Encyclopedia of Food Security and Sustainability 0128126884, 9780128126882

The Encyclopedia of Food Security and Sustainability covers the hottest topics in the science of food sustainability, pr

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Encyclopedia of Food Security and Sustainability
 0128126884, 9780128126882

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Pasquale Ferranti University of Naples ‘Federico II’, Portici, Italy

Elliot M. Berry Hebrew University Hadassah Medical School, Jerusalem, Israel

Jock R. Anderson University of New England, Armidale, NSW, Australia and Georgetown University, Washington, DC, USA


General and Global Situation SECTION EDITORS

Regina Birner University of Hohenheim, Stuttgart, Germany

Alessandro Galli Global Footprint Network, Geneva, Switzerland

Delia Grace International Livestock Research Institute, Nairobi, Kenya

Kathleen Hefferon Cornell University, Ithaca, NY, USA

Llius Serra-Majem University of Las Palmas de Gran Canaria (ULPGC), Las Palmas de Gran Canaria, Spain

Pierre Singer Tel Aviv University, Tel Aviv, Israel

Amsterdam • Boston • Heidelberg • London • New York • Oxford Paris • San Diego • San Francisco • Singapore • Sydney • Tokyo

Elsevier Radarweg 29, PO Box 211, 1000 AE Amsterdam, Netherlands The Boulevard, Langford Lane, Kidlington, Oxford OX5 1GB, UK 50 Hampshire Street, 5th Floor, Cambridge, MA 02139, USA Copyright Ó 2019 Elsevier Inc. All rights reserved No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions. This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein). Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary. Practitioners and researchers may always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility. To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein. Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library ISBN 978-0-12-812687-5

Publisher: Oliver Walter Acquisition Editor: Rachel Conway Senior Content Project Manager: Richard Berryman Associate Content Project Manager: Surya Suriyan Designer: Matthew Limbert

CONTENTS OF ALL VOLUMES Contributors to Volume 1


Editor Biographies




VOLUME 1 Defining the Concept of Food Value Chain Pasquale Ferranti


The United Nations Sustainable Development Goals Pasquale Ferranti


The Political Economy of Food Security and Sustainability Johan Swinnen and Senne Vandevelde


Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks Maria Fonte and Maria Grazia Quieti


Population Density and Redistribution of Food Resources Russell Hopfenberg


Implications of Structural Transformation for Food and Nutrition Security Sunniva Bloem


Change in Production Practices: The Role of Agri-Food and Diversified Cropping Systems Sangam L Dwivedi and Rodomiro Ortiz


The Role of Omic Sciences in Food Security and Sustainability Fabio Alfieri


Codex Alimentarius Commission Cindy Cheng


The Concept of Planetary Boundaries Helena Kahiluoto


International Trade’s Contribution to Food Security and Sustainability Kym Anderson




Contents of All Volumes

The Food Trade System: Structural Features and Policy Foundations Nelson B Villoria


Virtual Water Trade Among World Countries Associated With Food Trade Carole Dalin and Megan Konar


Food Trade and Global Value Chain Fabio Bartolini


Greenhouse Gas, Livestock and Trade Dario Caro


Global Seafood Trade Jessica A Gephart


Environmental Externalities in Global Trade for Wine and Other Alcoholic Beverages Benedetto Rugani


Nitrogen Embedded in Global Food Trade Luis Lassaletta, Gilles Billen, Josette Garnier, Azusa Oita, Hideaki Shibata, Junko Shindo, and Kentaro Hayashi


Feeding Urban Areas: Challenges and Opportunities Roberta Sonnino


Agricultural Innovation and the Global Politics of Food Trade Srividhya Venkataraman, Uzma Badar, and Kathleen Hefferon


Food Aid Kristine Caiafa and Maria Wrabel


Food Emergency Operations in Wars and Conflicts Maria Wrabel and Kristine Caiafa


Food Emergency Operations After Natural Disasters Maria Wrabel and Kristine Caiafa


National Policies and Programs for Food Security and Sustainability Kristine Caiafa and Maria Wrabel


The Role of International Agencies in Achieving Food Security Kesso G van Zutphen, Srujith Lingala, Madhavika Bajoria, Kalpana Beesabathuni, and Klaus Kraemer


The Role of the Media in Increasing Awareness of Food Security and Sustainability Pierangelo Isernia and Arianna Marcolin


Changing Dietary Patterns as Drivers of Changing Environmental Impacts Michael Clark


The Food Wastage Challenge Nadia El-Hage Scialabba


Competition for Land, Water and Energy (Nexus) in Food Production Stephanie J E Midgley, Mark New, and Nadine Methner


Greenhouse Gas Emissions Due to Agriculture Francesco Nicola Tubiello


Overuse of Water Resources: Water Stress and the Implications for Food and Agriculture Ertug Ercin


Contents of All Volumes


Overuse of Nitrogen Resources Albert Bleeker


Climate Change: Impact on Marine Ecosystems and World Fisheries U Rashid Sumaila


Climate Change and Crop Yields Andrea Toreti, Simona Bassu, Andrej Ceglar, and Matteo Zampieri


Greenhouse Gas and Livestock Emissions and Climate Change Dario Caro


Big Data in Agriculture and Their Analyses Stuti Shrivastava and Amy Marshall-Colon


Food Fraud Delia Grace


Overuse of Phosphorus Resources Rubel Biswas Chowdhury, Nick Milne, and Priyanka Chakraborty


ICT Applications in Agriculture Thomas Daum


Pigmented Grains as a Source of Bioactives Stefania Iametti, Parisa A Abbasi Parizad, Francesco Bonomi, and Mauro Marengo


Novel Foods: New Food Sources Maria Grazia Calabrese and Pasquale Ferranti


New Protein Sources: Novel Foods Di Stasio Luigia


Novel Foods: Artificial Meat Fabio Alfieri


Synthetic Meat: Acceptance Adriana Basile and Pasquale Ferranti


Novel Foods: Insects - Technology Monica Gallo


Novel Foods: Insects - Safety Issues Monica Gallo


Novel Foods: Algae Monica Gallo


Development of Sustainable Novel Foods and Beverages Based on Coffee By-Products for Chronic Diseases Nuria Martinez-Saez and María Dolores del Castillo


Byproducts as a Source of Novel Ingredients in Dairy Foods M Iriondo-DeHond, E Miguel, and M D del Castillo


Usefulness of Dietary Components as Sustainable Nutraceuticals for Chronic Kidney Disease Amaia Iriondo-DeHond, Jaime Uribarri, and María Dolores del Castillo


Food Taboos Victor Benno Meyer-Rochow



Contents of All Volumes

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter Jose M Silvan and Adolfo J Martinez-Rodriguez New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods Sonia Cozzano Ferreira, Adriana Maite Fernández, María Dolores del Castillo Bilbao, and Alejandra Medrano Fernández



Vegetable By-products as a Resource for the Development of Functional Foods Antonio Colantuono


Chestnut as Source of Novel Ingredients for Celiac People Annalisa Romano and Maria Aponte


Novel Food Ingredients for Food Security Cristina Chuck-Hernández, Diana Karina Baigts Allende, and Jürgen Mahlknecht


Snails (Terrestrial and Freshwater) as Human Food Victor Benno Meyer-Rochow


Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods María L Zambrano-Zaragoza and David Quintanar-Guerrero


Novel Foods: Allergens Luigia Di Stasio


Sustainable Crops for Food Security: Quinoa (Chenopodium quinoa Willd.) Annalisa Romano and Pasquale Ferranti


Challenges of Food Security for Orphan Crops Zerihun Tadele


Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.) Montesano Domenico, Cossignani Lina, and Blasi Francesca


Insects (and Other Non-crustacean Arthropods) as Human Food Victor Benno Meyer-Rochow


Probiotic Food Development: An Updated Review Based on Technological Advancement Daniel Granato, Filomena Nazzaro, Tatiana Colombo Pimentel, Erick Almeida Esmerino, and Adriano Gomes da Cruz


Food Waste Valorization: New Manufacturing Processes for Long-Term Sustainability Gerrard E J Poinern and Derek Fawcett


Food Process Modeling Olivier Vitrac and Maxime Touffet


Food Supply Chain Demand and Optimization Marco A Miranda-Ackerman and Citlali Colín-Chávez


Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products Through Membrane-Based Technologies Roberto Castro-Muñoz


Non-thermal and Innovative Processing Technologies Anet Rezek Jambrak


Novel Packaging Systems in Food Lin Lin, Mohamed Abdel-Shafi Abdel-Samie, and Haiying Cui


Contents of All Volumes


Green Production Strategies Vineet Kaswan, Mukesh Choudhary, Pardeep Kumar, Sandeep Kaswan, and Pooja Bajya


Conversion of Food Waste to Fermentation Products Muhammad Waqas, Mohammad Rehan, Muhammad Daud Khan, and Abdul-Sattar Nizami


Consumers’ Behavior Regarding Food Waste Prevention Konstadinos Abeliotis, Christina Chroni, and Katia Lasaridi


Strategies for Prolonging Fresh Food Shelf-Life Susan Lurie


Food Rescue in Developed Countries Tamara Y Mousa


Food Retail in Developing Countries Matthew Kelly


Income, Time and Labor Nexus Household Food Security in Burundi Sanctus Niragira, Jean Ndimubandi, and Jos Van Orshoven


Gastronomy as an Aid to Increasing people’s Food Intake at Healthcare Institutions Agnès Giboreau and Anestis Dougkas


Sensory Evaluation, an Important Tool for Understanding Food and Consumers Henriëtta L de Kock


Reducing Inequality as an Opportunity to Improve Food Security Soriano Bárbara and Garrido Alberto


Unequal Access to Land: Consequences for the Food Security of Smallholder Farmers in Sub Saharan Africa Mark T van Wijk, James Hammond, Romain Frelat, and Simon Fraval


VOLUME 2 The Concept of Food Security Wen Peng and Elliot M Berry


Concepts of Stability in Food Security Jock R Anderson


Changing Food Consumption Patterns and Their Drivers John M Kearney Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production: The Challenge of Food Quality and Sustainability Through the Use of Plant Extracts Cristina Castillo, Angel Abuelo, and Joaquín Hernández



Nutrition and Disease: Type 2 Diabetes Mellitus Elena García-Fernández and Miguel Leon-Sanz


Nutrition Through the Life Cycle: Pregnancy Eileen C O’Brien, Kit Ying Tsoi, Ronald C W Ma, Mark A Hanson, Moshe Hod, and Fionnuala M McAuliffe


Nutrition Through the Life Cycle: Lactation Ronit Mesilati-Sthay, Pierre Singer, and Nurit Argov-Argaman


Nutrition in the Elderly Yitshal N Berner



Contents of All Volumes

Nutritional Therapeutics: Neurological Disorders Rosa Burgos and Irene Bretón


Nutritional Therapeutics: Bone Diseases Takako Hirota and Kenji Hirota


Nutritional Therapeutics: Rehabilitation After Hospitalization and Trauma, Surgery Hidetaka Wakabayashi


Diets and Diet Therapy: EU Regulations on Food for Special Medical Purposes Estrella Bengio


Diets and Diet Therapy: Oral Nutritional Supplements Lindsey Otten and Kristina Norman


Diets and Diet Therapy: Enteral Nutrition Ricardo Schilling Rosenfeld


Diets and Diet Therapy: Parenteral Nutrition Stefan Mühlebach


Diets and Diet Therapy: Trace Elements Sornwichate Rattanachaiwong and Pierre Singer


Diets and Diet Therapy: Diet Supplements for Exercise James E Clark


Therapeutic Education for Healthy Lifestyle: How to Empower Your Patient and Increase Adherence Joelle Singer


Food Systems Sustainability, Food Security and Nutrition in the Mediterranean Region: The Contribution of the Mediterranean Diet Roberto Capone, Francesco Bottalico, Giovanni Ottomano Palmisano, Hamid El Bilali, and Sandro Dernini


Leveraging Biofortified Crops and Foods: R4D Perspective Ekin Birol and Howarth E Bouis


Nutritional Value of Bovine Meat Produced on Pasture Ali Saadoun, María Cristina Cabrera, Alejandra Terevinto, Marta del Puerto, and Fernanda Zaccari


Value of Nutrition: A Synthesis of Willingness to Pay Studies for Biofortified Foods Oparinde Adewale and Birol Ekin


Food Systems Paula Momo-Cabrera, Adriana Ortiz-Andrellucchi, and Lluís Serra-Majem


Public Health Nutrition, Preventive Nutrition, Community Nutrition Adriana Ortiz-Andrellucchi and Lluís Serra-Majem


Nutritional Status Assessment at the Population Level Teresa Shamah-Levy, Lucía Cuevas-Nasu, Eduardo Rangel-Baltazar, and Raquel García-Feregrino


Nutritional Adequacy Assessment Blanca Roman-Viñas and Lluís Serra-Majem


Diet, Nutrition and Cancer Prevention Federica Turati, Francesca Bravi, and Carlo La Vecchia


Diet, Nutrition and the Immune System Noemi Redondo, Esther Nova, Sonia Gomez-Martínez, Ligia E Díaz-Prieto, and Ascensión Marcos


Contents of All Volumes


Nutrigenomics Dolores Corella, Jose V Sorlí, and Oscar Coltell


The Role of Food Industry in Improving Health Kom Kamonpatana


National Diet Recommendations Carmen Pérez-Rodrigo and Javier Aranceta-Bartrina


Dietary Patterns Nerea Martín-Calvo and Miguel Ángel Martínez-González


Mediterranean Diet Lluís Serra-Majem, Adriana Ortiz-Andrellucchi, and Almudena Sánchez-Villegas


Fats: Nutritional and Physiological Importance Lucia De Luca


Food Culture: Anthropology of Food and Nutrition F Xavier Medina


Bioactive Peptides in the Gut–Brain Axis Nicolina Virgilio


Hunger and Malnutrition Joy Ngo and Lluis Serra-Majem


Food Fortification Policy Greg S Garrett, Corey L Luthringer, Elizabeth A Yetley, and Lynnette M Neufeld


Use and Improvement of Ready-to-Use Therapeutic Food (RUTF) Formulas in the Management of Severe Acute Malnutrition Vincenzo Armini


Growth and Nutrition Yeray Nóvoa Medina and Luis Quintana Peña


Maillard Reaction and Food Safety Antonio Dario Troise


Sustainable Diets: A Historical Perspective Sandro Dernini


Energy Balance and Body Weight Control Ilario Mennella


Nutrition Education Suzanne Piscopo


Antilisterial Bacteriocins for Food Security: The Case of Sakacin A Chiara Mapelli, Alberto Barbiroli, Stefano De Benedetti, Alida Musatti, and Manuela Rollini


Dietary Guidelines: Pyramids, Wheels, Plates and Sustainability in Nutrition Education Javier Aranceta-Bartrina and Carmen Pérez-Rodrigo


Insights Into Perennial Crops as Potential Food Source Alessandra Marti, Citra P Rahardjo, and Baraem Ismail


School Nutrition Education Suzanne Piscopo



Contents of All Volumes

Food Supplements: Botanicals Patrizia Restani


Advertising and Marketing to Children Bridget Kelly


Use of a Potentiometric and Hybrid Electronic Tongue for the Analysis of Beer and Wine Emilia Witkowska Nery


Food Security and Food Storage P Lynn Kennedy, Andrew Schmitz, and G C van Kooten


Food Storage as a Source of Stress for Seed Farmers in the Tropics Edmond Dounias


Health Effects of Food Storage Francisco J Barba, Paulo E Sichetti Munekata, José M Lorenzo, and Antonio Cilla


Storage of Roots and Tubers Fernanda Zaccari, María Cristina Cabrera, and Ali Saadoun


Sweet Potato and Squash Storage Fernanda Zaccari, María C Cabrera, and Ali Saadoun


New Preservations Technologies: Hydrostatic High Pressure Processing and High Pressure Thermal Processing J García-Parra and R Ramírez


The Preservation of Fruit and Vegetable Products Under High Pressure Processing Krystian Marszałek, Justyna Szczepa nska, Łukasz Wozniak, Sylwia Ska˛ pska, Francisco J Barba, Mladen Brncic, and Suzana R Brncic


Effect of Freezing on the Quality of Meat José Antonio Beltrán and Marc Bellés


Freezing of Bread  Nikolina Cukelj and Dubravka Novotni


Preservation of Berries Erica Feliziani and Gianfranco Romanazzi


Edible Coatings for Extending Shelf-Life of Fresh Produce During Postharvest Storage Yanyun Zhao


Use of Enzymes to Preserve Food Fidel Toldrá-Reig and Fidel Toldrá


Sources of Contamination in Food Samantha Radford


Preservation of Micronutrients in Biofortified Foods Vinoth Alphonse and Ravindhran Ramalingam


Anaerobic Digestion of Food Waste for Bioenergy Production Fuqing Xu, Yangyang Li, Mary Wicks, Yebo Li, and Harold Keener


Sustainability Certification of Food Badrul Azhar, Margi Prideaux, and Norhisham Razi


Molecular Improvement of Grain: Target Traits for a Changing World Stacy D Singer, Nora A Foroud, and John D Laurie


Contents of All Volumes


Food Consumption Patterns in Developing Countries Matin Qaim


Modification of Pectin Jiankang Cao and Qianqian Li


The Determinants of Household Food Waste Reduction, Recovery, and Reuse: Toward a Household Metabolism Sally Geislar


Nanomaterials and Food Security: The Next Challenge for Consumers, Food Industries and Policies Marie-Hélène Ropers


Digitization and Big Data in Food Security and Sustainability Kelly Bronson


Sustainability and Plastic Waste Travis P Wagner


Bread Storage and Preservation Victoria A Jideani


Storage and Preservation of Fats and Oils Noelia Tena, Ana Lobo-Prieto, Ramón Aparicio, and Diego L García-González


The Storage and Preservation of Seafood Luxin Wang


VOLUME 3 Concepts of Food Sustainability Jock R Anderson


Agriculture and Ecosystem Services Harry Hoffmann, Sarah Schomers, Class Meyer, Klas Sander, Valerie Hickey, and Arndt Feuerbacher


Sustainable Pathways for Meeting Future Food Demand Kyle Frankel Davis, Carole Dalin, Ruth DeFries, James N Galloway, Allison M Leach, and Nathaniel D Mueller


Land Use Change, Deforestation and Competition for Land Due to Food Production Christiane W Runyan and Jeff Stehm


The Role of Food Marketing in Increasing Awareness of Food Security and Sustainability: Food Sustainability Branding Silvio Franco and Clara Cicatiello


Enhancing Food Security Through Seed Banking and Use of Wild Plants: Case Studies From the Royal Botanic Gardens, Kew Tiziana Ulian, Hugh W Pritchard, Christopher P Cockel, and Efisio Mattana


The Role of Youth in Increasing Awareness of Food Security and Sustainability Francesca Allievi, Domenico Dentoni, and Marta Antonelli


Planning Sustainable Food Supply Chains to Meet Growing Demands Riccardo Accorsi


Maintaining Diversity of Plant Genetic Resources as a Basis for Food Security M Ehsan Dulloo



Contents of All Volumes

Agroecological Intensification: Potential and Limitations to Achieving Food Security and Sustainability Jonathan Mockshell and Ma Eliza J Villarino


Concept and Classifications of Farming Systems John Dixon


Farming Systems in North America Keith Fuglie and Claudia Hitaj


Farming Systems of the World: South Africa Johann Kirsten and Ferdi Meyer


Temperate Agricultural Production Regions: Japan Kentaro Kawasaki


Farming Systems in Southeast Asia David Dawe, Melina Lamkowsky, Vinod Ahuja, and Caroline Turner


Food Security and Sustainability in Tropical Marginal Lands Peter B R Hazell


Food Security and Sustainability in Mountain Areas Stefan Mann, Silviu Beciu, and Armenit¸a Arghiroiu


Food Security and Food System Sustainability in North America Philip A Loring and Cory Whitely


Food Security Factors and Trends in Central Asia Elena Lioubimtseva


The Role of Irrigation for Food Security and Sustainability Sushil Pandey


Green Revolution Göran Djurfeldt


Emerging Genetic Technologies to Improve Crop Productivity Vincenzo D’Amelia, Clizia Villano, and Riccardo Aversano


Genetically Modified Crops Matin Qaim


The Potential for Genome Editing in Plant Breeding Stuart J Smyth


Genetic Improvement of Food Animals: Past and Future Alison L Van Eenennaam and Amy E Young


Food Sovereignty Michel P Pimbert


Local Conventional Versus Imported Organic Food Products: Consumers’ Preferences Corinna Hempel


Comparing Yields: Organic Versus Conventional Agriculture Verena Seufert


Connecting Diverse Diets With Production Systems: Measures and Approaches for Improved Food and Nutrition Security Gina Kennedy, Kaleab Baye, Bronwen Powell, and Arwen Bailey


Contents of All Volumes


Fresh Fruit and Vegetables: Contributions to Food and Nutrition Security Stepha McMullin, Barbara Stadlmayr, Ralph Roothaert, and Ramni Jamnadass


The Important Role of the Common Beans in Providing Food and Nutrition Security Lopera Diana, Gonzalez Carolina, and Birol Ekin


Roots, Tubers and Bananas: Contributions to Food Security Gina Kennedy, Jessica E Raneri, Dietmar Stoian, Simon Attwood, Gabriela Burgos, Hernán Ceballos, Beatrice Ekesa, Vincent Johnson, Jan W Low, and Elise F Talsma


