and/or for the method of using it to manufacture/process something, e.g.
an enzyme, biopesticide etc. Although access to public bioinformatics databases may be
free or based on a modest subscription, payment of royalties to the licensor is the norm,
the cost of which varies enormously depending on the status of the licensee (public, SME,
MNC), and the perceived value of the invention or data.
Purchasing outright
This needs skills in technology valuation. Although there are models available for valuing
some BFA (Nadolnyak and Sheldon, 2003), the high volatility in returns from marketing
many biotechnologies renders this option less appropriate than MTAs and licensing
agreements for obtaining tools and products, especially for smallholder farming situations.
Patent pools
These are agreements between two or more patent owners to license one or more of their
patents to one another or to third parties. They can reduce problems caused by blocking
patents, and lower significantly the transaction costs associated with licensing, e.g. by providing
a one-stop-shop for obtaining licenses essential to a core technology. At present, patent
pools are of greatest relevance to commercial organizations holding bundles of patents.
Nevertheless, it would be surprising if there were not greater opportunities for public sector
organizations to pool or combine their IP portfolios (proprietary and non-proprietary)
based on mutually complementary assets, with a start being made by the CGIAR and by
some groups of developing countries.

Open source licensing
The Biological Innovation for Open Society (BIOS)2 initiative developed by the Centre for
the Application of Molecular Biology to International Agriculture (CAMBIA) provides
open source licensing. It is based on the idea of a protected commons for making and
using improvements to licensed technology for research or commercial purposes through a
web-based meeting place for scientists. Anyone can obtain a free license to the technology,
but they have to agree to put any improvements back into the licensing pool. Examples of
technologies developed through this approach are Trans-Bacter, a technique for transferring
genes to plants using a plasmid containing a new T-DNA sequence that allows gene transfer
into bacterial strains other than Agrobacterium tumefaciens, and GUSPlus, a new reporter
gene for sensitive visualization of gene transfer events.
While there certainly appears to be a great need for this kind of model, one constraint
is the sheer number of patents to circumvent if an end product is to be brought to market.
For researchers interested in more upstream knowledge generation and making more
options available, the approach has many merits although, as noted earlier, patents are
not an issue because most large biotechnology companies do not enforce their patents for
research purposes and increasing numbers appear unlikely to do so when these are used
for humanitarian uses.
Potentially useful as all the modalities described above may be, it should be emphasized
that it is not simply patent information or access to an IP-protected tool or product that is
important for successful technology transfer. The associated know-how is also essential,
which many owners of IP continue to guard carefully, and which can only be accessed
through an appropriate MTA or licensing agreement.
Public sector partnerships

There are numerous examples of BFA partnerships between public sector entities involving
different combinations of actors. These can include partnerships between national institutes,
partnerships involving one (or a number of) NARS and individual or teams of CGIAR
centres, sometimes also involving advanced research institutes in developed countries.
Possibly the best example of a purely national effort leading to commercialization of
products is the Bt cotton varieties developed using a modified Bt fusion gene (Cry 1ab and
Cry 1Ac) by the Chinese Academy of Agricultural Sciences. This organization has also now
developed Bt hybrid cotton which is distributed through state-owned county, prefectural
and provincial seed companies and has also recently been approved for cultivation in India.
2 www.bios.net/daisy/bios/home.html

The second type of institutional constellation is best illustrated by the CGIARs
Generation Challenge Programme3, which brings traditional and advanced biotechnologies
to bear on 12 target crops and seven crop-trait combinations (with a major focus on drought
tolerance) for developing tools and technologies that help plant breeders in the developing
world to produce better crop varieties for resource-poor farmers. It uses a network of over
170 institutes in all regions of the world, and a cornerstone of the Consortium Agreement
and project contracts is the provisions on IP requiring outputs to be released as public goods,
enabling scientists in developing countries to readily use elite genetic stocks and new marker
technologies in their breeding programmes. However, a recent review of the programme has
shown that these terms are not always respected, and that ways need to be found to compel
compliance to the contractual documents, including ultimately requiring reimbursement of
funds from partners who fail to live up to their obligations (Woolley et al., 2009).
The CGIARs Harvest Plus Challenge Programme4 operates along similar lines, but
different IP arrangements. It involves a consortium of donors and over 200 agricultural
and nutrition scientists in the task of developing (through conventional breeding) staple
crops like beans, cassava, maize, pearl millet, rice and sweet potato which are biofortified
with vitamin A, zinc and iron. In this programme, individual research partners can take
out patents on their own discoveries, but they must make their results freely available in
the public domain for use in developing countries.
The FAO/IAEA coordinated research projects5, organized and funded through FAOs
Joint Programme with the IAEA, are other examples of public sector partnerships. They
bring together public sector research institutes in developing and industrialized countries
to develop and validate BFA tools and products needed to improve understanding or solve
particular constraints to agricultural development. Prominent examples of technologies
developed or validated and subsequently widely applied in developing countries include
mutations, using radiation and targeting induced local lesions in genomes (TILLING),
combined with molecular markers to develop new varieties of food and industrial crops,
and immunoassay and molecular diagnostic tests for rinderpest, foot-and-mouth disease
and brucellosis. Here again, contributors to these projects agreed to release products and
other information without IPR restrictions.
In line with its mandate, the International Centre for Genetic Engineering and
Biotechnology (ICGEB) has adopted IP policy guidelines. These state that access to IPR
concerning the results emanating from the research work of the Centre shall be granted to
members and to developing countries that are not members of the Centre in accordance with
3 www.generationcp.org/
4 www.harvestplus.org/content/about-harvestplus
5 www-naweb.iaea.org/nafa/index.html

applicable international conventions with the objectives of (1) promoting the development,
production and wide application of biotechnology in the interests of developing countries,
(2) promoting the transfer of technology and know-how to its member countries, and
(3)overcoming the difficulties encountered by developing countries in fostering innovation,
ownership and in-house application.
With Brazil, China, India and, to a lesser extent, South Africa now heavily engaged in
front-line fundamental and applied R&D and commercialization, and increasing numbers
of developing countries beginning to enter the scene in specific niches, the scope for further
globalization of partnerships between public sector institutes in BFA at all levels of activity
is likely to increase substantially in the years ahead. Also, irrespective of their institutional
makeup, with ever-increasing pressure on public budgets, partnerships are the way to
maintain and even increase support for key public goods programmes.
Public-private partnerships (PPPs)

As noted earlier, there is increasing recognition in developing regions of the importance of
collaboration between public institutions and private firms for applying biotechnologies to
improve fundamental biological knowledge, agricultural productivity and the livelihoods
of farming communities. Government policy in both developed and developing countries
has therefore moved (decisively in some instances) to bring biotechnology R&D closer to
filling perceived market failures, resulting in a diverse set of institutional arrangements for
fostering partnerships between the public and private sectors and within the public sector
itself at both national and international levels. These include university and NARS-industry
collaborations, government grants to support technology development and commercialization,
and global partnerships in BFA.
For governments, the motivations include increasing the competitiveness and social welfare
benefits of the agricultural sector, reducing market failures in both knowledge (through basic S&T
research which is risky and long-term) and consumer surplus spillovers (product and process
development where profits will not be sufficient to cover the costs of R&D), and improving
the mission orientation of their research and innovation systems by sharing costs and risks.
For the private sector, motivations can range from gaining access to knowledge, technology
and markets that would otherwise be difficult to tap, to showing that the company can deliver
something useful or is simply a good corporate citizen. Potential risks to participants include
conflict of interest, losing public trust or control of proprietary technology, compromising
missions etc. There are also context-specific challenges concerning governance.
A flavour of the wide range of relevant ongoing PPPs is available from presentations at
the recent Crawford Fund Annual Conference6 that explored ways in which the private sector
6 www.crawfordfund.org/conference/2009.html

can engage in international agricultural research, development and extension to the benefit
of the rural poor. One of these is dedicated to the Hybrid Parents Research Consortium
(HPRC) that was initiated in 2000 by the International Crops Research Institute for the
Semi-Arid Tropics (ICRISAT) and private sector seed companies as a R&D partnership
for improving the availability of seeds of high yielding cultivars. It was the first PPP
arrangement in the CGIAR system, and ICRISAT has now partnered with many private
sector seed companies in India, Indonesia, Egypt and Mexico through the HPRC to deliver
its improved sorghum, pearl millet and pigeonpea hybrids to poor farmers. As a member
of the CGIAR, ICRISAT adheres to policies concerning the transfer of germplasm in line
with the CBD and with the agreement between the CGIAR centres and FAO by which
designated germplasm held in-trust for the world community is made freely available
through the standard MTA under the ITPGRFA (Gowda et al., 2004).
A variety of options are available to promote partnerships with the private sector and
with other public entities in both research and commercial undertakings on pro-poor BFA
without, or with limited, complications arising from IPR. These could be more actively
explored by research institutions and funding bodies in industrialized and advanced developing
countries committed to assisting countries that do not have strong scientific capacities, by
the CGIAR centres, and by countries where small-scale and subsistence farming involve
primarily staple and non-export crops. The options include:
(a) Negotiating royalty-free access to proprietary genes, genetic constructs, and germplasm
There is increasing evidence of the willingness of MNCs to donate proprietary biotechnology
with no, or limited, restrictions on FTO. This should be recognized as a step in the right
direction. Recent examples include Syngenta, which has committed to provide its technology
royalty-free to benefit subsistence farmers in developing countries. It has also stated that it
will not pursue patent protection for any plant biotechnology or seeds invention for private
and non-commercial use in least developed countries. Furthermore, IPR related to the
rice genome will not be enforced in least developed countries for non-commercial use by
subsistence farmers7. Monsanto and Syngenta have also provided royalty-free licenses to the
Golden Rice Humanitarian Board for technologies that can help further the development
of pro-vitamin A (beta carotene) enhanced rice.
In addition, Monsanto and BASF are partners in a large project on water efficient
maize for Africa (WEMA), funded by the Bill and Melinda Gates and Howard Buffet
Foundations, with the participation of the International Maize and Wheat Improvement
Center (CIMMYT) and a number of NARS in Africa 8. These companies will provide
7 www2.syngenta.com/en/media/positionstatements_full.html#ip
8 www.aatf-africa.org/wema

proprietary germplasm, transgenes and advanced breeding tools without royalties for
research, and any products developed will likewise be made available to small-scale farmers
without royalties. The agricultural biotechnology company Arcadia Biosciences Inc. has
also agreed to provide compensation-free technology for the development of nitrogen use
efficient and salt tolerant rice for Africa.
(b) Using the services of third party brokers

A number of organizations and advanced research institutions work to facilitate the transfer
of proprietary tools and technologies and related knowledge from private companies to
public sector institutes with a focus on Africa, pro-poor crops and livestock diseases. Well
known examples include the African Agricultural Technology Foundation (AATF), based
in Kenya, which was set up to facilitate and promote PPPs for accessing and delivering
appropriate proprietary agricultural technologies for use by resource-poor smallholder
farmers in sub-Saharan Africa9. It is a one-stop-shop that provides expertise and know-
how to facilitate the identification, access, development, delivery and use of proprietary
agricultural technologies. It is backed by a number of donors, including the Rockefeller
Foundation, the UK Department for International Development (DFID), the United States
Agency for International Development, the Bill and Melinda Gates Foundation and the
Buffett Foundation. It engages actively with CGIAR centres, NARS, local and international
seed and biotechnology companies, and is involved in most of the African initiatives on
PPPs described above.
Another example is the International Service for the Acquisition of Agri-biotech
Applications (ISAAA), which was established to deliver the benefits of new agricultural
biotechnologies to the poor in developing countries10. Best known for its annual report on
the global status of commercialized GM crops, this organization also facilitates the transfer
of proprietary technologies from the private sector in industrial countries for the benefit of
subsistence farmers and the poor. It has been particularly active in the area of tissue culture
for bananas and cassava in East Africa.
The Public Intellectual Property Resource for Agriculture (PIPRA) 11 also assists
developing countries to access new technologies by reducing IP barriers to cooperation
among public sector institutes for improving staple and speciality crops, and facilitating the
transfer and adoption of their technologies by resource-poor farmers. A final example is
GALVmed12, an alliance of public, private and government partners, which was established
9 http://aatf-africa.org/
10 www.isaaa.org/
11 www.pipra.org/
12 www.galvmed.org/

in 2005 to make livestock vaccines, diagnostics and medicines accessible and affordable to
developing countries, primarily in Africa, funded by the Bill and Melinda Gates Foundation
and DFID. It is part of a task force led by the African Union-Interafrican Bureau for Animal
Resources (AU-IBAR) to facilitate the registration and commercialization of a tissue
culture-derived vaccine for East Coast fever that is presently produced by the International
Livestock Research Institute (ILRI) and to transfer vaccine manufacture and distribution
to the private sector.
Given the limited understanding within NARS of IPR and how to access proprietary
tools and technologies, these organizations clearly have considerable potential for filling
important gaps. They have also been successful in brokering royalty-free licenses for
particular technologies (gene constructs and varieties), and thereby provided opportunities
for R&D training and capacity building in many essential aspects of project planning and
implementation that otherwise would not have been available. Some technologies have moved
from the laboratory to the field but, due to a combination of regulatory delays (biosafety
and seed certification) and some other work being early-stage research, the contributions
of these projects to technology development, improved productivity and poverty reduction
remain to be determined. One significant up-coming challenge for all these projects will be
ensuring dissemination of the products according to the humanitarian use requirements of
the tool and technology providers.
Other issues surrounding PPPs are covered in more detail by Hartwich, Gonzalez and
Vieira (2005) who studied 124 cases of PPPs in Latin America including a number dealing
with basic and applied plant breeding. Their analysis indicated that when entering into these
partnerships, public sector priorities and goals are not sufficiently addressed. Hence, while
there can be no question that PPPs in BFA are an interesting approach to development
and there are many promising initiatives, outside of India and Brazil convincing evidence
is still lacking about the success of such partnerships in terms of products in widespread
field use or application within government or other support services, e.g. by plant and
animal health authorities.
Establishing legal or institutional structures and intellectual property and

9.2.4.2
knowledge transfer policies
Virtually all research institutes and universities in industrialized countries dealing with
BFA have established technology transfer offices (TTOs). These are staffed by people
trained in advising on, and processing, IP applications and with the negotiation and
business skills for securing agreements with third parties seeking access to the products
in question or holding IP on products considered relevant to furthering the research or
commercial interests of the institution housing the TTO. These offices also deal with

non-proprietary assets, e.g. textbooks, training manuals, software, audio-visual material
etc. In some cases, public institutions have allowed/encouraged their staff to engage in
the creation of spin-off companies.
Typically, a well-functioning TTO provides support to institutes and their scientists on
all aspects of IP. These include creating awareness of IPR-related issues through seminars
and individual contacts; providing access to PVP and patent literature; assessing the market
potential of an invention and the best way of protecting it; drafting and filing patent
applications and managing the financial arrangements; negotiating the terms and conditions
of MTAs, licensing and confidentiality agreements; and finding commercial partners.
In response to changes in their laws that allow commercialization of inventions
from publicly-funded R&D, a few agricultural ministries and research organizations in
developing countries have followed suit. Notable examples include the Chinese Department
of Agriculture and the Indian Council of Agricultural Research (ICAR), the Instituto
Nacional de Tecnologa Agropecuaria (INTA) in Argentina and EMBRAPA in Brazil, and
the Agricultural Research Council (ARC) in South Africa. These are all large organizations
operating many centres, and they have made substantial investments in biotechnologies,
breeding (of crops and animals) and seed production and distribution.
Both EMBRAPA and ICAR have legal authority to manage their own IP portfolios and
technology transfers (relating mainly to both patents and sui generis PVP and copyrights) in
conformity with existing national IP laws and other related laws/rules. ICAR even registers
its own patents and PVP certificates. In the case of the ARC, IP is managed through its
Intellectual Property Management Office (IPMO) which works under the umbrella of a
National IPMO which was set up to harmonize IP management across all institutes supported
through public funds and which deals with patent applications from these institutes.
At the international level, the CGIAR has a Central Advisory Service on Intellectual
Property (CAS-IP) to assist its centres and their partners (primarily the NARS) in managing
intellectual assets as public goods. Individual centres also have staff responsible for negotiating
agreements that are within overall CGIAR policy guidelines.
Irrespective of the above, policy-makers should be aware of the following potential
issues regarding commercializing IP assets within the public sector. First, there is the risk
that the focus of BFA research shifts to private research interests at the expense of tackling
issues with a predominant public goods value (i.e. from more upstream to near-market,
and from species and traits important to small-scale and resource-poor farmers to those of
interest to export and commercially-oriented operations). It is important, therefore, that
the principles for seeking protection and for managing biotechnology IP and wider assets
further the mission of the institute, i.e. foster access to, and diffusion of, their proprietary
and non-proprietary assets to the poor and food insecure.

Second, the ability to obtain royalties from licenses to third parties for protected
varieties and other biotechnology materials, and from outright selling of other intellectual
assets, contracts, consultancy fees etc. can potentially raise revenue for the institute and/or
the scientists involved. Many commentators mention this second possibility. However,
except in the highly unlikely event of a blockbuster, licensing protected assets will
not be sufficient to cover the costs of seeking, maintaining and licensing patents relating
to BFA. Figures from the United States Department of Agriculture (USDA) illustrate
this point (Day Rubenstein and Heisey, 2005). Of the 270 active licenses negotiated by
this organization in 2003, only 56 generated royalty income which had a median value
of US$3 102. The widely quoted example of EMBRAPA which reputedly earns several
million US$ annually in royalties (mainly through licensing its crop cultivars to local and
multinational or joint venture owned seed companies, including for the production of GM
seeds) is clearly an exception. This derives mainly from its direct and indirect involvement
in seed production and the fact that its income is generated overwhelmingly from seeds
of the countrys dominant agricultural export (soybeans). Few other developing countries
have agricultural research organizations holding such key roles in R&D, outreach and
(indirectly) global commodity trade.
Less clear also is whether the earnings from EMBRAPA, and indeed for all other TTOs,
are net of the costs of running their operations, and whether as has happened elsewhere
(Rozelle et al., 1999) success in raising money through commercial activities leads to
reduced funding by government on agricultural R&D.
Third, the main benefits of licensing proprietary technology are (1) the potential to
facilitate technology transfer when a private partner is needed, while reserving the rights
of the public sector to deliver that technology to farmers who otherwise could not afford
it, i.e. as a means of market segmentation, (2) as a bargaining chip to access technologies
owned by others, and (3) as an entry point into global or regional research consortia, often
involving the sharing of research tools for non-commercial purposes.
Countries, large and small, industrialized and developing should not dismiss the option
of exploiting the IP of their research institutes by publicly disclosing details of innovations
though defensive publication (Adams and Henson-Apollonio, 2002). Defensive publication
and patenting share the requirement for novelty but since a published description of the
research product is available, it can no longer be called new and therefore patent-worthy.
Defensive publication effectively prevents competitors, and possibly even the originating
scientist, from patenting an identical or similar innovation. This strategy is especially useful
for innovations that do not warrant the high legal costs and fees for patent applications, for
public sector agricultural research institutes working on pro-poor issues, and for keeping
innovations in the public domain free from fear of patent infringement.

Before embarking on the complex and expensive business of applying for IP protection
in the first place and establishing TTOs for managing such protection and accessing the
proprietary assets of others, developing countries and their public sector institutes should
therefore be clear about both the underlying rationale and the policies they will follow in
implementing these tasks. Making such decisions should be underpinned by conducting and
maintaining an inventory of the assets within both the public and private sectors irrespective
of whether these are or may be covered by IPR. Only in this way, can governments and
institutes determine how best to use these assets to achieve their mission and goals and
to develop partnerships for R&D and commercialization even if the national legislation
excludes IP protection of life forms.
In some (albeit very few) developing countries, these complementary assets are substantial.
They extend from capacity to develop new research tools and gene constructs through
to producing, multiplying and distributing GMOs, considerable capacity in structural
and functional genomics, strong characterization and breeding programmes and an active
private sector etc. In some others, the assets may be knowledge about local germplasm,
breeds and diseases; technical expertise and facilities for applied breeding and running
evaluation trials; cell culture for vaccine production and running vaccination campaigns;
and seed multiplication and delivery through extension services and/or local companies.
Nevertheless, in the majority of developing countries, particularly where potential private
sector partners are essentially non-existent, discussion of IPR in relation to BFA is largely
irrelevant to the design of national research programmes.
Institutes with significant R&D activities and other complementary assets should
therefore develop IP/knowledge transfer policies as part of their long-term strategy and
mission, publicize it internally and externally and establish a single contact point. The IP
policy will require guidelines on aspects like the assets to be made freely available and
those which need IP protection to keep them in the public domain; clear rules for staff
and students regarding, in particular, the disclosure of new ideas with potential commercial
value; the ownership of research results; record-keeping; the management of conflicts of
interest and engagement with third parties.
For knowledge transfer, policies are required for licensing, including the financial
and non-financial aspects of compensation; on the creation of spin-offs, making clear the
management of relationships between the research institute, the spin-off company and the
staff involved; and policies for sharing the financial returns from knowledge transfer income
between the research institute (and/or relevant department) and the scientist(s) involved.
Principles also have to be developed for engaging in collaborative and contract research
compatible with the mission of each party. In the case of PPPs, they should take account
of the level of private funding and maximize the commercial and socio-economic impact

of the research, maintaining an IP position that allows further academic and collaborative
research and avoids impeding the dissemination of the R&D results.
For public sector research institutes whose mission is pro-poor agricultural development,
the policy statements published by some of the CGIAR centres are good guides for informing
their own scientists, stakeholders and the public at large on their position concerning the
protection and use of their intellectual assets13.
Few developing countries have scientists, patent attorneys or agents who are sufficiently
knowledgeable to bring the required depth and breadth of understanding in biotechnology,
agriculture and law to the complexity and variety of tasks required for effective filing and
management of modern biotechnology-related patents. Most do so by contracting this work
out to third party management companies and centres, especially for the needed specialized
legal and business skills. For example, the biotechnology incubators and parks described in
Chapter 8 have established technology transfer and commercialization offices which take
on consultancy work for public sector institutions, in addition to undertaking IP work for
companies situated within the hub.
9.2.5 Options for national and international research funding and development agencies
National and international S&T funding agencies and donors are essential catalysts of
agricultural R&D and development. With the advent of the genomics and proteomics era
in BFA, the policies adopted by these organizations, including the question of disposition
of rights to IP arising from the R&D supported by them, play a critical role in determining
the policies, practices and behaviour of the research institutes and individual scientists
that rely on them for funding. Some of these organizations have also proven to be highly
influential in intervening on behalf of the public sector to obtain tools, technologies and
data of value or potential value to developing countries either free or on preferential terms
from MNCs and other private sector entities.
At the national level, funding bodies have different roles in R&D. For example, through
their in-house programme they can be leading producers and suppliers of new tools as
well as users. Also, as sponsors of research in external institutes they have interests in how
the recipients of their grants and their contractors obtain research tools from others and
how they disseminate the tools developed through the work they support. As government
agencies, they may also have unique legal authorities over how they manage their own IPR
and what agreements they enter into to obtain research tools for their own programmes.
Administrators in many funding agencies, research institutes and universities and many
scientists themselves have noted the increasing complexity of the patent landscape and
the burden that this is placing on the scientific endeavour in the fields of structural and
13 For example, for CIMMYT at www.cimmyt.org/en/about-us/policies/cimmyt-intellectual-property-policy

functional genomics (proteomics, metabolomics etc.) through patents on gene sequences,
their protein products and methods to detect, produce, study or manipulate genes or
proteins (Royal Society, 2003).
This has raised concerns about the freedom of publicly-funded national and international
agricultural research institutions to employ proprietary tools and technologies on
reasonable terms for conducting both fundamental research and more applied R&D
leading to products that benefit the agrifood sector because of a patent or, more likely,
an exclusive or other restrictive license on a patent. These institutions have also warned
of the likelihood that as more knowledge is created and more patent applications are
filed, impediments to the exchange of research materials may become more severe. While
they also recognize that IP protection (patents in particular) may be a valuable tool to
provide incentives for the translation of research results into products that benefit society,
their own general policies and advice to the scientists and institutions they support both
directly and indirectly through grants and contracts and to other government funding
agencies, is to encourage sharing, believing this to be in the best interest of all science,
both basic and applied.
A number of principles and practices are now presented as options for consideration by
the scientific and development communities of all countries including private sector entities
when developing and implementing policies, programmes and projects that incorporate
advanced biotechnologies into agricultural R&D and development to benefit small-scale
and subsistence farmers.
}} encourage the free exchange of materials and data; Nucleic acid sequences, including ESTs
and SNPs, are fundamental for describing and understanding the structure, function,
and development of agriculturally important plants, animals and micro-organisms.
Although private industry retains sequence data relating to many agriculturally
important organisms in proprietary databases, these firms should be encouraged, and
public sector institutions required, to place such sequences in public data banks.
}} ensure that grant applicants include in their proposals an explanation of their stewardship
plans, as well as plans for the sharing and dissemination of research results;
}} monitor the actions of grantees and contractors with regard to data and material sharing
and, if necessary, require grantees and contractors to comply with their approved IP
and data sharing plans;
}} extend the Bermuda Rules that were agreed for the human genome project to the
sequencing of genomes of organisms that are essential for agricultural production in
developing countries. This means releasing within 24 hours all DNA sequences longer
than say 1 000 base pairs to a public database and issuing a directive against patenting
newly discovered DNA;

}} foster responsible patenting and licensing strategies. Whenever possible, non-exclusive
licensing should be used when technologies owned or funded by public sector
institutions are transferred to the commercial sector. This facilitates making broad
enabling technologies and research uses of inventions widely available and accessible
to the scientific community. Options include:
}} ensure that proprietary or exclusive means of dissemination are pursued by recipients
of grants and contracts only when there is a compelling need. Also, whenever possible,
licenses should be limited to relatively narrow and specific commercial application rather
than as blanket exclusive licenses for uses that cannot be anticipated at the moment;
}} because of the complexity in determining FTO and the fact that most developing
countries have little experience in managing IP, industrialized countries donating
proprietary technology should conscientiously supply products that are clean with
respect to intellectual and tangible property (Kowalski et al., 2002);
}} introduce explicit reservations of rights in commercial technology licenses to protect
their own institutional objectives and support humanitarian applications (Bennett, 2007).
9.2.6 Final considerations

The formulation of appropriate IP legislation to deal with BFA, and the establishment of
institutions to administer and make rational decisions about how to use it successfully as
part of the enabling environment for biotechnology transfer, development and diffusion
are huge challenges and still very much work in progress for developing economies.
The needs for training and capacity building to deal with the wide scope, complexity and
interplay between all the issues involved in ways that ensure public sector research remains
focused on the social needs of the many rather than the financial interests of the few must
remain paramount if biotechnologies are to deliver on a pro-poor agenda.
9.3 Public Awareness and Participation
9.3.1 Participatory biotechnology R&D and extension

The farmer and technology development participatory paradigm of planning and, in some
cases, implementing and assessing the benefits of particular courses of action came from
the recognition that those targeted as potential beneficiaries of R&D projects should have
a say in, and influence, priorities and strategies. Other terms used are bottom-up and
demand-driven. Combined with similar approaches to providing extension services, these
were designed to encourage scientists and extension agents to work with small-scale farmers
when defining problems and finding solutions in effect to make R&D and extension more
responsive to their needs and priorities. The current plethora of participatory planning

and implementation of R&D projects and extension services (which now cover topics
ranging from plant breeding, integrated pest management, soil and water management,
gender planning, assessment of organic agriculture, risk assessment for animal diseases
like bird flu etc.), attests to how policies within many governments and funding bodies for
organizing these services have been transformed.
Such policies have not, of course, replaced the more traditional top-down (and often
supply-driven) option. Here, a committee (chaired perhaps by the Permanent Secretary
of the Ministry of Agriculture) is normally set up composed of senior ministry officials,
research leaders within NARS and relevant universities including those located regionally,
and key private sector bodies and non-governmental organizations (NGOs). Other
ministries (particularly of S&T, Rural Development and Economic Planning) would also
be appropriate participants, the aim being to optimize the match between technical and
wider policy considerations. Ideally, both approaches are needed (and in fact, are usually
practised) to provide balance, objectivity and transparency to government, ministerial or
institutional decision-making.
Several constellations are possible for participatory/bottom-up approaches (see
e.g. Boerse, Bunders and Loeber, 1995 and Cohen, Falconi and Komen, 1998). Puente-
Rodrguez (2007) presents a notable example of a participatory and self-organized
bottom-up approach within the context of subsistence agriculture, for the control of the
castor semilooper (Achea janata) pest in Andhra Pradesh, India. Their common features
are that they involve farmers, extension services, scientists, local or national policy-makers
and NGOs in identifying and prioritizing problems and finding solutions at the grassroots
level that are amenable to R&D. Critical challenges include:
}} establishing a multidisciplinary coordination team/steering committee with a wide policy,
scientific and cultural background to support the process, which involves substantial
dialogue to reach common ground;
}} supporting the process with evidence-based data and information obtained through
one or a combination of the methods described in Chapter 7;
}} ensuring that the process goes beyond diagnosis and priority-setting by involving the
communities concerned, e.g. in farm or village experiments to test new technology.
Another challenge with all these approaches is deciding who participates and the manner
and extent of their involvement. In setting up participatory priority-setting, decision-makers
have to establish criteria. These should be guided by research objectives and proposed target
groups which, in turn, will depend on whether the exercise is purely national or part of a
wider regional or global programme with involvement of one or a number of regional research
organizations, CGIAR centres, bilateral donors, banks and philanthropic organizations. In

such cases, agreement has to be reached between the government or responsible ministry
on participatory principles and administrative arrangements. It is important here to retain
national ownership and identity.
In addition, focusing on applications of biotechnologies through participatory
approaches raises both opportunities and restrictions for all concerned. For farmers and
their communities, if the programme being considered has to include a biotechnology, this
limits enormously the scope for prioritization of problems and possible solutions. The
same applies to scientists and policy-makers who have the additional dilemma of deciding
on the geographic or production system focus of operations (i.e. which poor farmers?).
Kenya (World Bank, 2008) and Bolivia (Hartwich and Jansen, 2007) provide examples of
options for pursuing priority-setting which can be suitably adapted to include biotechnology.
In the case of Kenya, the Kenyan Agricultural Research Institute (KARI) has an Annual
Research Forum to set the national strategic research agenda and a number of Research
Coordination Committees to approve proposals, as well as Centre Research Advisory
Committees to screen proposals at the national and regional research centres. The KARI
Biennial Science Conference is where agricultural policy-makers, researchers and the private
sector participate and provide feedback on on-going research activities and identify emerging
issues. The national and regional research centres identify research topics in consultation
with various stakeholders in their districts, including district agricultural officers, farmer
groups and scientists in local universities and, after technical review meetings, their
recommendations are submitted to KARI headquarters. KARI is also now establishing a
monitoring and evaluation system.
Bolivia, on the other hand, introduced the Bolivian Agricultural Technology System
(SIBTA) by which government support to agricultural research and extension was partly
delegated to regional semi-autonomous foundations with advisory boards. These foundations
work with organized farmer groups with legal status, e.g. producer associations, community-
based organizations or indigenous groups, and have been able to effectively identify and
prioritize the demands of small farmers and provide transparency and accountability on
decision-making and funding. The governments roles through the Ministry for Rural
and Agricultural Development are to provide strategic direction, develop national level
priorities through inputs from regional foundations, regulations for funding mechanisms,
and in general to acts as a one-stop-shop for linkages to international R&D agencies.
9.3.2 Participatory policies for regulation of biotechnology

Extending participation into the realms of national and international policy-making on
biotechnology is more complex since it involves a much broader range of relevant stakeholders
with more diverse and conflicting positions.