Rice Contribution to Food and Nutrition Security and Leveraging Opportunities for Sustainability, Nutrition and Health Outcomes Bayuh Belay Abera, Belay Terefe, Kaleab Baye, and Namukolo Covic


Maize Contribution to Food and Nutrition Security and Leveraging Opportunities for Sustainability, Nutrition and Health Outcomes Namukolo Covic, Belay Terefe, and Kaleab Baye


Wheat Contribution to Food and Nutrition Security and Leveraging Opportunities for Sustainability, Nutrition and Health Outcomes Aziz A Karimov, Belay Terefe, Kaleab Baye, Brittany Hazard, Gashaw Tadesse Abate, and Namukolo Covic


Contributions of Milk Production to Food and Nutrition Security Paula Dominguez-Salas, Alessandra Galiè, Amos Omore, Esther Omosa, and Emily Ouma


Smallholder Poultry: Contributions to Food and Nutrition Security Robyn Alders, Rosa Costa, Rodrigo A Gallardo, Nick Sparks, and Huaijun Zhou


Smallholder Pork: Contributions to Food and Nutrition Security Kristina Roesel


Extensive (Pastoralist) Cattle Contributions to Food and Nutrition Security Ursula Truebswasser and Fiona Flintan


Urban Livestock-Keeping: Contributions to Food and Nutrition Security Johanna F Lindahl, Ulf Magnusson, and Delia Grace


Urban Livestock Keeping: Leveraging for Food and Nutrition Security Johanna F Lindahl, Ulf Magnusson, and Delia Grace


Agrifood Systems in Low- and Middle-Income Countries: Status and Opportunities for Smallholder Dairy in LMIC Paula Dominguez-Salas, Amos Omore, Esther Omosa, and Emily Ouma


Smallholder Poultry: Leveraging for Sustainable Food and Nutrition Security Robyn Alders, Rosa Costa, Rodrigo A Gallardo, Nick Sparks, and Huaijun Zhou


Extensive Pastoralist (Cattle): Leveraging for Food and Nutrition Security Fiona Flintan and Ursula Truebswasser


Pastoral Livestock Systems Brigitte A Kaufmann, Christian G Hülsebusch, and Saverio Krätli


Leveraging Neglected and Underutilized Plant, Fungi, and Animal Species for More Nutrition Sensitive and Sustainable Food Systems Stefano Padulosi, Donna-Mareè Cawthorn, Gennifer Meldrum, Roberto Flore, Afton Halloran, and Federico Mattei Computation of Risk Assessment Modelling Kohei Makita, Sylvie Kouamé Sina, Johanna Lindahl, and Fanta Desissa




Contents of All Volumes

Leveraging Incentives for Safe and Nutritious Foods Vivian Hoffmann, Alan de Brauw, Christine Moser, and Alexander Saak


Wastewater and Leafy Greens Inmaculada Amorós, Laura Moreno-Mesonero, Yolanda Moreno, and José L Alonso


Leveraging Informal Markets for Health and Nutrition Security Silvia Alonso and Paula Dominguez-Salas


Leveraging Development Programs: Homestead Food Production Jody Harris, Stephen Thompson, and Thalia Sparling


Leveraging Development Programs – Livestock Research Isabelle Baltenweck, Rupsha Banerjee, and Immaculate Omondi


Leveraging Agri-Food Systems for Food Security and Nutrition – The Role of International Research for Development John McDermott


Using Theory of Change in Agricultural Research for Food and Nutrition Security Nancy Johnson, Boru Douthwaite, and John Mayne,


Leveraging Gender for Food and Nutrition Security Through Agriculture Alessandra Galiè


Trade-Offs and Synergies Between Food Quality, Nutrition, and Food Safety: Health Impacts of Agrifood Systems in Low and Middle-Income Countries Barbara Häsler


Infectious Diseases and Agriculture Delia Grace


Assessing Food Safety Risks in Low and Middle-Income Countries Kohei Makita, Nicoline de Haan, Hung Nguyen-Viet, and Delia Grace


Endemic Diseases and Agriculture Kristina Roesel


Association Between Land Use Change and Exposure to Zoonotic Pathogens – Evidence From Selected Case Studies in Africa Bernard Bett, Nicholas Ngwili, Daniel Nthiwa, and Alonso Silvia


Climate Change and Disease Dynamics: Predicted Changes in Ecological Niches for Rift Valley Fever in East Africa Bernard Bett, Fred Tom Otieno, and Faith Murithi


Antimicrobial Resistance and Agriculture Barbara Wieland


Gender and Livestock Juliet Kariuki


Life Cycle Assessment of Food Products Simon Fraval, Corina E van Middelaar, Brad G Ridoutt, and Carolyn Opio


Life Cycle Assessment of Coffee Production in Time of Global Change Federica V Rega and Pasquale Ferranti


Carbon Neutral Food Value Chains Athena Birkenberg


Contents of All Volumes

Innovation Platforms: Synopsis of Innovation Platforms in Agricultural Research and Development Marc Schut, Laurens Klerkx, Josey Kamanda, Murat Sartas, and Cees Leeuwis Food Value Chains: Governance Models Eugenio Pomarici


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CONTRIBUTORS TO VOLUME 1 Parisa A Abbasi Parizad University of Milan, Milan, Italy Mohamed Abdel-Shafi Abdel-Samie Faculty of Food and Biological Engineering, Jiangsu University, Zhenjiang, Jiangsu, China; and Faculty of Environmental Agricultural Sciences, Department of Food and Dairy Sciences and Technology, Arish University, El-Arish, North Sinai, Egypt Konstadinos Abeliotis School of Environment, Geography and Applied Economics, Harokopio University, Athens, Greece Garrido Alberto CEIGRAM- Research Centre for the Management of Environmental and Agricultural Risks, Universidad Politécnica de Madrid, Madrid, Spain Fabio Alfieri Department of Agricultural Sciences, University of Naples Federico II, Portici, Naples, Italy Kym Anderson School of Economics, University of Adelaide, Adelaide, SA, Australia; and Arndt-Corden Department of Economics, Australian National University, Canberra, ACT, Australia Maria Aponte Department of Agricultural Sciences, University of Naples, Portici (Naples), Italy Uzma Badar Cell and Systems Biology, University of Toronto, Toronto, ON, Canada Diana Karina Baigts Allende Tecnologico de Monterrey, Escuela de Ingeniería y Ciencias, Querétaro, Qro, Mexico

Soriano Bárbara CEIGRAM- Research Centre for the Management of Environmental and Agricultural Risks, Universidad Politécnica de Madrid, Madrid, Spain Fabio Bartolini Department of Agriculture, Food and Environmental (DAFE), University of Pisa, Pisa, Italy Adriana Basile University of Naples Federico II, Portici, Italy Simona Bassu European Commission, Joint Research Centre, Ispra, Italy Kalpana Beesabathuni Sight and Life, Gurgaon, India Gilles Billen SU CNRS EPHE, UMR Metis, Paris, France Albert Bleeker PBL Netherlands Environmental Assessment Agency, The Hague, the Netherlands Sunniva Bloem Food and Agriculture Organization of the United Nations, Regional Office for Asia and the Pacific, Bangkok, Thailand Francesco Bonomi University of Milan, Milan, Italy Kristine Caiafa Friedman School of Nutrition Science and Policy, Tufts University, Cambridge, MA, United States

Madhavika Bajoria Sight and Life, Gurgaon, India

Maria Grazia Calabrese Department of Agricultural Sciences, University of Naples ’Federico II’, Portici, Italy

Pooja Bajya L.B.S. Girls College, University of Rajasthan, Jaipur, Rajasthan, India

Dario Caro Department of Environmental Science, Aarhus University, Roskilde, Denmark



Contributors to Volume 1

Roberto Castro-Muñoz University of Chemistry and Technology Prague, Prague, Czech Republic; Institute on Membrane Technology, Rende (CS), Italy; and Universidad de Zaragoza, Zaragoza, Spain

Thomas Daum Hans-Ruthenberg-Institute of Agricultural Science in the Tropics, University of Hohenheim, Stuttgart, Germany

Andrej Ceglar European Commission, Joint Research Centre, Ispra, Italy

Henriëtta L de Kock Department of Consumer & Food Sciences, Institute for Food, Nutrition and Wellbeing, University of Pretoria, Pretoria, South Africa

Priyanka Chakraborty School of Engineering, RMIT University, Melbourne, Victoria, Australia

Luigia Di Stasio Department of Agricultural Sciences, Portici, Italy

Cindy Cheng Bavarian School of Public Policy, Munich, Germany Mukesh Choudhary ICAR-Indian Institute of Maize Research, Ludhiana, Punjab, India Rubel Biswas Chowdhury School of Engineering, Deakin University, Geelong, Victoria, Australia Christina Chroni School of Environment, Geography and Applied Economics, Harokopio University, Athens, Greece Cristina Chuck-Hernández Tecnologico de Monterrey, Escuela de Ingeniería y Ciencias, Monterrey, NL, Mexico Michael Clark Natural Resources Science and Management, University of Minnesota, St. Paul, MN, United States Antonio Colantuono University of Naples “Federico II”, Portici, Italy Citlali Colín-Chávez CONACYT- Centro de Investigación en Alimentación y Desarrollo, Hermosillo, Sonora, Mexico; and Centro de Innovación y Desarrollo Agroalimentario de Michoacán (CIDAM), Morelia, Michoacán, Mexico Sonia Cozzano Ferreira Departamento de Ciencia y Tecnología de Alimentos, Universidad de la República (UdelaR), Montevideo, Uruguay; and Departamento de Ciencia y Tecnología de Alimentos. Universidad Católica del Uruguay (UCU)Montevideo, Uruguay Haiying Cui Faculty of Food and Biological Engineering, Jiangsu University, Zhenjiang, Jiangsu, China Carole Dalin Institute for Sustainable Resources, Bartlett School of Environment, Energy and Resources, University College London, London, United Kingdom

María Dolores del Castillo Food Bioscience Group, Department of Bioactivity and Food Analysis, Instituto de Investigación en Ciencias de la Alimentación (CIAL) (CSIC-UAM), Campus de la Universidad Autónoma de Madrid, Madrid, Spain Montesano Domenico Department of Pharmaceutical Sciences, University of Perugia, Perugia, Italy Anestis Dougkas Institut Paul Bocuse Research Center, Ecully, France Sangam L Dwivedi Independent Researcher, Hyderabad, India Ertug Ercin R2 Water Research and Consultancy, Amsterdam, the Netherlands; University of Twente, Enschede, the Netherlands Erick Almeida Esmerino Federal University Fluminense (UFF), Niteró, Brazil Derek Fawcett Murdoch University, Murdoch, WA, Australia Adriana Maite Fernández Fernández Departamento de Ciencia y Tecnología de Alimentos, Universidad de la República (UdelaR), Montevideo, Uruguay; and Instituto de Investigación en Ciencias de la Alimentación (CIAL) (CSIC-UAM), Campus de la Universidad Autónoma de Madrid, Madrid, Spain Pasquale Ferranti Department of Agricultural Sciences, University of Naples ’Federico II’, Portici, Italy Maria Fonte University of Naples Federico II, Via Cynthia Monte Sant'Angelo, 80 126 Napoli, Italy; and The American University of Rome, Via Roselli 4, 00153 Roma, Italy Blasi Francesca Department of Pharmaceutical Sciences, University of Perugia, Perugia, Italy

Contributors to Volume 1

Simon Fraval International Livestock Research Institute, Nairobi, Kenya Romain Frelat Institute for Marine Ecosystem and Fisheries Science, University of Hamburg, Hamburg, Germany Monica Gallo Department of Molecular Medicine and Medical Biotechnology, University of Naples Federico II, Naples, Italy Josette Garnier SU CNRS EPHE, UMR Metis, Paris, France Jessica A Gephart National Socio-Environmental Synthesis Center, Annapolis, MD, United States Agnès Giboreau Institut Paul Bocuse Research Center, Ecully, France Adriano Gomes da Cruz Instituto Federal de Educação, Ciência e Tecnologia do Rio de Janeiro (IFRJ), Rio de Janeiro, Brazil Delia Grace International Livestock Research Institute, Nairobi, Kenya Daniel Granato State University of Ponta Grossa (UEPG), Ponta Grossa, Brazil James Hammond International Livestock Research Institute, Nairobi, Kenya Kentaro Hayashi NIAES, National Agriculture and Food Research Organization, Tsukuba, Japan Kathleen Hefferon Cell and Systems Biology, University of Toronto, Toronto, ON, Canada Russell Hopfenberg Duke University, Chapel Hill, NC, United States Stefania Iametti University of Milan, Milan, Italy Amaia Iriondo-DeHond Food Bioscience Group, Department of Bioactivity and Food Analysis, Instituto de Investigación en Ciencias de la Alimentación (CIAL) (CSIC-UAM), Campus de la Universidad Autónoma de Madrid, Madrid, Spain


M Iriondo-DeHond Instituto de Investigación en Ciencias de la Alimentación (CIAL) (CSIC-UAM), Madrid, Spain; and Instituto Madrileño de Investigación y Desarrollo Rural, Agrario y Alimentario (IMIDRA), Alcalá de Henares, Spain Pierangelo Isernia Department of Social, Political and Cognitive Sciences, University of Siena, Siena, Italy Anet Rezek Jambrak Faculty of Food Technology and Biotechnology, Zagreb, Croatia; and University of Zagreb, Croatia Helena Kahiluoto Lappeenranta University of Technology, Lappeenranta, Finland Sandeep Kaswan Department of Livestock Production Management, College of Veterinary Science, Guru Angad Dev Veterinary & Animal Sciences University (GADVASU), Ludhiana, Punjab, India Vineet Kaswan College of Basic Science and Humanities, Sardarkrushinagar Dantiwada Agricultural University, Gujarat India Matthew Kelly Research School of Population Health, Australian National University, Canberra, ACT, Australia Muhammad Daud Khan Department of Environmental Sciences, Kohat University of Science and Technology (KUST), Kohat, Pakistan Megan Konar Civil and Environmental Engineering, University of Illinois at Urbana-Champaign, Champaign, IL, United States Klaus Kraemer Sight and Life, Kaiseraugst, Switzerland Pardeep Kumar ICAR-Indian Institute of Maize Research, Ludhiana, Punjab, India Katia Lasaridi School of Environment, Geography and Applied Economics, Harokopio University, Athens, Greece Luis Lassaletta CEIGRAM-Agricultural Production, Universidad Politécnica de Madrid, Spain


Contributors to Volume 1

Lin Lin Faculty of Food and Biological Engineering, Jiangsu University, Zhenjiang, Jiangsu, China Cossignani Lina Department of Pharmaceutical Sciences, University of Perugia, Perugia, Italy Srujith Lingala Sight and Life, Gurgaon, India Di Stasio Luigia University of Naples Federico II, Portici, Italy Susan Lurie Department of Postharvest Science, Agricultural Research Organization, Rishon Le Zion, Israel Jürgen Mahlknecht Tecnologico de Monterrey, Escuela de Ingeniería y Ciencias, Monterrey, NL, Mexico Arianna Marcolin DIRPOLIS Institute, Scuola Superiore Sant’Anna, Pisa, Italy Mauro Marengo University of Milan, Milan, Italy Amy Marshall-Colon Department of Plant Biology, University of Illinois at Urbana-Champaign, Urbana, IL, United States Adolfo J Martinez-Rodriguez Universidad Autónoma de Madrid, Madrid, Spain Nuria Martinez-Saez Basque Culinary Center, Faculty of Gastronomic Sciences, Mondragon University, San Sebastián, Donostia, Spain Alejandra Medrano Fernández Departamento de Ciencia y Tecnología de Alimentos, Universidad de la República (UdelaR), Montevideo, Uruguay Nadine Methner African Climate and Development Initiative, University of Cape Town, Cape Town, South Africa Victor Benno Meyer-Rochow Research Institute of Luminous Organisms, Nakanogo (Hachijojima), Tokyo, Japan; and Department of Genetics and Physiology, Oulu University, Oulu, Finland Stephanie J E Midgley African Climate and Development Initiative, University of Cape Town, Cape Town, South Africa; and Department of Horticultural Science, Stellenbosch University, Stellenbosch, South Africa

E Miguel Instituto Madrileño de Investigación y Desarrollo Rural, Agrario y Alimentario (IMIDRA), Alcalá de Henares, Spain Nick Milne School of Engineering, Deakin University, Geelong, Victoria, Australia Marco A Miranda-Ackerman CONACYT-El Colegio de Michoacán, La Piedad, Michoacán, Mexico; and Centro de Innovación y Desarrollo Agroalimentario de Michoacán (CIDAM), Morelia, Michoacán, Mexico Tamara Y Mousa The University of Texas at Austin, Austin, TX, United States Filomena Nazzaro Institute of Food Science, Avellino, Italy Jean Ndimubandi University of Burundi, Bujumbura, Burundi Mark New African Climate and Development Initiative, University of Cape Town, Cape Town, South Africa; and School of International Development, University of East Anglia, Norwich, United Kingdom Sanctus Niragira University of Burundi, Bujumbura, Burundi Abdul-Sattar Nizami Center of Excellence in Environmental Studies (CEES), King Abdulaziz University, Jeddah, Saudi Arabia Azusa Oita Graduate School of Environmental Studies, Tohoku University, Sendai, Japan Rodomiro Ortiz Department of Plant Breeding, Swedish University of Agricultural Sciences, Alnarp, Sweden Tatiana Colombo Pimentel Federal Institute of Paraná (IFPR), Paraná, Brazil Gerrard E J Poinern Murdoch University, Murdoch, WA, Australia Maria Grazia Quieti The American University of Rome - Via Roselli 4 00153 Roma - Italia David Quintanar-Guerrero FES-Cuautitlán, Laboratorio de Transformación y Tecnologías Emergentes en Alimentos, Universidad Nacional Autónoma de México, Cuautitlán Izcalli, Estado de México, Mexico

Contributors to Volume 1


Mohammad Rehan Center of Excellence in Environmental Studies (CEES), King Abdulaziz University, Jeddah, Saudi Arabia

Maxime Touffet Food Processing and Engineering, INRA, AgroParisTech, Université Paris-Saclay, Massy, France

Annalisa Romano Department of Agricultural Sciences, University of Naples, Portici (Naples), Italy

Francesco Nicola Tubiello Statistics Division, Food and Agriculture Organization of the United Nations, Rome, Italy

Benedetto Rugani RDI Unit on Environmental Sustainability Assessment and Circularity, Environmental Research and Innovation (ERIN) department, Luxembourg Institute of Science and Technology (LIST), Belvaux, Luxembourg

Jaime Uribarri Department of Medicine, The Icahn School of Medicine at Mount Sinai, New York, NY, United States

Nadia El-Hage Scialabba Food and Agriculture Organization of the United Nations, Rome, Italy

Senne Vandevelde LICOS Centre for Institutions and Economic Performance, KU Leuven, Leuven, Belgium Jos Van Orshoven KU Leuven (University of Leuven), Leuven, Belgium

Hideaki Shibata Field Science Center for Northern Biosphere, Hokkaido University, Sapporo, Japan

Mark T van Wijk International Livestock Research Institute, Nairobi, Kenya

Junko Shindo ICRE, University of Yamanashi, Yamanashi, Japan

Kesso G van Zutphen Sight and Life, Kaiseraugst, Switzerland

Stuti Shrivastava Department of Plant Biology, University of Illinois at Urbana-Champaign, Urbana, IL, United States

Srividhya Venkataraman Cell and Systems Biology, University of Toronto, Toronto, ON, Canada

Jose M Silvan Universidad Autónoma de Madrid, Madrid, Spain

Nelson B Villoria Department of Agricultural Economics, Kansas State University, Manhattan, KS, United States

Roberta Sonnino Cardiff University, Cardiff, Wales, United Kingdom U Rashid Sumaila Institute for the Oceans and Fisheries & the School for Public Policy and Global Affairs, The University of British Columbia, Vancouver, BC, Canada Johan Swinnen LICOS Centre for Institutions and Economic Performance, KU Leuven, Leuven, Belgium; and Centre for Food Security and the Environment (FSE), Stanford University, Stanford, California, United States

Olivier Vitrac Food Processing and Engineering, INRA, AgroParisTech, Université Paris-Saclay, Massy, France Muhammad Waqas Center of Excellence in Environmental Studies (CEES), King Abdulaziz University, Jeddah, Saudi Arabia Maria Wrabel Friedman School of Nutrition Science and Policy, Tufts University, Boston, MA, United States

Zerihun Tadele Institute of Plant Sciences, University of Bern, Bern, Switzerland

María L Zambrano-Zaragoza FES-Cuautitlán, Laboratorio de Transformación y Tecnologías Emergentes en Alimentos, Universidad Nacional Autónoma de México, Cuautitlán Izcalli, Estado de México, Mexico

Andrea Toreti European Commission, Joint Research Centre, Ispra, Italy

Matteo Zampieri European Commission, Joint Research Centre, Ispra, Italy

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EDITOR BIOGRAPHIES EDITORS IN CHIEF Pasquale Ferranti Pasquale Ferranti is Professor of Food Science and Technology at the University of Naples “Federico II,” Italy. He obtained his chemistry degree in the University of Naples in 1987 where he was awarded the “G. Laonigro” prize (best Italian Chemistry PhD thesis). He has carried out full-time research at the Department of Biochemistry, Imperial College of Science and Technology, London. He has been scientifically responsible of several funded research projects concerning the issues of analytical chemistry and of omics applied to food analysis. He is the author of over 200 publications on peer-reviewed international journals. He has developed ongoing collaborations with international research institutes in research projects of multidisciplinary interest. He has been an invited speaker in international meetings in proteomics and food technology and fellow teacher in international schools. He is editor-in-chief of the journal Peptidomics (Versita) and associate editor of the journal Food Research International (Elsevier). For this journal, he has edited the special issues dedicated to Foodomics in 2013 and 2015.

Elliot M. Berry Dr Berry is an emeritus Professor of Medicine and Nutrition at the Hebrew University – Hadassah Medical School, Jerusalem. His research interests include the relationship between food security and sustainability, the bio-psycho-social problems of weight regulation, the Mediterranean diet and the effects of nutrition on cognitive function. He has been a visiting scientist at MIT, Rockefeller, Cambridge and Yale Universities. A former Director of the Braun School of Public Health and the Department of Human Nutrition and Metabolism, as well as Head of the WHO Center in Capacity Building in the Faculty of Medicine. Following his publication of a Global Nutrition Index, he worked as a Consultant at the FAO, Rome 2013–14 on the metrics of Food Security and Sustainability. He is currently a member of the United Nations multi-stakeholder committee on Sustainable Food Systems. Dr Berry is working now on the concept of the as a conceptual framework for understanding coping with stresses throughout the life trajectory, especially regarding chronic disease and food insecurity.

Jock R. Anderson Adjunct Professor, Georgetown University, Washington, D.C. and Emeritus Professor of Agricultural Economics, University of New England, Armidale, Australia. Jock left his home farm near Monto, Queensland, Australia, to study agricultural science at the University of Queensland, and after completing his Master’s degree and working as a research and extensionist agronomist, he pursued a PhD in agricultural economics at the University of New England, where he later became Professor of Agricultural Economics, and Dean of the Faculty of Economic Studies. Amongst his off campus-assignments, Jock served as a Visiting Professor in the Indian Agricultural Research Institute in New Delhi in 1972/3, and worked with several CGIAR Centers over the years. He directed the Impact Study of the entire CGIAR system from 1984 to 1986. In 1978/9 he served as Deputy Director and Chief Research Economist in the Australian Bureau of Agricultural and Resource Economics in Canberra. Jock joined the World Bank in 1989, where he served in various roles including Adviser, Strategy and Policy in the Agriculture and Rural Development Department. As a retiree since 2003, he works for various international organizations, including the International Food Policy Research Institute (IFPRI), USAID and the World Bank, and in 2011 led an evaluation of policy work at the FAO. Jock is an Honorary Life Member of the International Association of Agricultural Economists, a Fellow of the Agricultural and Applied Economics Association, a Fellow of the Academy of the Social Sciences in Australia and Distinguished Fellow of the Australian Agricultural and Resource Economics Society. He can be reached at [email protected].



Editor Biographies

SECTION EDITORS Regina Birner Regina Birner is Chair of Social and Institutional Change in Agricultural Development at the University of Hohenheim, Germany. Her research focuses on the political economy of agricultural policy processes and on the role of governance and institutions in agricultural development, with a focus on smallholder farming. Gender is a cross-cutting concern in her research. Regina Birner has extensive empirical research experience in Africa and in South and South-East Asia, and she has published widely in these fields. Regina Birner is a member of the Advisory Council on Agricultural Policy of the German Federal Ministry of Food and Agriculture (BMEL) and a member of the Advisory Council on Bioeconomy of the German Federal Government. She has been consulting with international organizations, including the World Bank, the Food and Agriculture Organization (FAO) and the International Fund for Agricultural Development (IFAD). Regina Birner holds a postdoctoral degree (“Habilitation”) in Agricultural Economics and a PhD in Socio-Economics of Agricultural Development, both from the University of Göttingen. She received her M.Sc. degree in Agricultural Sciences from the Technische Universität München-Weihenstephan, Germany.

Alessandro Galli Alessandro Galli is a macro ecologist, sustainability scientist, wannabe geographer, with a passion for anthropology and human behavior. He works as Senior Scientist and Mediterranean-MENA Program Director at Global Footprint Network as well as International Coordinator for the Common Home of Humanity Initiative. His research analyzes the historical changes in human dependence on natural resources and ecological services through the use of sustainability indicators and environmental accounting methods. His professional goal is to contribute to and support evidence based decisionmaking processes, and favor societal transformation via natural resources and sustainability accounting tools to help address the 21st century global challenge of living well within the limits of our planet. Alessandro holds a Ph.D. in chemical sciences from Siena University. He is co-author of several publications, including more than 40 articles in peer-reviewed journals; the article “Global Biodiversity: Indicators of Recent Declines” published in the leading journal Science; and WWF’s 2008, 2012, and 2016 Living Planet Reports. Alessandro is member of the Biodiversity Indicator Partnership’s Steering Committee as well as member of the Scientific Committee of the MedSea Foundation and of the Editorial Board of the journals Resources: Natural Resources and Management, Frontiers in Energy Research and Frontiers in Sustainable Food Systems; he was a MARSICO Visiting Scholar at University of Denver, Colorado, USA, in 2011 and a visiting scholar at Cardiff University, Wales, in February 2016 and March 2017.

Delia Grace Delia is an epidemiologist and veterinarian with 20 years experience in developing countries. She leads research on zoonoses and foodborne disease at the International Livestock Research Institute in Kenya and the CGIAR Research Program on Agriculture for Human Nutrition and Health. Her research interests include emerging diseases, participatory epidemiology, gender and animal welfare. Her career has spanned the private sector, field-level community development and aid management, as well as research. She graduated and worked at several leading universities including University College Dublin, Edinburgh University, the Free University of Berlin and Cornell University. She has lived and worked in Asia, west and east Africa and authored or co-authored more than 150 peer-reviewed publications as well as training courses, briefs, films, articles, chapters and blog posts. She was a member of the writing team for the United Nations High Level Panel of Experts commissioned report on sustainable livestock, and an advisor to the World Health Organisation Thematic Reference Group on Environment, Agriculture and Infectious Diseases of Poverty. She received the Trevor Blackburn award for contributions to animal health and welfare in developing countries in 2014. She is a honorary lecturer at Moi University (Kenya) College of Health Science and a member of several editorial boards. Her research program focuses on the design and promotion of risk-based approaches to food safety in livestock products in sub-Saharan Africa and South Asia. She is also a key player on ILRI’s Ecohealth/One health approach to the control of zoonotic emerging infectious diseases project for Southeast Asia.

Editor Biographies


Kathleen Hefferon Kathleen Hefferon graduated with a PhD in Medical Biophysics from the Faculty of Medicine, University of Toronto, Canada. She worked as a postdoctoral fellow at the Boyce Thompson Center for Plant Research at Cornell University, New York, USA and eventually joined the Division of Nutritional Sciences at Cornell as the Director of the Human Metabolic Research Unit. Kathleen later joined the Department of Food Sciences and Technology at Cornell and over the past academic year has been awarded the Fulbright Canada Research Chair in Global Food Security at the University of Guelph in Ontario, Canada. Kathleen has taught Introductory Virology in the Department of Cell and Systems Biology at the University of Toronto and has been a visiting professor in that department over the past year. Kathleen is currently an editor of Frontiers Journal of Nutrition. She has written three books on plants and human health and is currently working on the second edition of one of them. Kathleen’s research interests include food and energy security, global health, biofortification of food, plant made vaccines, agricultural biotechnology and science communication.

Lluis Serra-Majem Lluís Serra-Majem (Barcelona, Spain 1959) is a medical doctor with a Ph.D. specialising in Preventive Medicine and Public Health Nutrition. In 1988, he became Associate Professor of Preventive Medicine and Public Health at the School of Medicine of the University of Barcelona, where he founded and is the Director of the Community Nutrition Research Centre of the University of Barcelona Science Park. In 1995 he became Full Professor of Preventive Medicine and Public Health at the University of Las Palmas de Gran Canaria, where he also holds the UNESCO Chair for Research, Planning and Development of Local Health and Food Systems as well as serves as Director of the Biomedical and Health Research Institute (IUIBS). In that University he chairs the International Chair for Advanced Studies on Hydration and the Programme the Island in your Plate, too. He is also colligated with the Spanish Ministry of Health’s Thematic Centre of Obesity and Nutrition Research (CIBER OBN group coordinator) and participates in the PREDIMED Study and Network. In 1989 he founded the Spanish Society of Community Nutrition, of which he served as President from 2000 to 2006. He is President and founder of the NGO Nutrition without Borders, as well as of the Nutrition Research Foundation (FIN); he also served as President of the Mediterranean Diet Foundation (from 1995 to 2012) where he was leading the candidacy of the Mediterranean Diet as an Intangible Cultural Heritage by the UNESCO. He chairs the Spanish Academy of Nutrition and Food Sciences, and the International Foundation of Mediterranean Diet (IFMeD), and he is Scientific Director of the CIISCAM at Sapienza University in Rome. He has published 74 books and 470 peer reviewed scientific papers with an impact factor over 2200 and an H-index of 56 (80 in Google Scholar). His main areas of research are: Public Health Nutrition, Mediterranean diet, obesity prevention and hydration. He was the President of the I and III World Congress of Public Health Nutrition.

Pierre Singer Dr. Singer has over 30 years of clinical and academic experience. He is currently director of the General Intensive Care Department, Rabin Medical Center, Beilinson Campus, Petach Tikva, Israel (1995present). Dr. Singer also currently maintains appointments as head of the TPN and Enteral Nutrition teams (since 1995 and 1996, respectively) and head of the Institute of Nutrition Research (2006present) at Rabin Medical Center, head of the Nutrition Committee at Kupat Holim Clalit (1996present), and Clinical Associate Professor of Anesthesia and Intensive Care at the Sackler school of medicine, Tel Aviv University (2002-present). Dr. Singer was President of the Israel Society for Clinical Nutrition (ISCN) from 2005–09. More recently, Dr. Singer holds the positions as Chairman of the Nutrition Committee of Clalit Health Services (2009–12), Chairman of the Department of Anesthesia and Intensive Care, Sackler school of medicine, Tel Aviv University (2009–13), and Chairman of the European Society for Clinical Nutrition and Metabolism (ESPEN) (2010–14). He maintains memberships in numerous scientific and professional associations as well as appointments in countless professional and administrative committees. His research interests center around sepsis, respiratory & technologies, and nutrition and metabolism. These interests include various mediators in severe sepsis, ventilation and imaging of lung sounds, and energy metabolism and energy balance in critically ill patients. Dr. Singer has supervised more than 50 clinical and academic research theses. He has received numerous awards and grants throughout his career. Dr. Singer has presented over 160 lectures, and had more than 175 invited papers at scientific meetings. Dr. Singer has published more than 100 original articles, 16 case reports, 26 review articles, 23 book chapters, and 100 abstracts.

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PREFACE At the end of December 2017, over 15 000 scientists from 184 countries signed off on a warning call in BioScience, a second Warning to Humanity after the first one twenty five years ago (Ripple et al., 2017). The paper contains a series of nine charts (Fig. 1) showing how the trends for environmental issues identified in 1992 have changed from 1960 to 2016. The astonishing conclusions are that, with the exception of ozone depletors, these indicators have all worsened. In other words, humanity has done virtually nothing to protect the Earth’s ecosystems by reducing greenhouse gas (GHG) emissions, phase out fossil fuels, reduce deforestation and maintain biodiversity. In parallel, the world population has increased by 2 billion. Such continued growth is a primary driver of many current ecological and geo-political hazards. Population growth and a shift towards protein-based, energy rich diets will increase globally, adding pressure on ecosystem services. The state of world nutrition has also changed greatly over this period. Fig. 2 shows the Global Nutrition Index (panel A) which is a composite index assessing malnutrition as represented by both under-nutrition (panels B and D) and over-nutrition (panel C) (Peng and Berry, 2018). Many countries are now facing the triple burden of malnutrition where undernutrition and micronutrient deficiencies co-exist with over-nutrition and obesity. This reflects uneven material production and consumption, and also socio-economic inequalities, both within and between countries. Food is the biological fuel for humanity, given that a well-fed nation is a healthy nation is a productive and resilient nation (see also, Crist et al., 2017). Thus, World Food Security is essential for survival. But for how long? This is the concern of Sustainability which was acknowledged by the United Nations in 2015 when they promoted the 17 Sustainable Development goals. In their warning to humanity, above, the scientists give a number of examples of positive actions to reverse global unsustainable trends. These include strategies such as halting the conversion of native habitats into farmland; restoring and rewilding ecologies; adopting renewable energy sources and phasing out fossil fuel subsidies; promoting dietary shifts toward plant-based foods and reducing food waste; and increasing community education and awareness of nature. They also realized that it is necessary to reduce wealth inequality and ensure that prices, taxation, and incentive systems take into account the real costs that consumption patterns impose on our environment. We may also add the challenges of increased urbanization. A practical forecast has been given by the World Resources Institute (Ranganathan et al., 2016). If the World’s 2 billion high consumers of meat and dairy reduced their consumption by 40%, it would save an area of land twice the size of India and avoid 168 Gt of GHG emissions, which would be equivalent to three times the total global emissions in 2009. Other measures may include making food more diverse and production more sustainable through nutrition-sensitive conservation agriculture, better water management and integrated pest management, which can improve nutrition without depleting natural resources. Family farming, kitchen gardens and home/school food production can increase diet diversity at the local level. It is against the backdrop of these urgent issues concerning Global Sustainability and Food Security, that we have produced this Encyclopedia on Food Security and Sustainability. The aim is to provide a scientific overview of the challenges, constraints, and solutions necessary to maintain a healthy and accessible food supply in different communities around the world. We address a wide range of issues relating to the principles and practices of food security and sustainability, learning from experience of the past (e.g., Anderson, 2017), and exploring the global challenges of the new millennium to meet human nutritional requirements. This Encyclopedia presents recent thinking and achievements in Food Security and Sustainability through the cooperation of many researchers in the fields of agricultural production with those working in food technology, nutrition, medicine and public health. These developments provide solutions to the demands of




Ozone depletors (Mt CFC11-equivalent per year)


Freshwater resources per capita (1000 m3)


Reconstructed marine catch (Mt per year)



130 12


110 10







0.3 Dead zones (number of affected regions)


50 Total forest (billion ha)


Vertebrate species abundance (% of 1970)


100 600 4.10 80

400 4.05


200 4.00 CO2 emissions (Gt CO2 per year)


40 Temperature change (°C)


Population (billion individuals)


1.00 7 30










Ruminant livestock


10 1960

Figure 1




1992 Year





Trends over time for environmental variables identified by Union of Concerned Scientists. Ripple et al., 2017, reproduced with permission.

producers, food industries, governments, regulatory agencies and consumers to advance food availability, accessibility and storage, and to optimize the effects of processing on food components, with the ultimate objectives of securing food for the world and of improving human health and wellness. The Encyclopedia also presents the main advances in policy in addressing the urgent questions raised by a growing world population and increased environmental degradation (national governments, politicians, international agencies and organisms (e.g., UN, FAO), regulatory agencies (e.g., European Food Safety Authority), and not-for-profit organizations. The Encyclopedia contains many articles that introduce modern approaches to the assessment of food security and sustainability. These chapters cover a series of ‘hot issues’ for the scientific research community in agri-food science, and also deal with the new and dramatic scenarios challenging mankind in this century. It was timely that the theme of the Universal Exposition held in Milan in 2015 (Expo, 2015) was ‘Feeding the Planet’ and that the WHO/UN Decade of Action on Nutrition 2016–2025 has started recently. Currently, a number of







DALYs due to PEM



0.46 0.45 0.44 0.43

800 600 400 200


0 1995







16 14 12 10 8 6 1995


2005 Year















DALYs due to micronutrient deficiency


% of female obesity


1400 1200 1000 800 600 400 200 1990



2005 Year

Figure 2 The Global Nutrition Index (GNI) and its indicators for the world 1990–2015. PEM, protein-energy malnutrition; MID, micronutrient deficiency. Dotted lines represent 95% uncertainty intervals (Peng and Berry, 2018).

international research programs are focused on the urgency of providing adequate nutrition to a population likely to reach nearly 10 billion by the middle of the century, all in a sustainable and eco-friendly manner, and through the respectful use of the food and water resources (e.g., Ferranti, 2016). Scientific interest in food sustainability and security, sustainable diets and global change is “exploding” as reflected by the exponential increase in publications and citations over recent years. Thus, this area represents an important element in food science research and development, together with agricultural practice and policy. Considering the diversity of chapters, subjects and authors in this Major Reference Work, we do hope it will stimulate new ideas for improving knowledge and action in this field. We have been aided by an excellent team of Section Editors Regina Birner, Alessandro Galli, Delia Grace, Kathleen L Hefferon, Lluis Serra-Majem and Pierre Singer - and authors, whom we thank for their patience and diligent efforts. The scope of the articles reflects the multidimensional and multidisciplinary coverage necessary to understand the challenges, and formulate possible solutions, to ensuring Sustainable Food Systems for our planet. It is hoped that the encyclopedia will be of use to the many groups who are involved in such a vital enterprise. Food System actors include Global Agro Business; Farmers/Enterprises; Food Industry/Manufacturers; Retailers; Restaurant Chains; Street Food Vendors; and Consumers. Other stakeholders are: World Organizations (e.g., FAO, WHO, International Financial Institutions), Government ministries (Agriculture, Environment, Health, Finance, Education and more); Local Authorities; Academia; NGOs; and Civil Society. It is noted that these groups are not exclusive. With such a long list of interested parties, no one group can be held to blame but, yet, we all have a responsibility in the struggle for planetary survival. In the words of a sage of old: “You are not obliged to complete the task, but neither are you free to give it up”. Scientists have already given two major warnings to humanity in the past quarter century; we must surely act with determination and decisiveness regarding Food Security and Sustainability to ensure avoiding the necessity for a third one! Jock R. Anderson Elliot M. Berry Pasquale Ferranti The Editors



References Anderson, J.R., 2017. “Toward achieving food security in Asia: what can Asia learn from the global experience?”. In: Zhang-Yue Zhou, Guanghua Wan (Eds.), Food Insecurity in Asia: Why Institutions Matter. Asian Development Bank Institute, Tokyo, pp. 345–366. Crist, E., Mora, C., Engelman, R., 2017. The interaction of human population, food production, and biodiversity protection. Science 356, 260–264. Expo, 2015. Feeding the Planet, Energy for Life. Milan. http://www.expo2015.org/archive/en/learn-more/the-theme.html. (Accessed 8 August 2018). Ferranti, P., 2016. Preservation of food raw materials, Reference Module in Food Science. Elsevier, Boston. https://doi.org/10.1016/B978-0-08-100596-5.03444-2. Peng, W., Berry, E.M., 2018. Global nutrition 19902015: a shrinking hungry, and expanding fat world. PLOS ONE. https://doi.org/10.1371/journal.pone.0194821. March 27. Ranganathan, J., Vennard, D., Waite, R., et al., 2016. Shifting diets for a sustainable food future: creating a sustainable food future, installment eleven. World Resources Institute, Washington D.C. April. Ripple, W.J., Wolf, C., Newsome, T.W., et al., 2017. World scientists’ warning to humanity: a second notice. Bioscience 67, 1026–1028.

PERMISSIONS ACKNOWLEDGEMENT The following material is reproduced with kind permission of American Association for the Advancement of Science. Figure 1. Overuse of Water Resources: Water Stress and the Implications for Food and Agriculture. www.aaas.org The following material is reproduced with kind permission of Oxford University Press. Table 3. Diets and Diet Therapy: Trace Elements Table 1. Nutritional Status Assessment at the Population Level Table 3. Nutritional Status Assessment at the Population Level Figure 1. Infectious Diseases and Agriculture www.oup.com The following material is reproduced with kind permission of Nature Publishing Group. Figure 9. Genetic Improvement of Food Animals: Past and Future www.nature.com


Defining the Concept of Food Value Chain Pasquale Ferranti, University of Naples ‘Federico II’, Portici, Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction FVC: The Concept FVC Analysis FVC: Key Issues Coordination Efficiency Collaboration and Implementation Social Issues The New Role of Consumers Environmental Footprint and Sustainability Implementation FVC: Perspectives References

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Abstract FVC is the network of stakeholders involved in the various steps of life of a food, ‘from farm to fork’. This definition includes producers, processing industry; sellers (both wholesalers and retailers); consumers; governments and regulator agencies which rule the entire process. The efficient build-up of FVC assumes a particular relevance toady, iwhen the agri-food compartment is called to face a series of new challenges, never experienced so far: first of all the effect of global changes on productions and, vice versa, the impact of the production processes on environment. To improve their competitiveness in an evolving market, companies have to direct both their research activities and collaborative efforts beyond the sectors in which they operate towards adjacent sectors and further up or down the FVC, with particular attention to the aspects of environmental impact, security and sustainability.