The importance of public participation in decision-making was recognized by policy-
makers through Principle 10 of the Rio Declaration on Environment and Development,
adopted by over 170 countries in 1992. It states that: Environmental issues are best handled
with the participation of all concerned citizens, at the relevant level. At the national level,
each individual shall have appropriate access to information concerning the environment that
is held by public authorities, including information on hazardous materials and activities in
their communities, and the opportunity to participate in decision-making processes. States
shall facilitate and encourage public awareness and participation by making information
widely available. Effective access to judicial and administrative proceedings, including
redress and remedy, shall be provided.
The Rio Declaration is not legally binding. A number of legally binding international
instruments have, however, been adopted that are relevant to public participation and
awareness in biotechnology matters (see Mackenzie et al., 2003 for more details). One is
the CBD, which through Article 14.1 promotes notification, exchange of information and
consultation on activities that are likely to have significant adverse effects on biological
diversity. The Cartagena Protocol on Biosafety (CPB), a supplementary agreement to the
CBD, deals specifically with public awareness and participation regarding living modified
organisms (LMOs) in Article 23. This Article states that Parties to the CPB shall promote
and facilitate public awareness, education and participation concerning the safe transfer,
handling and use of LMOs in relation to the conservation and sustainable use of biological
diversity, taking also into account risks to human health; endeavour to ensure that public
awareness and education encompass access to information on LMOs identified in accordance
with this Protocol that may be imported; in accordance with their respective laws and
regulations, consult the public in the decision-making process regarding LMOs and shall
make the results of such decisions available to the public, while respecting confidential
information in accordance with Article 21; endeavour to inform its public about the means
of public access to the Biosafety Clearing-House.
The Aarhus Convention14 is the most recent and comprehensive international agreement
relating to public participation, adding much meat to government obligations. Its full
title is the United Nations Economic Commission for Europes (UNECE) Convention
on Access to Information, Public Participation in Decision-Making and Access to Justice
in Environmental Matters (where the UNECE is one of five regional commissions of the
UN, with 55 Member countries from North America, Western, Central and Eastern Europe
and Central Asia). Although a UNECE Convention, it has a global significance as it is also
open to all non-UNECE States that are members of the UN.
14 www.unece.org/env/pp/treatytext.htm

At their 2nd Meeting in Kazakhstan in 2005, Parties to the Convention adopted an
amendment aiming to strengthen the rights of the public to participate in decision-making
on GMOs. This amendment enters into force when it has been ratified by three fourths of
the Parties and would require the Parties to inform and consult the public in decision-making
on the deliberate release and placing on the market of GMOs. The public would have the
right to submit comments and the public authorities would be expected to take these into
account in the decision-making process. Once made, the decision taken should be publicly
available together with the reasons and considerations upon which it is based. Except for
cases of commercial confidentiality, information associated with GMO decisions would be
made available to the public i.e. Parties could not withhold as confidential, information on
the intended uses of the release or on the assessment of environmental risk15. The amendment
requires that the provisions made by Parties be complementary and mutually supportive
with their approaches for meeting the objectives of the CPB.
From the aspect of food safety, the Codex Principles for the Risk Analysis of Foods
Derived from Modern Biotechnology (2003) appear particularly relevant from the standpoint
of public awareness and participation. On risk communication, they state that: Effective
risk communication is essential at all phases of risk assessment and risk management. It
is an interactive process involving all interested parties, including government, industry,
academia, media and consumers. Risk communication should include transparent safety
assessment and risk management decision-making processes. These processes should be fully
documented at all stages and open to public scrutiny whilst respecting legitimate concerns to
safeguard the confidentiality of commercial and industrial information. In particular, reports
prepared on the safety assessments and other aspects of the decision-making process should
be made available to all interested parties. Effective risk communication should include
responsive consultation processes. Consultation processes should be interactive. The views
of all interested parties should be sought and relevant food safety and nutritional issues that
are raised during consultation should be addressed during the risk analysis process. Since
Codex standards and guidelines are reference points for national implementation of the
Sanitary and Phytosanitary (SPS) Agreement, this suggests a clear linkage between public
awareness and participation and this WTO agreement.
As noted in Chapter 7, governments have two roles: (1) fostering community
understanding/awareness about biotechnology including by improving access to understandable
information, and (2) providing means by which citizens can express their views. This doesnt
mean that they should go it alone, but rather that they create the environment/provide
the incentives for others, e.g. schools, universities, extension services, farmer and business
15 www.unece.org/press/pr2005/05env_p06e.htm

organizations, NGOs, civil society organizations (CSOs) etc. to take initiatives. Because
biotechnology needs horizontal governance, this should include developing a top level
strategy to which all ministries commit through a shared programme of work that includes
agreement on the combination of mechanisms that can realistically be applied and financed
in the light of national circumstances.
Since biotechnology is also a very broad topic with intersecting thematic areas that include
biosafety, food and feed safety, consumer protection, intellectual property, seed certification, bio-
ethics, as well as access to genetic resources and benefit-sharing, national capacity for fostering
public awareness needs to extend to these topics. In the resource-constrained environments
within which all developing countries operate, and given the reality that resources for enhancing
public empowerment need to compete for scarce funding, decisions may have to be made as to
whether communicating, e.g. to small-scale farmers about the merits of using biotechnology
to improve crop or animal productivity should take priority over communicating to urban
consumers about the merits of consuming food derived from these crops.
International agreements do not provide guidance on how the public should be informed,
educated or engaged in decision-making processes, or how any decisions about GMOs would
be communicated. For providing information, obvious channels of communication include
the internet, publications, radio, television, newspapers, workshops, public hearings, official
bulletins, and even labelling of products, whereas education would be through public educational
systems. Concerning public participation, this would depend on whether participation is
passive (i.e. meaning that information would be posted, e.g. on the Government Gazette
and a public register maintained by the Competent Authority and feedback required
within say 30 days) or active (i.e. involves sharing and communicating information and
views through public consultations and hearings), the results of which would then be fed into
decision-making and regulatory processes. Since most rural communities do not have access
to the Internet or understand the main international languages used in much print media,
governments and their agencies, NGOs, CSOs and others will need to rise to the challenge
of creating spaces for activities that foster public participation by these communities.
9.3.3 Coverage in national biotechnology policy/strategy documents and

regulatory frameworks
9.3.3.1 In
NBS documents
The survey of NBS documents of selected developing countries showed that scientific
and technical capacity building in biotechnology from undergraduate through to PhD
levels was a key element of essentially all national plans, and that in a few countries efforts
would be made to initiate awareness-building among schoolchildren. But apart from that,

more than half of the NBS surveyed were either silent on public education/awareness and
participation, or made only short generic statements to the effect that civil society would
be engaged, public information/ education programmes would be set up etc.
It is noteworthy that all NBS documents that raised the issue of public
awareness/participation were either vague or silent on the rationale for involving the public
at all. Also, none defined whether such involvement would be (1) used for developing wider
policies, (2) confined to regulatory aspects, (3) purely advisory or entail involvement in
decision-making, and (4) if the latter, whether this would be arms reach participation,
e.g. providing comments in writing or verbally which would then be fed into decision-
making by people traditionally considered to be better qualified to make judgements, e.g.
scientists, regulators etc., or actually sitting at the top table and being directly involved.
Only three countries were more specific. Chile made public participation one of its
Flagship Initiatives with thrusts to include ensuring dissemination of accurate and
reliable information, particularly on regulatory matters, decisions based on ethical values
as well as scientific principles, and a commitment to respect the value of considering
different societal options. South Africa, in recognizing the critical importance of public
understanding of biotechnology, outlined a number of specific initiatives. First, the
government would articulate a single vision of biotechnology so that it is not confronted
with different opinions from different ministries and departments. Second, public education
campaigns on biotechnology would be initiated to give accurate information based on the
inputs of various ministries/public sector agencies. Third, biotechnology issues would
be included in high school curricula to encourage debate on potential benefits, risks, and
ethical and environmental issues. Also, the media would be provided with information
representing all sides of debates and encouraged to convey biotechnology issues to the
public in a responsible manner. Only Peru provided any insight into the government
or public sector structures that would be involved in leading or coordinating national
initiatives in these areas. In this case, a National Forum on Biotechnology (FONABIO)
would be established to connect citizens with up-to-date information on biotechnology,
receive and respond to feedback and thereby create an environment of consultation and
educated opinion. There would also be a Committee on Ethics to discuss, review and
make recommendations to its regulatory authority on all aspects related to the promotion
and development of modern biotechnology.
9.3.3.2 In
national regulatory frameworks
Analysis of national regulatory frameworks provided little further insight on these
issues. As noted in Chapter 8, in the majority of countries the main link between public
awareness/information and biosafety lies in the reference by many countries to labelling

of GMOs and products. Given the considerable practical difficulties and cost of labelling
(let alone of implementing the necessary systems of co-existence between GMO and non-
GMO production and harvesting), making the public aware of the full implications of such
a policy is a legitimate part of information sharing and awareness building about modern
biotechnology. Other frequently quoted mechanisms were through the BCH or national
nodes of the BCH; providing information and requesting feedback through the Government
Gazette and national newspapers (e.g. Kenya and Zambia) on proposed releases into the
environment (and in some cases even on laboratory/greenhouse research activities); and,
in one case (Namibia), by holding public hearings, the outcomes of which would be fed
into higher level decision-making. Of the 15 countries surveyed, only five appeared to have
consumer or farmer organization representatives on their national biosafety committees,
and only two appeared to have civil society representation.
Noteworthy also were the confidentiality provisions in most of the national instruments
(see Chapter 8) but again, these were stated in generic terms and it was not possible to
determine how countries would use them and whether they would restrict the publics
access to relevant information for policy or regulatory decision-making.
Some Biosafety Laws/Acts did not cover food safety, raising questions as to whether
opportunities for pubic participation of any form existed on this important issue in the
countries concerned. On the other hand, as pointed out by FAO (2003b), the lack of specific
public participation provisions in a Biosafety Law does not necessarily mean that the public
is barred from participation. Relevant environmental, consumer protection and other laws
on public participation may already exist in a country and the criteria established in these
would also be applicable for addressing modern biotechnology.
Concerning the BCH, the type of information envisaged includes applicable laws, regulations,
guidelines, agreements with other countries, results of risk assessments, decisions on imports
and releases of GMOs as well as information on scientific and technical issues concerning
dealings with GMOs. Currently, the BCH contains relatively little information from developing
countries, indicating that it may be some time before regulatory information could be shared
electronically between countries to foster transparency. In addition, it would seem appropriate
for countries to use their national BCH nodes not just as a conduit for documentation and
one-way dissemination of information on biosafety, but to extend this both to biotechnology
as a whole and to encouraging feedback, discussion and debate amongst their citizens.
Finally, making laws and regulations is one thing implementing them is quite another.
The extent to which public awareness and participation are actually facilitated or exist in a
country is impossible to determine from a simple review of the countrys biotechnology-
related legislative instruments. Fine legally-expressed words may not translate into actual
participation if, as is clear for many of the national instruments examined, additional criteria

are not provided on the form public participation may take. Also, the best public participation
provisions may not be used if the public does not have the capacity to participate effectively.
As pointed out by Glover (2003), and demonstrated through case studies of public
participatory processes in a number of countries surveyed for that paper (Glover et al., 2003)
and others (Fransen et al., 2005; CBD, 2009), the way in which participation is practised
in different countries depends on local contexts, perspectives and public concerns. These
determine when and how transparency and public participation are demanded or considered
politically necessary for decision-making, as well as what participatory mechanisms are possible
in different circumstances. In effect, because the issue of choice arises differently in different
countries, there is no one size fits all or toolkit approach that can be applied everywhere.
Similar conclusions were reached through an e-mail conference organized by FAO on
public participation in decision-making regarding GMOs in developing countries, which
focused on how to effectively involve rural people (FAO, 2005). While there was broad
agreement that citizens including rural people should be involved in decision-making
when it is likely to impact on them, opinions on the degree and nature of the suggested
participation differed, although many contributors felt that in many cases participation of
the rural people could usually be indirect, i.e. through their chosen representatives. It was
also felt that effective participation depended on access to unbiased and comprehensive
information on the nature and consequences of GMOs, and that this information would
have to be adapted to the needs and capacities of different groups of rural people and their
representatives in order for it to be helpful, and that it would have to be communicated
effectively, e.g. through extension services and radio. Use of local languages was particularly
emphasized. Many participants complained that misinformation abounded (both for and
against GMOs) and some were quite sceptical that a real public participation exercise might
take place on this issue and, if it did, that its outcomes would have any impact. Interestingly,
international agreements were regarded as being useful, but concern was expressed that
commitments to these agreements might compromise the outcomes of an eventual national
debate on GMOs a point that also emerged from the analysis of Glover (2003).
From the perspective of this Chapter, the take home message is that it is essential
that poor people have a voice, that decisions on biotechnology do not further marginalize
those already marginalized, and that citizens of developing countries are able to make their
own choices rather than having these defined for them by donors. Also, as concluded by
FAOs independent Panel of Eminent Experts (FAO, 2001b): The right to food carries
with it obligations on the part of States to protect individuals autonomy and capacity to
participate in public decision-making fora, especially when other participants are more
powerful, assertive or aggressive. These obligations can include the provision of public
resources to ensure that those fora take place in a spirit of fairness and justice.

9.4 Agricultural Extension
The term agricultural extension covers public and private sector activities relating to
technology transfer, education, attitude change, human resource development, and dissemination
and collection of information (FAO, 2009). Over the last two decades, national agricultural
extension systems have undergone dramatic changes, driven by forces such as the growth
of the commercial farm sector, particularly in developed countries; trade liberalization,
contributing to a rapidly developing global food system; as well as the perceived lack of
success of public agricultural extension systems in many countries. National agricultural
extension systems have therefore been in transition worldwide, with the major trends
including the movement from single main public systems to pluralistic systems involving the
private sector, public sector and CSOs; from centralized top-down systems to decentralized
systems where decision-making is delegated to the district or field level; from systems that
are entirely publicly funded to those in which an increasing amount of the financial support
comes from the farmers themselves and where specific advisory activities/services are
effectively privatized (FAO, 2008). Further, extension systems are now focusing on being
demand-driven and market-oriented. In practice, this means that farmers are not passive
recipients of technology developed by researchers. Rather, it is the farmers demand that
should partially drive the research agenda and the educational and organizational work of the
extension agents (Neuchatel Group, 2007). Similarly, research and extension interventions
should respond to market conditions and market signals (Neuchatel Group, 2008).
In this dynamic situation, a shift of power may take place in some countries, but the role of
government and government policy still remain significant. When and if the decision is made
to reform agricultural extension, the government is faced with significant policy and strategy
choices that will also indirectly impact the issue of farmers access to the fruits of biotechnology
R&D. As highlighted in Chapter 7, the paradigm now in vogue for describing the process of
agriculture development is that of an agricultural innovation system. It calls for rethinking
the respective roles of those intimately involved in the agriculture knowledge information
sub-system, namely research, extension, education and training. Fundamental questions raised
by this evolving context include: how do farmers specific demands for agricultural assistance
impact biotechnology research and delivery?; what should be the goal of the extension services
(e.g. production, transfer of new technologies, linking farmers to markets or helping farmers
organize themselves into special interest groups around marketable products)?; and what should
the government do to coordinate institutions that provide extension services (FAO, 2009).
Specific national agricultural extension policies have been drawn up in a number of
developing countries in recent years. China and India are two countries where major
extension policy changes have occurred (FAO, 2008 and 2009). Common features of the
extension changes in these and other countries are:

}} progressive transition from public technology transfer to the private sector;
}} enabling problem solving skills of farmers through an inter-disciplinary approach;
}} public funds for private extension;
}} providing for cost recovery and co-financing of extension via farmers organizations;
}} reducing the number of village level workers;
}} using para-extension workers and farmer interest groups for extension;
}} employing more subject matter specialists;
}} preparing strategic research extension plans;
}} improving the research-extension-farmer interface;
}} skill development of extension agents;
}} improving womens access to technology;
}} linking with agro-processors; and
}} government as a facilitator and creator of an enabling environment.
The changes to extension systems and the new opportunities from biotechnology call for
bringing researchers, extension agents, smallholder producers and their organizations closer
together. They also call for upgrading the skills of extension staff so they are both more
capable of understanding the implications of biotechnology and of facilitating interactions
between farmers and others involved in the agricultural knowledge information system. Yet,
the role of agricultural extension in enabling access to the products of biotechnology and
necessary policy changes to facilitate that role is almost totally neglected in the biotechnology
policy/strategy documents of the 15 selected developing countries consulted.
Lack of information and skills is one of the main reasons for the gap between potential
and actual productivity/profitability of smallholder farmer systems, constraining the
adoption of available technologies and practices and reducing their efficiency if eventually
adopted (World Bank, 2007). For example, Guei, Somado and Larinde (2008) noted
that farmers in sub-Saharan Africa do not use improved seed because very often it is
not available to them or they are not aware of its advantages. Good quality seed is also
not accessible to smallholders because there is often a weak linkage between farmers,
extension systems, research institutions and the market. In the e-mail conference organized
as part of the build up to ABDC-10 (see Chapter 6), the weakness of the extension
system was identified by participants as one of the reasons for the failure in adoption of
biotechnologies like artificial insemination in developing countries. Indeed, one of the
four main suggestions for increasing the success of agricultural biotechnologies in the
future that emerged from cross-sectoral discussions during the e-mail conference was
that extension systems should be strengthened, as they can ensure that relevant R&D
results actually reach the farmer.

Once biotechnology products are commercially available, extension services also play
an important role in providing impartial information about them, as illustrated by Stones
(2007) analysis of the adoption of Bt cotton in the Warangal district in India. Farmers there
had difficulties in accessing reliable independent information about the new cotton seed as
government-sponsored extension programmes were virtually non-existent and the most
common source of information on cotton seed was corporate promotional material. An
equally important role that a strong functioning extension service plays is channelling farmer
needs into practical demands. By helping farmers to frame their demands (for improved
seeds, for example) and then to organize the demand into an effective strategy (demands to
governments, seed suppliers, others), extension personnel can play a vital role in ensuring
that products that are demanded are eventually supplied.
9.5 Annex: Coverage of IPR and genetic resources issues in national biotechnology
policy/strategy frameworks of selected developing countries
The following summarizes the coverage given to these issues in NBS documents:
Brazil gave considerable attention to access to genetic resources, benefit-sharing and

guaranteeing the rights of traditional communities and indigenous peoples. It intended
therefore to improve its legislation concerning these aspects. At the same time, it would
promote the strategic use of IP to make national biotechnology more competitive;
increase the number of Brazilian-owned patents in Brazil and abroad; improve IP
management capabilities within research, industry and the judiciary; harmonize IP
practices within agencies that promote R&D; harmonize IP practices for recovery of
traditional knowledge; review and strengthen national legislation for the protection of
plant cultivars; strengthen breeders rights; and adopt mechanisms for protecting lines
derived from animal breeding.
Chile intended to update and upgrade its IP system, design and implement a programme
to train decision-makers on biotechnology-related IP issues, and encourage patenting in
national research institutes.
Indias National Biotechnology Development Strategy notes that a new bill on protection,
utilization and regulation of IP for public funded R&D has been prepared through inter-
ministerial consultation, its aim being to optimize the potential of public R&D, encourage
innovation in SMEs, promote collaboration between government and non-government
organizations and catalyze commercialization of IP generated through public R&D. The

strategy also includes building capacity in technology transfer and IPR by having national
and regional centres linked to university departments for training personnel which would
also be done overseas.
Jamaicas NBS included a number of key strategies, one of which was to protect IP. Here,
the government would play a proactive role in creating awareness of the importance of IPR
issues in research and innovation, and through the development of databases and assistance
to scientists and entrepreneurs through the national IP Office.
Kenyas biotechnology policy document stated that biotechnology would be developed

in cognizance with international agreements (TRIPS and UPOV), and noted that the
countrys rich species diversity and the traditional knowledge associated with it offered
great opportunities for industrialization through biotechnology. It therefore intended to set
up a database on species in different ecosystems and the knowledge associated with them,
develop capacity for effective management of IP including training scientists, improve the
accessibility of IP services and establish a government fund to support filing of patents from
public research. It would also review its policies and legislation on protection of traditional
knowledge and resources and align these with policies on royalties, patenting, access to
information and benefit-sharing on products resulting from biotechnology.
Malawi proposed to use biotechnology to conserve and sustain the use of its biological diversity
by enacting legislation to regulate access and benefit-sharing, setting up a national database
on, and clearing house for, facilitating access and sharing of benefits, facilitating adherence
to the terms of technology transfer agreements, providing copyright and patent protection
in respect of all conventions to which it is a signatory. It noted that it did not have an IPR
policy and that its present legislation dating back to 1948 did not address biotechnology and
community rights. It intended therefore to establish an IPR policy and legislation that would
conform to its international legal obligations without undermining national development
opportunities, to strengthen domestic legislation to ensure that IPR protected indigenous
knowledge systems and genetic resources while at the same time attracting investment and
development in biotechnology. It would formulate regulations that protected biotechnology
innovations through IPR by harmonizing national implementation of biotechnology, trade
and IPR agreements, and it would develop sui generis legislation to protect farmers and
community rights. It would also develop appropriate guidelines for accessing and sharing
the benefits from the products of biotechnology and establish mechanisms to facilitate
access by Malawians to IPR-protected products of modern biotechnology.

In the Foreword to Malaysias biotechnology policy, the Prime Minister highlighted
the potential of the country to be a key player in biotechnology because of its wealth of
biodiversity. Regarding IPR, the policy states that the country will develop a strong IP
protection regime to support R&D and commercialization efforts.
Namibia stated that national legislation relating to community or individual IPR will include
contractual arrangements to share financial and other benefits arising from biotechnology, and
that the State would facilitate community access to advice for negotiating such agreements.
No details were provided on roles, responsibilities or mechanisms.
Peru specifically provided for the granting of patents except for whole organisms or parts
thereof that exist naturally or have been modified by modern biotechnology, and for IP
certificates for plant varieties developed with or without modern biotechnology. It also
expressly recognizes and protects the rights of indigenous peoples and local communities
in furthering biotechnology.
South Africa noted that it had many Acts relevant to biotechnology but since these provide
conflicting legislation they would be reviewed and harmonized. It intended to update its
Plant Breeders Right Act to include DNA fingerprinting to distinguish between phenotypes
and it would consider introducing legislation for animal breeders. It would also introduce
a search and examination capacity into its IP Office and develop standard guidelines on
IPR of inventors for science councils and universities.
Thailand stated its intention to strengthen IP management including competency in

international negotiations for fair benefit-sharing and technology transfer. It also intended
to establish community business networks to promote the conservation and use of
indigenous resources and thereby provide incomes for local communities. Further details
were not provided.
Uganda made no specific mention of IPR, but intended to integrate indigenous knowledge
with modern biotechnology to develop a vibrant biotechnology-based industry while
promoting equitable access and benefit-sharing of indigenous knowledge.
Zambia described the need to ensure fair and equitable access and benefit-sharing from
using genetic resources and by transfer of technologies, taking account of all rights over
these resources and technologies. The NBS document did not elaborate further on how
this would be achieved.

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10
chapter
Agricultural Biotechnologies for Food

Security and Sustainable Development:
Options for Developing Countries
and Priorities for Action for the
International Community
Context
Agricultural biotechnologies1 provide opportunities to address the significant challenges of

ensuring food security without damaging the environmental resource base. Because most
of the worlds poor live in rural areas, there is a need to facilitate greater access for poor
rural producers to technologies that can increase the productivity of smallholder agriculture
and help reduce rural poverty. This Chapter highlights lessons learned and options for the
future for developing countries in relation to harnessing agricultural biotechnologies for
food security and agricultural sustainability. In addition, the document provides a series
of Priorities for Action for consideration by the international community that focus on
both policy and capacity development. These priorities can be related to the following
overarching goals or principles:
Policy goals or principles

}} To facilitate the development and adoption of agricultural biotechnologies that address
the needs of poor rural producers and preserve the natural resource base.
1 Agricultural biotechnologies encompass any technological applications that use biological systems, living organisms, or derivatives thereof, to make
or modify products or processes for specific use in food and agriculture. There is a wide range of agricultural biotechnologies available, one of which
is genetic modification. For the purpose of this document, the term agriculture includes the crop, livestock, fisheries and aquaculture, forestry and food
processing sectors.
467
}} To develop and deploy biotechnologies for food security and poverty reduction in
rural areas.
}} To promote public and private sector investment in agricultural biotechnologies for
greater impact on food security and rural livelihoods.
}} To develop science-based policies, regulation and standards which promote sustainability
and enable the positive impacts of agricultural biotechnologies on food security.
}} To develop national capacities for generating, adapting and adopting agricultural
biotechnologies that address the needs of poor rural producers and contribute to
agricultural sustainability.
}} To facilitate the access of smallholder farmers to agricultural biotechnologies that can
contribute to food security and agricultural sustainability.
}} To foster improved communication, information sharing and public participation
practices regarding agricultural biotechnologies for food security.
Capacity development goals or principles

}} To facilitate regional and national policy-setting that enables biotechnologies for
sustainable development, including food security and agricultural sustainability.
}} To support the strengthening of national and international cooperation programmes
and action plans for agricultural biotechnologies for food security and agricultural
sustainability.
}} To facilitate multi-stakeholder approaches to policy planning and development for
biotechnologies for sustainable development, including food security.
}} To facilitate training and education for pro-poor agricultural biotechnology development
and implementation, for food security and agricultural sustainability.
}} To facilitate the uptake of agricultural biotechnologies that address food security and
agricultural sustainability.
}} To promote linkages between agricultural biotechnologies to other sectors in support
of food security and poverty reduction.
10.1 Introduction
1. The FAO international technical conference on Agricultural Biotechnologies in

Developing Countries (ABDC-10) takes place against the backdrop of a series of global
food, energy, environmental and financial crises. There are a range of alarming statistics
and negative trends concerning rural poverty, hunger and food insecurity, food and energy
demand, the carbon footprint of agriculture, climate change, and degradation of natural
resources (such as land, water and biodiversity) that present serious challenges to societies.

2. Over recent years, there has been a steady succession of authoritative high-profile reports
and intergovernmental declarations2 detailing the immense challenge of sustainably feeding
the worlds growing population without destroying the environmental resource base. The
urgency of the challenges highlighted in such declarations, reports and statements raises
serious concerns about the adequacy of business-as-usual approaches to meeting these
challenges, in particular if countries are to make more rapid advances to meet the targets
of the Millennium Development Goals and other internationally agreed policies.
3. The vast majority of the worlds hungry lives and works in rural areas. Three of every
four poor people in developing countries live in rural areas; 2.6 billion live on less than US$2
a day and 880 million on less than US$1 a day. Most of the poor rural producers depend
on agriculture for their livelihood, either directly or indirectly through rural off-farm
activities. Meeting the challenges ahead will require significant increases in investment in
agricultural research in developing countries and major refocusing of agricultural research
activities towards strengthening the food security of the rural poor. In particular, addressing
food insecurity will require policies, strategies and programmes, including the generation
and dissemination of knowledge and technologies, that can: (a) stimulate widespread and
long-term increases in the production and value of staple foods and income-generating rural
products through enhanced productivity; (b) develop sustainable agricultural systems that do
not degrade the environmental resource base; (c) ensure food safety and nutritional quality
to protect the health of consumers; and (d) promote improved access to, and engagement
with, markets for smallholders.
4. Technologies and knowledge that increase agricultural productivity, facilitate diversification
and the marketing of agrifood products, and improve natural resource management can be
powerful forces for reducing poverty, hunger, food insecurity and environmental degradation.
The five sector-specific papers prepared by FAO for ABDC-10 (in Chapters 1-5 of this
book) document the current status and options regarding the wide range of agricultural
biotechnologies currently used in crops, livestock, fisheries/aquaculture, forestry and food
processing/safety in developing countries, inter alia, to increase production, diagnose and
manage diseases and conserve genetic resources for food and agriculture.
5. The sector-specific papers highlight that while there have been some notable agricultural
biotechnology successes with demonstrated impacts on the livelihoods of poor rural
producers in developing countries, many agricultural biotechnologies (especially newer
2 For example, the G8 LAquila Joint Statement on Global Food Security (2008) stated that Effective food security actions must be coupled with
adaptation and mitigation measures in relation to climate change, sustainable management of water, land, soil and other natural resources, including the
protection of biodiversity. It was further highlighted that sustained and predictable funding and increased targeted investments are urgently required to
enhance world food production capacity if sustainable global food security is to be achieved. See also the 2009 Declaration of the World Summit on Food
Security (ftp://ftp.fao.org/docrep/fao/Meeting/018/k6050e.pdf).
chapte r 10 Options for Developing Countries and Priorities for Action for the International Community 469
technologies developed within the past decade) have, as yet, had little impact in most
developing countries or, with few exceptions, on the farming systems and incomes of the
rural poor. Such a lack of access by poor rural producers to advanced technologies exists
within a broader context of lack of access to more basic science and technology (S&T)
innovations, including electricity, healthcare and sanitation.
6. Building on the five sector-specific documents, and a sixth FAO document prepared for
ABDC-10 on policy options (presented in three separate chapters, 7 to 9, of this book), this
FAO document synthesizes the lessons learned and options available to developing countries
for making informed decisions regarding adoption of agricultural biotechnologies within
their national food security and rural development plans and policies. It also presents a set of
Priorities for Action for the international community regarding agricultural biotechnologies
for food security in developing countries, organized in three categories covering policy,
capacity development and coordination.
10.2 Lessons Learned and Options for Developing Countries
10.2.1 Current status of impact of agricultural biotechnologies on food security

7. Recent scientific and technological advances have developed products and techniques
that can contribute to improving food security and agriculture sustainability. Some
agricultural biotechnologies are already benefiting smallholder farmers in some developing
countries. Available or pipeline products and techniques developed through biotechnology
can potentially contribute to addressing present and emerging challenges facing poor rural
producers.
8. Application of agricultural biotechnologies is not yet widespread in developing
countries. Many existing agricultural biotechnologies (and other technologies) have not
yet been adopted or adapted for the benefit of the majority of poor rural producers. Some
developing countries remain excluded from biotechnology developments and benefits.
9. Spillovers of proprietary agricultural biotechnologies for the benefit of smallholders
have to date been minimal. Technology spillovers from research innovations in agricultural
biotechnologies have so far had limited impact on the livelihoods of the majority of the rural
poor in developing countries. Most poor rural producers have limited access to technological
advances and other inputs in all areas of agricultural research, including lack of access to
basic S&T innovations across many areas.
10. Public sector research has developed some agricultural biotechnologies that address food
security and agriculture sustainability, but has not always been sufficiently focused on the
needs of poor rural producers. The most enduring successes to date have come from long-term
national and international (e.g. the Consultative Group on International Agricultural Research,

CGIAR) public sector agricultural improvement programmes addressing farmer-relevant
problems. However, even where there was strong development of agricultural biotechnologies
within the public sector in developing countries, these have not always been directed at, or
made available for, improving the livelihoods of poor rural producers.
11. Some sectors of relevance to food security remain relatively neglected in terms of
agricultural biotechnologies. The application of biotechnologies in developing countries
seems relatively more widespread in crops, livestock and food processing than in forestry
and fisheries/aquaculture. These important areas tend to be somewhat neglected, although
it should be noted that applications of biotechnologies are of much greater significance in
planted forests than in naturally regenerated tropical forests, and in aquaculture than in
capture fisheries. This is also reflected in terms of private sector investment, where there
are e.g. fewer companies involved in forestry and aquaculture biotechnologies than in
crop biotechnologies. Also, within each sector, investments in biotechnology research and
development focus more on products and techniques relevant to large-scale, commercial
agriculture, while insufficient attention is paid to biotechnology products and techniques
that can address the problems of poor rural producers.
10.2.2 Development
of integrated and coordinated national plans on agricultural
biotechnologies for food security
12. Need for a clear vision for the role of agricultural biotechnologies in relation to national
development needs, including food security. It is important for governments to clarify and
decide what role they envisage for agricultural biotechnologies in helping to meet national
needs (both short- and long-term).
13. Planning for agricultural biotechnologies is of cross-cutting relevance to national
development plans and strategies. It is essential that policies and plans regarding agricultural
biotechnologies are coherent with other national policies and plans, and also support agreed
international policies and targets. Some goals and objectives of National Development
Plans (including long-term visions and 10-year plans), Poverty Reduction Strategies and
sector programmes (e.g. in Agriculture, Health, Education) can be supported by harnessing
agricultural biotechnologies for national needs.
14. Promote biotechnologies as a common platform to leverage cross-sectoral innovations
that meet national needs, including food security needs. To maximize the impacts of using
existing biotechnology capacity across all sectors, planning for the development and
utilization of biotechnologies should be integrated across all planning processes leading
to national development plans as well as processes leading to sector-specific plans for
agriculture, food/nutrition, health, education, economic development, poverty reduction
and the environment.
15. Establish a National Biotechnology Policy/Strategy Framework. A National Biotechnology
Strategy should provide a shared long-term vision and a coherent integrated framework
describing clear principles, priorities, objectives and actions. Objectives should be specific,
measurable, achievable, realistic and time-bound, with performance indicators against which
progress can be measured. All sectors should be represented in the National Biotechnology
Strategy, including the crop, livestock, fish, forestry and food sectors. In some instances,
regional frameworks may be an appropriate option to harmonize biotechnology strategies
and maximize the utilization of capacity, particularly in poorer or resource-limited regions.
16. National S&T policies/strategies which include biotechnology must also address the food
and agriculture sector. There is a tendency for biotechnology to be narrowly equated with
the biomedical (pharmaceutical) and industrial sectors. Where biotechnology is a component
of an overall national S&T strategy, it is important that all sectors and subsectors (for which
biotechnology innovations are a cross-cutting issue) are represented in terms of their needs.
17. Ensure that agricultural biotechnologies are not considered in isolation from broader
agricultural advancement efforts. Agricultural biotechnologies need to be built upon
existing agricultural research systems and capacities. Biotechnologies in any sector (including
agriculture) are typically not stand-alone alternatives to existing research, and cannot
substitute existing agricultural research programmes. To deliver positive food security
impacts for poor rural producers and consumers, agricultural biotechnologies need to be
integrated within well-functioning agricultural research and innovation systems.
10.2.3 Priority-setting
to enable agricultural biotechnologies to better meet national
needs regarding food security
18. Priority-setting and monitoring mechanisms are needed for the development, adoption
and impact of agricultural biotechnologies. Priority-setting mechanisms are necessary to
identify areas of focus where interventions involving agricultural biotechnologies could have
maximum impact. Decision-making regarding research and innovation priorities should be
based on needs (demand-driven), be transparent and evidence-based. Regular foresight and
horizon-scanning systems regarding agricultural biotechnologies should be used to inform
national strategies, plans and sector-specific plans, along with frequent consultations with
intended beneficiaries.
19. Clear targets and performance indicators are required to measure uptake and the
impact of agricultural biotechnologies on meeting food security needs. For strategic
planning, impact-assessment targets and indicators for agricultural biotechnologies can
be mainstreamed across multiple national and sector-specific plans. Indicators should
not only include typical S&T metrics such as numbers of skilled personnel, publications,
innovations developed, etc., but also include broader metrics to measure socio-economic

outcomes and the impacts of different agricultural biotechnologies on land productivity,
incomes, food security and livelihoods.
20. Need for regular periodic assessments of costs and benefits of different agricultural
biotechnologies over the longer term. Cost-benefit ratios for agricultural biotechnologies
will change over time. There can be inherent risks for resource-limited developing countries
to be either the early or late adopters of specific agricultural biotechnologies. Rigorous
cost-benefit analysis should be conducted periodically on a systematic ongoing basis to
assess possible impacts on food security and agriculture sustainability in order to inform
decision-making. A key issue is to determine which institutions have capacity and expertise
to do this while also effectively interfacing with decision-makers.
21. Reliable ex-post assessments of the impact of recent innovations in agricultural
biotechnologies may not yet be possible. Assessing the value of innovations from newer
agricultural biotechnologies is difficult due to a lack of accumulated data and evidence
across many regions, seasons and countries. For many of the newer products of agricultural
biotechnologies (e.g. transgenic varieties, new breeds and strains, biocontrol agents, field-
level diagnostic kits, vaccines and bioprocessing enzymes or microbes) the information
related to their on-farm application and socio-economic impacts in developing countries
either is insufficient or is scattered and not generalizable.
22. Need to keep pace with evolving different agricultural biotechnologies and with the
rate at which they become practical realities. To assess impacts of different agricultural
biotechnologies it is necessary to make clear distinctions between mature on-the-shelf
versus pipeline biotechnologies. This highlights a need for continual monitoring of which
agricultural biotechnologies are coming to maturity over time. Such monitoring requires
scientists and technical advisors with the expertise to assess both the merits and limitations
of different agricultural biotechnologies over time.
23. Distinguish between invention and innovation in agricultural biotechnologies, and consult
with end-users. It is important to make a distinction between invention (the creation of new
knowledge) and innovation (in the sense of first, early or novel application) and recognize
that there is a significant time lag and many critical steps before inventions can be realized as
practical innovations. Priorities for innovation in agricultural biotechnologies should be
both set and assessed by a range of stakeholders, including scientists and representatives of
end-users of technology outputs (e.g. farmers, consumers).
24. The balance of home-grown versus imported innovation in agricultural biotechnologies is
a strategic issue. All countries are inter-dependent with respect to technological innovations
in food and agriculture. It can be important to emphasize home-grown technologies (where
they are cost-effective) as they can be a catalyst for institutional/human capacity development,
technology adoption and national regulatory systems development. However, depending
on national priorities and available resources, there are strategic pros and cons in decisions
to become originators or early, intermediate or late adopters of new technologies including
agricultural biotechnologies.
10.2.4 Promote
public and private investments in agricultural research, including
25. National-level investments in agricultural research, including biotechnologies, need
to be increased in order to contribute to food security in developing countries. National
investment plans for agricultural biotechnologies should focus on contributing to meeting
well-defined needs and aim to leverage a range of national and international financing,
including both public and private funding, and funding from donors, non-governmental
organizations (NGOs), farmers and trade organizations, and philanthropic organizations.
26. A national policy vision defining the relative roles of the public and private sector is
necessary for developing and deploying innovations in agricultural biotechnologies for
different clients. Specific responsibilities must be mapped out to identify which sectors
and stakeholders are to address the needs of poor rural producers in order to ensure that
positive food security impacts are achieved from capacity development and the deployment
of agricultural biotechnologies. The limited purchasing power of the poor makes it unlikely
that private sector investments in agricultural biotechnologies will meet their immediate
needs. Each country needs to promote an appropriate mix of public, private and public-
private partnership (PPP) financing that best meets its needs, and effectively communicate
the underlying rationale to all stakeholders.
27. Need to consider the role of intellectual property rights (IPR) in promoting innovation
and restricting (unlicensed) access to proprietary agricultural biotechnologies. IPR recognize
the creativity of inventors by providing a temporary exclusive property right over inventions.
As legal instruments, IPR promote private sector investment while also requiring disclosure
and dissemination of new innovations. IPR predominantly relate to the use of proprietary
technologies in commercial markets. The effect of IPR systems in stimulating research investment,
invention and innovation in each country and sector is a strategic issue, particularly in relation
to what forms of innovation IPR promote and which stakeholders benefit from proprietary
technologies. Lack of comprehensive and updated national IPR regulatory systems can limit
the import of biotechnologies developed abroad.
28. Determine whether and how IPR are likely to limit the freedom to innovate or trade
in relation to agricultural biotechnologies. Because many biotechnology innovations (and
enabling technologies/tools) are subject to IPR, countries need to have the capacity to assess
their freedom to operate (nationally and internationally) in terms of the IPR landscape
for different biotechnology innovations. For IPR, this can apply to freedom to export

products containing proprietary innovations into other jurisdictions, although freedom to
export agricultural biotechnology products can also be affected through a range of other
regulatory approval issues.
29. Determine whether IPR are a critical barrier to technology adoption and the diffusion
of agricultural biotechnologies for the poor. IPR are a barrier to technology access whenever
licensing is desired but not facilitated. Where assessments of needs for poor rural producers
identify IPR-protected innovations that would be likely to benefit such farmers, subsidized
or humanitarian exemption routes to the licensing of such proprietary innovations should
be investigated.
30. Improve aid effectiveness regarding agricultural biotechnologies through both
national- and donor-level harmonization and coordination of donor-funded projects and
programmes. Coordination and harmonization of donor-support to agricultural research
(including biotechnologies) can enhance the use and impact of resources at the national
level. The Paris Declaration on Aid Effectiveness (2005) and the Accra Agenda for Action
(2008) provide frameworks for coordination of donor investments across all areas, including
donor investments in agricultural biotechnologies.
10.2.5 Facilitate
national and international linkages in agricultural biotechnologies
that can strengthen food security
31. Successful governance of biotechnologies requires well coordinated policies and strategies
that address all stages of the innovation chain. For agricultural biotechnologies to impact on
meeting national development needs, approaches that consider the entire agricultural innovation
system can have advantages over a fragmented project/programme-based approach (operating
independently across different sectors and ministries). Such an approach considers national
agricultural innovation systems, including the complete network of institutions across the
public, private and informal sectors whose activities and interactions initiate, develop, import,
modify and diffuse new technologies and innovations.
32. Successful governance of biotechnologies requires horizontal and vertical systems of
coordination. Horizontal coordination is needed to ensure that different ministries can agree
on the goals and objectives of a national system of innovation, including the role of agricultural
biotechnologies, while vertical coordination is needed to ensure that the different sectors and
subsectors (e.g. animal breeding, animal nutrition, forestry) are included in the process. Both
horizontal and vertical coordination should occur across all levels from policy, institutional and
field levels. Coordination mechanisms should include stakeholders from farmers organizations,
the business sector and NGOs representing poor rural producers.
33. Lack of policy coherence and consistency across ministries and sectors can be a barrier
to harnessing agricultural biotechnologies. Lack of coherence in national and international
policies and regulatory systems creates uncertainty, and can lead to reduced investments
(public or private) in agricultural research and biotechnologies. For policy coherence,
intersectoral policies in the scientific, economic, environmental and trade areas need to be
mutually supportive and well coordinated.
34. Foster links with other countries that can strengthen capacities for policy and regulatory
analysis, planning, research and institutional development and technology flows in
agricultural biotechnologies. Improved North-South and South-South collaborations (e.g.
using regional biotechnology centres such as the Biosciences eastern and central Africa
[BecA] hub) to facilitate capacity development and innovation are crucial. The nurturing
of scientific, policy, administrative, NGO and business network building is essential for
promoting strong national innovation systems that can effectively develop and adopt
agricultural biotechnologies that contribute to food security.
35. Leverage the capacity and knowledge in the agricultural biotechnologies of other
countries in order to meet national needs. When resources are scarce, it does not make sense
to attempt to develop all innovations within one country. Strategies regarding agricultural
biotechnologies that focus on adopting and adapting existing innovations to local needs
require more effective international linkages, as do strategies based on the regional pooling
of expertise and capacity.
10.2.6 Foster
linkages between agricultural biotechnologies and other areas within
national innovation systems
36. Promote stronger linkages between national research institutes and universities.
Disconnects can occur between higher education and training conducted in universities,
and research conducted in national research institutes. Staff and student secondments and
exchanges, and joint research projects between universities and research institutes (nationally
and internationally) will promote mutual-learning, build networks and enhance training,
research and the impact of agricultural biotechnologies on food security.
37. Consider infrastructure development as a platform for technological learning and
innovation. Infrastructure development projects can be used as platforms for research
and technological learning. Government procurement (tenders) can be made conditional
on research, development and innovation occurring within the infrastructural project.
This approach can be used to foster capacity development for research and innovation in
38. Share biotechnology platforms, resources and tools across agriculture, health and other
sectors. The cost efficiency of using expensive biotechnologies can be improved by using
the same/similar biotechnology techniques and equipment across multiple countries,
sectors or subsectors (e.g. the BecA facility, Kenya). Greater integration of publicly-funded

biotechnology research platforms across biomedical, agriculture, food, environmental and
industrial sectors is desirable.
39. Integrate human health concerns to accelerate capacity development in agricultural
biotechnologies. Zoonotic threats to public health from domestic animal diseases have
accelerated the strengthening of national animal disease diagnosis and control systems. The
development of biotechnological capacity for animal health and food safety testing can be
pursued through closer relationships with the medical and epidemiology communities.
10.2.7 Promote
evidence-based and multi-stakeholder policy development in
agricultural biotechnologies for food security
40. Involvement and constructive engagement of key stakeholder groups in development
of policy and capacity in agricultural biotechnologies is important. The engagement of
multiple stakeholders in the identification of key needs and the development of policies can
lead to mutual learning and understanding regarding where agricultural biotechnologies
can play a role in strengthening food security and agricultural sustainability.
41. Evidence-based policy development is essential for decision-making regarding
agricultural biotechnologies for food security. While it is important to engage a broad range
of stakeholder groups in policy-development processes, this should not lead to an erosion
of the role of scientific (and other, including socioeconomic) expertise and evidence in the
policy-development process.
42. Policy and regulatory development regarding agricultural biotechnologies needs to
balance both risks and benefits for the poor. More emphasis and activity have been focused
on developing policies and regulations related to preventing risks arising from GMOs
than to facilitating the use of agricultural biotechnologies for the benefit of poor rural
producers. Strengthening the voice of stakeholders representing poor rural producers
to make informed (and independent) decisions regarding which biotechnologies they
consider could benefit their livelihoods remains a critical need for developing pro-poor
43. Over-emphasis on and polarization within the GMO debate has distracted and
diverted scientific and policy resources from focusing on the needs of poor rural producers.
The controversy regarding GMOs in food and agriculture over the past decade has had
significant effects in stalling, reducing and redirecting some public sector research efforts
in agricultural biotechnologies, including non-GMO biotechnologies, from addressing the
needs of the poor rural producers, in addition to diverting significant scientific resources
from research to regulation. The portfolio of investment across different types of agricultural
biotechnologies (including GMOs) has to be assessed with reference to the needs of the poor
rural producers and the speed and cost of delivering benefits to them.
44. Integrate the biosecurity approach across agricultural biotechnology policies and
regulations. The biosecurity approach is defined by FAO as a strategic and integrated
approach to analysing and managing relevant risks to human, animal and plant life and
health and associated risks to the environment. Biosafety regulations for agricultural
biotechnologies should be coherent and in harmony with other national regulations and
relevant international agreements, regional frameworks and standards, especially those
related to plant and animal health, and food safety. The biosecurity approach can allow
efficiency gains for regulatory bodies.
45. Promote transparency and participation in all processes involving policy development
and regulation regarding agricultural biotechnologies. To build overall trust in policy-making
and regulatory processes regarding agricultural biotechnologies, it is important to ensure
transparency and participation in the decision-making processes of relevant stakeholder
groups and organizations that represent the public at large. Appropriate communication
strategies are needed to ensure informed and meaningful participation.
10.2.8 Develop national capacity in agricultural biotechnologies for food security

46. Many developing countries have limited capacity to develop or use agricultural
biotechnologies. This relates to limited capacity to generate, adapt or utilize potentially
beneficial biotechnologies due to existing limitations in their agricultural research, extension
and regulatory systems. Even a reliance on research results/innovations obtained from
abroad will need significant adaptive research, as well as regulatory and dissemination
capacities at national level.
47. Strategic strengthening of existing research, extension and regulatory systems will
facilitate future innovations in agricultural biotechnologies. Agricultural biotechnologies
are best applied within existing research, extension and regulatory systems where
scientific knowledge is already generated, documented and organized. The strengthening
of existing agricultural research, extension and regulatory systems is necessary if
agricultural biotechnologies are to be used successfully to contribute to food security
and agricultural sustainability.
48. Sustainable capacity development for agricultural biotechnologies will require
both science-push (supply) and science-pull (demand) effects. Poor rural producers
and consumers have not been capable of exercising a strong science-pull to harness
agricultural biotechnologies for their needs. The strengthening of the capacity of farmer
organizations to interface with technology providers (whether public or private sector)
is a key need.

10.2.9 Strengthen
downstream systems that facilitate positive impacts of agricultural
biotechnologies on the poor
49. Strengthening existing channels/systems for technology access and adoption by poor
rural producers is of paramount importance. Development of agricultural biotechnologies
should be strongly linked with strategies for dissemination, evaluation and adoption by
poor rural groups that can benefit. Where such functioning downstream evaluation,
dissemination and extension systems are not in place, investments in such systems will likely
have greater initial impacts than investments in advanced agricultural biotechnologies, and
should have at least equal priority.
50. To interface with farmers, consider the reform of agricultural extension services towards
more pluralistic and decentralized extension and technology advisory systems. In recent
years, agricultural extension systems have undergone significant and rapid changes including
in their financing and governance systems. Within the same country this can lead to better
coordination of a diversity of advisory services within the public, private and NGO sectors,
including farmer-led and farmer-participatory extension systems.
51. If existing diffusion channels for enhanced agricultural technology are not functioning,
it is unlikely that agricultural biotechnologies can reach poor rural producers. Inefficient
and gender-biased extension systems (public, private and informal sector) can represent a
major hurdle for poor rural producers to gain access to enhanced germplasm, improved
vaccines and other outputs from agricultural biotechnologies for agriculture and food
production.
52. Farmer-participatory approaches can improve the likelihood that agricultural
biotechnologies reach and benefit poor end-users. There are examples of the application of
farmer participatory research approaches for better connecting agricultural biotechnologies
with the needs of smallholders.
53. Determine the critical barriers to adoption and diffusion of agricultural biotechnologies
to poor rural producers. There is a need to identify key agricultural biotechnology innovations
that could improve the income and food security status of poor rural producers, and to
explore ways to overcome the many significant barriers that poor rural producers, especially
women, face in gaining access to beneficial agricultural biotechnologies.
10.2.10 Strengthen communication and engagement with priority stakeholders

54. Information delivery to politicians and other decision-makers about the strategic
importance of S&T in general, and biotechnology in particular, is a key issue. The promotion
of political awareness of the relevance and limitations of agricultural biotechnologies for
meeting national needs, including food security, is essential. Science communication and
advisory mechanisms for politicians and other decision-makers are critical for ensuring
that decision-makers are aware of technological opportunities, limitations and timescales
and are better enabled to take informed decisions.
55. Communication is critically important for increasing public and political understanding
and engagement regarding the role of different agricultural biotechnologies in relation to
food security. Knowledge and information are essential for people to respond successfully
to the opportunities and challenges of technological changes. However, to be useful,
knowledge and information must be communicated effectively. A number of international
policy instruments (e.g. Cartagena Protocol on Biosafety, Aarhus Convention) consider
some issues about public awareness and participation regarding GMOs. It is critical that
communication regarding all agricultural biotechnologies be accurate, balanced, participatory
and science-based. Communication for Development (ComDev) methods and tools, which
facilitate active participation and stakeholder dialogue, could be considered an essential
component of any national innovation system.
10.3 Draft Priorities for Action for the International Community
56. In the context of ABDC-10, the term international community encompasses FAO
and other United Nations (UN) organizations and bodies, non-UN intergovernmental
and non-governmental organizations, international and regional organizations, including
donors, development agencies, the private sector, philanthropic foundations and academic
or scientific institutions3.
57. FAO Members can consider at ABDC-10 the following Priorities for Action by the
international community regarding agricultural biotechnologies for food security. These
Priorities for Action are intended to provide a framework for international cooperation and
funding support for the generation, adaptation and adoption of agricultural biotechnologies
in developing countries. At ABDC-10, Members can provide guidance on these Priorities for
Action. A recent international policy gap analysis study4 on agricultural biotechnologies
prepared for the FAO Commission on Genetic Resources for Food and Agriculture
highlighted the lack of an international policy instrument providing guidance on how
agricultural biotechnologies can be better harnessed for poverty reduction and food security.
58. These Priorities for Action should support the broader objectives of key internationally
agreed policies. Governments have already adopted a series of resolutions and declarations
in support of science and technologies, including on some occasions explicit references to
biotechnologies in food and agriculture5. The most recent occasion was the World Summit
3 This definition is derived from Agenda 21, Chapter 16 on Environmentally Sound Management of Biotechnology (http://earthwatch.unep.ch/agenda21/16.php).
4 Working Document CGRFA-11/07/13 (www.fao.org/nr/cgrfa/cgrfa-meetings/cgrfa-comm/eleventh-reg/en/)
5 See www.fao.org/biotech/abdc/about-abdc/rationale/

on Food Security, where 60 Heads of State and Government and 191 Ministers from 182
countries and the European Community met at FAO headquarters in November 2009.
They unanimously adopted a Declaration which, inter alia, stated that We recognize that
increasing agricultural productivity is the main means to meet the increasing demand for
food given the constraints on expanding land and water used for food production. We
will seek to mobilize the resources needed to increase productivity, including the review,
approval and adoption of biotechnology and other new technologies and innovations that
are safe, effective and environmentally sustainable.
59. It should be noted at ABDC-10 that while decisions related to adoption of technologies,
including agricultural biotechnologies, are the prerogative and ultimate responsibility of
each country, some policy issues regarding biotechnologies are already being addressed
within a range of intergovernmental policy fora and frameworks. These include the Aarhus
Convention (UN Economic Commission for Europe); Codex Alimentarius Commission
(FAO/WHO); Convention on Biological Diversity and its Cartagena Protocol on Biosafety;
FAO Commission on Genetic Resources for Food and Agriculture; International Plant
Protection Convention (IPPC); International Treaty on Plant Genetic Resources for Food
and Agriculture; International Union for the Protection of New Varieties of Plants (UPOV);
UN Commission on Science and Technology for Development; UN Commission on
Sustainable Development; World Intellectual Property Organisation; World Organisation
for Animal Health (OIE); and the World Trade Organization (WTO).
60. The Priorities for Action to be considered are organized below in three categories
covering policy-level decision-making, capacity development and coordination options
respectively.
10.3.1 Policy priorities
10.3.1.1 Developing and implementing international and national policies to facilitate

pro-poor biotechnologies for sustainable development, including food security
61. Action: FAO Members can recommend at ABDC-10 to establish an international policy
instrument (e.g. Plan containing Priority Actions) to be implemented by the international
community specifically focused on agricultural biotechnologies for food security, which
promotes broader international development policy goals.
62. Action: The international community can consider continuing to meet developing
countries requests for assistance in formulating strategic action plans for agricultural
biotechnologies at the national and regional levels.
63. Action: Relevant intergovernmental bodies may wish to reaffirm their efforts to promote
international policy coherence regarding agricultural biotechnologies for sustainable
development and food security.
10.3.1.2 Supporting public and private sector investment in agricultural biotechnologies
for greater impact on food security
64. Action: Donors and international funding agencies may wish to highlight the importance
of public sector research in agricultural biotechnologies for food security and agriculture
sustainability, and consequently consider dedicating an appropriate share of their assistance to
promoting and strengthening public sector research capacity in agricultural biotechnologies
65. Action: The international community can continue to recognize the crucial role of the CGIAR
as a provider of international public goods in research for development, including agricultural
biotechnologies for food security, and continue its support for the CGIARs work in this regard.
66. Action: The international community can consider promoting policies that facilitate
increasing (or redirecting) public and private sector investment in agricultural biotechnologies
towards the targets of reducing poverty, increasing food security and agricultural sustainability.
67. Action: The international community may wish to recognize the possible contribution
of private sector investment, including in research and development, to food security
programmes and endeavour to provide policy advice on good practice models for public
sector engagement in PPPs regarding agricultural biotechnologies.
68. Action: The international community may consider providing policy advice on establishing
mechanisms and tools that assist the public sector and small to medium-scale enterprises
in meeting regulatory requirements for the deployment of agricultural biotechnologies for
food security.
69. Action: Relevant organizations can develop criteria and tools to better identify those
areas where additional public sector support is needed for agricultural biotechnologies for
the poor (e.g. areas relevant to non-commercial markets, food security, minor and orphan
crops, poverty reduction).
70. Action: Relevant international organizations can consider providing assistance (with
appropriate monitoring) to strengthen agricultural biotechnologies for food security
and environmental sustainability in sectors such as forestry and fisheries that tend to be
somewhat neglected.
71. Action: The international community can consider developing models to assist countries
establish Orphan crop, breed and farming systems Acts (akin to Orphan Drug Acts)
to promote greater investment in agricultural research on the crops, breeds and farming
systems relevant for poor rural producers.
72. Action: The international community can consider within climate change adaptation
frameworks, funding mechanisms to support, inter alia, innovations in agricultural
biotechnologies that can help both counteract and mitigate the adverse effects of climate
change, in order to better protect poor rural producers and consumers from the negative
effects of climate change on their food security.

73. Action: The international community can promote complementarities between public
and private sector financing of agricultural biotechnologies by more clearly defining the
relative roles of the public and private sectors, particularly in terms of their relevance for
delivering S&T innovations to the rural poor.
10.3.1.3 Development of science-based policies, regulations and standards which promote

sustainable agriculture, and maximize the benefits of agricultural biotechnologies
for food security
74. Action: FAO, in cooperation with other international agencies, can collect, systematize and
disseminate documentation on the development and adoption of agricultural biotechnologies
and analyse their socio-economic impacts in developing countries. This includes the
compilation of statistics, the establishment and maintenance of biotechnology application
databases, studies etc. This is necessary to generate an evidence base for policy-makers on
the cost-benefit implications of the application of different biotechnologies.
75. Action: FAO, in cooperation with other international agencies, can compile annotated
collections of methodologies and tools for ex-ante analysis of the socio-economic impacts
of development and adoption of agricultural biotechnologies in developing countries, in
order to assist policy-makers in developing countries in decision-making about the adoption
of biotechnologies.
76. Action: The international community may wish to reiterate the role of the relevant
existing intergovernmental fora in addressing international policy issues regarding biosafety
and biosecurity, including food safety and plant and animal health, and trade matters relating
to agricultural biotechnologies, particularly GMOs.
77. Action: The international community may consider increasing efforts to facilitate
participation by developing countries in the three relevant international standard-setting
organizations for the WTO Agreement on the Application of Sanitary and Phytosanitary
Measures, namely the FAO/WHO Codex Alimentarius Commission (food safety), World
Organisation for Animal Health (animal health) and the International Plant Protection
Convention (plant health), all of which are addressing issues of relevance to agricultural
biotechnologies.
78. Action: The international community may wish to continue supporting the concept
that biosafety (regarding GMOs) be integrated within a broader biosecurity approach.
79. Action: The international community may emphasize the fundamental importance of
transparency and public participation when establishing and implementing biosafety or
biosecurity frameworks or policies.
80. Action: The international community can assist in promoting subregional/regional
cooperation and harmonization for the establishment and implementation of biosafety or
biosecurity frameworks.
10.3.1.4Facilitating access for poor rural producers and consumers to agricultural
81. Action: Relevant intergovernmental fora can consider promoting policies to facilitate greater
access for poor rural producers to products and processes of agricultural biotechnologies
essential to food security.
82. Action: The international community can encourage the private sector, and its
representative umbrella organizations, to endeavour to develop transparent mechanisms to
facilitate low- and no-cost humanitarian access to proprietary biotechnologies, specifically
for strengthening food security in developing countries.
83. Action: Relevant intergovernmental bodies can consider whether there are creative ways
to use international policy instruments to ensure that internationally agreed IPR policies
better meet the needs of the poor.
84. Action: The international community can encourage private and public sector research
institutions (including PPPs) to consider modifying terms of access to their proprietary
agricultural biotechnologies so that such technologies can be better harnessed to meet the
needs of poor rural producers in developing countries.
85. Action: Donors can consider supporting organizations and programmes that can
provide strategic advice and capacity development to developing countries regarding IPR
and agricultural technologies, including biotechnologies.
86. Action: The international community can consider further promoting access for developing
countries to essential tools and enabling biotechnologies relevant for food security6.
87. Action: The international community can continue to recognize the role of the CGIAR
in facilitating the access of poor rural producers to agricultural biotechnologies, and continue
its support for the CGIARs work in this regard.
Science communication, information dissemination and public awareness

10.3.1.5
regarding agricultural biotechnologies
88. Action: FAO and other intergovernmental organizations can strengthen their activities
related to gathering, analysing, systematizing and disseminating, among policy-makers and
the public, unbiased science-based information on the generation, application and impact
of agricultural biotechnologies for addressing food security and agricultural sustainability.
89. Action: The international community can promote ComDev approaches for facilitating
multi-stakeholder dialogue and public engagement in priority-setting and decision-making
on the adoption of agricultural biotechnologies to increase food security and reduce poverty,
and in support of international commitments and challenges.
6 e.g. through policy clauses regarding ordre public and morality in relation to protecting human, animal or plant life or health or to avoid serious
prejudice to the environment (Article 27.2 of the WTO Agreement on Trade-Related Aspects of Intellectual Property Rights).