Introduction FVC: The Concept Several definitions have been proposed to illustrate the concept of Value Chain (VC) of production of goods (either products or services). The first to be introduced refers to the model proposed by Porter (Porter, 1985; Porter and Kramer, 2011). According to this model, any VC is composed by nine processes, five of which ‘primary’, and four ‘supporting’. The primary processes are those that directly contribute to the creation of the products/services. They are: inbound and outbound logistics; operational activities; marketing and sales; customer service. The supporting processes are, instead, those that do not act directly in the creation of the output, but are nevertheless necessary to produce the output itself (i.e. infrastructures, human resource management, supply of materials from outside, etc.). The optimal construction and management of VC assumes a particular relevance in the agri-food sector, a compartment which toady is also called to face completely new challenges, never experienced so far: first of all the effect of global changes on productions and, vice versa, the impact of the production processes on environment. Thus, food value chain (FVC) comprises all activities necessary to bring agri-food products to our tables, including agri-production, processing, storage, marketing, distribution, and consumption, as well as the derived environmental impact (Gómez et al., 2011). From a complementary point of view, a VC can be regarded as the network of stakeholders involved in the production of goods and services. FVC is therefore the network of actors involved in the cultivation/breeding, processing, storage, sale and consumption of food ‘from farm to fork’. This definition includes producers of raw materials, processing industry; sellers (from wholesalers to retailers); consumers; governments and regulator agencies that control e rule the entire FVC process. It is clear from above that VCs (and particularly FVCs for their relevance for human subsistence) are intermediate structures (Neven, 2014), ranging between the macro-structural (Nations, Governments) to the micro-structural (small and medium enterprises etc.) level. In this view, as correctly proposed by Neven (Neven, 2014) they can be regarded under two standpoints. First, in the ‘narrow’ sense, as the pool of enterprises producing/processing/storing/trading a particular food in a particular environment (es. 220g canned pea in USA): or in a ‘broad’ sense, as the entire range of organization iinvolved in the production and success of a given food typology, at the global level (es. the Grana cheese industry in Italy or the wine industry in France).

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FVC Analysis FVC analysis investigates the linkages between participating actors (e.g. farmers, industry, retailers, consumers) and examines the flow of foods from farmers to distributors and to retailers (Kaplinsky and Morris, 2000; Gereffi et al., 2005; Webber and Labaste, 2010; Burch and Lawrence, 2007). From a strategic viewpoint, the analysis of VC is centered around the fundamental question of which are the best types of structural organization and the best operating strategies to optimize the FVC in a given environment (which products/processes/ transport/marketing, etc. in a certain country/region/political situation). At this regard, there are many aspects which are to be considered. A useful way to analyse FVCs is to categorize them according to certain parameters. For example, Gómez and Ricketts (2013), schematizes FVCs into four basic categories. These typologies recognize the existence of a modern sector (e.g. large commercial farms, agribusinesses, multinational food manufacturers, and modern large distributors), a traditional sector (e.g., smallholder farmers and traders, family stores) and the interaction between modern and traditional actors at different FVC stages. These typologies are the following: -

Traditional FVCs Modern FVCs Traditional-to-Modern FVCs Modern-to-Traditional FVCs

The analysis of these typologies suggests, for instance, that Traditional-to-Modern FVCs may work well for multi-structured enterprises, whereas the smallholder farmers and traders may not be able to benefit from participation. Nevertheless, recent research suggests that the also the smallest farmers and traders may benefit indirectly by linking themselves with modern FVCs (Gómez et al., 2013). Maertens and Swinnen (2009), by examining vegetable FVCs in Senegal, showed that poor households benefit from participation through labor markets (i.e. employment in commercial agriculture and post-harvest processing) instead of product markets (i.e., selling directly to modern supermarkets and to food manufacturers). The 4-typologies model also highlights the relevance of interactions between traditional and modern FVC participants, suggesting the need for better investigation of the links between food chains and nutrition. For example, intensive processed/packaged food distribution strategies by modern manufacturers through traditional retailers (Modern-to-Traditional FVCs), while contributing to over-nutrition in the more rich urban areas, may however be effective in preventing or reducing under-nutrition in remote rural areas. Moreover, the distribution networks established in these chains may offer better opportunities to form partnerships between firms, or to governments and donors to use food fortification as a strategy to reduce micronutrient deficiencies in poor populations. Also, the nutrition implications for smallholder farmers and traders that connect with modern supermarkets (Traditional-to-Modern FVCs) must be considered.

FVC: Key Issues Coordination Coordination is the key word in modern FVCs. Actually, the term ‘coordination’ means that the governance structure moves in the FVCs over a series of traditional transactions on the spot market, with a certain level of vertical, non-conflictual coordination in at least a part of the chain (Hobbs et al., 2000). This also implies that more and more competition takes place between whole chains (or networks), rather than in between individual companies. Coordination is thus the key to survive and win this competition. Greater coordination is part of the modernization of FVCs driven by large processors and supermarket chains, but it is equally important for development of FVC for basic foods currently exchanged informally (See, for example, Reardon et al. (2012) for a discussion on FVC development for staple foods in Asia).

Efficiency A further issue is the efficiency of the FVC. The Postharvest Postharvesting network (2017) recently highlighted that food loss occurs along every step of the food chain, from field to market and down to household level. However, prevention of losses is complex since it is a multi-actor food supply chain problem. Individual actors often do not have authority, capacity or will to face the problem. The need to focus on more comprehensive change was highlighted in recent studies that examined the relationship between the reduction of postharvest losses and food security. It is clear that waste reduction in order to improve food security can not be fixed in a single stroke. Interventions so far, although important, do not make enough of a significant contribution in their own way. However they can do so when embedded in a broader and integrated FVC or food system approach with attention to context-specific circumstances (Mekonnen et al., 2016). In line with this conclusion, are the following the two case reports focused on opportunities in enhancing supply chains in Western Countries that may serve as an example for low income and emerging economies. The examples showed how integrated logistic improvements created a reduction in food wastage throughout the supply chain. One case was from fresh onion international supply chain (Van de Lande, 2015), for which a higher containerisation and integration of chain functions led to reduced losses and increased efficiency. With these interventions, the food supply become more relaxed thanks to larger scale operation and better integration of the FVC functions. The other case concerned a different kind of optimization of horizontal

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collaboration in food supply chain in France (Saenz et al., 2015). In that case, competitive suppliers worked together to increase road efficiency by sharing warehouses and truckloads with the aim to minimize their environmental footprint. Improving the whole FVC efficiency is particularly urgent in low- and middle-income countries. Systemic waste reduction is not only in need of technical solutions, but value chain efficiency is also dependent on more efficient organization. Needless to say, different “drivers of change” must be identified for any different situation. In a case in Mexico, a family farm that was supported by the government was the change maker by investing in storage capacities and looking into new shipping possibilities. In a case in India, a private sector company provided warehouses for apples, which created empowerment and ownership for local farmers. An attendee highlighted an additional catalyst in a case from Indonesia where the government co-financed a system of cool chains in order to facilitate the role of the private sector for a more effective value chain.

Collaboration and Implementation The aim of FVC is not only to minimize inefficiencies but also to maximize the benefits for all the actors of a particular chain by creating products that consumers accept to pay or buy more. In other words, the main objective of a FVC is to efficiently capture the value in the end markets in order to generate greater profits creating acceptable results for all FVC stakeholders, from production to consumption and disposal. Furthermore, it should be noted that the value can be added or lost at each stage, for instance post-harvest losses can occur during processing, storage and packaging. Therefore, collaboration between the various stakeholders of the FVC is today more important than ever. In fact, interdependencies no longer exists only among the closest functions along the chain, but can have an impact on any point, even far, in the network. For instance, due to the globalization of the food supply chain and to the consolidation of a number of high-profile global foods, food safety and traceability have become today a major concern at any stage of the FVC. Thus, food safety policies and rules require the input and collaboration of all stakeholders to ensure safe food for consumers. Knowledge and data sharing (for instance the consolidation of best food practices, consumer trends, inventory levels) is another area where collaboration between stakeholders improves efficiency along FVC. Furthermore, greater integration within the FVC means that the individual stakeholders take on additional roles and responsibilities, with extended global benefit.

Social Issues Aspects of social impact, in particular the equal distribution of value added along the FVC and the environmental footprint of the chain, are increasingly joined in several manners with the fundamental aspect of competitiveness. First, it may be necessary to carry out trade-offs, such as the adoption of greener practices that could result in a less competitive price. Also, social and environmental sustainability are becoming a source of value creation and competitiveness (Humphrey and Navas-Aleman, 2010). For example, a greener image (ad example farms shifting from mainstream cultivations to more sustainable crops) may represent a higher value for a product and (positively) distinguish the product on the market. Other issues concerning the impact on environment are related to reduction of waste from food processing. In this respect, recovery of materials with high nutritional value from FVC industrial residues provides a double advantage: reduction of impact on environment and production of nutritious components. For example, large volumes of protein-rich residual raw materials, such as heads, bones, carcasses, blood, skin, viscera, hooves and feathers, are created as a result of processing of animals from fisheries, aquaculture, livestock and poultry sectors. These residuals contain proteins and other essential nutrients with potentially bioactive properties, eligible for recycling and upgrading for higher-value products, e.g. for human, pet food and feed purposes. In many Western countries, strict legislation regulates the utilization of various animal-based co- and by-products, representing a major hurdle if not addressed properly. Thorough optimization of all parts of the production chain, including conservation and processing, are important prerequisites for successful upgrading and industrial implementation of these products. Industrial technologies such as freezing/cooling, acid preservation, salting, rendering and protein hydrolysis are starting to be applied to this issue. In this regard, it is important to achieve stable production and quality through all the steps in the manufacturing chain, preferably supported by at- or online quality control points in the actual processing step. If planned for the human market, knowledge of consumer trends and awareness are important for production and successful introduction of new products and ingredients. In a study (Nahman and de Lange, 2013) the costs of household food waste in South Africa, based on the market value of the wasted food (edible portion only), as well as the costs of disposal to landfill were estimated. The analysis was recently extended (Aspevik et al., 2017) by assessing the costs of food waste throughout the entire FVC, from agricultural production through to consumption at the household level. First, food waste at each stage of the value chain was quantified for various food commodity groups. Then, average prices were estimated for each commodity group at each stage of the FVC. Finally, prices were aggregated across the FVC for all commodity groups. In this way, the total cost of food waste across the FVC in South Africa was estimated at approximately US 7.7 billion dollars, corresponding to 2.1% of South Africa’s annual domestic product. The main costs arose from processing and distribution of fruit and vegetable VC, as well as from the agricultural production and distribution stages of the meat VC. These results may provide useful indication of where in the FVC interventions aimed at reducing food waste should be targeted.

The New Role of Consumers While in the past consumers have been considered merely passive subjects in FVCs, this perspective is fully changed in the new century. On the contrary, today evolving consumer shopping and eating habits continuously transform the FVC. For instance, the new consciousness of the importance of healthy diet has made consumers refuse the fat and salty foods of the past and ask


Defining the Concept of Food Value Chain

for healthier and fresher food and beverage alternatives. Therefore, supply chains must also evolve to support the needs of consumers. This information is now used to increase supply chain efficiencies and drive growth. First, consumer demand for more convenient and easy-to-prepare food and drink has resulted in a variety of innovations and product development, such as convenient packaging and higher quality frozen products. Maintaining this flow of innovation is one of the greatest issues manufacturers are facing, which also means higher money investments for R&D. The good news for producers, on the other side, is that more and more consumers are becoming receptive to paying a premium for food if there is a convenience factor to the product. Another constant trend in FVC sees consumers asking for products in line with their personal and nutritional preferences. One simple example is that of ‘fully vegetal cheese’ for vegans. As this trend continues, manufacturers should expect to experience a greater need to be more transparent in the methods of how their products are produced. Furthermore, in order to meet consumer personalization demand, supply chains must become more globalise and collaborative. This will require full transparency throughout the supply chain to provide consumers with details about production methods and suppliers of raw materials. Traceability is critical in assisting each handler in the FVC, to enhance food quality and security, eradicating food-borne illness outbreaks and mitigating recalls; all while meeting consumer demand and supporting clean eating – the consuming of minimally processed foods. FVC traceability is accomplished using technologies that automate data collection and management. With a broader collaboration across supply chains, assisted by the newest informatic technologies, a much higher level of transparency is expected, as well as reduced cost to analyze and integrate the data – making all this more accessible for small and medium-sized food manufacturers.

Environmental Footprint and Sustainability Agriculture has a wider environmental footprint than any other human activity, with a major impact on water, air, land and biodiversity. It accounts for around 70% of the need for freshwater and also affects water quality. Water scarcity and its impact on agricultural productivity are becoming a major global concern. Agri-food productions occupy nearly 40% of the global land and is the main cause of soil erosion. It represents 14% greenhouse gas emissions. Environmental considerations play an important role in strategies related to agriculture, either at the level of individual companies or at that of government and agencies. At company level this is reflected in the rapid adoption of Global Reporting Initiative guidelines (https://www.globalreporting.org) and in the improvement of Corporate Social Responsibility activities (concepts already well established in the Western World companies but still to be received by the developing countries) with setting, publication and monitoring of objectives. At the institutional level, favourable environmental practices are becoming integral part of agricultural policy. For example, subsidies to farmers in the EU are increasingly dependent, more than in the past years, on good agricultural practices (Charting Our Water Future, 2009). The potential for appropriate policies to mitigate negative environmental impacts is well illustrated by the case of fertilizers, a field where EU legislation has led to more efficient and judicious use and reduced the amount of fertilizer used. This positive initiative is counterbalanced, however, by China, where the intensity of fertilizer use continues to increase and is indicative of a highly inefficient use of products. Virtually not existing as user of fertilizers 30–35 years ago, China has made remarkable strides in recent decades to produce enough food to feed 20% of the world population basing only on 9% of the world arable land. Meanwhile, this nation is experiencing exacerbated air and water pollution problems. Agricultural growth and pollution increase are closely linked with policies affecting fertilizer production and use (Li et al., 2013). However, while before a polarization of viewpoints divided those who believed that intensive farming was the answer to feed the world and those who advocated a turn to extensive organic systems, now we observe a reconciliation of these points with the a new way of intensifying sustainable agricultural production. This standpoint recognizes that high-input systems that use commercial seeds, fertilizers and crop protection chemicals are necessary but at the same time should be judiciously used for any attempt to minimize their negative environmental impact (Chen et al., 2018). However, environmental impact of FVC is a major issue also for Western Countries. Reducing food losses and waste is crucial to making the food system more efficient and sustainable for the environment. A recent study (Beretta et al., 2017) quantified the impacts of food waste by distinguishing the various stages of the food value chain for 33 food categories that represented the whole food basket in Switzerland, and including food waste treatment. Environmental impacts were expressed in terms of climate change and biodiversity impacts due to water and land use. Climate change impacts of food waste were highest for fresh vegetables, due to the large amounts wasted, while the specific impact per kg is largest for beef. Biodiversity impacts were mainly caused by processing of cocoa and coffee (16% of total) and by beef FVC (12%). Food waste at the end of the food value chain (households and food services) caused almost 60% of the total climate impacts of food waste, because of the large quantities lost at this stage and the higher accumulated impacted per kg of product. The net environmental benefits from food waste treatment were only 5%–10% of the impact from production and supply of the wasted food. Thus, avoiding food waste should be a first-line priority.

Implementation Once agreed that collaboration along FVC is necessary in order to meet pre-agreed strategic goals, the issue then becomes one of implementation. By their very nature, collaborations are complex entities that involve different organizations that can have very different cultural basis. In order to maximize success chance, there are some basic rules that must be followed: there must be a clear added value for each part in FVC, be it increased sales and/or reduced costs, otherwise the collaboration is not sustainable; the objectives of the participating organizations must be aligned, or at least not contrasting; while a collaboration between different FVC

Defining the Concept of Food Value Chain


partners can lead to ‘hybrid vigor’, there must be a certain degree of cultural compatibility between stakeholders; the complexity of the collaborations requires a clear governance and a strong leadership; ongoing, open and honest communication between the partners is fundamental to fulfil the objectives of the collaboration; intellectual property problems must be agreed at the beginning, sometimes using a new approach. For example, the use and development of patent pools are increasingly common. Sometimes, meeting some of these criteria may be difficult, particularly for collaborations involving both public and private stakeholders (Dangour et al., 2012). Furthermore, if the collaboration involves a government, there may be an additional requirement to create the right environment in which the collaboration can be successful, for example by addressing any legal and infrastructural constraints, which might impede it.

FVC: Perspectives During the last decades of the 20th century, FVC have remained relatively obscure compared to other industrial sectors. However, everything started to change from the beginning of the 21st century. Some trends are predictable: the drivers of consumers and economic growth remain the same and can be evaluated, as well as their consequences in terms of impact on urbanization and demographic data on farms. In the same manner, the continued growth of emerging markets is a reliable trend. However, other trends are much less predictable, largely due to the factors underlined: volatility, complexity and control. There are significant new ‘crazy variables’: global warming, biotechnology and the evolving role of Africa, India, China and Russia. To improve their competitiveness in an evolving market, companies and actors constituting FVCs will have to increasingly direct both their scanning activities and collaborative efforts beyond the sectors in which they operate to adjacent sectors and further up or down the FVC, with particular care to the aspects of environmental impact, security and sustainability.

References Aspevik, T., Oterhals, Å., Rønning, S.B., Altintzoglou, T., Wubshet, S.G., Gildberg, A., Afseth, N.K., Whitaker, R.D., Lindberg, D., 2017. Valorization of proteins from co- and byproducts from the fish and meat industry. Top. Curr. Chem. (Cham). 375 (3), 53–59. Beretta, C., Stucki, M., Hellweg, S., 2017. Environmental impacts and hotspots of food losses: value chain analysis of Swiss food consumption. Environ. Sci. Technol. 1 (19), 11165–11173. Burch, D., Lawrence, G. (Eds.), 2007. Supermarkets and Agri-food Supply Chains: Transformations in the Production and Consumption of Foods. Edward Elgar Publishing, Cheltenham (UK). Charting Our Water Future, Economic frameworks to improve decision-making, 2009. The 2030 Water Resources Group. Chen, J., Lü, S., Zhang, Z., Zhao, X., Li, X., Ning, P., Liu, M., 2018. Environmentally friendly fertilizers: a review of materials used and their effects on the environment. Sci. Total Environ. 613–614, 829–839. Dangour, A.D., Diaz, Z., Sullivan, L.M., 2012. Building global advocacy for nutrition: a review of the European and U.S. landscapes. Food Nutr. Bull. 33 (2), 92–98. Gereffi, G., Humphrey, J., Sturgon, T., 2005. The governance of global value chains. Rev. Int. Political Econ. 12 (1), 78–104. Gómez, M., Ricketts, K.D., 2013. Food Value Chain Transformations in Developing Countries Selected Hypotheses on Nutritional Implications. ESA Working Paper No. 13–05. Agricultural Development Economics Division, Food and Agriculture Organization of the United Nations, Rome, Italy. Gómez, M., Barrett, C., Buck, L., De Groote, H., Ferris, S., Gao, O., McCullough, E., Miller, D.D., Outhred, H., Pell, A.N., Reardon, T., Retnanestri, M., Ruben, R., Struebi, P., Swinnen, J., Touesnard, M.A., Weinberger, K., Keatinge, J.D.H., Milstein, M.B., Yang, R.Y., 2011. Food value chains, sustainability indicators and poverty alleviation. Science 332 (6034), 1154–1155. Gómez, M.I., Barrett, C.B., Raney, T., Pinstrup-Andersen, P., Meerman, J., Croppenstedt, A., Lowder, S., Carisma, B., Thompson, B., 2013. Post-Green Revolution Food Systems and the Triple Burden of Malnutrition. ESA Working Paper No. 13-02. FAO, Rome. Hobbs, J.E., Cooney, A., Fulton, M., 2000. Value Chains in the Agri-food Sector. College of Agriculture, University of Saskatchewan, Saskatoon, Saskatchewan, Canada. Humphrey, J., Navas-Aleman, L., 2010. Value Chains, Donor Interventions and Poverty Reduction: A Review of Donor Practice. Institute for Development Studies, Brighton, UK. Kaplinsky, R., Morris, M., 2000. A Handbook for Value Chain Research. International Development Research Center, Ottawa. Li, Y., Zhang, W., Ma, L., Huang, G., Oenema, O., Zhang, F., Dou, Z., 2013. An analysis of China’s fertilizer policies: impacts on the industry, food security, and the environment. J. Environ. Qual. 42 (4), 972–981. Maertens, M., Swinnen, J., 2009. Trade, standards, and poverty: evidence from Senegal. World Dev. 37 (1), 161–178. Mekonnen, T., Mussone, P., Bressler, D., 2016. Valorization of rendering industry wastes and co-products for industrial chemicals, materials and energy: review. Crit. Rev. Biotechnol. 36 (1), 120–131. Nahman, A., de Lange, W., 2013. Costs of food waste along the value chain: evidence from South Africa. Waste Manag. 33 (11), 2493–2500. Neven, D., 2014. Developing Sustainable Food Value Chains. Guiding Principles. Food and Agriculture Organization of the United Nations, FAO, Rome, Italy. Porter, M.E., 1985. Competitive Advantage: Creating and Sustaining Superior Performance. The Free Press, New York. Porter, M.E., Kramer, M.R., 2011. Creating shared value. Harv. Bus. Rev. 89 (1/2), 62–77. Postharvesting network, 2017. Stop food loss and waste – Dutch innovations for efficient food chains in emerging markets. Postharvest Netw. Workshop. http://postharvestnetwork. com/postharvest-network-break-out-session-stop-food-waste-2/. Reardon, T.A., Chen, K.Z., Minten, B., Adriano, L., 2012. The Quiet Revolution in Staple Food Value Chains. Enter the Dragon, the Elephant, and the Tiger. Asian Development Bank (ADB) & International Food Policy Research Institute (IFPRI) Publishers, Mandaluyong City, Philippines. http://orcid.org/0000-0001-7927-4132. Saenz, M.J., Ubaghs, E., Cuevas, A.I., 2015. Vertical collaboration and horizontal collaboration in supply chain. In: Enabling Horizontal Collaboration Through Continuous Relational Learning. SpringerBriefs in Operations Research. Springer, Cham. Van de Lande, P., 2015. Fresh chains in a changing world. Case Onion. http://knowledge4food.net/wp-content/uploads/2015/06/150618_case_fresh-supply-chain-onion.pdf. Webber, C., Labaste, P., 2010. Building Competitiveness in Africa’s Agriculture: A Guide to Value Chain Concepts and Applications. World Bank, Washington, DC.