10.3.2 Capacity development
10.3.2.1 Facilitating regional and national policy-setting to enable biotechnologies for

sustainable agricultural development, including food security
90. Action: Upon request, the international community can provide assistance to strengthen the
capacities of developing countries for policy formulation and strategic planning in agricultural
biotechnologies. Where appropriate, cross-sectoral strategies and frameworks can be developed,
considering biotechnologies for agriculture, health, industry and the environment.
91. Action: The international community can provide support for international, regional
and national efforts to enhance understanding of agricultural biotechnologies among policy-
makers and the public, particularly in relation to their existing or potential contributions
to food security and agricultural sustainability.
92. Action: The international community can continue its efforts in meeting requests for
assistance from developing countries to establish national regulatory frameworks and
develop adequate institutional and human capacities in biosafety, food safety, plant health,
IPR and traditional knowledge that are coherent with national development policies and
in harmony with international obligations. The biosecurity framework can be adopted and
adapted where appropriate.
93. Action: The international community can continue to meet requests for assistance to
enhance developing countries capacities in facilitating regional collaboration and international
harmonization of regulatory procedures relevant to agricultural biotechnologies.
Facilitate participatory multi-stakeholder approaches to policy development

10.3.2.2
for biotechnologies for sustainable development, including food security
94. Action: Relevant international organizations, including the CGIAR, can strengthen
the capacity of developing countries to engage stakeholder groups (that are representative
and accountable to their members, particularly poor rural producers) in priority-setting
and policy development in relation to agricultural biotechnologies.
95. Action: The international community can provide assistance for national priority-setting
and consensus-building efforts to identify key needs for food security, and facilitate assessments
to identify where different agricultural biotechnologies can provide strategic options.
96. Action: International organizations can support the development of transparency and
good governance principles and guidelines at national and regional levels for agricultural
biotechnology policy-making and decision-making processes.
Support for strengthening national expertise and increasing international
10.3.2.3
cooperation programmes and action plans for agricultural biotechnologies
97. Action: FAO and other specialized agencies can continue to provide support to developing
countries to better assess their needs and priorities for agricultural biotechnologies, and
to develop strategic action plans and programmes in agricultural biotechnologies for
food security.
98. Action: FAO and other specialized agencies can meet requests from developing
countries to assist their national agricultural research and extension systems to strengthen
their policies, institutions and human capacities in relation to generation, adaptation and
adoption of agricultural biotechnologies for food security.
99. Action: The international community can provide support for regional groups of
developing countries to build indigenous research, development, and advisory capacities
for generating, assessing and adopting agricultural biotechnologies to address their food
security needs.
100. Action: The international community can consider supporting the development of
international cooperation programmes in specific areas identified to be of long-term
strategic importance to the least developed countries (which may currently lack even the
basic infrastructure to initiate such programmes in the immediate future).
10.3.2.4 Training and education for pro-poor agricultural biotechnology development

and implementation to strengthen food security
101. Action: The international community should consider providing support for the
upgrading of education and training in agricultural biotechnologies, including incorporating
food security and sustainability challenges into training curricula.
102. Action: Donors can consider supporting initiatives to broaden the access of researchers,
students and stakeholder groups (including farmers groups and private sector) in developing
countries to scientific and technological knowledge sources in the arena of agricultural
research, including agricultural biotechnologies7.
10.3.2.5 Facilitating the uptake of agricultural biotechnologies to strengthen food security

103. Action: Donors and development agencies should consider facilitating assessments of the
capacity-strengthening needs of extension and communication systems (in public, private
and informal sectors) as a component of providing assistance for capacity development in
7 For example, the FAO initiative on Access to Global Online Research in Agriculture (AGORA) (www.aginternetwork.org)

104. Action: Donors and development agencies can ensure that technical assistance involving
agricultural biotechnologies has clear communication strategies and links to extension
systems that can effectively reach the intended beneficiaries.
105. Action: Donors and development organizations should consider assisting developing
countries in strengthening their capacity to facilitate smallholders adoption of technical
innovations, including innovations derived from agricultural biotechnologies, which can
address food security and agricultural sustainability.
106. Action: The international community can endeavour to promote greater use of ComDev,
farmer-participatory and farmer-led approaches for facilitating innovation regarding
agricultural biotechnologies for food security.
10.3.2.6 Promoting linkages of agricultural biotechnologies to other areas, in support

of food security
107. Action: The international community can ensure that technical assistance in agricultural
biotechnologies supports effective and intimate links to strong agricultural research and
extension programmes.
108. Action: Policies and programmes on agricultural biotechnologies should aim to ensure
that investments in research in agricultural biotechnologies are not made at the expense of
current expenditure in other agricultural research fields.
109. Action: Donors and specialized UN agencies should consider facilitating more effective
mechanisms for South-South collaboration regarding agricultural biotechnologies for food
security. These may include the training of scientists and technicians; joint research projects
(pooling complementary resources to work on project of common interest); the transfer
of technologies, protocols and materials; and the sharing of information relevant to the
development and adoption of biotechnologies.
110. Action: Donors and specialized UN agencies should consider extending assistance
for establishing mechanisms to disseminate agricultural biotechnologies developed in
industrialized countries to developing countries (North-South collaborations, PPPs),
including by continuing to support CGIAR efforts in this regard.
10.3.3 Coordination options

111. The role of agricultural biotechnologies relative to identified needs and priorities is a
key issue that has to be considered when determining optimal financial allocations relating
to agricultural biotechnologies for development. Donors and specialized UN agencies can
address the fragmentation of assistance in the area of agricultural biotechnologies by taking
a more coordinated and integrated approach. The Paris Declaration on Aid Effectiveness
and the Accra Agenda for Action commit aid donors and partners (recipients) to increasing
efforts in the harmonization, alignment and management of donor support.
112. Frameworks between UN agencies that can be harnessed to improve the coordination
of support to agricultural biotechnologies at the national level include the UNs Delivering
as One pilot initiatives launched in 2007 in eight pilot countries, and the UN Development
Assistance Framework (UNDAF), the strategic programme framework for the UN
country teams.
113. More specific to biotechnology, the 2003 UN General Assembly Resolution 58/200 took
note of the Secretary Generals proposal for an integrated framework for biotechnology within
the UN system and the need to strengthen coordination between relevant organizations and
bodies of the system in the area of biotechnology. The interagency cooperation network
on biotechnology UN-Biotech resulted from this recommendation. UN-Biotech is
coordinated by the UN Conference on Trade and Development and involves all UN
agencies undertaking biotechnology-related activities.
114. Action: Donors may wish to consider improving aid effectiveness in the area of
agricultural biotechnologies through coordination of assistance projects and programmes
in agricultural biotechnologies at the national (and regional) level.
115. Action: The international community can promote greater use of the UN-Biotech
coordination framework to enhance this interagency framework to ensure that agricultural
biotechnologies can better contribute to food security.
116. Action: The international community can enhance their coordination efforts at the
country level for integrated agricultural biotechnologies capacity development to support
sustainable development.
117. Action: The international community can explore the wider use of the Delivering as
One pilot initiative as a basis for working with governments to develop integrated planning
systems for agricultural biotechnologies for sustainable development.
118. Action: The international community can explore and promote measures to use and
coordinate biotechnologies for national development through UNDAF to achieve national
food security objectives.

SECTION 2
OUTCOMES
of ABDC-10
Chapter 11
Summary Reports of Sector-Specific Parallel Sessions
Chapter 12
Summary Reports of Cross-Sectoral Parallel Sessions
Chapter 13
Summary Reports of Regional Parallel Sessions
Chapter 14
Keynote Presentations
Chapter 15
ABDC-10 Report
491
11
chapter
Summary Reports of Sector-Specific

Parallel Sessions
11.1 Introduction
During the ABDC-10 conference, 27 parallel sessions were held over the first three days.
Ten of these were dedicated to sector-specific issues and were organized by FAO, each
lasting one hour and 45 minutes. Short summary reports were prepared after the sessions
were terminated and each one was presented to the Plenary Session by a Rapporteur the
following morning. This Chapter presents the summary reports of the ten sector-specific
parallel sessions, five of which were dedicated to background documents and five to case
studies of successful applications of biotechnologies in developing countries.
11.2 Reports of Sessions on Sector-Specific Background Documents
Before the conference, FAO published five sector-specific documents, covering the current
status and options for biotechnologies in developing countries in crops, livestock, forestry,
fisheries and aquaculture and, finally, in food processing and food safety. Each of the
documents, published in Chapters 1 to 5 of these proceedings, was organized in two parts,
the first focusing on learning from the past and the second on preparing for the future. These
five parallel sessions were dedicated to the presentation and discussion of these documents.
The proposed structure for each session was as follows: presentation of the document by an
FAO staff member (15 minutes); reflections on the document by discussants (10minutes
each); and open facilitated discussion (70 minutes). The five presentations of the document, plus
any presentations provided by discussants, are available at www.fao.org/biotech/abdc/parallel/en/.
492 B i otec h n o lo g i es fo r A g r i cu ltu r a l D e v e lo p me n t SECTION 2: O U T C O M E S O F

11.2.1 Crops
Facilitator:
Karin Nichterlein, FAO Office of Knowledge Exchange, Research and Extension, Italy
Presenter of the document:
Andrea Sonnino, FAO Working Group on Biotechnology, Italy
Discussants:
Dominic Glover, Wageningen University, the Netherlands
Pat Mooney, Action Group on Erosion, Technology and Concentration (ETC Group), Canada
Eija Pehu, World Bank, United States
Rapporteur:
Denis Murphy, University of Glamorgan, United Kingdom
There were more than 100 participants and the following key issues for developing countries
emerged from the background document:
Options for developing countries

}} policy development;
}} build up indigenous research programmes;
}} development of regulation frameworks;
}} link to strategies for dissemination;
}} shared access to technologies;
}} document development, adoption and impact.
Role of the international community

}} assist in capacity development;
}} offer assistance to public sector R&D in biotechnology;
}} offer a meeting place for countries;
}} facilitate access to technologies.
These points were further discussed, first by the three discussants and then in a general
audience session, during which the following additional topics emerged:
Roles of governments
}} address declining R&D investments in public sectors;
}} form and/or support regional groupings, especially of smaller countries to achieve
critical mass;
}} target investments to small farmers;
chapte r 11 Summary Reports of Sector-Specific Parallel Sessions 493

}} capacity building is still required;
}} provide incentives for researchers to focus on smallholder problems rather than just
academic outputs.
Roles of international organizations

}} undertake basic R&D on behalf of developing countries;
}} be more responsive to needs of small farmers and focus less on technology-driven programmes;
}} address problem of seed laws favouring maximum yield rather than consistent yield
under diverse stresses;
}} address intellectual property rights (IPR) challenges, where appropriate;
}} ensure linkages are made with farmers before sponsoring expensive R&D;
}} establish and/or support broad regional/global priorities that may be beyond individual
national capacities.
Participants were then invited to prioritize the options for developing countries, provided earlier,
in an informal poll. The highest scores were for the following options in order of priority:
}} build up indigenous research programmes;
}} shared access to technologies;
}} policy development;
}} development of regulation frameworks.
11.2.2 Forestry
Facilitator:
Sandra Sharry, Universidad Nacional de La Plata, Argentina
Oudara Souvannavong, FAO Forest Conservation Service, Italy
Discussants:
Jeff McNeely, International Union for Conservation of Nature (IUCN), Switzerland
Milton Kanashiro, Brazilian Agricultural Research Corporation (EMBRAPA), Brazil
Rapporteur:
Moiss Cruz, Instituto Nacional de Investigaciones Forestales, Agrcolas y Pecuarias (INIFAP), Mexico
In this session, the background document was first presented, two discussants then gave
their reflections on the document and the floor was subsequently opened to the whole
group for further discussion.
In considering the general topic of applying biotechnologies to forestry, an important
point made in discussions was that national trade-offs in forest cover must be recognized,
especially for those countries which are conserving their own forest cover while using

forest resources of other countries. One of these trade-offs is the potential of introducing
exotic forest species which may become invasive. Some forest ecosystems are fragile while
others are resilient, meaning that they can recover rapidly from disturbance or catastrophe.
There was general support for the Priorities for Action for the international community
outlined in the background document. Two Priorities for Actions were highlighted in
particular in the discussions:
Capacity building: Build capacity for understanding forest biotechnologies at all
levels. The field of forest biotechnology and all its research needs are not the same as for
agriculture, so capacity needs are different.
The group identified a large policy gap in forest genomics research in relation to tropical
humid forests which are naturally regenerated and added a valuable suggestion: namely,
the need to pair taxonomy with genus-level molecular identification. Implementing a range
of policy measures such as forest certification, logging concessions, payment for avoided
deforestation (reducing emissions from deforestation and forest degradation, REDD),
would mean that reliable means would be available to identify tree species, or at least to
identify the correct genus, using both living tissue and wood. However, currently this is
not the case. As an example, it was mentioned that in a 100ha Amazonian logging plot,
there were 124 individuals identified under the common name of tauari, yet after careful
identification, it was shown that these individuals are from two different genera and five
different species. Current taxonomy tools are just not good enough. Therefore, there is a
need to put together several approaches/methodologies as well as have parataxonomists
with strong training and skills at local community level. Short-term grants do not fill
the need. Remedying this gap requires medium- to long-term sustained funding for an
interdisciplinary team to work towards this knowledge and with the right tools. In short,
policy-makers as well as the forest genomics community need to re-think the emphasis
on within-species molecular tools in favour of among-taxon tools and work with field
botanists. This gap between available research and global forest policy implementation
must be remedied as soon as possible.
North-South collaboration: Support North-South collaboration, especially given that
genomics in forest biotechnology is advancing faster than expected. Similarly, the group
was enthusiastic about regional centres of excellence. These centres would bring into play
South-South collaboration. This model is well suited to moving forest technology know-
how into practice.

11.2.3 Livestock
Facilitator:
Gigi Manicad, Oxfam International, the Netherlands
Presenter:
Paul Boettcher, FAO Animal Production and Health Division, Italy
Discussants:
Arthur da Silva Mariante, Brazilian Agricultural Research Corporation (EMBRAPA), Brazil
Adama Traor, Comit National de la Recherche Agricole, Mali
Rapporteur:
Harinder Makkar, University of Hohenheim, Germany
This session was attended by 32 people, in which the background document was presented
and then two discussants gave their reflections on it. The floor was subsequently opened
for a full facilitated discussion.
The group expressed appreciation for the comprehensive coverage of the livestock
biotechnologies, their extent of application in developing countries and their usage in
addressing emerging challenges. The participants agreed to the Priorities for Action for the
international community listed in the document, and noted capacity building and enhancing
quality of research as the most important Priorities for Action.
The gaps identified were lack of: 1) integration of traditional-, conventional- and bio-
technologies, 2) capabilities and infrastructure for the conventional technologies upon which
biotechnologies can be built, 3) appreciation for proper animal nutrition on which the success of
animal reproduction and health programmes rests, 4) integration of biotechnologies in livestock
development programmes, and 5) biotechnological options for pastoral production systems.
The future promising animal biotechnologies identified were: genome-wide marker-
assisted selection, although, for this, phenotype and pedigree recording systems need to be
first put in place and capacity in bioinformatics would need to be built to take full advantage;
genome sequencing of host animal and rumen microbes and assigning the function to
genes for increasing the utilization of fibrous feed and decreasing methane emissions from
ruminants; development of strategies, for example, development of improved pastures and
their introduction in grass and range lands for increasing livestock production and reducing
methane emissions from pastoral production systems, and for increasing carbon sequestration;
development of on-site cost effective, simple-to-use and interpret dip-stick or pen-side
animal disease diagnosis tools; development and use of natural products as growth promoters;
and development of enzymes and probiotics suitable for tropical feeds and tropical animals
and better understanding of the situations for consistently eliciting increased productivity
and decreased environmental pollution. Several participants also indicated that non-transgenic
approaches for genetic modification of animals would soon be available, although there was no
consensus on whether this technology would greatly impact farmers in developing countries

in the near future. In addition, it was noted that intellectual property issues can hamper the
uptake of some biotechnologies, and recombinant vaccines were cited as a particular example.
The participants vehemently felt that the discussion on methane emissions by livestock
in pastoral systems should consider and weigh the advantages it offers, for example for
sustaining the livelihoods of people, and to the provision of animal protein and micronutrients
for pregnant women and children from land which normally cannot be used for other more
productive purposes. At the same time, the participants realized that reductions in methane
from ruminants would be accompanied by increases in livestock productivity since a large
proportion of feed energy is lost in methane. Any reduction in methane through better
feeding strategies developed through conventional or biotechnological means would be a
win-win situation for both farmers and the environment.
The need to establish genebanks for animal genetic resources; greater coordination
among OIE (World Organisation for Animal Health), IPPC (International Plant Protection
Convention) and the Codex Alimentarius Commission on issues related to biotechnology;
and integration of business models while biotechnologies are being developed to ensure
their accessibility to poor farmers, were highlighted. It was noted that some efforts are
being made by national governments to use biotechnologies for animal disease control and
eradication and to conserve animal genetic resources; however, there is a need to take similar
actions for the application of biotechnologies in the area of animal nutrition.
Amongst various agricultural sectors, the greatest growth is taking place in the livestock
sector and this sector plays a critical role in alleviating poverty and enhancing food security.
National and international donors, policy-makers and science managers should recognize
the importance of this sector and provide commensurate funding and support.
11.2.4 Fisheries and aquaculture

Facilitator:
Mara Cristina Chvez Snchez, Unidad Mazatln en Acuicultura y Manejo Ambiental, Mexico
Matthias Halwart, FAO Fisheries and Aquaculture Management Division, Italy
Discussants:
Mohammad Pourkazemi, International Sturgeon Research Institute, Iran
Mara Cristina Chvez Snchez, Unidad Mazatln en Acuicultura y Manejo Ambiental, Mexico
Rapporteur:
The quality of the document was appreciated but more comprehensive treatment of some
areas was recommended. These included: population genetics for fisheries; molecular markers
for sex, species or population identification; the use of cryopreservation for restocking; feed
alternatives for carnivorous species; and the need to pay more attention to native species

with potential for culture. Biotechnology was considered to be a useful approach to assist
the culture of such species through enhanced development of biological information on,
e.g. physiology and nutrition, and improving performance in culture. Information from
model species such as zebrafish would help this process.
The options for developing countries and several of the Priorities for Action identified
for the international community as outlined in the document were generally considered
adequate with the important addition that fisheries and aquaculture should be recognized
and incorporated into national biosecurity plans. The important role of FAO was stressed
in improving collection, analysis and dissemination of information on aquatic genetic
resources as a baseline for developing national strategies. Although some aquaculture
biotechnologies are still too technical and costly for small-scale farmers, principles of
traditional animal breeding can be applied and could result in significant production gains
without requiring additional farming systems, land or water. Traditional breeding schemes
also provide important platforms for the effective application of biotechnology. The use of
molecular markers for trade controls and traceability are relatively simple approaches that
can markedly improve access to markets and the market value of products. The need for
capacity building to use and implement biotechnologies at different levels was prioritized.
A revised version of the document will need to take these points into account.
11.2.5 Agro-industry
Facilitator:
Masami Takeuchi, FAO Nutrition and Consumer Protection Division, Italy
Rosa Rolle, FAO Regional Office for Asia and the Pacific, Thailand
Discussants:
Morven McLean, International Life Sciences Institute (ILSI) Research Foundation, United States
Marilia Nutti, Brazilian Agricultural Research Corporation (EMBRAPA), Brazil
Rapporteur:
Sridhar Dharmapuri, FAO Nutrition and Consumer Protection Division, Italy
In this session, which was attended by 25 people, the importance of upgrading fermentation
bioprocessing through the improvement of starter cultures and bioreactor technology, was
emphasized in presentation of the background paper. Schematic steps of an ideal fermentation
process were outlined, following which the case of tempe fermentations was highlighted
to illustrate that fermentation is only one step of a series of processing operations in the
production of traditional fermented foods. Examples of appropriate and defined starter
cultures applied in developing country food fermentations, and innovations in bioreactor
technology were highlighted to illustrate the gradient of technologies that exist across
the developing world. Lessons learnt and priority actions for governments and for the

international community were also outlined. The two discussants then gave their reflections
on the document. The floor was subsequently opened for a facilitated discussion.
The utility of biotechnological tools was highlighted for strain and starter culture
improvement, and for enhancing rapidity, efficiency and sensitivity in monitoring food
safety. Growing importance of the use of the DNA bar code for traceability of fermented
and non-fermented foods was also highlighted.
Participants added examples from Brazil, Japan and Nigeria to illustrate the growing
consumer demand for fermented foods. The general discussion focused on the way forward
for enhancing traditional fermented foods. Their market demand is being driven by
changes in socio-economic conditions across the developing world and growing demand
in international markets, which has been a driving force for their production in small and
medium enterprises (SMEs), rather than at the household and village levels. An enabling
environment for innovation through government support, capacity building in biotechnology,
public-private partnerships and regional collaboration is essential for success. Intellectual
property rights (IPR) is one of the important issues for both scientists and policy-makers
and their crucial role must be addressed. An immediate need is the development of a
prioritization tool that will help identify fermented foods for improvement based upon their
major contribution to food security, their development potential and technical feasibility.
An ex ante analysis and expert assistance supported by international organizations could
be a starting point. This can be followed up with contextual research by national research
institutions adequately supported by information sharing mechanisms between countries.
As globalization advances and food chains are internationalized, biotechnological tools
are playing a significant role in the improvement of traditional fermented products and
their safety.
11.3 Reports of Sessions on Sector-Specific Case Studies of Successful

Applications of Biotechnologies in Developing Countries
As part of the learning from the past exercise at ABDC-10, the five sector-specific
parallel sessions included the presentation of a small number of case studies of successful
applications of biotechnologies in developing countries, followed by facilitated discussions.
These provided an opportunity to evaluate the key factors responsible for the successful
application of the biotechnologies concerned and thereby assist developing countries
to learn from the past and empower them to implement appropriate biotechnologies
more successfully in the future. Some of the case studies presented were described in
the sector-specific documents (Chapters 1 to 5). The proposed structure of each session
was as follows: introduction by the Facilitator (maximum five minutes); case studies of

successful use of biotechnologies in the sector (10 minutes each); and open facilitated
discussion (7080 minutes). All presentations from these five sessions are available at
www.fao.org/biotech/abdc/parallel/en/.
11.3.1 Crops
Facilitator:
Case studies presented:
1. Rhizobium-based biofertiliser for the common bean (Phaseolus vulgaris) in Mexico
By Humberto Peralta, Universidad Nacional Autonoma de Mexico, Mexico.
2. New Rice for Africa (NERICA)
By Sidi Sanyang, West and Central African Council for Agricultural Research and Development (CORAF/WECARD), Senegal
Rapporteur:
There were more than 100 participants and two case studies on biotechnology adoption
in developing country crops were first presented. Additional cases of biotechnologies,
already largely adopted, were then presented by participants from the floor and included:
}} Mutation breeding cassava in Ghana, rice in Vietnam;
}} Micropropagation in sugar cane in India, banana in Ghana and Malaysia;
}} Marker-assisted selection (MAS) in pearl millet in India, rice and water melon in Malaysia;
}} Biofertilizers and entomopathogens in Cuba;
}} Bacillus thuringiensis (Bt) pesticide sprays by local groups in India.
A general discussion then focused on the following key issues:
1. Factors that promoted the adoption of biotechnologies

}} technologies that are of low cost, easy-to-use, and with a long shelf-life;
}} contribution to improved crop and soil management;
}} local provenance and/or ownership of technologies;
}} ready access by R&D to government agencies and facilitation of regulatory issues;
}} demonstrable improvement in socio-economic prospects of farming families.
2. Factors that inhibited the adoption of such biotechnologies

}} mindsets of large numbers of often diverse farmers;
}} burden of government regulation, especially for genetically modified crops;
}} inadequate extension systems;
}} cost of technologies;
}} technologies that do not match farmer needs;
}} difficulties when technologies require changes in agronomic practices.

3. Additional issues raised by participants
}} Existing low tech options can sometimes be overlooked.
}} Programmes should be needs-driven rather than technology-led.
}} It is not always appropriate to focus on high-tech options.
}} A greater role for public-public partnerships in developing countries and North-South
partnerships needs to be explored.
}} In many cases there will be important roles for public-private partnerships, especially
in the latter stages of technology roll-out.
11.3.2 Forestry
Facilitator:
Sandra Sharry, Universidad Nacional de La Plata, Argentina
1. Tissue culture production of clonal teak in Malaysia
By Doreen Goh, Sabah Foundation Group, Malaysia
2. Use of molecular tools for the management and conservation of forest trees in Central Africa
By Dyana Ndiade-Bobouro, Centre National de la Recherche Scientifique et Technologique (CENAREST), Gabon
Rapporteur:
Moiss Cruz, Instituto Nacional de Investigaciones Forestales, Agrcolas y Pecuarias (INIFAP), Mexico
Two studies were presented, on the use of tissue culture for the large-scale production of
elite planting materials of teak in Sabah, Malaysia; and on the use of molecular markers
to study the population structure, diversity between and within individual species and
to understand the population structure and dynamics of two native species in Gabon for
conservation. Following the presentations, and based on them, the participants made the
following observations and recommendations:
The participants supported the fact that North-South collaboration is one good approach
for ensuring success of a project. Under such an approach, appropriate technology transfer
is ensured, human resources are adequately trained and the projects adequately funded,
and they generally are very focused with achievable targets. Participants also stated that
the new tools of biotechnology should be integrated with conventional technologies,
and that techniques like molecular markers and mass propagation could only be useful
when a stable conventional forest breeding programme is already in place. Further, they
were of the opinion that strong public-private partnership should be forged to ensure
commercialization of the final products from the collaboration. This was clearly shown
in the first case study by Doreen Goh on the commercialization of elite teak plantlets by
the private sector.
Participants also agreed that there has to be a strong support by the government of each
developing country towards including biotechnology in their science policies to encourage

such development to grow and flourish in their respective countries. They emphasized that
the gap between scientists and policy-makers should be bridged to ensure integration of
new knowledge into policies, regulations and programmes.
Lastly, the participants agreed that public access to goods and updated information on
forest biotechnologies are very important. Benefits from their use can only be optimized if
the end-users know how to utilize them properly. Consolidated information and education
mechanisms should be put in place to allow communication between relevant sectors of society.
11.3.3 Livestock
Facilitator:
1. Introduction of the FecB mutation to Deccani sheep in India
By Chanda Nimbkar, Nimbkar Agricultural Research Institute, India
2. Community-based artificial insemination, veterinary and milk marketing services in Bangladesh
By Mohammed Shamsuddin, Bangladesh Agricultural University, Bangladesh (presented on his behalf by Paul Boettcher, FAO
Animal Production and Health Division, Italy)
Rapporteur:
Thirty delegates attended the session, in which two case studies were first presented. There was
general consensus that both were good examples of how biotechnologies could help improve
the incomes and quality of life of smallholder farmers. The commonalities between both case
studies were that: 1) biotechnologies played a vital role but their impact at the farmers levels
could not have been generated without support mechanisms such as marketing, veterinary
services, feeding, capacity building, and management; and 2) 1015 years were needed to
generate substantial impact at the end-users level. Based on this, it was recommended that
biotechnologies should not be used in isolation, but integrated with conventional technologies
and complemented by the provision of adequate logistic, infrastructural and institutional
support. National and international donor agencies should have a long-term vision for the
livestock sector and they should realize the need to support and fund programmes for a longer
duration, although they should integrate activities to eventually aim for their self-sustainability.
Additional recommendations were:
}} Farmer participation in the development and adaptation of a biotechnology must be
considered.
}} Mechanisms should be put in place to sustain biotechnologies.
}} Governments need to develop national breeding policies to reap the benefits of cross
breeding programmes. However, it was realized that such programmes may endanger
local genetic resources, and proper measures must be taken to avoid this.

}} The World Organisation for Animal Health (OIE) and other international agencies
should consider giving more emphasis to the production diseases.
}} For implementing biotechnologies and taking a successful biotechnology from one
livestock production system to another, due consideration should be given to local
conditions since particular biotechnologies might not be applicable in all situations.
}} Indigenous knowledge and practices should be integrated into the development and
use of animal biotechnologies.
11.3.4 Fisheries and aquaculture

Facilitator:
John Benzie, University College Cork, Ireland
1. PCR application for aquatic animal health management in Asia
By Chadag Vishnumurthy Mohan, Network of Aquaculture Centres in Asia-Pacific (NACA), Thailand (presented on his behalf by
John Benzie, University College Cork, Ireland)
2. Cryopreservation of freshwater fish species in Malaysia
By Poh Chiang Chew, Freshwater Fisheries Research Centre, Malaysia.
3. Genetically improved farmed tilapia (GIFT)
By Ravelina Recometa-Velasco, Central Luzon State University, the Philippines and Raul Ponzoni, The WorldFish Center, Malaysia
(presented on their behalf by Matthias Halwart, FAO Fisheries and Aquaculture Management Division, Italy)
Rapporteur:
Three case studies covering cryopreservation, polymerase chain reaction (PCR) based
technologies, and genetic improvement of farmed tilapias provided examples where
biotechnologies delivered key solutions for small farmers. They demonstrated that clear
goals, sufficient time (several years) and long-term government support (to allow effective
technology development, demonstration of value and uptake by farmers), the involvement
of user groups from an early stage, and effective integration of the biotechnology with other
aspects of the production system, were key factors behind their success.
In general, biotechnology uptake in fisheries and aquaculture has been limited, partly
because of the relatively low biotechnology activity in the field, but where work has
been done, because of the lack of involvement of end-users (industry, farmers) in project
development and lack of effective extension efforts. Additional impediments are costs
of research, intellectual property issues, lack of public sector investment, confusion of
biotechnology with corporate agriculture, and concerns for environmental impact. However,
the large potential for applying biotechnologies was identified.
The development of suitable national policies and legal frameworks to provide
clarity for investors (private or public sector) will help adoption of biotechnologies, their
downstream application and market acceptance. National policies can assist by providing

frameworks that have identified stakeholders, mechanisms for their inclusion in project
planning, and major issues to be included in planning such as risk assessment, quality
controls, extension requirements and market assessments. The inclusion of expert advice
will allow improved integration of technology development with practical application
and societal outcomes. These frameworks would help informed negotiation for access
to investment, noting the need for developing countries to collaborate with developed
countries or corporate entities. Additional specific elements identified were public education
to enhance understanding of biotechnologies, and the use of collaborative collectives of
small producers to access technologies.
11.3.5 Agro-industry
Facilitator:
Ruth Frampton, Critique Limited, New Zealand
1. Pozol - a Mexican fermented maize dough
By Carmen Wacher, Universidad Nacional Autonoma de Mexico, Mexico
2. Mab a fermentated beverage in the Dominican Republic
By Bernarda Castillo, Institute for Innovation in Biotechnology and Industry, Dominican Republic
3. Soy sauce production in Thailand
By Ruud Valyasevi, National Center for Genetic Engineering and Biotechnology (Biotec), Thailand and Rosa Rolle (presenter), FAO
Regional Office for Asia and the Pacific, Thailand
Rapporteur:
This session was attended by around 25 people. Three presentations were given related to
traditional fermented products from developing countries. While pozol production has
yet to be commercialized in Mexico, starter culture development in which a new strain of
yeast isolated from the traditional beverage Mab has been patented and licensed with the
branded product, Bejuking, was seen as a local success story in the Dominican Republic.
In contrast, soy sauce is internationally known and there is increasing market demand for
this product. This has led to technological innovation through the development of starter
cultures and bioreactor technology, leading in turn to improved consistency, quality and
safety of the product as well as improved efficiency of the fermentation process. The drivers
of innovation in this case were market demand and the support provided by international
organizations, the Thai Government and the Thai Soy Sauce Consortium.
The case studies highlighted the potential of biotechnologies for improving traditional
products produced in developing countries. It was recognized that without local and/or
international market demand for fermented foods that are safe and of good quality, relatively
little use would be made of the tools of biotechnology to upgrade fermentation processes.
Another option would be to explore new market trends and create demand for fermented

foods, e.g. through promoting the neutraceutical, probiotic properties of fermented
products. Discussion emphasized the importance of allocating resources for research to
improve traditional products with appropriate cooperation ensuring benefit-sharing with
indigenous people. Ideas for product improvement were identified as coming from researchers,
processors experiencing problems, dissatisfied consumers and by way of meeting export
market requirements. Cost-benefit analysis should supplement any research proposals.

chapter 12
Summary Reports of Cross-Sectoral
Parallel Sessions
12.1 Introduction
During the ABDC-10 conference, a total of 27 parallel sessions were held over the first
three days, the majority of which were organized by different inter-governmental and
non-governmental organizations. Each session lasted one hour and 45 minutes, except
for three double sessions which lasted three and a half hours. Each organization
arranging a session was asked to produce a short summary report from its session,
which was presented to the Plenary Session by a Rapporteur the following morning.
This Chapter presents the summary reports of the twelve parallel sessions dedicated to
cross-sectoral issues.
For these sessions, FAO invited relevant inter-governmental and non-governmental
organizations to organize sessions on a specific issue of cross-sectoral importance. For
each one, the programme was developed by the organizers, with guidance from FAO. The
structure that FAO suggested for each session was one with 23 speakers/panellists, each
of whom would present for 15 minutes (providing a brief background on the topic and
setting the scene) followed by an open discussion moderated by a facilitator. Presentations
from the different sessions are available at www.fao.org/biotech/abdc/parallel/en/.

12.2 Reports of the Parallel Sessions
12.2.1 Development of genomic resources: Current status and future prospects

Organizer:
Consultative Group on International Agricultural Research
Facilitator:
Rajeev Varshney, International Crops Research Institute for the Semi-Arid Tropics (ICRISAT), India
Panel Members:
Roberto Tuberosa, University of Bologna, Italy
Jasper Rees, University of Western Cape, South Africa
Jerry Taylor, University of Missouri, United States
Rapporteur:
Michael Baum, International Center for Agricultural Research in the Dry Areas (ICARDA), Syria
Approximately 50 people attended this session, in which the three Panel Members provided
background information on the availability of genomics resources in cereals, legumes, trees
and animals. It was clear that access to low-cost, next generation sequencing technology
will be, or is already, available for many cereal, legume, tree and animal species. To properly
utilize this technology, major investments will be required in bioinformatics and data
management. For the main cereal crops (wheat, rice, maize and barley), there is good
availability of genomic resources and genomic platforms to identify genes/quantitative trait
loci (QTLs) for target traits. New strategies such as association mapping have increasingly
been deployed. Comparative genomics will play an increasing role for identifying and
validating candidate genes following the availability of the sequences of important species
such as rice, maize and sorghum, and many more species given the rapid increase in
sequencing technology.
In legumes, due to coordinated efforts at national and international levels, a significant
amount of genomic resources such as molecular markers, genetic maps, physical maps,
genome sequence, and trait-linked markers have been developed in several important species.
Tree breeding is challenging given the long breeding cycle, heterozygous germplasm and
self-incompatibility. Currently, genetic maps for some fruit tree species such as apple are
available and contain the location of various types of molecular markers and QTLs for
important traits. Published genome sequences are available for grape and in an advanced
stage for apple and peach. For cattle/animal breeding, high-throughput genotyping using
the latest advances in genome sequencing is available and genome re-sequencing, de novo
assembly, and mutation discovery are almost routine.
During the discussion, it was made apparent that developing countries should strongly
consider investing in strategic partnerships with advanced research institutes to be in the
chapte r 12 Summary Reports of Cross-Sectoral Parallel Sessions 507

best position to take advantage of the latest technologies. If the technology exists for a
species, gaining access to it and using it in research and breeding is feasible, either with
investments in-house, or through partnerships or out-sourcing. It was also clear that
there is a strong requirement for investment in capacity building training and retaining
human resources, especially in the area of informatics and data analysis/management. The
correlation of genomic and sequencing data with phenotypic information is very challenging,
but critical for the effective use of modern genomic tools. Data analysis, data management
and data accessibility are most important when the tsunamis of genotyping data as well
as phenotypic data become available. Finally, modern genomic information needs to be
complemented with proper phenotyping, and this information needs to be converted into
useful information (e.g. breeding values) so that breeders in developing countries can use
this in their breeding programmes.
12.2.2 Genomic applications: Molecular breeding for developing countries

Organizer:
Facilitator:
Jean-Marcel Ribaut, Generation Challenge Program, Mexico
Panel Members:
Roberto Tuberosa, University of Bologna, Italy
Dave Hoisington, International Crops Research Institute for the Semi-Arid Tropics (ICRISAT), India
Carmen de Vicente, Generation Challenge Program, Mexico
Rapporteur:
Nicolas Roux, Bioversity International, France
Approximately 60 people attended the session, which started with the Facilitator reminding
the participants that molecular breeding is perhaps not the most appropriate terminology
since it sounds technology-driven and appears in conflict with conventional breeding.
Therefore, it was suggested to use modern breeding to describe the use of genomic
tools in breeding. Three presentations were given to provide background information and
stimulate discussion. The first (by Roberto Tuberosa) laid out the overall strategies and
options for applying molecular technologies in breeding. The second (by Dave Hoisington,
Jean-Marcel Ribaut and Segenet Kelemu presented by Dave Hoisington) discussed
opportunities for providing molecular technology to research and breeding programmes
via technology platforms and regional genotyping/biotechnology laboratories located in
developing countries. The third (by Carmen de Vicente) presented studies on the potential
impacts of molecular-based breeding and examples for capacity building and communities
of practice toward the use of genomics in breeding.

From the presentations, it was clear that there are several opportunities for scientists
in developing countries to access large-scale marker services, and therefore there is less
need now to consider major investments in in-house technology. The need is now to build
the capacity of scientists/breeders in developing countries to better understand how best
to apply genomics in their programmes, including data interpretation and management.
The session was then opened to the participants for comments and discussion. A first
point raised regarded the potential for intellectual property rights (IPR) to affect the ability
to use molecular markers in breeding. In general, molecular markers are not patented,
although some cases are known. In addition, while some institutes, even in the public
sector, seek IPR on genomic technology, many of these do this to keep the technology
in the public domain and make such technology freely available especially to developing
countries. There was also a feeling that with the advent of large-scale genomics, less IP
protection is being sought on the technology itself; however, the critical knowledge (e.g.
about the linkage between a trait and a marker) is often not disclosed.
A few participants presented cases where national governments are supporting the
establishment of national biotechnology laboratories, especially where the breeders/researchers
are convinced of the potential impact of the technology. Some of these facilities are interested
in providing services on a regional basis as capacity grows and needs increase.
While genomic resources are perhaps more advanced in animals than in plants (as
presented in the previous session, described in Section 12.2.1), there was a comment that
there is a limited ability within the animal breeding community of many developing
countries to actually promote the use of modern technology as compared with the plant
community. Unfortunately, the session lacked sufficient expertise in the animal sector to
properly evaluate if this was a correct observation; however, there is a general lack of ability
of breeders in all species to effectively use genomics.
Finally, enhancing the capacity of researchers and breeders in developing countries to
understand when and how to use genomics in their programmes is a clear need. A tsunami
of genomic data and information is coming. Therefore, effective data management and analysis
systems will be critical and could become a major impediment for scientists in developing
countries to use genomics optimally. Efforts should be initiated to ensure that the power
of genomics is not lost as an option to improve global food and nutritional security.

12.2.3 Conservation and sustainable use of genetic resources for food and agriculture
Organizer:
Facilitator:
Dave Hoisington, International Crops Research Institute for the Semi-Arid Tropics (ICRISAT), India
Panel Members:
Tom Payne, International Maize and Wheat Improvement Center (CIMMYT), Mexico
William Roca, International Center for Tropical Agriculture (CIAT), Colombia
Jean-Marcel Ribaut, Generation Challenge Programme, Mexico
Rapporteur:
Kay Simmons, United States Department of Agriculture, United States
This session, with around 45 participants, was started by the Facilitator noting that 2010
is the Year of Biodiversity and that safeguarding biodiversity is a recurring theme in the
Conference, but that it was even more important to better understand and use biodiversity.
The first presenter (Tom Payne) noted that many plant genetic resources are conserved and
now biotechnology is helping to determine if a crops gene pool is adequately conserved and
how to better access that information. The second presenter (William Roca), on clonally
propagated genetic resources, reported that biotechnology is revealing new information on
potato species diversity and strengthening efforts to conserve farmer (native) genebanks.
The third presenter (Arthur da Silva Mariante) noted that animal genetic resources are
under-conserved and diversity is being lost due to the cross-breeding nature of animals.
Thus, more conservation of animal semen and in situ conservation of breed animals are
needed. The fourth presenter (Jean-Marcel Ribaut) described molecular methods to identify
valuable subsets of genetic resources, to develop new diverse genetic resources using wide-
hybridization and genomics, and to improve the use of genetic resources in crop improvement.
From the presentations it was clear that biotechnology is revealing even more value in
conserving genetic resources and providing new tools to use biodiversity. The need now
is to build the capacity of scientists/breeders in developing countries to better conserve
their unique biodiversity and better access all available genetic resources. Participants,
especially from Mexico, reported significant progress in developing a new genebank and
in situ conservation. Several recognized that national priorities need to be determined
and valuable resources used to conserve unique biodiversity and that genetic resources
are in danger of being lost. It was also mentioned that the strategy for conservation and
management of those resources might be quite different depending on the purpose. The
conservation of species that are in danger of extinction is not the same as the species that
have strong potential for large distribution on a regular basis.

Participants noted the need to conserve valuable genetic resources beyond plants including
fish, animals, breeds, microbes and insects. A few participants suggested that a Genetic
Treaty for genetic resources such as fish and other animals is needed, to enhance the use and
benefit-sharing similar to plant genetic resources. Participants also recognized the need to pay
attention to the management of novel genetic stocks (e.g. new genetic material produced
from wide-hybridization, TILLING [targeting induced local lesions in genomes] etc.). The
modality on how best to conserve and distribute these novel genetic resources requires
further investigation. Finally, the need for the more advanced genebanks to share methods
and technology to better preserve genetic resources in developing country genebanks was
noted, and the importance of conserving unique biodiversity in all countries recognized.
12.2.4 Prioritizing the role of the farmer

Organizer:
FAO, with support from the International Federation of Agricultural Producers (IFAP)
Facilitator:
Panel Members:
Herman Kumera, World Forum of Fisher Peoples, Sri Lanka
Miguel Altieri, University of California, United States
Isidoro Angcog, Asian Farmers Association for Sustainable Rural Development (AFA), the Philippines
Rapporteur:
About 44 people attended the session in which three presentations were made, focusing on
the role of small producers (fishers and farmers) in R&D programmes to develop appropriate
technologies. The group identified the following gaps:
1. R&D is not sufficiently addressing small farmers needs; lack of public investment in R&D
2. Lack of:
}} opportunities for farmers to participate in R&D priority-setting;
}} national level consultative mechanism for farmers participation in R&D work;
}} information in local languages at the rural level, enabling informed decision-making
by farmers;
}} involvement of young people in identifying R&D programmes;
}} recognition of farmers knowledge and needs by researchers and policy-makers;
}} skills with researchers to effective communicate with the farmers.
The group decided that the following steps should be taken to address these gaps:
}} formulate national policies to address needs of small farmers and enable their active
participation in R&D programmes.

}} national governments should develop policies to oversee and monitor corporate R&D
agendas involving farmers.
}} farmers should be empowered with knowledge and information enabling them to
prioritize their needs and to communicate them to decision-makers.
}} mechanisms should be established to allow farmers participation in R&D priority-setting;
}} R&D agendas should be driven by farmers needs, and they should be involved from
the very beginning - from planning and designing the R&D work to its execution.
}} for developing R&D programmes, traditional knowledge and culture should be taken
into consideration. The role of women in addressing this issue should be recognized.
}} national R&D agencies and ministries should be proactive in approaching farmers to
identify their needs and problems and develop R&D programmes to address them.
}} international organizations should make the inclusion of small farmers needs mandatory
in programmes for providing financial and technical support.
}} farmers role in the form of farmer-to-farmer extension should be recognized as a
promising strategy for wider dissemination and adoption of technologies. Researchers
and extension workers would then play the role of only the facilitators.
12.2.5 Ensuring equitable access to technology, including gender issues

Organizer:
Oxfam International
Facilitator:
Panel Members:
Luz Amparo Fonseca, Confederacin Colombiana del Algodn (Conalgodon), Colombia
Patricia Zambrano, International Food Policy Research Institute (IFPRI), United States
Wilhelmina (Ditdit) Pelegrina, Southeast Asia Regional Initiatives for Community Empowerment (SEARICE), the Philippines
Andew Mushita, Community Technology Development Trust, Zimbabwe
Rapporteur:
Alvaro Toledo, FAO Commission on Genetic Resources for Food and Agriculture, Italy
In many farming communities worldwide, quite simply, no seeds mean no food. To examine
the factors for the equitable generation and access of technologies with focus on women,
the participants considered the following factors:
}} role of international and national agriculture research systems in facilitating the
steady and constant supply of genetic materials (parent breeding lines) so that farming
communities can select and develop their own seeds under their specific conditions,
which are constantly changing;
}} complementary role of the formal seed systems for the supply of finished varieties,
which farmers can test and select from;

}} cooperation with research institutes for the use of biotechnologies (e.g. genomics,
molecular assisted breeding) for the characterization and breeding of crops;
}} market support to enable farmers to produce and sell their seeds and crops;
}} capacity building approaches to help farmers organize, manage their seeds and production
systems and engage in corresponding plant genetic resources policy development and
governance;
}} engaging women in the management of plant genetic resources.
This double session looked at the stresses and resilience of farmer seeds systems through
three regional case studies: introduction of Bt cotton in Colombia (by Luz Amparo Fonseca
and Patricia Zambrano); up-scaling and mainstreaming of participatory plant breeding of
rice in Asia (by Ditdit Pelegrina); and ensuring farmers access and control of technology
in Africa (by Andrew Mushita).
To ensure equitable access to technology, including women, the participants identified
and recommended the following:
1. The role of women

There is an imbalance which needs to be corrected. On the one hand, it is important to recognize
the significant role of women in household food security and biodiversity management. On
the other hand, we need to understand and address the current marginalization of women
by research and innovation systems; where women generally receive less information and
are unable to participate in agenda setting. Moreover, women need access to institutional
services such as credit, education and extension services.
2. Visions of farmers and technologies

We take a broader view of farmers and their multiple livelihoods. These include farmers,
livestock producers, pastoralists, forest dwellers and fisher folks. Farmers are men, women,
youth and community elders. Farmers too are researchers they observe, experiment, and
develop and adapt technologies. They are not just consumers, or end-users, of technologies.
For farmers, technologies should be easy to use, adopt and adapt in continuously-evolving
farming systems and environments. Therefore, the technology needs to be continuously
managed, owned, controlled and reproduced by small-scale farmers.
3. Farmers need to validate the technologies

These cannot be imposed top-down. For validation, accessibility of information is key. Information
should be accurate and timely; gender-sensitive and relevant to farmers; complete, i.e. not only
advertising but informing how to manage an innovation; and make the innovation visible.

4. Shared knowledge generation
}} multi-stakeholder involvement (farmers, researchers, extensionists);
}} challenge the linear model of innovation (from vertical R&D to local hubs of innovation);
}} increase the capacity for mutual learning and for the cogeneration of innovation;
}} address empowerment of indigenous capacities for innovation.
5. Enabling Environments
Markets:
}} affordable price of seeds/technology;
}} assure market access, where appropriate;
}} create opportunities for farmers-researchers to develop their products and add value
to them.
Policies:
}} access to credit by small-scale farmers;
}} regulatory systems that enhance exchange of seeds and other practices:
yy non-restrictive intellectual property rights for small-scale farmers;
yy broaden scope of seed registration beyond yield;
yy seed and marketing laws that recognize farmers varieties;
yy crop insurance policies that cover farmers varieties.
Institutions:
}} ensure a rich multi-stakeholder environment.
}} build solid institutions (credit, market, research).
}} enable the generation and access to a diversity of technologies, crop varieties.
}} strengthen farmers organizations to access credit, demand research agenda.

12.2.6 Empowering public participation in informed decision-making
Organizer:
International Union for Conservation of Nature (IUCN)
Facilitator:
Keith Wheeler, IUCN Commission on Education and Communication, United States
Panel Members:
John Francis, National Geographic Society, United States
Sarah Stokes Alexander, The Keystone Center, United States
Joseph Russo, ZedX Inc., United States
Marcos Algara-Siller, Universidad Autnoma de San Luis Potos, Mexico
Rapporteur:
John Francis, National Geographic Society, United States
Around 22 people participated in this double session which explored communication

strategies that exercise a bottom-up, demand-driven approach to implementing biotechnology
in agriculture. Four presentations were given in the first part of the session followed by a
directed discussion with an audience of up to 22 people that continued into the second part.
Keith Wheeler opened with the context of IUCN/CEC interest and activities including
a brief mention of CEPA (communication, education and public awareness) methods
and the challenge of effectively empowering stakeholders. John Francis talked about
social networks and a broader conceptualization of the discussion about biotechnology
solutions, arguing that everyone on the planet is an actor in agricultural production. This
included a call for attention to communication at a grassroots level, including a greater
range of participants and the use of emergent technologies to improve fund-raising and
information exchange.
Sarah Stokes Alexander discussed how to enable dialogues among people with disparate
outlooks and objectives, including recognizing where people are in their interests and capacity,
encouraging listening and story telling, identifying common ground, and recognizing shared
principles with a commitment to flexibility in solutions. Joseph Russo presented a web-
based tool designed by ZedX for accumulating data and presenting it through user selected
filters combined with real-time geographical information systems (GIS) information of
value across a range of participants from local to international, grower to policy-maker.
This includes the potential for real-time input of data from cell phones in the field with
predictive, tailored information of value in the field, in the markets, in parliaments, and
across a diverse web of actors. Marcos Algara-Siller provided an example of this tool in
action with a detailed description of the Scope program, supported by the Mexican Secretaria
de Agricultura and others where pest management data, such as the distribution of locusts,
is mapped and provides real-time data to affected areas.

Following these presentations, questions posed to the audience included: How can we
bridge the divides between research, policy, farmers, and the public?; How do we engage at
all levels?; What tools and methods exist for groups to engage more with stakeholders?; What
kinds of communication strategies are needed?; What are the relevant gaps and obstacles?
Salient conclusions included:
}} For full engagement, especially including farmers in developing countries, researchers
and policy-makers must hear and respond to the demands and needs at the local level.
}} Solutions do not come as one size fits all and one must be aware of differing capacities
and circumstances that lead to understanding and effective implementation with sensitivity
about carefully selected and trusted messengers.
}} Regional centres/approaches might better serve to streamline communication tailored
to the audience.
}} Starting early in schools with an understanding of agricultural systems and science can
increase the likelihood of creating and adopting effective solutions.
}} Use of new communications technologies should be embraced as soon as possible in
those regions where practical.
}} FAO and other international bodies need to financially invest in communications as key
to engaging and empowering stakeholders and improving biotechnology implementation.
}} FAO should play a role in supporting a global effort to enhance communications about
biotechnologies through better coordination with communication and knowledge
management specialists at regional and national levels.
12.2.7 Public-private partnerships

Organizer:
FAO, with support from the International Federation of Agricultural Producers (IFAP)
Facilitator:
Panel members:
Francisco Arago, Brazilian Agricultural Research Cooperation (EMBRAPA), Brazil
Jacob Mignouna, African Agricultural Technology Foundation (AATF), Kenya
Rapporteur:
Charles Spillane, National University of Ireland, Ireland
This session discussed cross-cutting issues, gaps and needs for successful agricultural public-
private partnerships (PPPs) for smallholder farmers and highlighted successful PPPs, key
constraints and needs. Case studies were presented on (1) development of herbicide tolerant
soybean and virus resistant beans (BASF and EMBRAPA, Brazil); (2) development of water
efficient maize for Africa (AATF); and (3) a wide range of agricultural biotechnology PPPs in
the Malaysian oil palm sector. Other examples highlighted were agricultural biotechnology PPPs

for biofertilizer inoculants (Mexico), banana micropropagation (Kenya and Uganda), eucalyptus
genetic improvement (Brazil), improved maize for African soils (Pioneer Hi-Bred, African
national agricultural research systems) and vaccine development for domestic animals (Mexico).
PPPs can provide a mechanism to access and deploy biotechnologies for meeting the 21st
century challenges and needs facing smallholder farmers. The private sector comprises many
entities, ranging from small and medium sized enterprises (SMEs) and multinationals, to
retailers, farmer cooperatives, and producer groups. Agricultural biotechnology innovations
(and patents) arise from both the public and private sector. For innovations to reach and
benefit smallholder farmers, it is important to identify needs, priority problems and engage
target beneficiaries (e.g. farmers groups) for effective PPPs. The relative roles of public and
private sectors in PPPs should ensure that the public sector does not undergo mission drift
and begin competing with the private sector. Strengthening interfaces between public and
private sector R&D can facilitate mutual understanding and more effective PPP management.
Institutional capacity of partners to ensure stewardship of proprietary technologies can
limit access, where technology providers fear reputational risk.
A key issue is whether regulatory systems for biosafety, intellectual property and seed
systems are enabling agricultural biotechnology PPPs for smallholder farmers. High regulatory
costs (for testing, production or marketing) can act as barriers to innovation, investment
and smallholder farmer access to agricultural biotechnologies. Regulatory systems which
are too strict, complicated, non-functioning or uncertain can all act as barriers to effective
PPPs. Opportunities may exist for regional-level approaches to rationalize and harmonize
regulatory procedures/frameworks to facilitate PPPs.
12.2.8 Biosafety in the broader context of biosecurity

Organizer:
FAO Nutrition and Consumer Protection Division, Italy
Facilitators:
Ruth Frampton, Critique Limited, New Zealand and Masami Takeuchi, FAO Nutrition and Consumer Protection Division, Italy
Panel Members:
Ruth Frampton, Critique Limited, New Zealand
Bertrand Dagallier, Organisation for Economic Co-operation and Development (OECD), France
Sol Ortiz Garca, Consejo Nacional de Ciencia y Tecnologa (CONACYT), Mexico
Marilia Nutti, Brazilian Agricultural Research Cooperation (EMBRAPA), Brazil
Rapporteur:
Some weeks before the session took place, the organizers contributed a short Issue paper1,
focusing on the key topics to be discussed during the session, which was attended by 40
1 Available at www.fao.org/fileadmin/user_upload/abdc/documents/biosecurity.pdf

people. Biosafety in the broader context of biosecurity generally refers to the safe use
of new biotechnologies through management of biological risks associated with food and
agriculture. The term biosecurity has been used by FAO to describe a strategic and
integrated approach that encompasses the policy and regulatory frameworks for analyzing
and managing relevant risks to human, animal and plant life and health, and associated risks
to the environment. The value of the approach was recognized in the session.
In response to the introductory presentation, some participants suggested that the term
biosecurity could be improved upon, given that currently biosecurity means different
things in specific country contexts. FAO case studies indicated how this integrated approach
may be used to rationalize decision-making around risk analysis. The benefit of identifying
coordination mechanisms, yet using the existing institutional arrangements in the countries
and the regions was highlighted. It was stressed that the approach should not add another
layer to existing national structures.
One of the presentations highlighted that various biotechnologies being used in developed
countries have potential to provide useful tools, such as pest/disease diagnosis and traceability
tools in the implementation of risk management. At the same time, development and the
use of some of the tools would require food and/or environmental safety assessments.
Examples of international efforts on biosafety were introduced by the OECD: one on
environmental safety and one on food safety. Multilateral initiatives led by Mexico and
Brazil to develop consensus documents were presented. OECD consensus documents are
voluntary and risk-oriented guidance documents and are used by many countries and many
sectors. The relationship, similarities and differences between OECD consensus documents
and Codex texts were also discussed.
The various uses of the capacity building needs assessment tool in identifying gaps,
avoiding inconsistencies and prioritizing actions were presented. It was particularly useful
for cross-cutting capacity building since cost-effectiveness and usefulness of focused
interventions were demonstrated through two case studies. Issues around biotechnology
are cross-cutting and often require a multidisciplinary integrated approach.

12.2.9 Intellectual property rights in agricultural biotechnology
Organizer:
World Intellectual Property Organization (WIPO)
Facilitator:
Anja von der Ropp, WIPO, Switzerland
Panel Members:
Jorge Cabrera Medaglia, National Biodiversity Institute (INBio), Costa Rica
Raimundo Ubieta Gomez, Centre for Genetic Engineering and Biotechnology, Cuba
Decio Ripandelli, International Centre for Genetic Engineering and Biotechnology (ICGEB), Italy
Rapporteur:
Peter Gardiner, CGIAR Independent Science and Partnership Council, Italy
National and international agencies and organizations invest in the production of biotechnologies
for the improvement of agriculture with high expectations as to accessibility of research
results and products. Property rights establish ownership and influence access to, and the
distribution and use of, the products and processes of biotechnological applications.
It remains to be established what kind of intellectual property (IP) legislation optimizes
innovation and the dissemination of products. The current regulatory framework is complex.
Several international instruments are relevant, such as TRIPS (the WTO Agreement on
Trade-Related Aspects of Intellectual Property Rights), UPOV (International Union for
the Protection of New Varieties of Plants), CBD (Convention on Biological Diversity),
ITPGRFA (International Treaty on Plant Genetic Resources for Food and Agriculture) and
a WIPO instrument under discussion. The flexibility within international instruments may
build opportunities for national options to deal with different sorts of IP. Several countries
have formulated IP protection systems based on their social and commercial needs. They
include: Common knowledge varieties in national lists under Mexican seed law; the
Brazilian Agricultural Research Cooperation (EMBRAPA) benefited from the existence of
a comprehensive national IP policy since 1996 in negotiations with international providers
of IP; and Cubas IP law to protect national investments in biotechnology in the health and
food security sectors. Equally important might be a pragmatic treatment of technology
transfer using best practices and sound contracts.
New public-private partnerships are appearing that combine public sector research
with private sector resources and development expertise, e.g. EMBRAPA-BASF. Similarly,
there are initiatives to overcome difficulties in developing countries to access protected
technologies, e.g. the African Agricultural Technology Foundation (AATF). There are also
increasing opportunities for collaboration and augmentation of capacities by joining global
(e.g. ICGEB) or regional networks.
There is a development away from seeing technology transfer from research institutions
as simply a means of generating revenue, to ensuring product development that is of benefit

to society and dissemination of these products. IP management has to support strategic
biotechnology goals at the institutional level. IP capacity needs to be improved to enhance
the producers of biotechnology and not just treat developing countries as recipients.
Practical tools are needed to obtain information updates on IP and biotechnologies,
and intelligent search engines to scan agricultural innovations (such as the patent landscape
developed by CAMBIA with WIPO support).
12.2.10 Policy
coherence in biotechnology at the national and regional levels:
The experience of COMESA, ASEAN and CARICOM regions
Organizer:
United Nations Conference on Trade and Development (UNCTAD)
Facilitator:
Thomas Dubois, International Institute of Tropical Agriculture (IITA), United Kingdom
Panel Members:
Walter Alhassan, Forum for Agricultural Research in Africa, Ghana
Banpot Napompeth, Kasetsart University, Thailand
Wendy Hollingsworth, Policy NetWorks International Inc, Barbados
Rapporteur:
Gregory Jaffe, Center for Science in the Public Interest, United States
This session presented the experiences of the COMESA (Common Market for Eastern
and Southern Africa), ASEAN (Association of Southeast Asian Nations) and CARICOM
(Caribbean Community and Common Market) in developing regional and national
biotechnology policies in agriculture.
The first presentation was given by Walter Alhassan, on behalf of Charles Mugoya and
Michael Waithaka from the Association for Strengthening Agricultural Research in Eastern
and Central Africa (ASARECA) in Uganda. He discussed the regional activities that have
been conducted by COMESA to harmonize biosafety policies related to genetically modified
organisms (GMOs). COMESA has drafted guidelines and policies for handling commercial
plantings of GMOs, trade in GM products, and emergency food aid with GM content. The
regional work has also involved a biosafety roadmap to help national government establish
biosafety frameworks, a communications strategy, and an analysis of the economic impacts
on trade if the region grows GMOs.
The second presenter, Banpot Napompeth, provided the participants with a discussion
of the current status of biotechnology development and biosafety regulation in the ten
ASEAN countries. He explained that the countries ranged from having functional biosafety
systems with commercial GMOs to countries with only an outline of their biosafety system
and no research into GMOs. He also reported no regional activities in this area.

The final presenter, Wendy Hollingsworth, discussed the process that CARICOM
has used to draft a regional biotechnology policy and strategy. She described a bottom-up
approach involving stakeholder meetings in six representative countries and an effort to
fit the regional policy within the content of other regional priorities, such as the regional
agricultural policy. She ended with her thoughts on implementation considerations after
the document is adopted by CARICOM.
The discussion focused on three general questions. First, the audience was asked about
the general advantages or benefits to regional guidelines. The major points that were raised
in the discussion were:
}} efficiency (reducing costs and sharing resources);
}} allow for regional trade;
}} harmonization of technical requirements, regulatory procedures, and legislation;
}} the fact that regional risk assessments could lead to approval in multiple countries;
}} building and sharing capacity;
}} incentive for product development, investment, market access.
The participants then discussed the hurdles to establishing regional guidelines. The points
raised included:
}} the fact that different countries are at different stages of development;
}} countries want to maintain autonomy in the decision process;
}} potential conflict with pre-existing laws and regulations;
}} cooperation needed by different ministries;
}} lack of a GMO product to test the system; the need for political commitment;
}} the establishment of a regional secretariat to carry out the policy/guidelines (regional
infrastructure).
Finally, the participants addressed which priorities that need tackling at the regional level.
The interventions focused on:
}} capacity building - human resources and also infrastructure;
}} financial sustainability of the regional guidelines;
}} an effective regional body;
}} education of national decision-makers;
}} quantitative (cost-benefit) analysis related to the value of the regional guidelines.

12.2.11 Utilization of plants for non-food uses: Challenges and perspectives
Organizer:
United Nations Industrial Development Organization (UNIDO)
Facilitator:
George Tzotzos, UNIDO, Austria
Panel Members:
Ivan Ingelbrecht, Ghent University, Belgium
Luis Herrera Estrella, Centro de Investigacin y de Estudios Avanzados del Instituto Politcnico Nacional (Cinvestav), Mexico
Jonathan Gressel, Weizmann Institute of Science, Israel
Antonio Paes de Carvalho, Federal University of Rio de Janeiro, Brazil
Rapporteur:
Dulce de Oliveira, Ghent University, Belgium
There were 45 participants for this session. Ivan Ingelbrecht and Luis Herrera Estrella
provided a general overview of non-food uses for plants, the former discussing the
perspectives of the bioeconomy to address global challenges such as population growth
and environmental degradation both in the OECD countries and sub-Saharan Africa,
while the latter discussed the present and future applications of transgenic plants for non-
food/feed uses. He highlighted added-value applications such as production of molecules
of pharmaceutical and industrial uses, biodegradable polymers, biofuels, specialty oils, and
also environmental sanitation applications such as bioremediation.
Jonathan Gressel and Antonio Paes de Carvalho are entrepreneurs in the field and
presented two cases studies. The former presented the case study of genetic engineering
marine microalgae for meeting global needs for feed and energy. He concluded that marine
microalgae are excellent fishmeal substitutes; do not compete for land and water; can
sequester industrial carbon dioxide; are efficient fertilizers; have high productivity; and
can generate multiple products. However, to be used, microalgae need domestication for
reliability, productivity and composition and this can be achieved via gene engineering. The
latter presented the case study of the development of a biodiversity-related bioenterprise
in Brazil. He discussed the different steps to adding pharma value to biodiversity from
the regulatory background to market and return of benefits. He expressed the opinion
that biodiversity-related biotechnology projects are an excellent mechanism to operate
the transfer of technologies to farmers and to local biotechnology enterprises, and that
biotechnology companies arising as spin-offs of academia in developing countries should
be regarded as prime targets for high-tech biotechnology transfer to these countries.
In this way, research, technological development and appropriate innovation would
actually reach developing countries. He concluded that small biotechnology enterprises
in developing countries share similar problems of growth with small farmers and should
be treated accordingly by international organizations that purport to make biotechnology
a tool to help the poor.