The United Nations Sustainable Development Goals Pasquale Ferranti, University of Naples Federico II, Naples, Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction The Sustainable Development Goals of the United Nations The Roadmap to Future World References

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Abstract On September 2015 the United Nations Summit on Sustainable Development in New York established the global agenda for sustainable development until 2030 and defined a list of objectives on which to focus commitments for the next fifteen years. These objectives have been defined Sustainable Development Goals (SDGs). The SDGs replace the Millennium Development Goals (MDGs) expiring in 2015. About 1 billion people still live under the threshold for poverty set by the World Bank, and almost the same number do not have enough food for themselves. The SDGs acknowledge that developed countries have neither the ability nor the right to direct the development policies on behalf of the developing countries, but these decisions and solutions must necessarily be shared by the greatest number of the political entities.

Introduction Around 22 millions years ago, a monkey abandoned the relative safety of the trees of the tropical forest in East Africa to start an amazing adventure crossing the millennia. Seizing the new opportunities of nourishment offered by the savanna and learning to survive the threats to life, in a process extremely rapid in evolutionary terms, this monkey went forward our biped ancestors. From first appearance, its primary goal was securing food to its community and its descendants. For most of the following ages, its diet of consisted only of grasses, of fruits collected from prairie trees and of small animals hunted, and of insects. Things changed 200.000 years ago, with the coming of Homo sapiens. This new species started to develop what we would have called technology. They also learnt to spare part of the preys captured in order to secure milk and meat through breeding; to store a sufficient portion of the seeds collected for planting, thereby setting agriculture. Birth of agriculture ensured enough food for mankind survival and led to the rise of the first civilizations in India and Middle East. Despite this progress, a succession of abundance and famine periods still marked the rise and fall of empires and nations along centuries, spreading conflicts and welfare disparities among and within populations. Until just two centuries ago, modern scientific discoveries enabled man to disengage from dynamic cycles of nature through the development of techniques of plant cultivation and pest control, as well as of food sanitation, storage, transport and packaging. For industrial Western countries, this meant food security to most people, although the benefits were less than partial in the rest of the world, with severe social and political inequalities still persistent today. Most importantly, the tremendous advances in science and technology gathered in the last century have been unbalanced by the accurate evaluation of the impact of the human activity on nature, environment and the human society itself. As a consequence, the delicate balance between human progress and exhausting of world resources appears today to be broken. One of the sectors where these outcomes are more dramatically apparent is the food production system, which is currently experiencing increasing pressure both on the demand side (from growing population and consumer demands) and on the supply side (from greater competition for inputs and from climate change). Despite the commendable but isolated efforts, announcements and even signed agreements of governments, international organizations and agencies, effective and coordinated initiatives aimed at improving food sustainability and security remained at an early stage until now.

The Sustainable Development Goals of the United Nations On September 2015 the United Nations Summit on Sustainable Development in New York established the 2030 global agenda for sustainable development and defined a new list of objectives on which to focus commitments for the next fifteen years. The SDGs, in their aim replace and broaden the Millennium Development Goals (MDGs) expiring last year with a less than satisfactory balance: about 1 billion people still live under the threshold for poverty set by the World Bank, and almost the same number do not have enough food for themselves. In 2012 it was already indubitable that the MDGs would not be achieved. Therefore, during the Conference of Rio in 2013, it was decided to launch the UN Open Group, which last year unveiled the new master plan development for the planet. Unlike the MDGs, which were produced by a handful of experts of the UN, to define the SDGs, UN launched


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the largest consultation program of its history to probe the most largely accepted opinion on what the SDGs were to include. The biggest difference is that while the MDGs were considered development goals for the least developed countries, to be achieved thanks to the efforts of the “wealthiest” Member States, this time, each country is expected to work to comply with it. The 17 Sustainable Development Goals (SDGs) expressed by the Summit - with 169 related targets - are the result of a work of public consultation and multi-stakeholder involvement lasted two years. The vision placed into them is that of a world inclusive, equitable and ecologically friendly. Thus, the SDGs intend to represent a new set of goals, targets and indicators that all UN Member States will be required to pursue to frame their political agendas over the next 15 years. In fact, as declaimed at item 28, nations commit themselves ‘to making fundamental changes in the way that our societies produce and consume goods and services’. Each SDGs reflects and identify a main area of development, from fighting poverty to action on climate, from woman empowerment to decent work and economic growth for the planet. Also agricultural production and health have been among the mainstay sectors at the SDGs. The SDGs are an important vision, and may eventually assist to move the world to a sustainable path (Sachs, 2012). However, in the path between now and 2030, this perspective needs to be substantiated with contents that for me should be focused on two aspects: i) defining global priorities through objective quantitative evaluation measurement studies, and allocating on these priorities active worldwide public participation policies; and ii) careful evaluation of the shortcomings of previous programs (such as MDGs) to effect the necessary corrections by the maximum inclusive discussion and debate. If SDGs will be (not merely formally) accepted by a large part of countries and will be made applicable at global scale by coordinated (international policies, they will have the capacity to trace for humanity the new route to achieve a real sustainable progress respectful of the world’s priorities. The first steps in this direction (https://sustainabledevelopment.un.org) are encouraging but still need to be implemented. In my opinion, three are the main issues that SDGs must imperatively address: i) access to food and health to everyone; ii) sustainable production, and iii) adaptation to global changes. First, concerted food policies, to be undertaken not only by industrialized countries but including developing nations, will be fundamental in designing not only more secure access to food, but also a more peaceful world, and this underlines the primary importance of achieving the SDGs. Regarding the second issue, modern intensive agriculture and industry are not sustainable and have major global environmental impacts: land clearing and habitat fragmentation that threaten biodiversity (Dirzo and Raven, 2003), greenhouse gas emissions and use of fertilizers (Burney et al., 2010), depletion of world’s natural energy reservoir (oil, carbon, natural gas). To further stress this endangered system, global changes (not only regarding climate, but also political and social changes if we consider the many violent local conflicts) are continuing to degrade ecosystem and agricultural landscape, further undermining their future productive capacity. This scenario will have severe economic and social consequences. Those above are also the topic the substantiate the Section on Food Sustainability, Security and Effects of Global Change (Ferranti, 2016) of the Reference Module in Food Science launched by Elsevier last year. This Section deals with the new and dramatic scenarios facing food science in this century and is a synopsis of the path modern society is currently taking with respect to securing food in a sustainable manner for a growing population, all in an environment of unprecedented global change (climate, social, economic). Man, like at his beginning as a species, is approaching a new turning point in his long way to keep on existence. As indicated by SDGs, food sustainability and security are the milestones of this path, in addressing the topical issues of, for example, the impact of climate change on food resources, biodiversity and global food security. Solving these challenges will not be easy and will rely on integration of political actions and advance of knowledge from different disciplines in order to strengthen the capacity to generate and share research data, not only within the scientific community but also within the industrial world and society in general. The development, optimization, validation and application of novel technologies for food production and manufacture are a fine example and will be critical in securing nutrition to the whole mankind in a sustainable way. The SDGs shows that developed countries have neither the ability nor the right to direct the development policies on behalf of the developing ones, but these decisions and solutions must necessarily be shared by the greatest number of the political subjects. A potential ‘game-changer’ in the scenario is the rising economic power of China and India. Both these countries are considered developing nations, but they’re increasingly influencing global food trade and policy, not the least of which because they house a large proportion of the world’s population (Chen and Ravallion, 2008). The SDGs also underline that importance of game payers such as international organizations, whose role has been often criticized for their static, irrelevant, and politicized positions.

The Roadmap to Future World The tools available to the smart monkey today are much more advanced than in the past, but also more sharp and dangerous, even without thinking to war weapons. Today, we have the ability to change dramatically, for the better or worse, the environment and the ecosystems in which we live. Limiting ourselves to nutrition, it is now clear for example that our current consumption of animal meat is not sustainable from the energy and environmental viewpoint. Novel technologies offer now the opportunity to replace meat (however I hope we will still enjoy a succulent steak from time to time to time) with other protein sources such as new legumes resilient to drought and salinity stress or to climatic change. Another promising source is – can you believe? – from insects, almost closing a circle in the human diet habits tracing back to far ages. Other options are based on organic farming with lower environmental impact. All these opportunities are of course in line with the objectives of the 17 SDGs. However they are also introducing


The United Nations Sustainable Development Goals

new challenges, for instance from the nutritional point of view: will the new legumes be as much productive as sustainable? Will insect proteins in the diet be a source a novel and unknown food allergens? The road to food security and sustainability is still long and windy, but the direction appear to be traced.

References Allison, D.B., Bassaganya-Riera, J., Burlingame, B., Brown, A.W., le Coutre, J., Dickson, S.L., van Eden, W., Garssen, J., Hontecillas, R., Khoo, C.S.H., Knorr, D., Kussmann, M., Magistretti, P.J., Mehta, T., Meule, A., Rychlik, M., Vögele, C., 2015. Goals in nutrition science 2015–2020. Front. Nutr. 2, 26. https://doi.org/10.3389/fnut.2015.00026. Burney, J.A., Davis, S.J., Lobell, D.B., 2010. Greenhouse gas mitigation by agricultural intensification. Proc. Natl. Acad. Sci. U. S. A. 107, 12052–12057. Chen, S., Ravallion, M., 2008. The Developing World Is Poorer than We Thought,but No Less Successful in the Fight against Poverty. Policy Research Working Paper 4703. World Bank. Dirzo, R., Raven, P.H., 2003. Global state of biodiversity and loss. Annu. Rev. Environ. Resour. 28, 137–167. Ferranti, P., 2016. Food sustainability, security, and effects of global change, first ed. In: Reference Module in Food Science, pp. 1–5 https://doi.org/10.1016/B978-0-08-1005965.03332-1. Sachs, D.J., June 9, 2012. From Millennium development goals to sustainable development goals. Lancet 379. https://sustainabledevelopment.un.org.

The Political Economy of Food Security and Sustainability Johan Swinnena,b and Senne Vandeveldea, a LICOS Centre for Institutions and Economic Performance, KU Leuven, Leuven, Belgium; and b Centre for Food Security and the Environment (FSE), Stanford University, Stanford, California, United States © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Food Security and Sustainability: Concepts and Political Economy Issues Concepts of Food Security and Sustainability Political Economy Issues Political Economy of the Development Paradox in Food Policies Structural Change and Political Incentives Organization, Information and Political Reforms The Disappearing Paradox? Policy Reforms in the Past Decades Price Shocks and Political Economy of Food Security and Sustainability Trading-off Volatility and Distortions? Prices, Mass Media and the Global Food Security Agenda Political Coalitions in Food Security and Sustainability The Political Economy of Food and Sustainability Standards Standards and Trade Development and Pro- and Anti-standard Coalitions The Persistence of Standards: Dynamic Political Economics Concluding Comments Acknowledgments References

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Abstract Understanding political economy processes of past and present is a crucial first step in truly achieving change or progress in a given policy domain. This is particularly relevant for those domains that are subject to significant shocks and changes, such as the challenge of achieving food security and the sustainability of the agricultural sector. For that reason, this article focuses on four separate issues related to the political economy of food security and sustainability: the ‘Development Paradox’ in agricultural policy-making; the nexus between price shocks, political economy and sustainability; the (changing) political coalitions in food policy; and the political economy of food sustainability standards. In spite of the diversity in topics, it is possible to distill a couple of recurring themes. First, the number of actors (private organizations, governments and businesses) involved in the political economy of food security and sustainability has increased sharply in recent decades, which has resulted in constantly switching coalitions. Second, old food policy issues (such as farmers’ welfare) are increasingly interacting with new concerns (such as climate change). Third, there is an inherent dynamism to the political economy of food security and sustainability.

Introduction1 Food security and the sustainability of food systems are and have been of prime importance for people and for the survival of political regimes throughout history and across the globe. For this reason, governments have introduced a variety of regulations and policies to address them. Political economy considerations are crucial to understand these policies since almost all food policies have redistributive effects and are therefore subject to lobbying and pressure from interest groups and used by decision-makers to influence society for both economic and political reasons. Some policies, such as export taxes or bans to prevent food from being exported, have clear distributional objectives and reduce total welfare by introducing distortions in the economy. Other policies, such as food standards or public investments in research, may increase total welfare but at the same time also have distributional effects. These distributional effects will also influence the preferences of different interest groups and thus trigger political action. The inherent interlinkage between efficiency (economics) and equity (politics) issues is crucial to understand the political economy of these various policies of developing and developed countries affecting food security and sustainability.

Encyclopedia of Food Security and Sustainability, Volume 1




The Political Economy of Food Security and Sustainability

The rest of the article is organized as follows. The first section sets out some concepts related to food security and sustainability in the food sector that will be used throughout the article. It also briefly outlines the four different political economy issues that will be the focus of this article. The following sections are each dedicated to one of these issues. The second section analyzes the so-called ‘Development Paradox’ from a political economy angle, The third section focuses on the relationship between price shocks, political economy and sustainability, the fourth section considers political coalitions influencing food policy while the fifth section outlines some issues related to the political economy of sustainability standards. Finally, the sixth section concludes.

Food Security and Sustainability: Concepts and Political Economy Issues Before setting out the different issues this article will focus on, it is crucial to establish some basic definitions to avoid the lack of clarity that is often associated with terms like sustainability and food security.

Concepts of Food Security and Sustainability Food security, as defined by the United Nations’ Committee on World Food Security (2016), is ‘the condition in which all people, at all times, have physical, social and economic access to sufficient safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life’. It has been one of the main goals in designing food policy since the 1980s and is commonly included in most food-related evaluations or research. For sustainability, we rely on the, admittedly broad, definition coined by the United Nations’ Brundtland Commission (1987): ‘Sustainability implies meeting the needs of the present without compromising the ability of future generations to meet their own’. Based on this definition, the World Summit on Social Development (2005) introduced three pillars of sustainability: environmental, economic and social. In the food sector, sustainability has become a short-hand to cover everything from the welfare and working conditions of food producers to rainforest preservation, animal welfare and soil quality. Over the years, both food security and sustainability have come to play increasingly important roles in designing and evaluating food policy. Precisely because food security and sustainability have become so widely discussed in recent times, the political economy dimensions of achieving them have become more complex as well. Where food policy used to be almost exclusively concerned with food prices, the rise in importance of concepts like food security and sustainability has attracted not only more but also a wider variety of people and organizations to have a say in the food policy debate. In this article, we discuss four topics that are particularly pertinent to the political economy of food security and sustainability and that might help explain some of the policies adopted in recent years and decades.

Political Economy Issues Several political economy aspects of food security and sustainability have attracted much interest in the public debate and the academic literature over the past decades. The first section focuses on the dramatic structural differences in food and agricultural and policies between countries, and in particular on the puzzling question: Why is agriculture subsidized in rich countries and taxed in poor countries? - the so-called ‘development paradox’. Krueger et al. (1991) showed that in countries where farmers make up the majority of the population they were taxed, while in countries where they were the minority, farmers received subsidies.2 This question was of high relevance for food security since it is centered on the conflict in food security between urban consumers (who benefited from low food prices) and food security in rural areas where poor farm households suffered from low agricultural prices. As globally most hunger is concentrated among these poor rural households, the conflict is real (Martin and Ivanic, 2016). The issue also affects sustainability since prices and government intervention and the global spillover effects of rich-country subsidies (hurting poor-country farmers) affect investment incentives for farmers in developing countries. A second major issue is the turmoil and price spikes in global food markets in the past decade, which has been argued to have dramatic changes on food security globally – although the extent of this has been questioned (Swinnen and Squicciarini, 2012). Export barriers and price ceilings were introduced to prevent food prices from rising. The food crisis also drew attention to the failure of agricultural policies to stimulate sustainable investment and agricultural growth. A third issue is the interaction between food and sustainability policies both in policy discussions and negotiations and in how the academic literature has (not) integrated this in analyses. A fourth and final issue is the rapidly growing role of standards in food value chains and trade. Many standards are introduced to address a variety of issues related to food security and sustainability, with standards such as Rainforest Alliance aiming at ecological preservation and Fair Trade focusing on farmers’ livelihoods. There are major political economy aspects related to these food standards, including whether they represent a shift from traditional trade barriers (such as import tariffs) to so-called non-tariff measures.3

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Political Economy of the Development Paradox in Food Policies In the second half of the 20th century, there were major differences in agricultural and food policies between poor countries, where farmers were taxed, and rich countries which subsidized farmers (and taxed consumers). This difference was not only huge, it was also counterintuitive (Krueger et al., 1991). In countries where farmers were the majority of the population, and thus had most of the votes (or more generally since many of these countries were not democracies, the political strength of numbers) they were losing out from agricultural policies which imposed a significant tax on them. In contrast, in countries where farmers were a small minority, farmers were subsidized, despite the fact that their numbers in the political arena had declined. This observation was referred to as ‘The Development Paradox’.4 Political economy studies have since explained that the differences in agricultural policies between rich and poor countries captured in the development paradox are due to differences in political economy equilibria caused by the combination of structural economic differences, information costs, changes in governance structures, etcetera.5

Structural Change and Political Incentives The structural changes that accompany economic development alter the costs and benefits of policies to various interest groups, and thus the incentives for political activities to be undertaken in order to influence governments. These, in turn, determine the government’s political incentives and adjust the political–economic equilibrium (Anderson, 1995; Gardner, 1987; Swinnen, 1994). First, economic growth typically coincides with a rise in urban-rural income disparities, as growth in industry and services outpaces growth in the agricultural sector, whose specific assets make it slow to adjust. This income gap creates incentives for farmers and agricultural companies to demanddand politicians to supplydpolicies that redistribute income in order to reduce that income gap. There are several mechanisms presented in the political economy literature which explain these countercyclical policies. One is the ‘relative income hypothesis’ of Swinnen and de Gorter (1993) and Swinnen (1994) which is driven by changes in marginal utility which in turn determines political incentives for governments to respond to interest groups. Another is the ‘loss aversion’ argument where political action is driven by interest groups who want to avoid losses coming from changing market conditions (Freund and Ozden, 2008; Tovar, 2009). Second, in a poor economy, most workers spend a large share of their income on food. They will therefore strongly oppose an increase in food prices through government interventions, such as import tariffs. Industrial capital will support worker opposition against food price increases because they are concerned about the inflationary effects on wages and their profits. In contrast, richcountry workers generally spend a (much) smaller share of their income on food, and only a relatively small part of this is the cost of raw materials (agricultural products). This effect is reinforced by declining opposition from industry as the inflationary pressure on wages from agricultural protection declines. Third, for a given per capita subsidy to farmers, it takes a much larger per capita tax on consumers (or workers in other sectors) when there are many farmers and fewer consumers (as in poor countries) than when there are few farmers and many consumers (working in other sectors) as in rich countries. In other words, even though the share of farmers in the voting population declines, less opposition to protecting farmers arises when there are fewer of them. Swinnen (1994) showed that, under plausible assumptions, the second of those two effects dominates. In summary, as economies grow, the combination of these factors causes a shift in the political economy equilibrium from taxing farmers to subsidizing farmers.

Organization, Information and Political Reforms Olson (1965) explained that collective action by relatively large groups is difficult because of free-riding incentives, implying that in poor countries it is costly to politically organize farmers. Consumers are often concentrated in cities, where coordination and collective action are easier than in the rural areas. However, as the number of farmers declines and rural infrastructure improvesdthe cost of political organization for farmers decreases. In addition, the growth and concentration of agribusinesses and food-processing companies, which are often aligned with farm interests in lobbying for agricultural policies, strengthen pro-farm interests. In many countries the growth of agricultural protection has been associated with the growth of cooperative agribusiness and food-processing companies.6 Information plays a crucial role in political markets, organization, and policy design. Downs (1957) ‘rationally ignorant voter’ principle explains that it is rational for voters to be ignorant about certain policy issues if the costs of information are higher than the (potential) benefit of being informed. McCluskey and Swinnen (2004) argue that rational ignorance, be it in the political arena (voters) or in the economic arena (consumers), is still relevant today despite reductions of information costs with the growth of mass media and social media. The rationally ignorant voter argument implies that policies will be introduced that create concentrated benefits and dispersed costs (Strömberg, 2004). This information effect reinforces the distributional effects caused by structural factors. Enhanced rural communication infrastructure, either through public investments (as in many high-income countries earlier in the 20th century) or through technological innovations and commercial distributions (as in the spread of mobile-phone use in developing countries) will reduce the relative costs of information and political organization in rural areas. Enhanced information allows farmers to organize themselves better and improves the effectiveness of lobbying (Olper and Swinnen, 2013).