During discussion, the panelists and participants identified the following constraints
for the adoption of white biotechnology:
}} Current policies are not conducive for adding economic value to biodiversity and
concomitant bio-business development.
}} State funding and private venture capital are currently inadequate for bio-business development.
}} There is considerable lack of awareness of the opportunities opened up by biotechnology
for industrial applications.
The general conclusions from the discussion were:

}} Non-food biotechnology applications are amenable for socio-economic development
particularly in rural areas, provided they do not compete with food production.
}} Increasing crop production is only part of the solution to reduce poverty. There is need
to move away from subsistence farming to systems that make agriculture a vehicle for
generating higher standards of living and thus better health.
}} Biotechnology offers new opportunities to add value to genetic resources, and therefore
inability to access genetic resources constitutes opportunity loss.
Recommendations to overcome the constraints identified and other concerns were:

}} Industrial applications of biotechnology should not compete with food production.
}} Non-edible products should preferably be produced in non-food crops. Food crops
for the production of industrial products should only be used provided they do not
compromise human and environmental safety. Adequate safety assessment on a case-
by-case basis is a necessary pre-condition.
}} Policies that promote the establishment of appropriate infrastructures for the adoption
of new technologies through North-South and South-South partnerships should receive
more attention by policy-makers and international donors.
}} Initiatives for generating awareness about the opportunities offered by new technologies
and the management of intellectual property assets should become a priority in capacity
building programmes.
Although not explicitly referred to in this session, a recent initiative of UNIDO addresses
the constraints and recommendations raised during the discussion. The International
Industrial Biotechnology Network (IIBN) is dedicated to assisting countries in accessing
and developing biotechnologies for sustainable industrial development. The goals of IIBN
will be achieved by developing demand-driven projects; offering institutional capacity
building through specialized training in research and areas deemed critical for product
development and technology adoption; and raising awareness of governments and industry
of the opportunities and challenges posed by the emergence of bio-based industries.

12.2.12 Enhancing human capacities: Training and education
Organizer:
International Centre for Genetic Engineering and Biotechnology (ICGEB)
Facilitator:
Roger Beachy, National Institute of Food and Agriculture, United States
Panel Members:
Godelieve Gheysen, Ghent University, Belgium
Idah Sithole-Niang, University of Zimbabwe, Zimbabwe
Jorge Allende, Universidad de Chile, Chile
Sudhir Sopory, ICGEB, India
Rapporteur:
Decio Ripandelli, ICGEB, Italy
This double session, attended by close to 70 participants, aimed to address some of the
most urgent needs for building capacities in agricultural biotechnologies in developing
countries, taking stock from past experience and looking into a new perspective determined
by a number of scientific, socio-economic and cultural changes that have deeply affected
the scientific environment.
Roger Beachy opened the session by providing the audience with some of the issues that
in his opinion needed to be addressed, such as the need to educate more young scientists
using, wherever feasible, the best tools available. He also emphasized that in the case of the
developing world, it is essential that scientists apply the knowledge they acquire to solve
the problems affecting their countries and that in the case of agriculture there must be a
direct relationship between discovery and its relevant application in the field. Presentations
by the Panel Members then followed.
Godelieve Gheysen provided a description of the training activities implemented by
the Institute of Plant Biotechnology for Developing Countries (IPBO), and in particular
the e-biosafety training which was developed in conjunction with the UN Industrial
Development Organization (UNIDO). This programme is proving to be very successful,
although it now needs some revision to maintain its attractiveness and overcome some
challenges faced in the first years of operation.
Idah Sithole-Niang presented the MSc course in biotechnology developed in the
last 20 years in her University, as well as the biosafety training activities implemented
in collaboration with other regional and international entities, and in particular those
developed in partnership with the Program for Biosafety Systems (PBS), with the mission
of empowering countries for science-based biosafety.
Jorge Allende introduced the training programmes of his University. He then elaborated
on some aspects relevant to the three major changes that, in his opinion, are influencing
training of biotechnologists in the second decade of the 21st century namely, a drastic

paradigm shift in the science of biology; an important geopolitical change among developing
countries; and the increased need for interaction between science and society.
Sudhir Sopory described the training activities being undertaken by the ICGEB, as well
as some of the forefront research being implemented in the ICGEB laboratories, upon which
the same training activities are based. He then proposed some models to enable training
programmes to tackle changes relating to the new generations of agricultural biologists and
for mid-career scientists respectively.
The lively discussion that followed provided a wide spectrum of considerations and
suggestions for future enhancement of capacity building activities. The following were
considered as most relevant for future action by national governments, the FAO and other
international and regional organizations:
}} In parallel with the Biosafety Clearing House established by the Convention on
Biological Diversity (CBD) Secretariat, FAO should establish a coordination mechanism
that would allow all institutions providing educational training and capacity building
in agricultural biotechnology to share their experiences and, possibly, define synergies
for future actions (e.g. sharing success stories of governmental programmes aimed at
stimulating the enrolment of young students in scientific faculties);
}} In order to respond to society needs, universities and other training institutions should
develop educational curricula that would allow future biotechnologists to be conversant
on issues that are not directly related to their science, such as entrepreneurship, technology
transfer, intellectual property rights etc., keeping in mind, however, the need to maintain
different specialization, as a scientist needs to remain a scientist. The use of e-learning
methodologies would also prove an asset in this respect.
}} Enhance South-South cooperation initiatives such as those implemented by some of
the strongest developing countries, or by the ICGEB, in collaboration with the
Academy of Sciences for the Developing World (TWAS) and the UN Educational,
Scientific and Cultural Organization (UNESCO), and other potential partners such as
FAO, the CGIAR, as well as regional centres such as the Inter-American Institute for
Cooperation on Agriculture (IICA), to ensure that collaboration among more proficient
countries and scientifically lagging countries will eventually benefit the building of
capacities in the latter.

chapter 13
Summary Reports of Regional
Parallel Sessions
13.1 Introduction
During the ABDC-10 conference, a total of 27 parallel sessions were held over the first
three days. Five of them were region-specific and, for these, FAO invited relevant regional
organizations to organize parallel sessions for their region. The scope of each regional session
was to address the potential role of biotechnologies for agricultural development in the region
and to cover the entire range of biotechnologies across all the food and agricultural sectors.
In addition, FAO suggested that it would be important to address both cross-sectoral and
sector-specific themes and that, in this context, the strengths, weaknesses, opportunities
and threats (SWOT) analysis method should be used to evaluate the SWOT in terms of
the generation, adaptation and adoption of appropriate biotechnologies in the region. The
organizers of each session were also invited to contribute an Issue paper providing a brief
overview and potential analysis of the current SWOT to facilitate discussions during the
session, with analysis in the paper covering three levels: strategy/policy options, institutional
and human resources. The five Issue papers were made available on the web some weeks
before the Conference, at www.fao.org/biotech/abdc/backdocs/en/.
Each regional session lasted one hour and 45 minutes and took place on 3 March
2010. The structure that FAO suggested to the organizers for each session was one
with 12 speakers/panellists, each of whom would speak for 10 minutes (providing a
brief background on the topic and setting the scene) followed by an open discussion
moderated by a facilitator. All presentations from these five parallel sessions are available at
www.fao.org/biotech/abdc/parallel/en/.
The organizers then prepared a short summary report from their session, which was
presented to the Plenary Session by a Rapporteur on the morning of 4 March 2010. This
chapter presents the summary reports of these five parallel sessions.

13.2 Reports of the Parallel Sessions
13.2.1 Latin America and the Caribbean

Organizers:
Inter-American Institute for Cooperation on Agriculture (IICA), the International REDBIO Foundation and the Technical Cooperation
Network on Agricultural Biotechnology in Latin America and the Caribbean (REDBIO)
Facilitator:
Michelle Chauvet, Universidad Autnoma Metropolitana, Mexico
Panel Members:
Rodomiro Ortiz, international consultant, Peru
Moiss Burachik, Ministry of Agriculture, Livestock and Fisheries, Argentina
Rapporteur:
Bryan Muoz, IICA, Costa Rica
An Issue paper was prepared prior to the meeting, and is available at: www.fao.org/fileadmin/
user_upload/abdc/documents/iicaredbio.pdf. During this parallel session, attended by over
65 people, three presentations were made in the first part of the session by experts in crop
breeding and biotechnology, biosafety, and animal research. For the second part of the session,
guidelines for SWOT analysis and priorities were provided for discussion.
Rodomiro Ortiz opened the session with a summary of the relevant advances made
in traditional and modern crop genetic improvement assisted by biotechnology in Latin
America. He noted that agro-biotechnology implies a direct relationship between the private
sector, government and researchers; and that human resources, technology and expertise
should be shared and optimized through national and regional integration including research
networks, in order to maximize the potential of the region.
Moiss Burachik emphasized that biosafety regulation needs to be understood as a
scientific process, and that the expertise and proficiency of human resources are essential
to accomplish this task. To be strong as a region it is important to define harmonized
regulatory processes that will have to include all the most relevant aspects that are within
the regions best interests without overlooking national interests, but of course some
concessions need to be made. Also reaching a workable consensus as a region before the
international community and international fora is as important.
Arthur da Silva Mariante highlighted the importance of traditional biotechnology over
transgenesis in the field of animal breeding. Artificial insemination is probably the most
widely used biotechnology in animal science for Latin America. Moreover, some countries
have had great advances in embryo transfer and cryogenesis. However, the lack of equipment,
information about breeds, and trained technicians are still the greatest challenges.
During the second part of the session, the group concluded that Latin America is
rich in biodiversity and natural resources (including aquatic and animal resources); is a
chapte r 13 Summary Reports of Regional Parallel Sessions 527

worlds supplier for genetically modified (GM) seeds and food/feed crops products; and
has several functioning networks of experts. On the other hand, the region is still in great
need of capacity development for human resources and tools; GM seeds and the food/feed
market are controlled by few companies; and the high cost of biotechnologies and biosafety
regulation make it difficult for poor farmers to access them.
During the session, the absence of the English-speaking Caribbean countries in the
Latin American regional networks was noted, and that there is still debate about transgene
flow, especially for countries that are centres of origin or mega diverse.
The group also strongly emphasized that one of the greatest weaknesses in the region is
the lack of coordination between the Ministries of Agriculture and the Environment. This
situation makes it difficult to define a clear policy on biotechnology and biosafety and, as
a clear consequence, hinders its development.
SWOT analysis
Strengths Weaknesses
Latin America and the Caribbean (LAC) has greater biodiversity and
yy There is still a need for capacity development of human resources
yy
natural resources than other regions in the world. It is also rich in and institutions working in biotechnology.
aquatic resources. There are difficulties in performing monitoring after field release,
yy
REDBIO/FAO is a consolidated network functioning in LAC.
yy mainly in countries that are centres of origin.
Regional and sub-regional networks in LAC are an important
yy Different opinions in Ministries of Agriculture and Environment
yy
asset to share knowledge and expertise in genetic resources make it difficult to reach agreement in developing biotechnology for
management and biotechnology. the region.
LAC has a significant critical mass of experts in biotechnology.
yy English-speaking Caribbean countries do not participate in most of
yy
The Southern region is a major supplier for GM cereals and oil
yy the networks functioning in Latin America
seeds and food/feed products.
Opportunities Threats/Challenges
There is opportunity for horizontal cooperation between countries,
yy Avoiding the potential for transgene flow, especially in centres of
yy
including South-South cooperation. origin and mega diverse countries.
The Southern region is in a strong position to negotiate in the GM
yy Transgenic seeds are being controlled by a few companies.
yy
oil seeds and cereal markets. High costs of the technologies make it difficult for poor farmers to
yy
There is an aquaculture network that can be used to explore the
yy acquire them.
possibilities of using biotechnologies in aquatic resources. Disagreements within the scientific community hinder the
yy
There is willingness to work towards the development of
yy development of biotechnologies.
biotechnologies. Over-regulation of modern biotechnology can raise the costs or
yy
To advance in participatory communication/information of
yy even block research and release of products developed by the
biotechnology and biosafety public sector.
Priorities
Before concluding the session, the group decided what actions should be priorities of FAO
for Latin America and the Caribbean, in order to advance biotechnology. The following
were identified:
}} strengthen existing knowledge sharing and research networks and platforms in
biotechnology;

}} develop training programmes and tools in biotechnology and biosafety (e.g. risk
assessment, molecular techniques, animal breeding, molecular markers, etc.);
}} harmonize methodologies and legislation in biosafety;
}} generate and promote consultation mechanisms for decision-making in biotechnology
and biosafety;
}} establish communication channels and science-based information in biotechnology and
biosafety that promotes ample participation and technology transfer;
}} promote a regional position on biotechnology and biosafety at international fora;
}} coordinate existing biotechnology and biosafety databases.
13.2.2 West Asia and North Africa

Organizer:
Association of Agricultural Research Institutions in the Near East and North Africa (AARINENA)
Facilitator:
Alex Percy-Smith, University of Aarhus, Denmark
Panel Members:
Osama Momtaz, Agricultural Genetic Engineering Research Institute (AGERI), Egypt
Ahmad Abdul Kader, General Commission for Agricultural Scientific Research, Syria
Rapporteur:
Osama Momtaz, AGERI, Egypt
An Issue paper was prepared prior to the meeting, and is available at www.fao.org/fileadmin/
user_upload/abdc/documents/aarinena.pdf. This session was attended by 17 participants
and the speakers set the scene for discussions. The session presentation was divided into
three parts.
The first part, by Osama Momtaz, dealt with the characteristics of the West Asia and
North Africa (WANA) region with several development problems, among them poverty,
lack of gainful livelihoods, shortage of water, droughts and desertification, and conflicts. It
also included the AARINENA mission in contributing to the enhancement of agricultural
and rural development in the WANA region through fostering agricultural research and
technology development and promoting the exchange of scientific and technical experience
and information, as well as strengthening collaboration within and outside the region to
achieve a greater degree of self-reliance in food and agriculture. It also reported on the
geographical distribution of the AARINENA Networks and reviewed the current status
of biotechnology application in the WANA region. The second part of the presentation
was delivered by Ahmad Abdul Kader and dealt with the SWOT analysis for agricultural
biotechnology in the region. The third part of the presentation was delivered by Michael
Baum and dealt with the SWOT analysis for livestock biotechnology in the WANA region.

SWOT analysis
The WANA region can subscribe to many of the points discussed in other sessions of
the Conference. However, a quick region-specific SWOT analysis carried out during the
discussion led to the following main results:
Strengths Weaknesses
The region has some well-equipped laboratories and some trained
yy In the region, there is a general lack of public awareness and poor
yy
personnel. communication about biotechnology.
An agri-biotechnology network exists.
yy There is a lack of regional cooperation in this very heterogeneous
yy
The region has several centres of biodiversity.
yy region.
The region also has some centres of excellence.
yy There is a lack of harmonization of biosafety regulations and a lack
yy
of risk assessment and management expertise.
Livestock and fisheries are increasing in demand but there is a lack
yy
of focus on these sectors.
There is a lack of integration of technologies into breeding
yy
programmes
There is a lack of product development skills.
yy
Opportunities Threats
International organizations are in a strong position to contribute.
yy Political instability and the socio-economic situation may be a
yy
There is a considerable potential for private sector involvement.
yy threat in the region.
Similar problems within the region mean that solutions may be
yy The region is the centre of origin for many species, therefore there
yy
shared. Developing regional projects to address shared constraints is a risk posed by genetically modified organisms (GMOs) on
such as water scarcity, would strengthen the region. biodiversity.
Develop a regional biosafety regulatory framework tailored to
yy Intellectual property rights are a matter of concern.
yy
national priorities. There is an absence of regional policy and national strategies,
yy
More R&D is required based on demands from broad stakeholder
yy setting priorities addressing the use and integration of
groups. biotechnology in the agricultural sector with lack of cooperation,
Integrating the best outputs of agricultural biotechnology into
yy dialogue among the different stakeholders including academia,
conventional national breeding programmes should remain the research, industry, private sectors and government.
major direction. Biosafety systems are not fully operational in many countries and
yy
are not harmonized in the region.
There is a lack of national and international funding.
yy
Tools for technology transfer are inadequate and often inaccessible.
yy
The SWOT analysis was then translated into an outline for a priority action plan.
Preliminary priorities for action plan in agricultural biotechnology in WANA

}} map and assess available resources and capacities;
}} identify the gaps;
}} evaluate national strategies to introduce biotechnology into research programmes;
}} prioritize a product of interest for the region;
}} direct capacity building for human resources in the field.
This action plan must be further developed.

13.2.3 Sub-Saharan Africa
Organizer:
Forum for Agricultural Research in Africa (FARA)
Facilitator:
Idah Sithole-Niang, University of Zimbabwe, Zimbabwe
Panel Members:
Jane Morris, African Center for Gene Technologies, South Africa
Adama Traor, Comit National de la Recherche Agricole, Mali
Rapporteur:
Jacob Mignouna, African Agricultural Technology Foundation (AATF), Kenya
An Issue paper was prepared prior to the meeting, and is available at www.fao.org/fileadmin/
user_upload/abdc/documents/fara.pdf. There were around 80 participants in the session.
Priority actions for sub-Saharan Africa

The group discussed and identified many priority areas for interventions. However, there
is a need to maximize the use of resources. Therefore, out of 15 priority areas identified,
namely: Human Resources and Infrastructure Development (5), Technology (4), Policy
(4), Priority Actions for International Community (2), the following are considered to be
the key priority areas at the present time:
}} provide resources to establish and manage a biotechnology laboratory of excellence
in West Africa;
}} train in molecular techniques for breeding against climate change;
}} use biotechnology for value addition and mitigation of post-harvest losses;
}} harmonize biotechnology/biosafety regulations and trade agreements.
Institutional arrangements for implementation

FARA in collaboration with its stakeholders:
}} sub-regional organizations;
}} national agricultural research systems;
}} farmer-based organizations;
}} private sector;
}} biotechnology supporting institutions in Africa (AATF, Africa Harvest Biotech
Foundation International, International Service for the Acquisition of Agri-biotech
Applications etc);
}} development partners;
}} extension services.

13.2.4 Asia-Pacific
Organizer:
Asia-Pacific Association of Agricultural Research Institutions (APAARI)
Facilitator:
Sudhir Sopory, International Centre for Genetic Engineering and Biotechnology (ICGEB), India
Panel Members:
Jawahir Karihaloo, APAARI, India
Chanda Nimbkar, Nimbkar Agricultural Research Institute, India
Rapporteur:
Tashi Samdup, Council for Renewable Natural Resources Research of Bhutan (CoRRB), Bhutan
An Issue paper was prepared prior to the meeting, and is available at www.fao.org/
fileadmin/user_upload/abdc/documents/apaari.pdf. Two presentations were given that
provided background to the session topic. The first was on Harnessing crop biotechnology
for food security in the Asia-Pacific region by Jawahir Karihaloo. The second was on
Biotechnologies in livestock, poultry, fisheries & aquaculture in the Asia-Pacific region
by Chanda Nimbkar (presented on behalf of Oswin Perera, University of Peradeniya, Sri
Lanka and Chanda Nimbkar). These highlighted some successes at the field level application
of biotechnology in crops, livestock, and fish and aquaculture in the region. They included
application of micropropagation, marker-aided selection, mutation and haploidy breeding, and
GM technology in crops with proven benefits to farmers and other stakeholders. Similarly,
in the livestock sector, cryopreservation and artificial insemination have been adopted with
success in several countries and have resulted in improved milk yields. Biotechnological
tools are being used extensively in the production of vaccines and diagnostics.
During the discussion, the participants recounted more success stories, also mentioning
that there are considerable strengths in biotechnology R&D in some Asia-Pacific countries,
including region-based international centres, which need to be harnessed for the benefit
of the entire region.
The SWOT analysis revealed the following constraints:
}} policy support not very conducive in many countries;
}} limited and unsustained funding for biotechnology R&D;
}} limited capacity (technology, technology adaptation and adoption, regulatory and
intellectual property (IP) issues, communication) in many countries, especially in small
island nations;
}} less attention being paid to livestock and fishery biotechnology;
}} limited public awareness and difficulty in dealing with IP issues;
}} regulatory management systems need streamlining

Based on an in-depth analysis of the SWOT, the following recommendations were made
for priority actions:
Create an enabling environment

}} extend and enhance policy and funding support to biotechnology R&D;
}} adopt need-based biotechnology tools and techniques, and integrated strategies and
package of practices to improve small farm-level productivity and profitability;
}} adopt IP and benefit-sharing policies appropriate to the need to protect farmers and
consumers interests.
Build capacity
}} strengthen, with support from FAO and other donor agencies, some existing national
institutions to serve as Regional Hubs for sustained capacity building, especially in
education;
}} collaborate in regional and interregional capacity building through support of national
agricultural research systems, CGIAR (Consultative Group on International Agricultural
Research) centres, ICGEB, and regional fora like APAARI.
Improve regulatory management

}} adopt biosafety regulatory systems based on robust science and transparent approval
processes;
}} facilitate transboundary movement of biotechnology products through bilateral and
regional arrangements including agreed biosafety information requirements and data
acceptance.
Enhance awareness through education and communication

}} develop educational tools, status reports and web-based information systems;
}} include biotechnology and agriculture oriented courses in school syllabi;
}} train scientists not just in the field of biotechnology but also on issues of agriculture
and food security, environment safety and in communication skills;
}} organize dialogues between scientists, civil society organizations, farmers organizations
and consumer groups.
Strengthen linkages
}} foster regional linkages within the Asia-Pacific region; South-South linkages; North-
South linkages; public-private linkages; public-public linkages;

}} draw on existing regional fora like APAARI, AARINENA, FARA and networks to
develop linkages;
}} conduct workshops to define available resources and needs, followed by mutually
agreed work-plans.
13.2.5 Europe and Central Asia

Organizer:
FAO Regional Office for Europe and Central Asia
Facilitator:
Joachim Schiemann, Federal Research Centre for Cultivated Plants, Germany
Panel Members:
Atanas Atanassov, Black Sea Biotechnology Association, Bulgaria
Guy Van den Eede, European Commission Joint Research Centre, Italy
Rapporteur:
Joachim Schiemann, Federal Research Centre for Cultivated Plants, Germany
An Issue paper was prepared prior to the meeting, and is available at www.fao.org/
fileadmin/user_upload/abdc/documents/eca.pdf. Although having experienced a similar
historical past under the former centralized political system, the countries of the Eastern
European and Central Asian (ECA) region are now facing considerable divergence with
regard to development and implementation of their national biotechnology and biosafety
strategies, policies and, when necessary, regulatory frameworks. These biosafety policies,
drafted or officially adopted and existing often only on paper but not implemented, are
hardly embedded in a larger context of a sustainable biotechnology strategy. Almost all
ECA countries failed in developing or enforcing functional frameworks that allow taking
advantage of a wide range of biotechnologies and particularly to bring locally developed
biotechnology inventions into farms and on the market.
The countries from ECA have traditionally good secondary and higher education systems,
which address different aspects of biotechnology research in crops, forestry, livestock, fisheries
and food. The transition period in their economies, however, severely influenced the process of
depletion or loss of intellectual and technical personnel, especially in the young generation. The
disinclination of policy-makers to implement adequate strategies for prioritizing biotechnology
research, or adopting too restrictive, over-regulated biosafety legislation caused additional
reflux of highly qualified young experts from a biotechnology vocation.
During the session a priority list of actions for the Region, the European Union (EU) and
international organizations was developed and discussed. Some actions defined are specific
for the region, the EU or international organizations, while others may concern all players.

For the region
}} develop and implement a national strategy for agricultural biotechnology in every
country of the region;
}} establish and make effective use of competent biosafety authorities in every country
for independent and science-based environmental risk assessment;
}} improve and strengthen East-East cooperation by establishing regional centres of
excellence, exchange of genetic resources and methodologies;
}} set priorities for R&D in biotechnology, focused on local strengths and needs.
}} develop and implement educational programmes on biotechnology, biosafety and
intellectual property rights;
}} develop and implement strategies for science-society communication to raise public
awareness on agricultural biotechnologies;
}} provide conditions that local biodiversity is fully explored in breeding programmes.
For the EU
}} the EU is seen as a role model by many countries of the region. Therefore, attention
should be paid to base political decisions on verifiable scientific data; to implement
agricultural biotechnology developments; and to execute regulatory procedures in a
consistent and timely manner.
}} support technology transfer, coupled with capacity building on intellectual property
rights.
}} support the establishment of public-private/public-public partnerships in biotechnology
research and innovations in agriculture by exploring existing technology platforms like
Plants for the future.
}} improve the awareness and participation of research institutions and SMEs (small and
medium sized enterprises) located in the region in EU-funded research programmes
on agricultural biotechnology.
For international organizations

}} support networking in the region and internationally.
}} support capacity building in agricultural biotechnology research, extension, application,
and communication with focus on the needs of farmers of the region.
}} advocate for the establishment of national strategies for agricultural biotechnologies
in every country in the region.

14
chapter
Keynote Presentations
14.1 Introduction
This Chapter contains four keynote presentations prepared for the ABDC-10 conference.
The first two are the introductory remarks made by the representatives of FAO and the
Government of Mexico respectively at the Opening Ceremony on 1 March 2010. They were
presented by Mr. Modibo Traor, Assistant Director-General, Agriculture and Consumer
Protection Department, for FAO and by Mr. Mariano Ruiz-Funes Macedo, Sub-Secretary of
the Ministry of Agriculture, Livestock, Rural Development, Fisheries and Food (SAGARPA),
for Mexico. The statements are provided in the original language in which they were presented.
The third presentation is the keynote address prepared by Mr. M.S. Swaminathan, Chairman
of the M.S. Swaminathan Research Foundation (Chennai, India) and Honorary Chair of the
ABDC-10 Conference Steering Committee, which was read by a representative of FAO at the
Opening Ceremony. The fourth presentation is the paper prepared by Mr. Rodney Cooke,
Director of the Operational Policy and Technical Advisory Division of the International
Fund for Agricultural Development (IFAD). The paper is entitled Investing in agricultural
research and agricultural biotechnologies and was presented to the Plenary on 2 March 2010.
14.2 Modibo Traor, FAO
Mr Mariano Ruiz-Funes Macedo, Sub-Secretary of Agriculture, SAGARPA,

Mr Alvaro Garca Chvez, Secretary of Rural Development, State of Jalisco,
Members of the Steering Committee,
Honourable Delegates,
Colleagues,
Ladies and Gentlemen,
It is my great pleasure to be with you today and to welcome you all to the FAO International
Technical Conference on Agricultural Biotechnologies in Developing Countries. I want
to begin by thanking the Government of Mexico for hosting this event in such a beautiful

city, Guadalajara. I also thank our partners in this initiative including SAGARPA, IFAD,
CGIAR, GFAR, ICGEB, and the World Bank. On behalf of the FAO Director-General,
DrJacques Diouf, I thank all of you for your support and commitment for bringing together
the policy-makers, scientists, civil society, and private sector from our member countries to
explore the options and opportunities from biotechnologies for food and agriculture in order
to face the challenges of food insecurity, climate change, and natural resource degradation.
A major objective of this Conference is to take stock of the application of biotechnologies
across the different food and agricultural sectors in developing countries. We expect to learn
from the past successes and failures and chart a better course for the future. The timing for
this dialogue is very opportune as it is taking place in the wake of the Declaration of the
World Summit on Food Security held last November at FAO headquarters which noted
that agriculture in the 21st century faces multiple challenges for doubling food production by
2050, particularly in developing countries. Concrete and appropriate tools and technologies
are needed to underpin national investments and implementation of appropriate policies
for addressing these challenges1.
Modern and conventional biotechnologies provide potent tools for the agriculture sector,
including fisheries and forestry. When appropriately integrated with other technologies
for the production of food, agricultural products and services, biotechnologies can be of
significant assistance in meeting the needs of an expanding and increasingly urbanized
population. In the past few decades, the field of biotechnologies has advanced at a formidable
speed and generated numerous innovations particularly in the field of pharmaceuticals and
some in the field of agriculture. In the food and agriculture sector, it is helping to reduce
losses from some pests and diseases and increasing environmental sustainability, especially
in developed countries. There are new breakthroughs in genomics and bioinformatics that
are expanding our understanding of nature and its diverse functions.
Honourable delegates, colleagues, ladies and gentlemen,
Despite these contributions from conventional technologies and biotechnologies, the

number of underfed in the world is greater today than at any time in our history, standing
at around one billion people. Approximately 75 percent of the worlds hungry and poor live
in rural areas and derive their livelihoods from agriculture. The current unacceptable level
of food insecurity is worsened by the uncertainties of climate change, which hits harder
the developing countries. At the same time, there is demand for improved variety, quality
and safety of agricultural products, driven by urbanization and rising incomes.
1 ftp://ftp.fao.org/docrep/fao/Meeting/018/k6050e.pdf
chapte r 14 Keynote Presentations 537

Our challenge is to increase food productivity, through scientific and sustainable practices
and efficient resource use, while preserving the natural resource-base and environmental
quality. These realities call for adoption of a strategic approach for sustainable production
intensification: a framework that can provide an adequate supply of food of requisite quality
with more efficient and resilient production systems using good farming practices that
make efficient use of the natural resources, coupled with enabling policies and institutional
framework. Intensification must also deliver benefits to farmer livelihoods and support
especially the smallholders who are key to achieving food security.
Scientific and technical advances must underpin the sustainable intensification of
production. A new approach to agricultural research and development is needed that
supports the wider and wiser use of agricultural biodiversity to promote development and
improve food security. New technologies should make their contributions also through
efficiency gains from better management of inputs and biodiversity. This will require
greater involvement of farmers, institutions and communities. It will require other enabling
factors, such as policies, institutional support, and investment in human and physical capital
and in-country capacity building. FAO focuses its activities on support to smallholders
in order to sustainably increase agricultural production, improve access to markets and
enhance livelihoods.
Biotechnologies should play a more direct and critical role with their contributions
and innovations. When biotechnologies are developed and adopted, they should build
upon existing conventional knowledge and technologies. At present, there is a lack
of appropriate and useful technologies, policies, technical capacities, and requisite
infrastructure for their development, evaluation and deployment in most developing
countries. Most biotechnologies often cannot be fully exploited because they are not
well integrated with the components of the production systems. Often, there is emphasis
on genetically modified organisms only, which overshadows all other biotechnologies
and their potential contribution to agriculture. In addition, the synergy between the
public and private sector remains to be harnessed to achieve the desired goal. As a result,
biotechnologies are not yet making a significant impact in the lives of people in most
This Conference is about how to redirect biotechnologies in a way that they can benefit
poor farmers in poor countries and not only rich farmers in rich countries. The international
community should play a key role in supporting developing countries by fostering partnerships
and providing a framework for international cooperation and funding for the generation,
adaptation and adoption of appropriate biotechnologies. Such a process would involve
the leveraging of the outputs, with the existing capacities in the national governments, the
CGIAR centres and other partners committed to provision of public goods in order to

provide a direct access to biotechnologies for the developing world. FAO will continue to
provide all assistance to strengthen national and regional capacities for making informed
decisions with respect to use of biotechnologies.
Honourable delegates, colleagues, ladies and gentlemen,
The Millennium Development Goal to reduce hunger and extreme poverty by half cannot be
met five years from now with a business as usual approach. Appropriate biotechnologies,
if aimed at problems and needs of smallholders in developing counties and supported by
the necessary investments in strengthening national technical and policy capacities, can
contribute toward meeting that goal. The future for agriculture implies a complex set of
challenges, but the battle against hunger must be won.
I wish you a very productive meeting, and look forward to the results of your deliberations.
Thank you for your kind attention.
14.3 Mariano Ruiz-Funes Macedo, SAGARPA, MEXICO
Muy buenos das a todos;

Sr. Secretario De Desarrollo Rural del Gobierno del Estado de Jalisco,
Sr. lvaro Garca Chvez;
Representante personal del Director General de FAO, Sr. Modibo Traor;
Honorables miembros del presdium;
Seoras y seores investigadores y conferencistas, funcionarios y amigos que nos acompaan,
sean todos ustedes bienvenidos a Mxico.

Es un honor para m acompaarlos en la inauguracin de esta Conferencia Tcnica
Internacional sobre Biotecnologas Agrcolas en los Pases en Desarrollo, de gran relevancia
para el sector agroalimentario mundial, y de particular inters del Secretario Francisco
Mayorga, quien les enva un cordial saludo. Agradezco a la FAO haber elegido a Mxico
como anfitrin de este evento, lo que es particularmente significativo porque nuestro pas
fue pionero en la Revolucin Verde, que gener un cambio de paradigma en las prcticas
agrcolas de numerosas zonas del mundo, con el consecuente incremento de la produccin
de alimentos. Nuestro recuerdo y reconocimiento para el Dr. Norman Borlaug y al grupo
de cientficos mexicanos que la hicieron posible.
El reto para producir mas alimentos sigue presente; En congruencia con los objetivos
de aumentar la productividad agrcola y la seguridad alimentaria, conservando los recursos
naturales y la biodiversidad del planeta, establecidos por FAO, resulta relevante esta

Conferencia, que debe ser un ejercicio tcnico de anlisis sobre las experiencias, situacin
actual y perspectivas del uso de la biotecnologa en el sector agroalimentario, a fin de
coadyuvar a la alimentacin de millones de personas en el mundo.
Los desafos no son menores. De acuerdo Naciones Unidas, la poblacin mundial
alcanza 6 mil 800 millones de habitantes, ms de 2.5 veces que en 1950, y se estima que
alcanzar 9mil millones en 2045, lo que se traducir en una enorme demanda de alimentos.
Ese reto es an mayor si se toman en cuenta los efectos negativos del cambio climtico
en la produccin agropecuaria, y el deterioro de los recursos naturales, como resultado
de las actividades humanas. Por ello, las acciones deben orientarse a buscar la seguridad
alimentaria mediante la produccin de alimentos suficientes, inocuos, accesibles y de
calidad, pero cuidando en todo momento los recursos naturales y el medio ambiente. Se
requiere aumentar la disponibilidad de semillas, recuperar la fertilidad de los suelos, hacer
un uso eficiente del agua y darle valor agregado a la produccin primaria.
Esta Conferencia es una oportunidad para analizar la problemtica tcnica y cientfica
de la produccin de alimentos desde diversos puntos de vista. La pregunta relevante es
Cmo la biotecnologa contribuir a atender la demanda alimenticia en un contexto
caracterizado por consumidores cada vez ms exigentes, mejor informados y ms
preocupados, no slo por el contenido mismo de los alimentos, sino por cmo se
produjeron y comercializaron?
La biotecnologaha permitido el desarrollo de nuevas herramientas que, sumadas al
mejoramiento convencional de cultivos y animales, pueden aplicarse con diversos fines, como
el mejoramiento gentico de variedades vegetales y poblaciones animales; el aumento de
rendimientos; la caracterizacin y conservacin de los recursos genticos; y el diagnstico
y prevencin de enfermedades. La gama de posibilidades que ofrece la biotecnologa
tambin debe responder a los cambios en los patrones de consumo, como los alimentos
con propiedades nutraceticas, con ms vitaminas y minerales, y que resistan mejor el
transporte y el almacenamiento. A la vez, debe propiciar que las actividades productivas
sean ms rentables, se produzcan en menores superficies y con un uso mas racional del
agua. Esa es la relevancia y el potencial del tema que hoy nos ocupa.
En Mxico, uno de los principales objetivos del Plan Nacional de Desarrollo, es abastecer
el mercado interno con alimentos de calidad, sanos y accesibles provenientes de nuestros
mares y campos, mediante el desarrollo, adaptacin y adopcin de nuevas tecnologas.
Mltiples de los desafos que enfrenta el sector agrcola en Mxico son fundamentalmente
tcnicos, y deben ser abordados con esa orientacin. De ah la importancia de emprender
un cambio que, por un lado, se base en la experiencia de nuestros agricultores en el
manejo de tcnicas tradicionales y reconozca nuestra riqueza y diversidad biolgica y,
por otro, aplique nuevas tecnologas, para incrementar la productividad. Actualmente,

Mxico cuenta con capital humano e infraestructura para contribuir a los avances de la
biotecnologa y transformarla en un instrumento estratgico para su desarrollo. En las
ltimas tres dcadas, en el pas se ha generado una red de investigacin en biotecnologa,
con ms de mil investigadores de alto nivel y cerca de cien instalaciones con capacidades
competitivas internacionalmente, en diferentes disciplinas. Asimismo, para fortalecer la
formacin de talentos, el pas cuenta con universidades e institutos que ofrecen programas de
postgrado en Biotecnologa y Ciencias Agrcolas, que han abierto sus puertas a estudiantes
e investigadores de otros pases.
Por otra parte, el pas tiene un elevado potencial de crecimiento industrial, en particular
en las reas relacionadas con recursos biolgicos. Existen empresas mexicanas que han
incursionado exitosamente en el desarrollo y fabricacin de productos a partir de
biotecnologas modernas. Ese es el caso de procesos para biofermentacin y produccin de
bioenergticos alternativos; biofertilizantes; y la mejora de las caractersticas agronmicas
de cultivos de alta importancia econmica, principalmente las relacionadas con la resistencia
al estrs bitico.
De acuerdo con la estrategia establecida por el Presidente Felipe Caldern, en el sector
agropecuario se trabaja en cuatro mbitos: uso eficiente de agua, manejo de enfermedades
y plagas, mantenimiento de la fertilidad del suelo y mejoramiento gentico de variedades.
Como en la dcada de los sesenta, la biotecnologa debe ser un instrumento para
que los pases en desarrollo, aprovechen su riqueza biolgica e, insisto, con respeto al
medio ambiente, a la diversidad y a la salud, a fin de impulsar la productividad del sector
agropecuario, incrementar la oferta de alimentos y mejorar las condiciones de vida de
millones de personas en todo el mundo.
Parte importante del desarrollo de esos pases depender de su habilidad para adquirir,
adoptar, desarrollar y difundir innovaciones de productos y procesos basados en la biotecnologa,
cientficamente sustentada y adecuada al contexto de cada pas. Esta Conferencia es una
oportunidad para mirar hacia el futuro, conjuntar esfuerzos e identificar lneas de accin, que sirvan
de marco para la cooperacin internacional y el financiamiento de desarrollos biotecnolgicos.
Por ltimo, quiero hacer un reconocimiento a todos ustedes, investigadores destacados
de varias partes del mundo. Gracias a su labor y compromiso, hoy vemos en la biotecnologa
una herramienta para avanzar en el propsito de poner alimentos disponibles y accesibles
para los prximos aos, mejorar las condiciones de vida de casi mil millones de personas,
que padecen hambre y pobreza en muchas regiones del planeta.
Muchas gracias y les deseo el mayor de los xitos.

14.4 M.S. Swaminathan, Honorary Chair of ABDC-10 Steering Committee

Biotechnology and Shaping the Future of Food Security
Demographic explosion, environment pollution, habitat destruction, enlarging ecological

footprint, co-existence of widespread hunger and unsustainable life styles, and potential
adverse changes in climate all threaten the future of human food, water, health and
livelihood security systems. The year 2010 appears to mark the beginning of uncertain
weather patterns and extreme climate behaviour. Events like temperature rise, drought,
flood, coastal storms and rise in sea level are likely to present new challenges to the
public, professionals and policy-makers. Biodiversity has so far served as the feedstock
for sustainable food and health security and can play a similar role in the development of
climate resilient farming and livelihood systems. Biodiversity is also the feedstock for the
biotechnology industry. Unfortunately, genetic erosion and species extinction are now
occurring at an accelerated pace due to habitat destruction, alien species invasion and
spread of agricultural systems characterized by genetic homogeneity. Genetic homogeneity
enhances genetic vulnerability to biotic and abiotic stresses. To generate widespread
interest in biodiversity conservation, the UN General Assembly has declared 2010 as
the International Year of Biodiversity.
Biodiversity: Feedstock for the biotechnology industry

The global Convention on Biodiversity (CBD) adopted at the UN Conference on Environment
and Development held at Rio de Janeiro in 1992, and the International Treaty on Plant
Genetic Resources for Food and Agriculture adopted by Member Nations of FAO in 2001
provide a road map for the conservation and sustainable and equitable use of biodiversity.
CBD emphasizes that biodiversity occurring within a Nation is the sovereign property of
its people. Hence, the primary responsibility for conserving biodiversity, using it sustainably
and equitably and preserving it for posterity rests with each Nation. This implies that all
Nations should subject development programmes to a Biodiversity Impact Analysis in
order to ensure that economic advance is not linked to biodiversity loss. Inter-generational
equity demands that we must preserve for posterity at least a representative sample of the
biodiversity existing in our planet today.
Initiatives like the recognition of Globally Important Agricultural Heritage Systems of
FAO and the World Heritage Sites of UNESCO are important to generate interest in the
conservation and enrichment of unique biodiversity sites. Particular attention will have to
be given to protecting the protected areas through public education and social mobilization,

in addition to appropriate regulation. Unfortunately, many of the protected areas, National
Parks and Biosphere Reserves are facing serious anthropogenic pressures. Based on the model
of the Biosphere Trust for the conservation of the Gulf of Mannar Biosphere Reserve in India
developed by the M S Swaminathan Research Foundation (MSSRF), Biosphere Reserves could
be jointly managed by local communities and Government departments. The concept of
participatory forest management should be extended to national parks and biosphere reserves.
Special attention should be paid to biodiversity hotspots. Through public cooperation,
they should be converted into biodiversity happy spots, where the sustainable use of
biodiversity helps to generate new jobs and income. Coastal biodiversity has not received
adequate attention. Mangrove wetlands are under various degrees of degradation. The Joint
Mangrove Forest Management procedure developed by MSSRF should be implemented
wherever mangrove genetic resources still occur.
Biodiversity conservation and sustainable management should become a national ethic.
Government agencies including local self-government authorities like Panchayats in India
could play an important role in both spreading biodiversity literacy through Community
Biodiversity Registers and by creating the necessary infrastructure like Gene and Seed
Banks. Awareness of the relationship between biodiversity and human health and farm
animal survival should become widespread.
Women play a lead role in biodiversity conservation and sustainable use. Mainstreaming
of the gender dimension in all conservation and food security programmes is a must.
Women conservers should be enabled to continue their conservation ethos, by providing
support for essential infrastructure. Agro-biodiversity is the result of interaction between
cultural diversity and biodiversity. An important aspect of cultural diversity is culinary
diversity. Every step should be taken to recognize and preserve cultural diversity and to
blend traditional wisdom with modern science.
Biodiversity is the feedstock not only for food and health security, but also for the
management of climate change induced alterations in temperature, precipitation and
sea level. Genebanks for a warming planet have become urgent for promoting climate
resilient farming systems. We must preserve for posterity a sample of the existing genetic
variability in all ecosystems. In this context, the initiative of the Government of Norway
in establishing a Global Seed Vault under permafrost conditions at Svalbard near the North
Pole is a significant milestone in humankinds battle against genetic erosion. The Defence
Research and Development Organisation (DRDO) of India have also recently established
under permafrost conditions at Chang La in the Himalayas a National Gene Bank. The
prospects for climate change have added urgency to efforts designed to save every gene
and species now existing in our Planet.

Good biosafety: Prerequisite for successful biotechnology enterprises
The role of farmers and farming in the mitigation of climate change has not so far been
adequately recognized and appreciated. Farmers can help build soil carbon banks and at
the same time improve soil fertility through fertilizer trees. Mangrove forests are very
efficient in carbon sequestration. Biogas plants can help to convert methane emissions into
energy for the household. Hence, a movement should be started at the global, national
and local levels for enabling all farmers with small holdings and a few farm animals to
develop a water harvesting pond, plant a few fertilizer trees and establish a biogas plant,
in every farm. A farm pond, few fertilizer trees and a biogas plant will make every small
farm contribute to climate change mitigation, soil health enhancement and water for a
crop life saving irrigation.
As a scholar in Genetics at the Cambridge University during 195052, I have followed the
growth of molecular genetics from the time Watson and Crick discovered the double helix
structure of the DNA molecule. Molecular genetics has opened up uncommon opportunities
for solving chronic problems in agriculture and medicine. While all aspects of biotechnology
like micropropagation and food processing are important, the hard core of biotechnology
is recombinant DNA technology. We are now able to transfer genes across sexual barriers
with precision. Marker-assisted selection (MAS) has accelerated the pace of progress of plant
breeding. Varieties developed by MAS are permitted for use in organic farming.
We have now entered an era of climate change leading to potential adverse changes in
temperature, precipitation and sea level. We need new genes for meeting the challenges of a
warming planet. The development of new strains possessing resistance to biotic and abiotic
stresses like salinity and drought needs the help of genetic engineering.
While there are no serious conflicts, other than ethical, in the field of medical biotechnology,
there are apprehensions of threats to human health and the environment in the case food
biotechnology. Therefore, every country should have a National Biotechnology Regulatory
Authority, which is autonomous, professionally led and which inspires public, political,
professional and media confidence. The bottom line of our national agricultural biotechnology
policy should be the economic well-being of farm families, food security of the nation,
health security of the consumer, biosecurity of agriculture and health, protection of the
environment and the security of national and international trade in farm commodities.
I hope the Biotechnology Conference will provide a road map for maximizing the
benefits of the new genetics and minimizing potential risks. Biotechnology can help to
shape the future of sustainable food security.

14.5 Rodney Cooke, IFAD
Investing in Agricultural Research and Agricultural Biotechnologies
14.5.1 The scale of these challenges and why we need to invest

The climate change negotiations of 2009 looked to political will to secure a future worth
living for our children. A future in which there is food security for all. A future in which
the challenge of climate change is acknowledged, addressed and overcome. Critical to
achieving both of these goals is rural development.
The first Millennium Development Goal (MDG) that was adopted by the world leaders
of the UN in 2000 was an undertaking to reduce the number of hungry people by half by
2015 from 850 million at that time, to around 400 million. A few years ago, little progress
had been made and the food price crisis of 200708 actually led this figure to rise to over
1 billion people. Serageldin (2009) referred to this silent holocaust, which causes some
40,000 hunger-related deaths every day.
In IFAD we believe the world community has learnt important lessons from the recent
food price crisis:
First: The world can ill afford to under-invest in agriculture. While the food crisis of
2007/2008 was exacerbated by short-term developments such as crop failures in major
cereal producing countries it was fundamentally a reflection of the failure of world
supply to keep pace with growing demand, largely due to declining or stagnant agricultural
productivity in developing countries after two decades of under-investment.
Second: In todays interconnected world, food crises will undoubtedly have an immediate
and massive impact on the poor in developing countries. Recent estimates indicate that
more than 100 million people joined the ranks of the hungry as a result of the food and
global economic crises.
The worlds population is projected to grow from 6.8 billion to 9.1 billion by 2050.
Most of the growth is expected to take place in developing countries. Feeding 9.1 billion
will require that overall global food production increases by 70 percent. Production in the
developing countries would need to almost double. Over the past three decades, agricultural
productivity in developing countries has been stagnant or in decline, as a consequence
of under-investment in the sector. Developing countries public spending on agriculture
declined from 11 per cent of national budgets in the 1980s to seven per cent in recent years.
Moreover, the share of official development assistance (ODA) allocated to agriculture
dropped from about 20 per cent to four per cent.
While increased food production is necessary, it is not sufficient on its own to avert food
crises. Food security requires distribution mechanisms that enable equal access to food for all

people. It is not enough to increase production and productivity; farmers should be linked
to markets, not necessarily international markets but the last mile to vibrant and competitive
local markets. Smallholder farmers need to increase their production to enhance national food
security, but governments have to create the environment to enable them to do so. The crisis has
shown that smallholder farmers often find it difficult to respond to sharp increases in demand
and higher food prices in the absence of supporting institutions and appropriate infrastructure.
Climate change is expected to put some 49 million more people at risk of hunger by 2020
(IPCC, 2007). In Africa alone, where about 95 per cent of agriculture depends on rainfall,
climate change is expected to cause severe water shortages that will affect between 75 million
and 250 million people by 2020. In some countries, yields from rainfed agriculture could fall
by 50 per cent by the same date. In other words, the people that will pay the price of climate
change are the poor and vulnerable, and especially the three quarters of the worlds poor living
in rural areas and depending on agriculture. These people stand to be hit first and hardest.
However, agriculture is not just a victim, it is also in part a culprit creating climate
change. Agriculture and deforestation together account for an estimated 2635 per cent of
greenhouse gas (GHG) emissions. Afforestation and reforestation, better land-management
practices such as agro-forestry, rehabilitation of degraded crop and pasture land and better
farming practices can all contribute significantly to reducing GHG emissions.
In other words, agriculture as well as being part of the problem can also be part
of the solution to climate change and food security. Nevertheless, most of the key players
are the poor and vulnerable: rural people in developing countries. There are 500 million
smallholder farms worldwide supporting around two billion people, or one third of the
worlds population. They farm 80 per cent of the farmland in Asia and Africa. They produce
80 per cent of the food consumed in the developing world and they feed one third of the
global population. Our focus should be on increasing smallholder productivity, and reducing
their vulnerability.
Rural women in particular need to be able to fulfill their potential. Women are increasingly
the farmers of the developing world, performing the vast majority of agricultural work and
producing between 60 and 80 per cent of food crops. To boost smallholder productivity and
production will require consistent and sustained investment in agriculture. Such investment
can pay huge dividends: GDP growth generated by agriculture is at least twice as effective
in reducing poverty than growth in other sectors (World Bank, 2007).
Two key challenges face humanity, namely our ability to meet the goal of food security
for all while managing climate change. Both of these simultaneously constitute a tremendous
challenge. Old failures in rural development and now these new challenges call for new
solutions in approaching rural poverty reduction. This indicates the important role for
research, but in effective innovation systems.

14.5.2 Innovation systems: Effective investments in agricultural research
Agricultural investment plans must be coherent with overall national plans for economic
development and poverty reduction. They must distinguish between situations which are
amenable to economic development through technical advances, and in cases where the lot
of the poor can be better or must first be improved by other means, such as support for
health, domestic water, education or infrastructure programmes. The planning process will
be country-specific. An essential need in an agricultural research plan is that it provides for
knowledge and information flow in two directions. A farmer-centric participatory approach
requires that the products of strategic and applied research are moved from trained scientists
to farmers in rural communities and that the demands and indigenous knowledge of the
rural community should flow to the scientists. This is multi-disciplinary in its approach
to constraint identification and alleviation and must widen stakeholder participation to
engage the contributions of those concerned with the non-technical constraints to poverty
reduction. These innovation systems intend to lead to sustainable production systems which
include the following attributes (Royal Society, 2009):
}} Utilizes crop varieties and livestock breeds with high productivity per externally
derived input.
}} Avoids the unnecessary use of external inputs.
}} Harnesses agro-ecological processes such as nutrient cycling, biological nitrogen fixation, etc.
}} Minimizes the use of practices that have adverse impacts on the environment and health.
}} Makes productive use of human and social capital in the form of knowledge and capacity
to adapt and innovate, and to resolve common landscape-scale problems.
}} Minimizes the impacts on externalities such as GHG emissions, clean water availability,
carbon sequestration and conservation of biodiversity.
It is essential that rural people are provided with the means to adapt to climate change.
They need seeds that are more resistant to drought or to floods and they need cutting-edge
agricultural technologies. This must be linked to rural financial services to allow them to
invest in the future and to help tide them over in lean times.
14.5.3 What does this mean for agricultural biotechnologies?

Paper ABDC-10/8.12 reminds us that Science, technology and innovation underpin every
one of the MDGs. It is inconceivable that gains can be made in health and environmental
concerns without a focused science, technology and innovation policy (UN Millennium
Project, 2005). Yet the almost total neglect of science and technology (S&T) in the Poverty
2 See Chapter 8 of this book

Reduction Strategy Papers emphasizes again the need for more joined-up S&T management.
Securing appropriate and consistent levels of funding for agricultural S&T has consistently
been hugely problematic for most developing countries.
Options to increase the levels of funding and increase the impact of S&T (derived from
ABDC-10/8.13) include:
Increased funding
}} redirecting part of the total public support package for agriculture to innovative
technological packages;
}} developing much closer partnerships with R&D supported by other ministries and
their donors;
}} encouraging commercialization of agricultural R&D;
}} introducing commodity levies and tax check-offs to support pro-poor agricultural R&D.
Efficiency and targeting of funding

}} moving progressively away from traditional arrangements for centrally-based national
agricultural research organization;
}} changing the criteria for priority-setting and procedures for allocating funds;
}} linking research priorities more explicitly to wider social and economic needs;
}} creating formal structures and mechanisms for stakeholder participation in R&D policy;
}} giving increasing priority to research that is jointly formulated and implemented through
public-private partnerships (PPPs);
}} giving increased priority to research projects on local and regional product value chains
and production systems;
}} In general establishing S&T and innovation funding windows based on thematic
problem-based priorities and value chains;
}} encouraging and enforcing intellectual property protection.
In the crops background paper4 (ABDC-10/3.1), priority options for developing countries
are brought together under eight headings. However, the sequence or flow of these headings
should be perhaps recast as follows:

Countries should develop expertise to ensure that they can make sovereign decisions about
adopting biotechnologies and be able to carry out their own independent, broad-based
risk/benefit analyses of implementing such technologies
3 idem
4 Chapter 1 in this book

Biotechnological research should be more effectively linked to strong and well-resourced
agricultural R&D programmes.
Countries should develop biotechnology capacities of the National Agricultural Research Systems.
Regulation of biotechnology utilization

All countries should be encouraged to establish consistent and transparent, evidence-based
decision-making processes to regulate crop biotechnology R&D, and its application.

Effective and equitable mechanisms for PPP and South-South collaboration should be
established, where appropriate.
Biotechnology development should be strongly linked with strategies for its widespread
dissemination. Stronger extension services involving participatory crop improvement
programmes should be an integral part of national/regional agricultural support structures,
including enhanced seed production and distribution systems.
Documentation of development and impact

Developing countries should document and analyse the adoption and socio-economic
impacts of crop biotechnological innovation to advise policy-makers on the cost/benefit
implications of biotechnology application.

Developing countries, possibly working in regional groups, should build up indigenous
research, development, and advisory capacities for generation, assessment and adoption of
appropriate biotechnologies.
In the livestock paper5 for this conference (ABDC-10/5.1), the way forward notes
that the application of such biotechnologies should be supported within the framework
of a national livestock development programme. Secondly, that the targeted users of these
biotechnologies are normally resource-poor farmers with limited purchasing power,
5 Chapter 3 in this book

therefore appropriate models are needed to ensure that the eventual products are acceptable
to them. Thirdly, if biotechnologies are to be adopted they should build upon existing
conventional technologies.
14.5.4 Agricultural biotechnologies, sustainable agriculture and agricultural biodiversity

Professor Swaminathan, in his opening message6 to ABDC-10, observed that Biodiversity
has so far served as the feedstock for sustainable food and health security and can play a
similar role in the development of climate resilient farming and livelihood systems.
The UN General Assembly has declared 2010 as the International Year of Biodiversity.
Sustainable agriculture comes with the notion of financial and institutional viability but also
ecological soundness and technological appropriateness. Farmers in climatically unreliable,
low-external-input environments usually need to maintain more diversity by default: they
plant more than one variety per crop, using traditional varieties that have been adapted to
environmental variation and uncertainty as well as to local preferences and socio-economic
settings through repeated reproduction and selection.
However, we must recognize that these traditional farm-based systems usually have
fewer opportunities for genetic recombination and cross-breeding, and often perform
poorly in the production of disease-free seed and in seed storage, which are some of the
domains in which formal institutional seed systems appear to be far more effective.
This calls for the development of synergies between formal science and informal knowledge
systems and requires the design of new, specific and locally adapted approaches to analyze
genetic diversity and farmers practices the intellectual property embedded in these which
drives the incentive structure of farming communities to sustain such diversity and ultimately
the sustainability of the agricultural production system. There is a need to identify the relevance
and the dynamics of genetic variability conservation in the context of small-holders coping
strategies, enhance the use of diversified plant genetic resources for sustainable agriculture and
sustained improvements in food production towards better household food security. Recent
studies indicate that too narrow a range of crops is leading to reduced honey bee populations
in many countries bees seem to require pollen from a diverse range of flowering plants if
they are to develop strong immune systems that are essential to survival. This is an example
of one of many knock-on effects of diminishing plant diversity in rural areas.
IPR and traditional knowledge and germplasm: The role of the CBD
The Convention on Biological Diversity (CBD) mandates that the contracting Party shall:
respect, preserve and maintain knowledge, innovations, and practices of indigenous
6 See Part 14.4 of this Chapter

and local communities embodying traditional lifestyle relevant for the conservation and
sustainable use of biological diversity.
Today, IFAD commits three-quarters of a billion dollars annually to loan and grant-
financed projects to fight rural poverty. This is set to average around US$1 billion per year
in the next three years. All Fund-financed projects and programmes impinge on agricultural
production systems and have an impact on agricultural biodiversity. We have long recognized
that the rural poor and the farming communities who our projects are designed to benefit,
are in fact the custodians of a diverse gene pool and are the main purveyors of agricultural
agro-biodiversity.
Through its focus on a pro-poor innovations agenda, IFAD supports the generation,
development and diffusion of sustainable agricultural technologies. This means that we
clearly recognize that technological change should not happen at the expense of the natural
resource-base. IFADs projects and programmes address around 30 million smallholder
farmers every year and a large majority of these eke out a survival in remote, marginalized
agro-ecosystems where the conservation of their fragile agricultural biodiversity is critical
to the sustainability of their livelihood systems. This requires application of significant
local knowledge, skills, ingenuity and innovation to the biophysical resources at hand and
equally to the conservation and utilization of germplasm local planting material that is
adapted to the local conditions.
With financial support from IFAD, Bioversity International has investigated sustainable
utilization of plant genetic resources in desert-prone areas of Mali and Zimbabwe.
Through programmes of action research, scientists worked with farmers to develop
innovative methods to identify, protect and utilize endangered traditional crops. These
genetic resources were, are and hopefully will continue to be of significant importance
to the food security of poor rural communities. Of particular importance was the testing
of alternative models for community-based in situ seed conservation in conjunction with
farmers benefiting from development projects financed by IFAD loans. Using participatory
methods, appropriate sites rich in crop genetic diversity were identified, selected, and
then mapped before drawing up procedures for the conservation of the genetic resources.
Farmers were encouraged to build upon their own knowledge to enable them to identify
and characterize traditional varieties and seed-systems. This work resulted in prototype
models for in situ genebanks, on-farm seed production, storage and exchange between small
farmers. Replication of successful models have not only led to better on-farm management
of crop genetic resources but have promoted sustainable improvement of rural livelihoods
through the forging of strategic partnerships between public and private sector entities,
such as farmers organizations, government entities and seed companies. Another successful
model led to the development of Seed Diversity Fairs which provide space for interaction

between farmers, development workers and researchers that leads in turn to decentralized
approaches in research, training and curriculum development in plant breeding and seed
systems. Crops involved in the programmes described included millet, sorghum, cowpea
and Bambara groundnut important crops in desert margin areas.
The impact of intellectual property rights on farmers seed systems

Pro-poor intellectual property rights (IPR) systems build on the comparative advantage of
these communities as custodians of the genetic resources, local know-how and innovation
capacity. In order to foster creativity and innovation to promote sustainable agriculture,
it is imperative to develop and deploy an appropriate system of IPR for fair and equitable
sharing of benefits of new or original knowledge or capital embedded in germplasm for
instance, a landrace.
In general, very few investors in agriculture and rural development have adequately
realized the role that agricultural biodiversity can play in addressing poverty and household
food security in an eco-sustainable way. One way forward is the link between IPR, incentives
and agricultural biodiversity-conservation-based sustainable production systems.
Farmers often receive commercial varieties as part of a package that includes credit, seed
and agro-chemicals. In many cases, accepting such packages is the only way farmers can
access credit in rural areas. The end result is a progressive marginalization or disappearance
of local varieties. This follows the questionable idea of progress favouring the replacement
by high yielding (improved) varieties of traditional crop varieties in the most productive
areas. In addition, farmers seed systems are important to resource-poor farmers in poor
agro-ecological environments because of the importance of locally adaptive varieties.
In other words, intellectual property rights are working to reward standardization and
homogeneity, when what should be rewarded is agro-biodiversity particularly in the face
of climate change and the need to build resilience by encouraging farmers to rely on a
diversity of crops. For this reason, Member States should promote innovation in both the
commercial seed systems and the farmers seed systems, ensuring that innovation in both
works for the benefit of the rural poor.

References
IPCC. 2007. IPCC fourth assessment report: Climate change 2007. Intergovernmental Panel on Climate
Change. (also available at www.ipcc.ch/publications_and_data/publications_and_data_reports.shtml)
Royal Society. 2009. Reaping the benefits: Science and the sustainable intensification of global agriculture.
RS Policy Document 11/09. London, UK, Royal Society. (also available at http://royalsociety.org/
reapingthebenefits/).
Serageldin, I. 2009. I. Abolishing Hunger. Issues in Science & Technology, 25(4): 35-38. (also available at www.
issues.org/25.4/serageldin.html).
UN Millennium Project. 2005. Innovation: Applying knowledge in development. Task Force on Science,
Technology and Innovation. UNDP. London and Sterling, Virginia, Earthscan. (also available at www.
unmillenniumproject.org/documents/Science-complete.pdf).