The Political Economy of Food Security and Sustainability

Finally, there is a correlation between political regimes and economic development, with democratic regimes more prominent among richer countries than among poorer. The same factors that make it difficult for farmers to organize politically in poor countries (such as their large number and geographic dispersion) render them potentially powerful in electoral settings (Bates and Block, 2010; Varshney, 1995). Olper et al. (2013) analyze the impact of all democratic reforms since the 1960s and find that, on average, democratization has benefitted farmers.

The Disappearing Paradox? Policy Reforms in the Past Decades Since the 1990s, there has been a change in the trend of agricultural protection and in policy instruments for several of high-income countries. In OECD countries in the 1980s, the most important instruments were coupled policies – consistent with an ‘anti-trade bias’.7 Their share in total support was 82%, whereas decoupled support made up only 10%. However, in the 1990s and 2000s there was a dramatic change. By the late 2000s the former had decreased to 49% and the latter increased to 61%. The reduction of trade distorting policies was significant in rich countries. Swinnen et al. (2012) find that the implementations of the GATT and WTO have reduced trade interventions, and thus the anti-trade bias. There was also a virtual abolition of all support measures in Australia and New Zealand (Anderson et al., 2013b). At the same time, developing countries have reduced taxation of agricultural exports mainly due to macroeconomic and trade policy reforms. These political economy changes are a consequence of economic growth, structural adjustments, changed information costs and governance structures, as explained above. Anderson et al. (2013b) reach the conclusion this means that – rather than the divergence observed in the 1950s to 1980s – there is now convergence in agricultural policies. Two regions that illustrate this convergence well are Europe and China. In Eastern Europe economic and political liberalizations removed much of the heavy regulations and subsidies to consumers and farms that existed under the Communist regimes in the 1970s and 1980s (Anderson and Swinnen, 2014; Liefert and Swinnen, 2002). In the EU, the Common Agricultural Policy (CAP) has been reformed significantly. Both the level of subsidies and the distortions caused by them have significantly reduced since 1990. China has shifted from a food policy that was designed to provide cheap food to urban consumers, thereby imposing very low farm and food prices, to heavily subsidizing agriculture. By now, China is spending around 200 billion US dollars per year on subsidies to farmers – much more than any other country in the world (OECD, 2017). Albeit at different times and under vastly different political regimes, both China and the EU have dramatically increased agricultural subsidies during times of rapid economic growth (in the EU after World War II and in China since 2000). Both countries first installed distortionary policy systems, and later reformed their agricultural subsidy systems to less distortionary policy instruments and capping their subsidy levels, both after accession to the WTO.

Price Shocks and Political Economy of Food Security and Sustainability With a brief exception in the early 1970s when prices moved up following the first oil crisis, global food markets were characterized by relatively stable and low prices for the past 50 years. Most of the global agricultural and food policy discussions focused on the reduction of taxes on farmers in developing countries and the removal of policies that subsidized farmers in rich countries (see previous section). This changed with dramatic increases in food prices in the 2000s. Urban consumers across the world protested and governments reacted rapidly to the price spikes. Many governments, in particular in developing and emerging countries, intervened to reduce the local effects of the global price spikes (Barrett, 2014; Naylor, 2014; Pinstrup-Andersen, 2014). At the same time food price spikes triggered media and policy attention to the broader issues of food security and sustainability.

Trading-off Volatility and Distortions? Government interventions to insulate domestic markets from global price fluctuations were criticized for (a) being ineffective, (b) causing distortions in the economy, and (c) reinforcing price fluctuations when food exporters reduced supply and food importers increased demand (Anderson et al., 2013a; Ivanic and Martin, 2014). However, policy interventions to stabilize food prices may help consumers and producers to make optimal decisions, reducing uncertainty. To integrate benefits from price stability, Pieters and Swinnen (2016) derive a socially optimal distortions-volatility (DV) trade-off8 in food markets which takes into account both consumer and producer benefits from stability and production and consumption distortions caused by deviations from the world market price. However, they find that many countries’ policies during the past decade are far removed from the socially optimal distortion-volatility (DV) combinations. Hence political motives were also very important. This is not surprising. Government interventions to counter market fluctuations are a key ‘stylized fact’ of food policies induced by the political economy mechanism through the relative income hypothesis or loss aversion as explained above. Hence, even without taking into account possible additional benefits for consumers or producers from food price stability, political mechanisms will induce governments to respond to international price increases by policy interventions that limit price rises on domestic markets by export constraints and vice versa through import tariffs when prices fall on the international markets.

The Political Economy of Food Security and Sustainability


Prices, Mass Media and the Global Food Security Agenda The food crisis also pushed food security and agricultural development from the bottom of the international development agenda towards the top.9 The price spikes of 2007–8 led to urban protests and, in a number of cases, created political instability (Cohen and Garrett, 2010; Maystadt et al., 2014). This captured the attention of global policy-makers and donors. As soon as urban protests reached the streets, international organizations reacted much like local politicians and paid a disproportionate amount of attention to the problems of urban consumers. Global mass media played an important role in drawing reaction and policy attention from international organizations and global policy-makers (Guariso et al., 2014).10 The ‘food crisis’ acted as a catalyst of attention. Despite the fact that rural malnutrition and poverty of farmers and low agricultural productivity in developing countries has been a major problem for a long time, it may have been an ‘urban (consumer) crisis’ that helped to put poor farmers’ situations on top of the agenda. Hence, food price spikes succeeded where others have failed in the past: to put the problems of poor and hungry farmers on the policy agenda and to induce development policies and donor funding towards food security and sustainability issues.

Political Coalitions in Food Security and Sustainability11 Political economy models of food policy often consider producers, consumers, and taxpayers as the main agents. In reality many more agents are lobbying governments, including input suppliers (such as land owners, agro-chemical companies, food processors, environmental and food advocacy groups, etc.). This is certainly the case when considering policies targeting sustainability. Growing awareness of environmental issues has increased lobbying by environmental organizations on traditional agricultural and food policies and concerning new policies. Environmental organizations have emerged as an important lobby group in agricultural and food policy discussions. Conservation has a long history in US agricultural policy dating back to the Dust Bowl era of the 1930s (Gardner, 2002). Environmental concerns took on new prominence in the 1985 and 1990 Farm Bill: the latter was entitled the ‘Food, Agriculture, Conservation and Trade Act.’ Farm groups seeking to limit agricultural productiondthereby raising pricesdjoined a political coalition with environmentalists to establish a Conservation Reserve Program (CRP) for the protection of erodible land (Cuellar et al., 2014; Orden et al., 1999). In the EU, despite a series of ‘agri-environmental’ subsidies and regulations in the CAP, environmental organizations did not have a major impact on agricultural policy until the 2000s. In recent years, environmental groups challenged the current payment structures. A key element is ‘greening’ of farm support to better link it to environmental objectives and climate change (Swinnen, 2018). Farm organizations, landowners and environmental groups have at times formed a strategic coalition to lobby for as a large a CAP budget as possible but environmentalists have been disappointed with the outcome (Erjavec et al., 2015). Rising food prices in the late 2000s caused concern and environmental concerns gave way to food security and production objectives in political coalitions. With income growth and globalization, interest in local products has taken on a new form. Consumers are interested in local foods, while farm groups see it as a potential way of marketing and protecting their products. At the policy front this has, e.g., resulted in regulations on geographical indications (GI) – an issue that has created tensions in trade negotiations (Josling, 2006; Meloni and Swinnen, 2018), and which is closely related to standards discussed in the next section.

The Political Economy of Food and Sustainability Standards Food and sustainability standards are playing an increasingly important role in the governance of global food systems (Swinnen et al., 2015). Climate change (e.g., Rainforest Alliance), the pollution of soil and water, biodiversity losses and issues related to farmers’ welfare (e.g., Fair Trade) are all concerns that have been included into different food standards (Fuchs and Kalfagianni, 2010). Given the wide variety of both public and private actors setting them, food and sustainability standards have important political economy dimensions, three of which are discussed here. First, it has been argued standards are acting as replacements for traditional tariff barriers, which has far-reaching implications for organizations and governments engaging in international trade. Second, we discuss what happens with pro- and anti-standard coalitions as countries develop. And finally, we consider how and why standards tend to persist after they are set.

Standards and Trade Production and trade are increasingly regulated by stringent public and private standards on quality, safety, nutritional, environmental, and ethical and social aspects. An important critique is that standards are (non-tariff) trade barriers. As trade agreements such as WTO have reduced tariffs, countries may use standards to shield their domestic markets from foreign competition (Anderson et al., 2004; Brenton and Manchin, 2002; Fischer and Serra, 2000). Convergence (or not) of standards is at the heart of recent trade negotiations such as CETA, TTIP, etc.


The Political Economy of Food Security and Sustainability

Food and sustainability standards affect trade.12 However, the implicit comparison with tariffs in the trade debate is not entirely valid. In a small open economy, tariffs constrain trade and harm social welfare, and are protectionist. However, this is not necessarily the case for standards which may reduce asymmetric information or externalities (e.g., communication of the sustainability of a product to consumers). There is no simple relationship between the trade effects of a standard and the social optimum (Van Tongeren et al., 2009; Sheldon, 2012; Beghin, 2013; Marette, 2014). This, however, does not imply that there are no protectionist elements in standard setting. Food and sustainability standards can create rents for specific interest groups. Because of the distributional effects of standards, interest groups have a vested interest in lobbying governments’ decisions on standards and the political equilibrium may differ from the social optimum.13 Lobby groups may push for both more stringent or less stringent standards depending on the relative magnitude of the price (demand) effect compared to the implementation cost (for producers) or the efficiency gain (for consumers) (Beghin et al., 2015; Swinnen, 2016).

Development and Pro- and Anti-standard Coalitions Political economy can explain the empirically observed positive relationship between standards and economic development. First, higher income levels are typically associated with higher consumer preferences for quality and safety standards. Second, the quality of institutions for enforcement of standards and public regulations is positively correlated with development. Third, higher education and skills of producers, better public infrastructure, easier access to finance, etc. also lower implementation costs. Fourth, the cost of media information is higher and government control of the media is stronger in poor countries. This is likely to induce a more pro-standard attitude in rich countries than in poor, as improved access to media increases attention to risks and negative implications of low standards (Curtis et al., 2008). In combination, these factors are likely to induce a shift of the political equilibrium from low standards to high standards with development.

The Persistence of Standards: Dynamic Political Economics Some of the most important political aspects of food and sustainability standards relate to their dynamic effects. Dynamic political economic aspects of standards can provide an explanation for different food standards in countries with similar levels of development and why such differences may persist.14 Hysteresis in standards can be driven by protectionist motives even if the initial standards were not introduced for protectionist reasons. The reason is that producer or consumer preferences may change once the standard is introduced. For example, the standard may affect comparative advantages and induce producers to support the standard to protect them from (cheaper) non-standard imports. Hence, although standards may have been introduced because of consumer demands, their persistence in the long run results from a coalition of consumer and producer demands. Empirical studies document persistence of standards over time and that the protectionist effects of standards may increase over time.15 Significant ‘shocks’ to the political economy system may be required for significant changes in standards given the dynamic political and institutional constraints to be overcome (Rausser et al., 2011). The first wave of modern public food safety and quality regulations were induced in the late 19th century by public outrages of consumers over the use of cheap and sometimes poisonous ingredients in food production (Meloni and Swinnen, 2015, 2017). More recently, tightening public food standards in food have followed food safety scandals in the EU in the late 1990s and in China in the late 2000s (McCluskey and Swinnen, 2011; Mo et al., 2012). Trade integration of countries with different standards may cause the removal of ‘inefficient standards’ or the opposite, namely that inefficient standards are extended to other countries with international integration.

Concluding Comments Understanding political economy processes is a crucial first step in truly achieving change or progress in a given policy domain. By focussing on four key issues related to the political economy of food security and sustainability, this article has made an attempt in that direction. Size constraints limit the number of issues that we could cover in this article, but the limited coverage of some policies does not (necessarily) imply that we consider these policies not important. While the four issues cover different sides of the food security and sustainability debate, some general conclusions can be drawn. First, both the variety and the growth in numbers of actors engaged in policy-making or lobbying in the food sector has resulted in shifting coalitions depending on the level of development of a country and the issue at hand. For instance, as shown in in the fourth section, in the face of pressure to make farm subsidies consistent with sustainability objectives, farmers’ organizations temporarily aligned with environmental groups to lobby the government, but this changed as the policy space shifted. Likewise, the fifth section has demonstrated that food consumers and producers could have opposing interests when standards are set, but also that their interests might align as a country develops. Second, in the food sector, new or growing concerns such as environmental degradation and farmers’ welfare in developing countries, interact with existing debates to result in shifting political outcomes. The starkest example of this is presented in the fifth section with food and sustainability standards. While these are aimed at alleviating informational asymmetries and reducing negative (environmental) externalities (a ‘new’ concern), they have been considered as non-tariff barriers to trade (an existing debate). The same is true for the so-called development paradox where food security concerns (and thus the need to subsidize farmers in developed countries) clash with ideas about economic development.

The Political Economy of Food Security and Sustainability


Finally, the analysis has also shown that the political economy of food security and sustainability is dynamic in its nature. This is most evident from the examples in the third section where the political economy setting was a result of drastic changes in food prices. In the fifth section as well, we have seen that the dynamics of standard-setting, and more specifically, their persistence is caused by dynamic coalitions between producers, consumers and the government.

Acknowledgments The authors thank SUSFANS (a European Union’s Horizon 2020 research and innovation program under grant agreement No 633692) and the KU Leuven (Methusalem program).

References Anderson, K., 1995. Lobbying incentives and the pattern of protection in rich and poor countries. Econ. Dev. Cult. Change 43 (2), 401–423. Anderson, K., Damania, R., Jackson, L.A., 2004. Trade, standards, and the political economy of genetically modified food. In: CEPR Discussion Papers 4526. Anderson, K., Ivanic, M., Martin, W., 2013a. Food price spikes, price insulation, and poverty. In: The Economics of Food Price Volatility. National Bureau of Economic Research, Inc. Anderson, K., Rausser, G.C., Swinnen, J., 2013b. Political economy of public policies: insights from distortions to agricultural and food markets. J. Econ. Literature 51 (2), 423–477. Anderson, K., Swinnen, J., 2014. How distorted have agricultural incentives become in Europe’s transition economies? East. Eur. Econ. 48 (1), 79–109. Barrett, C.B., 1996. On price risk and the inverse farm size-productivity relationship. J. Dev. Econ. 51 (2), 193–215. Barrett, C.B., 2014. Food Security and Sociopolitical Stability. Oxford University Press, Oxford, UK. Bates, R.H., Block, S., 2010. Agricultural trade interventions in Africa. In: Anderson, K. (Ed.), The Political Economy of Agricultural Price Distortions. Cambridge University Press, Cambridge and New York. Beghin, J., 2013. Nontariff Measures with Market Imperfections: Trade and Welfare Implications (Frontiers of Economics and Globalization, Volume 12). Emerald, Bingley, UK. Beghin, J., Maertens, M., Swinnen, J., 2015. Nontariff measures and standards in trade and global value chains. Annu. Rev. Resour. Econ. 7, 425–450. Bellemare, M.F., Barrett, C.B., Just, D.R., 2013. The welfare impacts of commodity price volatility: evidence from rural Ethiopia. Am. J. Agric. Econ. 95 (4), 877–899. Birner, R., Resnick, D., 2010. The political economy of policies for smallholder agriculture. World Dev. 38 (10), 1442–1452. Brenton, P., Manchin, M., 2002. Making EU trade agreements work: the role of rules of origin. In: CEPS Working Document 183. Brundtland, G.H., 1987. Our Common Future: Report of the World Commission on Environment and Development. United Nations, New York. Cohen, M.J., Garrett, J.L., 2010. The food price crisis and urban food (in)security. Environ. Urbanization 22, 467–482. CFS, 2016. The Committee on World Food Security. United Nations, New York. Cuellar, M., Lazarus, D., Falcon, W.P., Naylor, R.L., 2014. Institutions, interests, and incentives in American food and agriculture policy. In: Naylor, R.L. (Ed.), The Evolving Sphere of Food Security. Oxford University Press, Oxford, pp. 87–121. Curtis, K.R., McCluskey, J.J., Swinnen, J., 2008. Differences in global risk perceptions of biotechnology and the political economy of the media. Int. J. Glob. Environ. Issues 8 (1/2), 77–89. de Gorter, H., Swinnen, J., 2002. Political economy of agricultural policies. In: Gardner, B., Rausser, G. (Eds.), The Handbook of Agricultural Economics. Amsterdam, Elsevier Science, pp. 2073–2123. Downs, A., 1957. An Economic Theory of Democracy. Harper and Row, New York. Erjavec, E., Lovec, M., Erjavec, K., 2015. Greening or green wash? Drivers and discourses of the 2013 CAP reforms. In: Swinnen, J. (Ed.), The Political Economy of the 2014-2020 Common Agricultural Policy. CEPS Publications, Brussels. Fischer, R., Serra, P., 2000. Standards and protection. J. Int. Econ. 52 (2), 377–400. 1

For a more extensive discussion of many issues discussed in this article and graphical illustrations, see Swinnen (2018). A survey of this literature is in de Gorter and Swinnen (2002). It is argued that this has been triggered by binding WTO constraints on tariffs, and governments looking for other instruments to protect their markets. 4 For a discussion of how policies affect smallholder agriculture within this broader political economy process, see Birner and Resnick (2010). 5 See Anderson et al. (2013b) for a more elaborate review. 6 Econometric studies by Gawande and Hoekman (2006) and López (2008) also show the influence of agribusiness and food companies’ political contributions on US policies. 7 ‘Coupled Producer Support Estimate (PSE)’ includes all policy transfers (such as tariffs, price support and subsidies) directly linked (‘coupled’) to agricultural production. These instruments are typically the most distortive. The second group of instruments, ‘decoupled’ agricultural payments, are generally considered the least distortive. 8 Their model is based on Barrett (1996), Bellemare et al. (2013), Gouel and Jean (2015). 9 After the dramatic increase of food prices in 2006–8 reports emphasized that high food prices have a devastating effect on developing countries and the world’s poor. Before most reports argued that low food prices were hurting developing countries farmers and the poor (see Swinnen et al., 2011). 10 Between 2000 and 2005 the share of global overseas development aid (ODA) going to agriculture fell from 5% to 3.8% (OECD, 2013) and the budget share in the UN system going to agriculture (FAO) fell from 20.1% to 15.5% (Global Policy Forum, 2013). After the food crisis, donor funding reversed dramatically: between 2007 and 2011 the share going to agriculture (FAO) in the UN system increases from 15.2% to 22.2% and the share of global development aid going to agriculture jumped from 3.7% to 6.5% (Global Policy Forum, 2013; OECD, 2013). Oxfam and global agricultural research centers under the heading of the CGIAR, also saw their funding increase strongly (Guariso et al., 2014). 11 See Swinnen (2015) for more details on this. 12 Only in very special circumstances do standards not affect trade: this is when the effect on domestic production exactly offsets the effect on consumption (Swinnen and Vandemoortele, 2009). 13 Studies have assumed that governments maximize a political support function (Li et al., 2017) or a Grossman and Helpman (GH) (1994)-type protection-for-sale model (Anderson et al., 2004; Swinnen and Vandemoortele, 2008, 2011). 14 See Swinnen et al. (2015) and Swinnen (2017) for more technical analysis and details. 15 For example Meloni and Swinnen (2013) show how stringent standards in the wine industry, which were first set in France around 1900 in response to pressure on wine growers, further tightened over time and later spread to the rest of Europe with integration of other wine producing countries in the EU. Meloni and Swinnen (2015, 2017) also document how the introduction of food standards in the mid-19th century in response to the discovery by new scientific means of massive fraud and adulterations in food production led to different regulatory approaches in different countries. These regulations and standards persisted for a long time and influenced production processes and consumer preferences in the domestic industries, leading to trade conflicts. Similarly, Van Tongeren (2011) shows how a 500 year old food law was the reason for trade disputes in the late 20th century. 2 3


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Freund, C., Ozden, C., 2008. Trade policy and loss aversion. Am. Econ. Rev. 98 (4), 1675–1691. Fuchs, D., Kalfagianni, A., 2010. The effectiveness of private food (retail) governance for sustainability. In: USB Köln Working Paper. Gardner, B.L., 1987. Causes of U.S. farm commodity programs. J. Political Econ. 95 (2), 290–310. Gardner, B.L., 2002. American Agriculture in the Twentieth Century: How it Flourished and what it Cost. Harvard University Press, Cambridge, MA. Gawande, K., Hoekman, B., 2006. Lobbying and agricultural trade policy in the United States. Int. Organ. 60, 527–561. Global Policy Forum, 2013. Global Policy Forum - Financing of the UN Programmes, Funds and Specialized Agencies. Available at: http://www.globalpolicy.org/un-finance. Gouel, C., Jean, S., 2015. Optimal food price stabilization in a small open developing country. World Bank. Econ. Rev. 29 (1), 72–101. Grossman, G.M., Helpman, E., 1994. Protection for sale. Am. Econ. Rev. 84 (4), 833–850. Guariso, A., Squicciarini, M.P., Swinnen, J., 2014. Food price shocks and the political economy of global agricultural and development policy. Appl. Econ. Perspect. Policy 36 (3), 387–415. Ivanic, M., Martin, W., 2014. Implications of domestic price insulation for global food price behaviour. J. Int. Money Finance 42, 272–288. Josling, T., 2006. The war on Terroir: geographical indications as a transatlantic trade conflict. J. Agric. Econ. 57, 337–363. Krueger, A.O., Schiff, M., Valdés, A., 1991. The Political Economy of Agricultural Pricing Policy. Johns Hopkins University Press for the World Bank, Baltimore. Li, Y., Xiong, B., Beghin, J., 2017. The political economy of food standards determination: international evidence from maximum residue limits. In: Beghin, J. (Ed.), Nontariff Measures and International Trade. World Scientific Publishing, Singapore. Liefert, W., Swinnen, J., 2002. Changes in Agricultural Markets in Transition Countries, ERS Report 33945. USDA. López, R.A., 2008. Does ‘Protection for Sale’ apply to the US food industries? J. Agric. Econ. 9 (1), 25–40. Marette, S., 2014. Non-tariff Measures when Alternative Regulatory Tools Can Be Chosen. Mimeo. Martin, W., Ivanic, M., 2016. Food price changes, price insulation, and their impacts on global and domestic poverty. In: Kalkuhl, M., von Braun, J., Torero, M. (Eds.), Food Price Volatility and its Implications for Food Security and Policy. Springer, Cham. Maystadt, J.F., Tanb, J.F.T., Breisinger, C., 2014. Does food security matter for transition in Arab countries? Food Policy 46, 106–115. McCluskey, J.J., Swinnen, J., 2004. Political economy of the media and consumer perceptions of biotechnology. Am. J. Agric. Econ. 86, 12301237. McCluskey, J.J., Swinnen, J., 2011. Media and food risk perceptions. EMBO J. 12 (7), 467–486. Meloni, G., Swinnen, J., 2013. The political economy of European wine regulations. J. Wine Econ. 8 (3), 244–284. Meloni, G., Swinnen, J., 2015. Chocolate regulations. In: Squicciarini, M.P., Swinnen, J. (Eds.), The Economics of Chocolate. Oxford University Press, Oxford. Meloni, G., Swinnen, J., 2017. Standards, tariffs and trade: the rise and fall of the Greek-French raisin trade and the definition of wine. In: LICOS Discussion Paper Series 386. Meloni, G., Swinnen, J., 2018. Trade and terroir. The political economy of the world’s first geographical indications. In: LICOS Discussion Paper Series 400. Mo, D., Huang, J., Jia, X., Luan, H., Rozelle, S., Swinnen, J., 2012. Checking into China’s cow hotels: have policies following the milk scandal changed the structure of the dairy sector? J. Dairy Sci. 95, 2282–2298. Naylor, R.L. (Ed.), 2014. The Evolving Sphere of Food Security. Oxford University Press, Oxford. OECD, 2013. OECD Statisticsdcreditor Reporting System. Available at: http://stats.oecd.org/. OECD, 2017. Agricultural Policy Monitoring and Evaluation 2017: OECD Countries and Emerging Economies. OECD Publishing, Paris. Available at: oecd-ilibrary.org. Olper, A., Fałkowski, J., Swinnen, J., 2013. Political reforms and public policy: evidence from agricultural and food policy. World Bank. Econ. Rev. 28 (1), 21–47. Olper, A., Swinnen, J., 2013. Mass media and public policy for agriculture. World Bank Res. Dig. 7 (3), 6. Olson, M., 1965. The Logic of Collective Action. Yale University Press, New Haven, CT. Orden, D., Paarlberg, R., Roe, T., 1999. Policy Reform in American Agriculture: Analysis and Prognosis. The University of Chicago Press, Chicago, IL. Pieters, H., Swinnen, J., 2016. Trading-off volatility and distortions? Food policy during price spikes. Food Policy 61, 27–39. Pinstrup-Andersen, P. (Ed.), 2014. Food Price Policy in an Era of Market Instability: A Political Economy Analysis. Oxford University Press, Oxford. Rausser, G., Swinnen, J., Zusman, P., 2011. Political Power and Economic Policy: Theory, Analysis, and Empirical Applications. Cambridge University Press, Cambridge. Sheldon, I., 2012. North-south trade and standards: what can general equilibrium theory tell us? World Trade Rev. 11 (3), 376–389. Strömberg, D., 2004. Mass media competition, political competition, and public policy. Rev. Econ. Stud. 71 (1), 265–284. Swinnen, J., 1994. A positive theory of agricultural protection. Am. J. Agric. Econ. 76 (1), 1–14. Swinnen, J., 2015. Changing coalitions in value chains and the political economy of agriculture and food policy. Oxf. Rev. Econ. Policy 31 (1), 90–115. Swinnen, J., 2016. Economics and politics of food standards, trade, and development. Agric. Econ. 47. Swinnen, J., 2017. Some dynamic aspects of food standards. Am. J. Agric. Econ. 99 (2), 321–338. Swinnen, J., 2018. The Political Economy of Agricultural and Food Policies. Palgrave McMillan, Basingstoke. Swinnen, J., de Gorter, H., 1993. Why small groups and low income sectors obtain subsidies: the ‘altruistic’ side of a ‘self –interested’ government. Econ. Polit. 5 (3), 285–296. Swinnen, J., Deconinck, K., Vandemoortele, T., Vandeplas, A., 2015. Quality Standards, Value Chains, and International Development. Cambridge University Press, Cambridge. Swinnen, J., Olper, A., Vandemoortele, T., 2012. Impact of the WTO on agricultural and food policies. World Econ. 35 (9), 1089–1101. Swinnen, J., Squicciarini, P., 2012. Mixed messages on prices and food security. Science 335 (6067), 405–406. Swinnen, J., Squicciarini, M.P., Vandemoortele, T., 2011. The food crisis, mass media and the political economy of policy analysis and communication. Eur. Rev. Agric. Econ. 38 (3), 409–426. Swinnen, J., Vandemoortele, T., 2008. The political economy of nutrition and health standards in food markets. Appl. Econ. Perspect. Policy 30 (3), 460–468. Swinnen, J., Vandemoortele, T., 2009. Are food safety standards different from other food standards? A political economy perspective. Eur. Rev. Agric. Econ. 36 (4), 507–523. Swinnen, J., Vandemoortele, T., 2011. Trade and the political economy of food standards. J. Agric. Econ. 62 (2), 259–280. Tovar, P., 2009. The effects of loss aversion on trade policy: theory and evidence. J. Int. Econ. 78 (1), 154–167. United Nations General Assembly, 2005. World Summit Outcome. A/Res/60/1. Van Tongeren, F., 2011. Standards and international trade integration: a historical review of the German ‘Reinheitsgebot’. In: Swinnen, J. (Ed.), The Economics of Beer. Oxford University Press, Oxford. Van Tongeren, F., Beghin, J., Marette, S., 2009. A cost-benefit framework for the assessment of non-tariff measures in agro-food trade. In: OECD Food, Agriculture and Fisheries Working Papers 21. Varshney, A., 1995. Democracy, Development, and the Countryside: Urban-rural Struggles in India. Cambridge University Press, Cambridge and New York.

Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks Maria Fontea,b and Maria Grazia Quietib, a University of Naples Federico II, Via Cynthia Monte Sant'Angelo, 80 126 Napoli, Italy; and b The American University of Rome, Via Roselli 4, 00153 Roma, Italy © 2019 Elsevier Inc. All rights reserved.

Abstract The Rise of Industrial Agriculture and Food From Public to Corporate Governance Impacts and the Challenges Civic Food Networks and the Prefiguration of New Food Production/Consumption Practices Reconnecting Agriculture to Nature: Organic, Post-organic and Agro-Ecology Reconnecting Farmers to Consumers Reconnecting Urban and Rural Spaces: The “Foodshed” and Territorial Food Security Approaches Conclusion References Further Reading

18 18 18 19 20 20 21 22 22 23 24

Glossary Ecosystem Ecosystem is defined as “. a dynamic complex of plant, animal, and microorganism communities and the nonliving environment interacting as a functional unit.” Millennium Ecosystem Assessment, 2005. Ecosystems and Human Wellbeing: Synthesis. Island Press, Washington, DC, p. v. Food as a commons refers to the affirmation that food cannot be dealt with only as a commodity, whose value is exclusively determined by the market exchange. It implies the revalorization of the different food values - food as a natural resource, a human right, a cultural determinant - and support a democratic system of food governance based on agro-ecology and opensource knowledge. In economic terms, this concept wants to suggest that food, as a global resource, cannot be governed as excludable and rival good, but should be governed as a collective good (see Ruivenkamp, G., Hilton, A., 2017. Perspectives on Commoning. Autonomist Principles and Practices. Zed Books, London; and Vivero-Pol, J.L., 2017. Food as commons or commodity? Exploring the links between normative valuation and agency in food transition, Sustainability 9 (3), 442. https:// doi.org/10.3390/su9030442). Food Sovereignty La Via Campesina launched its political vision of “Food Sovereignty” at the World Food Summit in 1996. Food sovereignty is defined as the right of peoples to healthy and culturally appropriate food produced through sustainable methods and their right to define their own food and agriculture systems. It supports a model of small-scale sustainable production benefiting communities and their environment and prioritizes local food production and consumption, giving a country the right to protect its local producers from cheap imports and to control its production. Food sovereignty supports also the struggle for land and agrarian reform, ensuring that the rights to use and manage lands, territories, water, seeds, livestock and biodiversity are in the hands of those who produce food (https://viacampesina.org/en/international-peasantsvoice/). Genetically Modified Organisms Genetically modified organisms (GMO), also called “transgenic organisms” represent a specific application of biotechnology, defined by the 1992 Convention on Biological Diversity as “any technological application that uses biological systems, living organisms, or derivatives thereof, to make or modify products for specific use”. In the case of transgenic organisms, genes are introduced in a way that wold not occur naturally from a species into a plant or animal, e.g. a gene from a bacterium into a cotton plant. With the new gene editing techniques, called CRISPR, invented in 2009, desirable traits can be introduced just by altering the genome. Nutritional yield Nutritional yield is measured by the number of adults able to obtain 100% of their Dietary Reference Intakes (DRI) for one year from a food item produced annually on 1 ha (DeFries et al., 2015). Obesity and overweight Obesity and overweight are defined with the Body Mass Index (BMI), a simple index of weight-forheight, namely the weight in kilograms divided by the square of the height in metres (kg/m2). Overweight is a BMI greater than or equal to 25; and obesity is a BMI greater than or equal to 30.

Encyclopedia of Food Security and Sustainability, Volume 1




Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks

Abstract Current global agricultural production and the world supply of fish have the capability of feeding the entire world population of 7.2 billion people. However, there are huge disparities among individual countries’ productive capacity due to factors related to their natural resource base, their economic and social policies, technological development as well as their geopolitical position in international markets and negotiating fora. The intra- and inter-country inequality and imbalance is also reflected in the persistence of poverty, hunger and malnutrition, the latter manifesting itself also in the notable increase of overweight and obesity in both developed and developing countries.1 The phenomenal increases in production have exposed the intensification of environmental problems related to the pressure on natural resources, their shortage and degradation also due to the effects of climate change and the critical erosion of biodiversity. The alarms coming from scientists and the epistemic communities worldwide, debated also in international fora, have given rise to different perspectives, to new emerging social-agricultural movements and practices and a wide debate on how to remedy the problems identified so far, particularly when considering that the population is expected to reach 9.8 billion by 2050. One of the voices in such a debate is represented by what are known today as Alternative Food Movements or Civic Food Networks. These emerged worldwide after the 1990’s and their vision is represented in this article as the claim for a triple reconnection: of agriculture to nature, of producers to consumers and of rural and urban spaces.

The Rise of Industrial Agriculture and Food The technological developments of the last century have spurred what is known as the “agricultural revolution” characterized by spectacular increases in land and labor productivity. A key factor has been overcoming the limit of available fertilizer worldwide through the manufacture of synthetic fertilizer. Scientists estimate that the consumption of nitrogen fertilizer grew from 10.8 to 85.1 million tons between 1960 and 2003 (Millennium Ecosystem Assessment, 2005) and that currently it supports approximately half of the global population. Developments in mechanization, particularly the large-scale mechanization in industrialized countries for tillage, harvesting and treatments of pests and diseases with herbicides, insecticides and fungicides stimulated further the expansion of arable land, farmers’ productivity and also farm sizes. Major advances in biological selection and genetic improvements in certain crops and livestock have raised the productivity by greater resistance to pests, diseases and climate conditions such as drought and cold. High-yielding varieties developed since the 1960s for rice, maize and wheat, mainly in Asia and Latin America, raised impressive yields per hectare. According to the Food and Agriculture Organization of the United Nations (FAO, 2004), between 1960 and 2000, yields rose 208% for wheat, 109% for rice, 157% for maize, 78% for potatoes, and 36% for cassava. Norman Borlaug, the principal agronomist researcher, was awarded the Nobel Peace Prize in 1970 for what has become known as “Green Revolution”. Notwithstanding the beneficial effects of such increases in yields, the Green Revolution had an uneven social impact and contributed to the progressive displacement of indigenous crops. The commercial introduction of genetically modified (GM) crops in 1996 and the more recent gene editing techniques called CRISPR,2 have amplified the production potential. As of 2015, 12% of the world’s cropland produced genetically engineered crops, primarily herbicide-resistant varieties of maize, soybean, cotton, canola, sugar beet and alfalfa and insect-resistant varieties of maize, cotton, poplar and eggplant (National Academy of Science, Engineering and Medicine, 2016). The same spectacular growth has occurred in farmed fish and aquatic plants; as of 2013 their total production surpassed that of capture fisheries (FAO, 2016) with aquaculture providing half of all fish for human consumption. Similarly to primary production, technological developments have also occurred in the conservation and processing of foods through cold, heat, drying of fish, meat and vegetables, smoking, ionization and the addition of food preservatives. With transportation facilitated by trains, by cargo ships and planes and the ensuing intensification of international trade (D’Odorico et al., 2014), the industrialization of food production and processing enabled mass consumption on a global scale and began the process of physical and mental distancing between producers and consumers. The distancing also implied the consumers’ unawareness of the environmental impact of their dietary choices (Caro et al., 2014; Davis et al., 2016).

From Public to Corporate Governance Along with these technological innovations, the economic policies pursued by the developed countries to support agriculture and fisheries with subsidies have been contributing to overcapacity and overfishing. Particularly after the Second World War, the food surpluses were exported either through food aid, alleviating widespread famines and hunger, or through commercial exports, depressing world prices and causing disarray in the world markets. Developing countries became the main recipients for foodstuffs and became progressively dependent on food imports (Clapp, 2012; Clapp, 2016; FAO, 2003). With these exports, it was also the industrial model of agriculture that was being exported and with it, the opening of markets for food corporations and their growth. With the withdrawal of the state from the management of agriculture, particularly since the 1970–80s, transnational corporations have come to dominate the agricultural input sector and processing with an increasing degree of concentration through horizontal and vertical integration (Howard, 2016; Clapp and Fuchs, 2009; Fuglie et al., 2011). Nowadays, for fertilizers, ten companies represent 56% of the market share; in the meat processing industry four firms control 75% of

Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks


the beef slaughter; other four 70% of the pork slaughter and other four 53% of the chicken slaughter (IPES-Food, 2017). The megamergers since 2015 have accentuated the consolidation in the agri-food sector; the recent merger between the US agro-chemical companies Dow and DuPont, Bayer and Monsanto and the ChemChina’s expected acquisition of Syngenta in 2018 mean that 70% of the agro-chemical industry and more than 60% of proprietary seeds worldwide are in the hands of only three-merged companies (IPES-Food, 2017). For processing and retailing, consolidation has occurred with the rise of large-scale processors like Nestlé, large retail store chains, like Carrefour, Tesco, Walmart and large-scale fast-food chains like McDonald’s. These originated in the US and Europe and have now extended their outreach to the developing countries in Latin America, Asia and Africa.

Impacts and the Challenges Even though concerns with the impact of human activities on the environment date back to the 1970s, it is only recently that systematic evidence through global scientific initiatives has been gathered on the degradation of the ecosystems due to all the activities related to the food supply and their impact on the biogeochemical cycles of the earth (Millennium Ecosystem Assessment, 2005; IAASTD, 2009; IPCC, 2014). The numerous studies conducted by the scientific community have also brought to the realization that all the activities of production, transformation, processing and disposal of agriculture, fisheries and forestry cannot be analyzed in isolation but rather need to be viewed in a food system’s perspective (Ericksen, 2008). Food provisioning is the largest driver of global environmental change. More than half of the world’s terrestrial surface is used for cultivation, grazing, plantation forestry and aquaculture (IAASTD, 2009; FAO, 2011). Agriculture is the major cause of land degradation, deforestation and water scarcity (IAASTD, 2009). According to the IPCC (2014) agriculture, forestry and other land use contributed 24% of greenhouse gas net emissions in 2010. With regard to fish stocks, according to 2013 data, 31.4% were estimated as fished at a biologically unsustainable level and therefore overfished (FAO, 2016). A major impact of industrial agriculture has been the reduction in the diversity of crops and their wild relatives, trees, animals, microbes and other species agricultural production. A contributing factor has been the displacement of small-scale farms with mixed crop and livestock farming and the consequent specialization, which has resulted in monocropping, and spatial relocation of livestock farming (FAO, 2000). Soybean, maize and wheat are now predominant in global food production (Khoury et al., 2014) while livestock is produced intensively in Confined Animal Feeding Operations (CAFO), closer to consumers and retailers, no longer based in their natural habitat (FAO, 2009). While on the one hand, there are no exact figures on the number of plant species used for food, varying from 5538 species to 70,000 that have edible parts (Royal Botanic Gardens Kew, 2016 referenced in Bioversity International, 2017), there is data showing that only three plant species (rice, wheat and maize) provide half the world’s plant-derived calories (FAO, 2015). A similar reduction has been occurring in animal production based on a narrow range of breeds, with 1491 breeds out of the total of 7616 breeds recorded in the Global Databank, being classified as being “at risk” (FAO, 2009). The losses of biodiversity across the globe have been accentuated by increased international trade (Wiedmann and Lenzen, 2018). The specialization in a few animal and food crops, the increased exchanges through international trade and the penetration of major food companies and retailers into developing countries have contributed to diets converging towards western diets consisting of cereals and higher consumption of meat as well as highly processed foods (Kearney, 2010). This change in diets has been heightened by the rapid urbanization that is occurring; as of 2014, 54% of the world’s population lives in urban areas and this is expected to increase to 66% by 2050 (UNDESA, 2014). Urbanization has been one of the contributing factors to the growth of the population affected by overweight and obesity, both in developed and developing countries. Overall, prevalence of obesity more than doubled between 1980 and 2014. In 2014 about 13% of the world’s adult population was obese. At the same time, there is the persistence of hunger, or chronic undernutrition, which affects 815 million people in the world, a number which has increased in 2016 over the 2015 estimates, due to numerous conflict situations (FAO et al., 2017). The phenomenal growth in population that has occurred in the last 70 years from 2.5 billion in 1950 to 7.6 billion in 2017 will continue, even though at a slower pace. It is expected to reach 9.8 billion in 2050 with the population over 60 years of age growing faster than all younger age groups (UNDESA, 2017). It has been estimated that in 2050 an increase of about 60% of agricultural produce, in relation to the 2005–7 levels, including both food and non-food products, would be needed to meet the increased demand due to population and to income growth (Alexandratos and Bruinsma, 2012). How to meet such demand? Who will produce? How to remedy the negative environmental impacts of the industrial ‘productionist’ model of agriculture and ensure a more equal food security situation at the global level? Many scientists maintain that the current system of food production can produce enough to feed the projected increase in the world’s population and that the environmental impacts can be reduced, also thanks to the continuing developments in technologies. ‘Sustainable intensification’ is the term used to denote the acknowledgement that raising production will be necessary to feed the increasing population, that the increases will have to come from higher yields using the existing agricultural land, ensuring however the application of sustainable production methods (Godfray and Garnett, 2014; FAO, 2014a; Rockstrom et al., 2017). On the other side of the spectrum, there is the view that the current food system needs a total overhaul, new ways of producing such as organic agriculture and agroecology, of diversifying the range of crops to enable ‘sustainable diets’ and new ways of evaluating production. In a land-scarce agriculture, the standard metric of “crop yields”, the weight of crop production per unit of land, needs to be replaced by the metric of “nutritional yield” (DeFries et al., 2015), namely the nutritional value produced by a given amount of land. It is argued that intensification may not be really possible, given the stagnant and plateaued crop yields in many areas of the world where countries may have to resort to increased imports and to crop area expansion (Van Ittersum et al., 2016).


Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks

Crop area expansion could also take place as a result of the higher profitability of a more efficient agriculture (Lambin and Meyfroidt, 2011). Also, intensification by itself may not be sufficient to meet the projected increased demand for food, without changes in diets at the global level to reduce animal-source proteins (Davis et al., 2016). The social movements that are sprouting in many parts of the world advocating and practicing such new ways of producing and consuming food are seen as the seeds having the potential to radically reconfigure the food system.