15
chapter
ABDC-10 Report
15.1 Introduction
Participation at the ABDC-10 conference was by invitation and it brought together about
300 policy-makers, scientists and representatives of intergovernmental and international
non-governmental organizations. This included delegations from 42 FAO member countries,
namely Algeria, Argentina, Bhutan, Brazil, Cameroon, Canada, Cape Verde, the Cook
Islands, Cuba, the Dominican Republic, Egypt, El Salvador, Gabon, the Gambia, Grenada,
Guatemala, Haiti, India, Indonesia, Kenya, Lesotho, Malawi, Malaysia, Mexico, Morocco,
the Netherlands, Nigeria, Pakistan, Panama, Peru, Qatar, Senegal, Sri Lanka, Suriname,
United Republic of Tanzania, Thailand, Trinidad and Tobago, Turkey, United States of
America, Uruguay, Zambia and Zimbabwe. On the afternoon of the final day, the member
countries adopted the conference report, which is provided in this Chapter. Note, when
references are made in the report to FAO background documents, keynote presentations
or parallel session summary reports, the appropriate chapter in this book is now cited.
15.2 Report
i. opening of the conference
1. The International Technical Conference on Agricultural Biotechnologies in Developing

Countries: Options and Opportunities in Crops, Forestry, Livestock, Fisheries and Agro-
industry to Face the Challenges of Food Insecurity and Climate Change (International
Technical Conference), met in Guadalajara, Mexico, from 1 to 4 March 20101.
1 The list of delegates and observers is available in Appendix D at www.fao.org/docrep/meeting/019/al295e.pdf

ii. introductory remarks by fao and the government of mexico
2. Mr Alvaro Garca Chvez, Secretario de Desarrollo Rural del Gobierno del Estado de
Jalisco (Mexico), welcomed delegates and observers to the beautiful city of Guadalajara, noting
that the state of Jalisco is a leading agriculture producer. He stressed the importance of this
timely global Conference indicating that agriculture needed improved technologies and tools to
meet the challenges imposed by global food insecurity and poverty. Mr Garca Chvez stated
that the tools and products of biotechnologies had to be used and produced in a responsible
manner to achieve food security while ensuring biosafety and protection of the environment.
3. Mr Modibo Traor, Assistant Director-General, Agriculture and Consumer Protection

Department, of the Food and Agriculture Organization of the United Nations (FAO),
welcomed delegates and observers2. On behalf of Dr Jacques Diouf, FAO Director-General,
he thanked the Government of Mexico for hosting the event and FAOs partners in the
initiative, including: the Mexican Ministry of Agriculture, Livestock, Rural Development,
Fisheries and Food (SAGARPA), the International Fund for Agricultural Development
(IFAD), the Consultative Group on International Agricultural Research (CGIAR), the Global
Forum on Agricultural Research (GFAR), the International Centre for Genetic Engineering
and Biotechnology (ICGEB) and the World Bank. The Conference has brought together
policy makers, scientists, civil society and the private sector from FAO member states to
take stock of the applications of biotechnologies across the different food and agricultural
sectors in developing countries, to learn from the past successes and failures, and to chart
a better course for the future. Mr Traor stressed that the international community should
play a key role in supporting developing countries by fostering partnerships and providing
a framework for international cooperation and funding for the generation, adaptation and
adoption of appropriate biotechnologies.
4. Mr Mariano Ruiz-Funes Macedo, Subsecretario de Agricultura, SAGARPA (Mexico)

welcomed delegates and observers3. He expressed solidarity with Chile in light of the
recent natural disaster and the challenges it was presenting for the country. Mr Ruiz-Funes
Macedo noted that the growing human population is increasing the demand for food and
other agriculture products and, at the same time, there is need to ensure maintenance of
natural resources and the conservation of biodiversity. He indicated that Mexico is investing
in developing skilled technicians and scientists in order to develop and effectively use
biotechnologies, while recognizing the need to integrate modern and emerging technologies
2 His statement is in Chapter 14.2 of this book

chapte r 15 ABDC-10 Report 555

with traditional knowledge and practices. Mr Ruiz-Funes Macedo expressed hope that the
Conference would help to improve the availability of biotechnology tools for developing
countries to support enhanced agriculture production while protecting the environment.
iii. keynote address
5. A representative of FAO read a keynote address on behalf of Mr M.S. Swaminathan,

Chairman of the M.S. Swaminathan Research Foundation and Honorary Chair of the
Conference Steering Committee4. He noted that biodiversity is the feedstock not only for
food and health security, but also for the management of climate change, but unfortunately is
rapidly being lost. Mr Swaminathan indicated the importance of the Convention on Biological
Diversity and the International Treaty on Plant Genetic Resources for Food and Agriculture
in addressing the conservation and the sustainable and equitable use of biodiversity, while
observing that each nation is responsible for conserving its biodiversity. In his address,
Mr Swaminathan stated that the fields of molecular genetics and genetic engineering have
opened up opportunities to meet current global challenges.He also indicated that every
country should have an independent National Biotechnology Regulatory Authority to
ensure that policies provide for the well-being of farmers and consumers, protection of the
environment and the security of trade in farm commodities. Mr Swaminathan hoped the
Conference would provide a road map to help achieve sustainable food security.
iv. election of the chairperson, vice-chairpersons and rapporteur
6. Mr Jeffrey McNeely was elected as Chair. Ms Marilia Regini Nutti (Brazil) and Ms
Priyanjalie K.M. Wijegoonawardane (Sri Lanka) were elected as Vice-Chairs. Mr Fernando
Gmez Merino (Mexico) was elected as Rapporteur.
v. adoption of the agenda
7. The Agenda was adopted as given in Appendix A.
vi. targeting biotechnologies to the poor
8. The FAO Secretariat presented Section A5 of the background document, Policy options
for agricultural biotechnologies in developing countries, which provided a framework for
targeting biotechnologies to the poor, emphasizing the importance of placing biotechnologies

5 Chapter 7 of this book

in the context of wider policies for national agricultural and rural development and science
and technology while also stressing the international dimensions of these policies and the
importance of priority-setting.
9. The International Technical Conference thanked the Secretariat for the informative
document. The Conference noted that the use and adoption of biotechnologies in developing
countries is affected by a number of factors, such as the existence or absence of policy and
regulatory frameworks for biotechnology, costs, farmer and public awareness of potential
benefits of biotechnologies, consumer concerns for food safety and environmental protection,
market conditions and product demand and capacity to access and use new biotechnologies.
It noted that discussions regarding biotechnologies had often focused on genetically modified
organisms, when there were many other biotechnology products in use by farmers, such
as biofertilizers and biopecticides, as well as many tools and applications being employed
within the agriculture sector.
10. The Conference stressed that diverse situations occur among and within countries as
do issues, and that situation analysis of the current use and application of biotechnologies
would greatly assist targeting of biotechnologies in developing countries. It also noted that
sound biotechnology policies, regulations, management strategies, risk assessments, cost-
benefit analysis and communication strategies would contribute to the further development
and application of biotechnologies, and that national biotechnologies strategies should be
prepared within the overall development strategy context of the country.
11. The Conference noted the need for participatory approaches in advancing consideration
of the development and use of biotechnologies. Farmers, farmer organizations, producers,
local communities and other stakeholders needed to be fully involved in the processes,
and scientists needed to better understand farmer needs and production conditions in
undertaking biotechnology research. The Conference stressed that the engagement of
smallholder farmers and producers in developing countries was necessary to understand
their particular challenges and needs, and to determine appropriate use of biotechnologies
to assist small-scale farmers.
12. The Conference noted the importance of integrating modern biotechnologies with
traditional knowledge and practices, and that new tools, policies and approaches should
help farmers and producers to remain resilient and independent, and to continue their
ecologically sustainable practices. It also noted that farmer willingness to adopt new tools
and practices depended on their understanding of, and participation in, the resulting benefits,

such as increased production, productivity or, for example, increasing the shelf life of farm
products. The Conference emphasized that the intent is for farmers and smallholders to
benefit from biotechnologies.
13. The Conference agreed that the further development and application of biotechnologies
in many developing countries would benefit from international and regional cooperation
and technical and other assistance from international organizations. It noted the need
for public research to continue to be supported in order to develop biotechnology tools,
products and best sustainable practices, and that national and regional centres of excellence
were potential mechanisms for collaboration, and to better focus biotechnology research
on the needs of farmers.
vii. summaries of parallel sessions of day 1
14. The Conference received summary reports of the results of sector-specific roundtables
on case studies of successful applications of biotechnologies in developing countries in crops,
livestock, forestry, fisheries and aquaculture, and agro-industry. It also received summary
reports of the results of parallel sessions on sector-specific background documents describing
the current status and options from biotechnologies in developing countries6.
viii. investing in agricultural research and agricultural biotechnologies
15. Mr Rodney Cooke, Director, Operational Policy and Technical Advisory Division,
International Fund for Agricultural Development (IFAD), presented a paper on investing
in agricultural research and agricultural biotechnologies7. He stressed that the world can
ill afford to continue under-investing in agriculture given the levels of food insecurity
and poverty and the need for effective adaptation strategies for agriculture in light of the
challenges of climate change. Mr Cooke noted the need to focus attention on increasing
productivity of smallholders and producers, including women farmers.
16. Mr Cooke stated that while investments in agriculture have proven to be highly effective
in reducing poverty, securing consistent levels of funding for agricultural science and
technology had been problematic for most developing countries, and this situation needed
to be addressed. He stressed that agricultural investment plans must be coherent with overall
national plans for economic development and poverty eradication. Mr Cooke called for
6 Summary reports from the sessions are available in Chapter 11 of this book
7 His paper is in Chapter 14.5 of this book

a farmer-centric participatory approach to agricultural research, whereby the products of
strategic and applied research move from trained scientists to farmers in rural communities,
and the demands and indigenous knowledge of rural communities flow to the scientists.
ix. enabling research and development in agricultural biotechnologies
17. The Conference considered Section B8 of the background document, Policy options for
agricultural biotechnologies in developing countries, which dealt with public policies for
fostering appropriate applications of agricultural biotechnologies, including: scientific and
technical capacity building; approaches to, and mechanisms for, planning and funding; and
requirements to ensure the safe use of agricultural biotechnologies through environmental
and food/feed safety regulation. A number of delegates indicated that their countries had
already established biotechnology policies and legal frameworks, which included biosafety.
18. The Conference stressed the need for capacity building to enable further development of
biotechnology policy and legal frameworks in developing countries. Since many developing
countries already have significant experience in developing and implementing biotechnology
policies and legal frameworks, the Conference called for further collaboration among
developing countries in particular, to share experiences and approaches. The Conference also
requested that support be provided by FAO and other relevant international organizations
in preparing biotechnology policy and legal frameworks, as requested.
19. The Conference noted that policy and legal frameworks could establish clear approval
and monitoring procedures and the responsibilities and competencies for developing
and using biotechnology, provide clarity and certainty for developers and users of
biotechnology, as well as investors. The Conference noted that biotechnology is rapidly
advancing and evolving, and biotechnology policies and regulatory frameworks would
require ongoing review and updating to ensure they remain current and enabling.
20. The Conference stressed the need for communication strategies in the preparation and
implementation of biotechnology policies and legal frameworks to promote involvement
in the preparatory processes and awareness of regulatory and other requirements and
responsibilities, and the benefits of biotechnologies.
The Conference emphasized the critical need for ongoing scientific training and
21.
education to advance biotechnologies in developing countries. Training to update scientists

through workshops, seminars, electronic conferences, science networks and exchanges,
and other means would be beneficial. Establishing or enhancing linkages among research
institutions and improving information exchange would also be effective means to build
capacity, as would using or establishing centres of excellence and convening regional level
training initiatives. The Conference noted that quick training responses would sometimes
be required, for example, to respond to disease outbreaks affecting agriculture production
and productivity.
The Conference also saw the need for long-term educational investments to develop the
22.
next generation of biotechnology scientists and agriculture extension workers. Incentives
might be required to encourage young scientists to undertake research in developing
countries to reduce the flow of scientists to developed countries.
23. The Conference indicated that biotechnology capacity building initiatives should take
into account existing expertise and facilities, and strategically target country needs and
challenges. Delegates indicated several areas for capacity building, including: to enhance legal
expertise to prepare, administer and enforce biotechnology laws and regulations; to build
capacity in risk assessment and risk management; to better respond to disease outbreaks
affecting agriculture production; to advance sustainable agriculture and meet the needs of
smallholder farmers and producers; to better utilize endemic species and develop aquaculture
resources; and to enhance support for genebanks to assist in conserving genetic diversity
as a basic resource for further development of biotechnologies.
24. Taking into consideration a proposal from a representative from civil society, the concern
was expressed that genetically modified organisms should not be imposed on farmers in
developing countries, in particular if these genetically modified organisms could adversely
impact the livelihoods of smallholder farmers.
x. summaries of parallel sessions of day 2
25. The Conference received summary reports on the results of parallel sessions on the
following cross-cutting issues: Development of genomic resources: Current status and future
prospects; Genomic applications: Molecular breeding in developing countries; Enhancing
human capacities: Training and education; Ensuring equitable access to technology, including
gender issues; Empowering public participation in informed decision-making; Prioritising
the role of the farmer; and Public-private partnerships9.
9 Summary reports from the sessions are available in Chapter 12 of this book

xi. biotechnologies in international agricultural research centers
26. Mr Thomas Lumpkin, Director General, International Maize and Wheat Improvement
Center, of the Consultative Group on International Agricultural Research (CGIAR), began
his presentation by noting the important contributions of the late Norman Borlaug in the
Green Revolution and in establishing global agriculture research networks. He provided
a brief overview of biotechnology application in CGIAR research, stressing that much
more investments in agriculture research and technology are required if we are to meet the
challenge of feeding a growing human population, with less land and water, and reduced
impacts to the environment.
27. Mr Lumpkin stated that a range of biotechnologies were already in use helping to conserve
and characterize genetic resources, enhance agriculture production and productivity, produce
vaccines and improve food safety, as examples. He also noted that the further development
and use of biotechnologies would need to address a number of issues, such as the use of
genetically modified organisms in developing countries, cost effectiveness, and establishing
public-private partnerships. Given the potential benefits to agriculture, Mr Lumpkin noted
that we must work to address challenges and concerns.
xii. ensuring access to the benefits of research and development
28. The Conference considered Section C10 of the background document, Policy options
for agricultural biotechnologies in developing countries, which dealt with ensuring access to
the benefits of biotechnology, and covered the issues of intellectual property rights, public
awareness and participation and the roles of extension services. The Conference reiterated the
need for effective communication with all stakeholders in advancing the development and use of
biotechnologies. Dialogue was essential in order to avoid one-way communication, and various
means of communication would need to be employed to reach out to rural people.
29. However, a number of delegates noted that while they had in place biotechnology
policies and regulatory frameworks, which include biosafety, ensuring the participation of
smallholder farmers and producers in decision-making processes is often difficult, and that
empowering local people and identifying community leaders will promote and support effective
participation. Lack of access to modern communication means, such as the Internet, and lack
of education were cited as challenges to effective involvement in decision-making processes.
Lack of resources is also a key impairment to the participation of poor farmers and producers.

30. Some delegates indicated success in communicating awareness of opportunities to
utilize biotechnologies with their stakeholders. Examples included providing farmers with
hands-on experience with biotechnologies, and having them transfer knowledge to other
farmers. Extension services in some countries had also proved effective, as had farmer and
producer training courses. Stakeholder forums were used to bring together scientists and
producers on a regular basis to discuss opportunities and concerns in some countries. The
important role of the CGIAR in building capacity in biotechnology was acknowledged,
and further assistance from the Centers was requested.
xiii. technology transfer aspects of the multilateral system of the

international treaty on plant genetic resources for food and
agriculture; South-south collaboration
31. Mr Shakeel Bhatti, Secretary of the International Treaty on Plant Genetic Resources
for Food and Agriculture, presented an overview of the International Treaty, which entered
into force in 2004. He described the scope of the International Treaty and progress made
in its implementation, including the use of a Standard Material Transfer Agreement that is
being widely used. Mr Bhatti also reported on technology transfer under the Multilateral
System of the International Treaty, and other accomplishments to date. Transfer of
germplasm within the system is growing and operational procedures are well established,
and a number of local level plant genetic resources projects are being supported through
the Funding Strategy of the Treaty.
32. Mr Bhatti noted that the International Treaty provides for the transfer of technologies
and associated human capacity building. He stated that implementation of the Treaty would
contribute to efforts to adapt to climate change by enhancing the conservation of plant
genetic resources, facilitating transfer of technology and by providing funding to developing
countries. Mr Bhatti outlined some of the needs to further advance the operation of the
International Treaty.
xiv. summaries of parallel sessions of day 3
33. The Conference received summary reports on the results of parallel sessions on specific
regions: Latin America and the Caribbean; Near East and North Africa; Sub-Saharan Africa;
Asia and the Pacific; and Eastern Europe and Central Asia. A number of issue papers were
considered in these sessions. Summary reports were also received from parallel sessions dedicated
to the following cross-cutting issues: Utilization of plants for non-food use: Challenges

and perspectives; Policy coherence at the regional level; Biosafety in the broader context of
biosecurity; Intellectual property rights in agricultural biotechnology; and Conservation and
sustainable use of genetic resources for food and agriculture11.
xv. MOVING BEYOND BUSINESS-AS-USUAL: OPTIONS FOR DEVELOPING COUNTRIES;

MOVING BEYOND BUSINESS-AS-USUAL: PRIORITIES FOR ACTION FOR THE
INTERNATIONAL COMMUNITY
34. The Conference considered the background document, Agricultural biotechnologies for
food security and sustainable development: Options for developing countries and Priorities for
Action by the international community12. The Secretariat introduced the document, noting that
the conclusions of the Conference would greatly assist in advancing discussions on agricultural
biotechnologies within the governing bodies of FAO. The Chair of the Conference had
prepared Chairs Text with key conclusions from the Conference to facilitate discussion on
options for developing countries as well as priorities for action for the international community.
35. The Conference requested that consideration be given to starting a discussion on the
establishment of an international agreement on sharing and using animal genetic resources
for food and agriculture.
36. The Conference re-emphasized one of the conclusions of the UN Millennium Project,
i.e. that science, technology and innovation underpin every one of the Millennium
Development Goals.
key conclusions
37. The International Technical Conference acknowledged that:

a. Agricultural biotechnologies13 encompass a wide-range of tools and methodologies
that are being applied to an increasing extent in crops, livestock, forestry, fisheries
and aquaculture, and agro-industries, to help alleviate hunger and poverty, assist
in adaptation to climate change and maintain the natural resource base, in both
developing and developed countries.
11 Summary reports from the cross-cutting and regional sessions are available in Chapters 12 and 13 respectively of this book
13 The definition is broad and is based on that in Article 2 of the Convention on Biological Diversity, which states that biotechnology is any technological
application that uses biological systems, living organisms, or derivatives thereof, to make or modify products or processes for specific use. The specific
kinds of biotechnologies encompassed by the term agricultural biotechnologies are described in the sector-specific documents Chapters 1 to 5.

b. The various applications of agricultural biotechnologies have not been widely used
in many developing countries, and have not sufficiently benefited smallholder
farmers and producers and consumers.
c. More research and development of agricultural biotechnologies should be focused
on the needs of smallholder farmers and producers.
d. Governments need to develop their own national vision and policy for the role of
biotechnologies, with options and opportunities examined within the context of
national economic, social and rural sustainable development and environmental
strategies, objectives and programmes.
e. Effective communication and participation strategies are necessary to encourage
and promote public involvement and empowerment in decision-making processes,
regarding the development and use of biotechnologies.
f. Stronger partnerships among and within countries will facilitate the development and
use of biotechnologies, including south-south and regional alliances; incorporation
of traditional knowledge; and public-private and research partnerships for sharing
experiences, information and technologies.
38. The International Technical Conference agreed that:

a. Developing countries should significantly increase sustained investments in capacity
building and development and safe use of biotechnologies; integrated with other
agricultural technologies, including traditional knowledge, and maintain the
natural resource base to support in particular, smallholders, producers and small
biotechnology based enterprises; employing effective participatory approaches for
the robust input from stakeholders in decision-making processes.
b. FAO and other relevant international organizations and donors should significantly
increase their efforts to support the strengthening of national capacities in the
development and appropriate use of pro-poor agricultural biotechnologies, and
that they be directed to the needs of smallholders, consumers, producers and small
biotechnology based enterprises in developing countries.
c. Both the lack of policies and regulatory mechanisms as well as overly stringent
regulations hinder development of, and access to biotechnologies. Effective and
enabling national biotechnology policies and science-based regulatory frameworks
can facilitate the development and appropriate use of biotechnologies in developing
countries; and ongoing reviews, improvement and harmonization of existing
biotechnology policies and regulatory frameworks can keep them current and rational.

xvi. closing remarks
39. Mr Modibo Traor, FAO Assistant Director-General, Agriculture and Consumer

Protection Department, began his statement by thanking the Government of Mexico
and the State of Jalisco for hosting the Conference and for their generous hospitality. He
expressed his appreciation to the organizations that had worked in partnership with FAO
to organize and convene the Conference, which had brought together about 300 individuals
from 68 different countries. Mr Traor thanked all of the staff that had worked before and
during the Conference to ensure the smooth running of the Conference. He noted that the
Knowledge Share Fair had significantly contributed to the Conference, and thanked the 22
organizations that had participated in the Fair.
40. Mr Traor thanked the delegates and observers for their advice and constructive inputs
during the Conference, which resulted in clear and practical conclusions. He noted that the
Conference had confirmed that the use of biotechnologies in the crop, livestock, forestry,
fishery and agro-industry sectors can contribute to alleviating hunger and poverty and in
promoting rural development in developing countries. Mr Traor observed that the Conference
had also underlined that countries are committed to assisting poor smallholders, fishers and
forest-dependent populations in developing countries by ensuring that they have access to
appropriate biotechnologies that focus on their problems and that they are fully involved in
the decision-making processes regarding their development and use.
41. Mr Victor M. Villalobos, Director General, Inter-American Institute for Cooperation

on Agriculture, noted that achieving and maintaining food security, in light of a growing
human population and climate change, imposed numerous challenges for agriculture. He
stated that demand for crops as fuels and other non-food uses and rising prices, also are
affecting food security in developing countries, especially for poor rural people.
42. Mr Villalobos stressed that much of agriculture production was not currently sustainable
and that this situation must change. Employing sound biotechnologies, he stated, could
assist in addressing the global challenges of feeding a growing human population with less
inputs and less adverse impacts on the environment. He reminded the Conference that we
had faced many other challenges in our past, and now needed to work together to resolve
current issues.

43. Mr Villalobos observed that the debate on genetically modified organisms had become
polarized. He stated that we cannot afford to abandon the use of genetically modified
organisms in agriculture, but that we must use them in a sound manner to assist in achieving
our sustainability goals, and without adverse impacts on the environment. To achieve this,
he stressed that science-based decision making and convergence of all actors on achieving
food security and sustainable agriculture would be key. Mr Villalobos indicated that the
Conference had provided valuable advice for the development and use of biotechnologies
in developing countries, and that all countries now needed to carefully consider this advice
in moving forward.
xvii. closure of the conference
44. Mr Salvador Fernndez Rivera, Coordinador de Investigacin, Instituto Nacional

de Investigaciones Forestales, Agrcolas y Pecuarias (INIFAP), on behalf of Mr Mariano
Ruiz-Funes Macedo, Subsecretario de Agricultura, SAGARPA, thanked FAO and the
other partners for organizing this important Conference in Mexico. He noted that many
developing countries have common problems, and that the Conference had indicated the
willingness of countries and experts to work together to resolve problems and meet the
common global goals of achieving food security, without degrading the natural environment,
and to address climate change. Mr Fernndez Rivera expressed his satisfaction with the
conclusions of the Conference, noted that the work is not yet finalized and hoped that
in each country mechanisms could be developed to follow up on the conclusions. He
emphasized that each country has to take its own decisions regarding use of agricultural
biotechnologies and declared the Conference closed.

APPENDIX A
Agenda
i. opening and organizational matters

1. Opening of the conference
2. Election of the Chairperson and Vice-Chairpersons
3. Adoption of the Agenda and Timetable
4. Appointment of the Rapporteur
5. Introductory remarks by FAO and the Government of Mexico
6. Keynote address
ii. plenary session 1

7. Targeting biotechnologies to the poor
iii. parallel roundtables

Presentation and discussion of sector-specific case studies of successful applications
of biotechnologies in developing countries
a. Crops
b. Livestock
c. Forestry
d. Fisheries and aquaculture
e. Agro-industry
iv. parallel sessions

Presentation and discussion of sector-specific background documents on the current
status and options from biotechnologies in developing countries
a. Crops
b. Livestock
c. Forestry
d. Fisheries and aquaculture
e. Agro-industry
v. plenary session 2
8. Summary - output of Day 1
9. Investing in agricultural research and agricultural biotechnologies
10. Enabling research and development in agricultural biotechnologies

vi. parallel sessions
Cross-cutting issues
a. Genomic applications (in collaboration with the CGIAR)
b. Enhancing human capacities: Training and education (in collaboration with the ICGEB)
c. Ensuring equitable access to technology, including gender issues (in collaboration with
Oxfam International)
d. Empowering public participation in informed decision-making (in collaboration with
the International Union for Conservation of Nature [IUCN])
e. Prioritising the role of the farmer; Public-private partnerships (in collaboration with
the International Federation of Agricultural Producers [IFAP])
vii. plenary session 3

12. Biotechnologies in international agricultural research centers (CGIAR presentation)
13. Ensuring access to the benefits of research and development
14. Technology transfer aspects of the Multilateral System of the International Treaty on
Plant Genetic Resources for Food and Agriculture
15. South-South collaboration
viii. parallel sessions

Region-specific discussions
a. Latin America and the Caribbean (in collaboration with the Inter-American Institute
for Cooperation on Agriculture [IICA] and the Technical Cooperation Network on
Plant Biotechnology in Latin America and the Caribbean [REDBIO])
b. Near East and North Africa (in collaboration with the Association of Agricultural
Research Institutions in the Near East and North Africa [AARINENA])
c. Sub-Saharan Africa (in collaboration with the Forum for Agricultural Research in
Africa [FARA])
d. Asia and the Pacific (in collaboration with the Asia-Pacific Association of Agricultural
Research Institutions [APAARI])
e. Eastern Europe and Central Asia

ix. parallel sessions
Cross-cutting issues
a. Policy coherence at the regional level (in collaboration with the United Nations
Conference on Trade and Development [UNCTAD])
b. Biosafety in the broader context of biosecurity
c. Intellectual property rights (in collaboration with the World Intellectual Property
Organization [WIPO])
d. Utilisation of plants for non-food uses: Challenges and perspectives (in collaboration
with the United Nations Industrial Development Organization [UNIDO])
e. Conservation and sustainable use of genetic resources for food and agriculture (in
collaboration with the CGIAR)
x. plenary session 4
17. Moving beyond business-as-usual: Options for developing countries
18. Moving beyond business-as-usual: Priorities for Action for the international
community
19. Adoption of the conference Report
20. Closing remarks
21. Closure of the conference

p r i n ted i n i ta ly o n eco lo g i c a l p a p e r
- j u n e 2 011 -
d e s i gn a n d l ayo ut:
p i e tr o ba rto le s c h i a n d a r i a n n a g u i da
stu d i o@ba rto le s c h i . c o m
This book represents the proceedings of the FAO international technical conference dedicated to
Agricultural Biotechnologies in Developing Countries (ABDC-10 ) that took place in Guadalajara,
Mexico on 1-4 March 2010 . A major objective of the conference was to take stock of the
application of biotechnologies across the different food and agricultural sectors in developing
countries, in order to learn from the past and to identify options for the future to face the
challenges of food insecurity, climate change and natural resource degradation.
The proceedings are organized in two main sections. The first section contains ten
chapters with an extensive series of FAO background documents prepared before
ABDC-10. They focus on the current status and options for biotechnologies in
developing countries in crops, livestock, forestry, fisheries/aquaculture and food
processing/safety, as well as on related policy issues and options, in particular about
targeting agricultural biotechnologies to the poor; enabling research and development
(R&D) for agricultural biotechnologies; and ensuring access to the benefits of R&D.
The second section contains five chapters dedicated to the outcomes of ABDC-10,
namely the reports from 27 parallel sessions of sectoral, cross-sectoral and regional
interest, most of which were organized by different intergovernmental and non-
governmental organizations and regional fora; keynote presentations; and the
conference report adopted by delegates in Guadalajara on the final day.
Enabling poor rural people

to overcome poverty The World Bank
ISBN 978-92-5-106906-6
9 7 8 9 2 5 1 0 6 9 0 6 6
I2300E/1/06.11

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FOOD A ND A GRICULTURE ORG A NI Z A TION OF THE UNITED N A TIONS - 2 0 1 1

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SECTION 1: BACKGROUND TO ABDC-10

Chapter 8: Enabling R&D for Agricultural Biotechnologies

Chapter 9: Ensuring Access to the Benefits of R&D

SECTION 2: OUTCOMES OF ABDC-10

Chapter 12: Summary Reports of Cross-Sectoral Parallel Sessions

Chapter 14: Keynote Presentations

Chapter 15: ABDC-10 Report

Current Status and Options for

In developing countries, there is a need for continued focus on optimizing agricultural

One of the challenges in discussing biotechnology is the lack of a consistent definition

1.3 Crop Biotechnologies and their Current Status in

Tissue culture-based technologies

Marker-assisted selection (MAS)

1.3.3 Production and management systems

Disease diagnostics and bioprotection

Genetic resource conservation and management

1.4 Analysis of Experiences with Biotechnologies in Developing

1.4.1 Focus on smallholders

1.4.2 Investments in biotechnological R&D

1.4.3 Biotechnology capacities

1.4.4 IPR and other regulatory issues

1.4.5 Link between biotechnology R&D and plant breeding programmes

1.4.6 Farmer involvement in research and breeding

1.4.7 Technology uptake

1.5 Case Studies of Experiences with Crop Biotechnologies

1.5.1 Wide crossing to improve African rice NERICA

1.5.3 Soil bio-inoculants in Kenya

1.5.5 Bt cotton in India

1.5.6 Micropropagation of oil palm

1.5.7 Biopesticides for control of migratory locusts

1.5.8 Hybrid sorghum in Africa

1.6 Conclusions: Lessons Learned

Documentation of development, adoption and impact

Investments in biotechnology R&D

Linkages between biotechnology and other agricultural R&D

Policy development and priority-setting

Regulation of biotechnology use

Shared access to technologies

1.7.1 Biotic stresses

Newly emerging threats

1.7. 2 Abiotic stresses

1.7.4 Nutritional quality

1.7.5 Narrow genetic basis of crop production

1.7.6 Sustainable and environmentally friendly crop production

Documentation of development, adoption and impact

Investments in biotechnology R&D

Linkages between biotechnology and other agricultural R&D

Policy development and priority-setting

Regulation of biotechnology use

Shared access to technologies

safety and biosafety of GMOs.

The international community, including FAO and other UN organizations as well as

Documentation of development, adoption and impact

Investments in biotechnology R&D

Linkages between biotechnology and other agricultural R&D

Policy development and priority-setting