Civic Food Networks and the Prefiguration of New Food Production/Consumption Practices Alternative Food Movements (AFMs) and Civic Food Networks (CFNs) refer to newly emerging networks of producers, consumers and other actors embodying alternatives to the standardized industrial mode of food supply. Organic and post-organic agriculture, Fair Trade, valorization of traditional practices of food production, farmers’ markets, Community Supported Agriculture, Solidarity Purchasing Groups, Agroecology, La Via Campesina are expressions of CFNs, emerged mostly in the 1990s in both, developed and developing countries, as a response to the global challenges of the food system. They all uphold a new way of looking at and conceiving of food systems and food problems. La Via Campesina is a broad network that represents farmers groups and organizations around the world. Born in 1993, it claims to represent today 182 local and national organizations in 81 countries from Africa, Asia, Europe and the Americas and about 200 million farmers (https://viacampesina.org/en/international-peasants-voice/). Its political vision is synthetized in the concept of Food Sovereignty, that is “the right of peoples to healthy and cultural appropriate food produced through ecologically sound and sustainable methods, and their right to define their own food and agricultural systems” (Declaration of Nyéléni, 2007). Alternative food movements refer to the initiatives that especially in industrialized countries promote new food short circuits as a critique to conventional food system and in respect of ethical principles, ecology, health and animal welfare concerns.3 The convergence of these movements on common values and food ethics pushes us to group them in this article under the term ‘Civic Food Networks’ (CFNs). The first contribution of the CFNs is the elaboration of an alternative vision and an alternative paradigm or narrative of the food crisis, the food challenges and the food options for the future. CFNs claim food sovereignty and a localized food system where ‘ecological citizens’ (Seyfang, 2006), partake of the responsibility for the sustainability of the food economy, thus endorsing the value of food as a commons and a right. They refer to the necessity to overcome the vision of food as a pure commodity and to recognize its various dimensions, radically changing the way we look at the food system and policy options for the future challenges. In this respect, solving global challenges is not only a matter of developing more knowledge or adopting more technology, as in the ‘sustainable intensification’ solution. It rather involves a change in the social and economic paradigm of the food system. We can summarize the contribution of civic food networks to new food production practices through three forms of reconnections: 1) Re-connection of agriculture to nature 2) Re-connection of farmers to consumers 3) Re-connection of urban to rural spaces

Reconnecting Agriculture to Nature: Organic, Post-organic and Agro-Ecology Since the 1960s, while the Green Revolution was spreading in the world’s agriculture the use of chemical inputs as complements to the diffusion of hybrid varieties, the organic movement predicated the renewal of agriculture based on a new relation between farmers and nature, especially the soil. The health of the soil and consumers were at the core of the agricultural practices promoted by the organic movement. At the socio-technical level, a new class of technicians mediated the relation between farmers, nature and consumers, contributing to the diffusion of a new form of knowledge, different from the “industrial based” knowledge of private and public agricultural extension service. The ambition of organic agriculture was to anchor the principles of traditional agriculture and local knowledge in scientific knowledge and to codify them in standards as an aid to communication with consumers. “The organic farm is idealised as a cyclical system embedded in its environment, supplying fresh food for local consumption. This contrasts vividly with the spatially dislocated, high-input system of conventional food production” (Smith, 2006, p. 446). In Europe, the organic niche grew to a success story in the 1990s, especially after years of food scandals, such as the Bovine Spongiform Encephalopathy in Europe: policies to assist organic farming were introduced; supermarkets became organic retailers and conventional farmers converted to organic. The entrance of mainstream actors into the organic niches contributed to mainstreaming the niche, rather than radically transform the predominant model of food production. The need to grow rapidly in order to provide supermarket with a regular supply of organic food, led to a logic of import substitution and the relaxing of the original principles. Organic inputs and products were traded in global markets; organic farms underwent a process of consolidation and specialization. Finally organic food was seen as a ‘niche’ of the mainstream food system, producing for an elite of consumers in Northern countries (Buck et al., 1997; Guthman, 2004; Blythman, 2005). The conventionalization of organic agriculture led to the fragmentation of the alternative food movement and the emergence of new post-organic, grass-roots initiatives aiming to promote a more holistic sustainability in the food economy. Among them agroecology may be considered the most direct heir of the organic movement.

Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks


Agroecology is intended as a threefold revolution (Altieri and Toledo, 2011): epistemological, technical and social. As a science, agroecology is the application of ecological science to the study, design and management of sustainable agroecosystems, which implies the diversification and the enhancing of the complexity of the farm, recycling nutrients and energy. At the technical level, production practices are directed at restoring self-reliance of the farm, with minimal dependence on high agrochemical and energy input. It aims at conserving and regenerating natural resources, producing healthy food and empowering peasant organizations. At the social level, agroecology is rooted in the ecological rationale of traditional small-scale agriculture and emphasizes the capability of local communities and traditional knowledge to experiment, evaluate and scale-up innovations through farmer-to-farmer research and grassroots extension approaches. In this respect, Altieri and Toledo (2011) highlight how still today traditional agricultural systems continue to feed a large part of population on the planet, especially in developing countries. An evaluation of data from 17 countries by Toledo and Barrera-Bassols (2008) estimates that the number of small farmers increased between 1990 and 1999, a phenomenon that has been termed ‘the return of the peasants’ or the re-peasantization of the rural spaces (Van der Ploeg, 2009), while FAO (2014b, p. xvi) estimates the persistence of 570 million small-scale farms, 90% of which family farms. For agroecology, as for La Via Campasina, supporting the small family farms is part of the solution to global food challenges and it means guaranteeing them access to agricultural resources: land, water and seeds. The reliance on small farm agriculture locates agroecology among the re-peasantization and sovereignty movements, which highlight the role of small, peasant and family farms in transitioning the industrial food system toward sustainable agriculture practices, able to feed the planet, while conserving natural resources.

Reconnecting Farmers to Consumers Among the movements that gained impetus in the 1990s as a result of growing dissatisfaction with the increasing conventionalization of the organic movement we can also list the new movement for localizing food production and consumption (farmers’ markets, Community supported agriculture, Solidarity purchasing groups, etc.). These initiatives sprout after a widespread perception that the organic movement had dropped its alternative/environmental ideological baggage and had been seduced by multinational retailing firms and the prospect of a mass market. Organic certification began to be seen as encouraging non-local food consumption, raising costs for producers and prices for local consumers. Accordingly, a post-organic local food movement shifted the focus of attention to direct sales to the consumer, specifically addressing the sustainability of the distribution system in the food chain. Sustainability is then associated to ‘localness’, intended as space and short distance, but also place, regions and territories, new ways of producing and new forms of valorization of traditional and local knowledge (Fonte, 2008). The Local Food Movement points to distance as the core of systemic vulnerabilities of the dominant food economy. Distance is intended as geographical distance, - i.e. long distances travelled by food in global value chains which are a source of GHG emissions - and social distance, that is the separation between place of production and place of consumption, which makes production processes in the agro-industrial food system de-territorialized, placeless and centered around the commodification of food (food from nowhere; see Galli et al., 2017 for an ecological footprint overview of Mediterranean countries food consumption patterns). According to Kloppenburg et al. (1996, p. 36) ‘distancing disempowers’. So, due to the physical and social distancing that characterize the global food system, producers and consumers lose control, that is instead concentrated in the hands of those who know how to act at a distance: the big corporates and multinationals. The transformative power of localness is predicated on the ‘ethics of proximity’, i.e. the re-embedding of food in social relations. In such a meaning, Fair Trade can be considered among the first social movements to react to the distancing effect of globalization, promoting a more direct connection of consumers and producers operating at long spatial distance, in such a way that a greater share of the final sale price goes to the farmers (Raynolds and Wilkinson, 2007). Consumers, who act as citizens in their consumption behavior, i.e. in respect of their values of sustainability and social justice, acquire preeminence as actors in the transformation of the food system, in a new alliance with farmers and peasants, an alliance that is beneficial to both, producers and consumers (Renting et al., 2012). “Localness” is, however, not strictly identical with place-embeddedness. Actually the transformative power of ‘localness’ has been problematized and debated from many points of views, both in theory and in practice. The environmental impact of the food economy does not depend only on the distance ‘from farm to fork’, but also on how food is transported, grown, transformed, prepared and consumed. More comprehensive indicators, like the life-cycle analysis or different footprint indicators, can yield better assessments of the total volume of greenhouse gas emissions linked to food production, distribution and consumption. Furthermore, the difficulty of establishing well-defined boundaries for the notion of locality, taking into account the conditions for the entire life-cycle of production and global supply chain, appears to undermine the usefulness of localness as a category for the analysis of food systems sustainability. Finally, while some studies analyze citizen-consumers in action practicing ethical food consumption (Micheletti, 2003), other scholars contest the efficacy of the popular rhetoric of ‘vote with your fork’ (Goodman et al., 2012). The ‘citizen-consumer’ is seen like a hybrid entity that may not be able to effectively combine consumer desires and interests with citizenship responsibilities to collectivity and environment (Johnston, 2008). Approaches based on the transformative role of the citizen-consumer may instead “work to legitimate and perpetuate neoliberal notions of individualism, market-solutions and the devolution of regulation.” (Kennedy et al., 2016). The concept of ‘local trap’ (Born and Purcell, 2006) wants to highlight the risks implicit in assuming that proximity always results in benefit or repair for environmental impact and social justice.


Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks

To use the words of DeLind (2011), we must ask ourselves: ‘is local food taking us where we want to go?’ Hinrichs (2015) invites us to look at how the distribution of interests and power across different groups of farmers and consumers, as well as across varied organizations and institutions, serves to concentrate or spread the benefits and risks when fastening food to a locality. She also suggests to more seriously exploring the effect of fastening food on the flexibility needed to respond to emerging sustainability or health challenges. Localness is a descriptive concept and its limited heuristic value is evident when we want to distinguish a progressive versus a defensive localism or reconcile localism with ‘a sense of planet’ (Heise, 2008) or with a ‘global sense of place’ (Massey, 1994). From these critiques and from the quest for a more reflexive localism the need has emerged to assume more explicitly the concept of ‘civic agriculture’ (Lyson, 2004) and civic values into the conceptualization of local food. Renting et al. (2012) propose ‘Civic Food Networks’ (CFNs) as a complementary category to concepts such as ‘short food supply chains’ and ‘local(ized) food systems’. CFNs may better express the processes of change in the agri-food governance mechanisms, showing the increasingly important role of civil society (and to some extent of local and regional administrations) compared to market forces and to the (national) state; they imply a new conception of food citizenship and food democracy and the regeneration of food governance mechanisms. Environmental sustainability, food justice and food democracy are the challenges that CFNs want to face. The ‘utopian’ food economy towards which the CFNs vision aims is a local-based food system, which, while empowering and reconnecting producers and consumers, can endorse civic values like sustainability, but also social justice and food democracy (Cucco and Fonte, 2013).

Reconnecting Urban and Rural Spaces: The “Foodshed” and Territorial Food Security Approaches May 23, 2007 was identified as the day in which for the first time urban population (3,303,992,253) surpassed rural population (3,303,866,404) (http://news.softpedia.com/news/May-23-2007-The-Day-When-World-Turned-Majoritary-Urban-55679.shtml). As underlined before, in 2014 54% of the world’s population resided in urban areas (UNDESA, 2014). Since its origins, rural sociology has always adopted a dualistic conceptualization of the urban – rural space, considering the rural as the place of ‘community’ and the urban as the locus of ‘society’. Community and society describes different forms of social relationships: community is considered as based on primary links (family, kinship, friendship) and face-to-face relationships; society on division of labor and impersonal, formally prescribed social relationships. In this vision, the rural was often idealized as an idyll, while the urban was considered ‘less natural’, implying the abandonment of traditional culture and way of thinking (Tönnies, 1957; Sorokin and Zimmerman, 1929). It was actually only in the middle of the 20th century that this dichotomous vision was theoretically and empirically overtaken. It was demonstrated that communitarian types of social relationships existed also in urban areas, while, as agriculture became inserted in the agro-food complex, the rural space was undergoing a process of homogenization, industrialization and diversification (Pahl, 1966). The rural was finally seen as part of the global, de-materialized economy, in a hybrid rural-urban web of ‘urban sprawls’, ‘urbanized countryside’, metropolitan areas, ‘city-regions’, where the roles of the urban and rural spaces are strictly interconnected and urban cores are linked to peri-urban or rural hinterland by functional ties (Murdoch, 2006; Woods, 2011). The debate on ‘city-region’ in economic geography highlights a shift from sectorial to ‘territorial’ approaches to development, which require greater policy diversity, adjustments of policies to different contexts and a more complex governance structure, “characterized by the horizontal and vertical coordination of numerous institutional public and private actors, and enable(ing) experimentation with bottom-up and participatory policy-making” (Rodríguez-Pose, 2008: p. 13). Until the beginning of the new millennium, the food system was still described as a stranger to urban planning, a “puzzling omission” given that food is essential to human life (Pothukuchi and Kaufman, 2000; Morgan, 2014). But since then the urban food question enters the center of academic and policy debates, especially in the global North (Sonnino, 2016). The urban political ecology approach is committed to “re-naturing the city” (Morgan, 2014, p. 4), re-connecting the city to food and by consequence to natural and rural spaces. Not only urban agriculture becomes a burgeoning movement part of the civic food networks, but urban food policies and policy councils (Blay-Palmer, 2009) become the expression of a novel political alliance between the civil society active in the CFNs and local governments aiming to new local policies on food planning and procurement. The combination of proximity, transparency and trust at the basis of the re-connection of the producers and consumers contributes to empower both (Kloppenburg et al., 1996) and to experiment with new participatory, reflexive forms of governance of the food system, that foster the interests of local agriculture and local communities of food. The concepts of “foodshed” (Kloppenburg et al., 1996) and “regional food security” combine new discursive community food security approaches with the conceptualization of spaces that reconnected the once separated urban and rural spaces, while proposing participatory forms of governance of food as a commons (Cucco and Fonte, 2013).

Conclusion Two main narratives of food global challenges compete today for attention in the public and academic arena. The “sustainable intensification” approach sees the solution to the global challenges of climate change, erosion of biodiversity, nutrition transition

Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks


and demographic growth in a sharp increase of agricultural production, a sort of a neo-productivism, based on more science, technology and free trade. Food security issues are framed as a matter of food supply, a problem of inadequate production, sidelining access, utilization and adequate diet as well as food waste. On the contrary, Civic Food Networks look at food challenges asking different questions: how to reconfigure the food system so that it can feed people, eliminate hunger and malnutrition, address obesity and diet-related ills, reduce GHG emissions and the use of non-renewable resources? How it is possible to rethink the food system so that it create healthy communities and economies governed according to ethical principles of justice and social democracy and respect for the environment? In this respect, following the IAASTD (2009) they recommends a strategy of “ecological intensification”, strengthening the investment in agroecology and supporting the development of small-scale farms, while encouraging sustainable diets and reduction of food waste. In each narrative, positions are differentiated between most radical and reformist ones. Neoliberal globalization’s negative effects may be accommodated by state social intervention (as food aid, food stamps, etc.). Food sovereignty and agroecology approaches which advocate structural changes to guarantee small farmers access to agricultural resources - land, water, seeds – converge with the vision of supporters of localized food economies based on market solutions, ethical certification and virtuous individual and collective consumers’ choices. In this article we have grouped the various CFNs under the same term, but still social movements reclaiming food sovereignty, food justice and food democracy are socially and geographically fragmented. The diversity of their initiatives and experiences, while revealing the complexities of motivations inspiring action, points to the emergence of an alternative paradigm, based on the construction of new forms of food and ecological citizenships and new potentially transformative practices of food production and consumption. Furthermore, while the two blocs (the conventional and the alternative) may seem in irreconcilable positions, the construction of cognitive frames with regard to the causes of the problems of the current food system and the envisaged solutions are being elaborated in various fora, at international, national and sub-national levels. Social movements and academia, being increasingly embedded in contemporary systems of governance, have the ability and capacity to influence such construction through their production and consumption practices as well as through sharing and communicating their theoretical frameworks. The success of the social movements in transforming the food system toward a model of localized, democratized food economy embedded in the community and society at large will depend on their capacity to overcome fragmentation and build strategic alliances.

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1 In this text the terms ‘developed’ and ‘developing’ countries will be used in accordance with the country classification by the UN Department of Economic and Social Affairs (UNDESA, 2017, World Economic Situation and Prospects, New York). 2 CRISPR is the abbreviation of Clustered Regularly Interspaced Short Palindromic Repeats (see Genetically Modified Organisms in Glossary). 3 While it is difficult to give data on the weight of such initiatives in the food economy, an estimate of the IMPACT project in seven European countries in 1998 concluded that about 1.4 millions farms (20% of the total) were involved in direct sale; 800,000 (12%) in quality production and about 1,5% in organic production (Renting et al., 2003).


Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks

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Further Reading Agroecology Altieri, M.A., 2002. Agroecology: the science of natural resource management for poor farmers in marginal environments. Agric. Ecosyst. Environ. 93, 1–24.

Food Production and Consumption Practices Toward Sustainability: The Role and Vision of Civic Food Networks Alternative Food Movements/Civic Food Networks/Citizen-Consumer Fonte, M., 2013. Food consumption as social practice: Solidarity Purchasing groups in Rome. J. Rural Stud. 32, 230–239. Holt Giménez, E., Shattuck, A., 2011. Food crises, food regimes and food movements: rumbling of reforms or tides of transformation? J. Peasant Stud. 38 (1), 109–144. Conventional Agriculture/Green Revolution Erisman, J.W., Sutton, M.A., Galloway, J., Klimont, Z., Winiwarter, W., 2008. How a century of ammonia synthesis changed the world. Nat. Geosci. 1 (10), 636–639. Evenson, R.E., Gollin, D., 2003. Assessing the impact of the green revolution, 1960 to 2000. Science 300. Participatory Forms of Governance Fung, A., Wright, E.O. (Eds.), 2003. Deepening Democracy. Verso, London. Repeasantization Pérez-Vitoria, S., 2005. Les Paysans sont de Retour. Actes Sud.


Population Density and Redistribution of Food Resources Russell Hopfenberg, Duke University, Chapel Hill, NC, United States © 2019 Elsevier Inc. All rights reserved.

Abstract Population Density and Food Insecurity: The Traditional Perspective Addressing Food Security Through Surplus Redistribution The Complication of Economics Population Density and the Reality of Ecology Redistribution as a Sustainable Solution References Further Reading

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Abstract As the human population has grown, the number of people worldwide suffering from hunger and malnutrition has surpassed one billion. The traditional viewpoint is that there will be a continually increasing food demand due to continuing population growth, leading to our annual increases in global food production. Yet, as hunger is primarily an economic issue, surplus food redistribution is seen as a strategy to ameliorate hunger among society’s most vulnerable. The issue of population growth and density is then addressed in the context of ecology and population dynamics. Food redistribution is endorsed as an approach that addresses food insecurity when and where it occurs.

Population Density and Food Insecurity: The Traditional Perspective Among the top humanitarian crises facing the global community is the alarming number of people suffering from starvation and malnutrition. In 1996, the Rome Declaration on World Food Security crafted at the World Food Summit affirmed as “intolerable that more than 800 million people throughout the world, and particularly in developing countries, do not have enough food to meet their basic nutritional needs.” The Declaration further noted that “Food supplies have increased substantially, but constraints on access to food and continuing inadequacy of household and national incomes to purchase food, instability of supply and demand, as well as natural and man-made disasters, prevent basic food needs from being fulfilled.” The problems of hunger and food insecurity have global dimensions and are likely to persist, and even increase dramatically in some regions, unless urgent, determined and concerted action is taken, given the anticipated increase in the world’s population and the stress on natural resources. By 2012, the world’s population surpassed 7 billion, having doubled over the past 50 years. The World Bank’s Global Monitoring Report of 2012 reported that, during the same 50 year period, global food production tripled, particularly in staple grains. Yet some one billion people go hungry (Boonekamp, 2015). As the population is expected to surpass nine billion by 2050, food security remains among the most pressing humanitarian, let alone development issues of our time (Gillson and Fouad, 2015). The traditional and near consensus viewpoint is that there will be an increase in food demand as a result of population growth. This is considered to be the case especially in developing countries where, again, according to the United Nations, most of currently one billion (16% of the world population) still go hungry every day (Gillson and Fouad, 2015). Yet globally, roughly one-third of the food produced throughout the world is wasted (FAO, 2011), and this waste also contributes to other environmental problems (FAO, 2015). Hunger, malnutrition, and waste of surplus food not only persist, but have been on the rise for decades despite the fact that, according to the 1996 Rome Declaration on World Food Security, “The 5.8 billion people in the world today have, on average, 15 percent more food per person than the global population of 4 billion people had 20 years ago.” Surplus food is food intended for human consumption but never serves that purpose. The generation of surplus food occurs at different stages in the food production process. In low-income countries, it is concentrated at post-harvest and processing levels due to inefficiencies, climate conditions and other limits. In high-income countries, it mainly occurs at the retail and consumer levels, as a result of errors in forecasting demand, product and packaging deterioration or marketing strategies (BCFN, 2012; Garrone et al., 2014). For example, in retail, businesses might offer one-price buffets or “two for one” deals in which the products are less than optimally consumed and are then sent to the waste bin.

Addressing Food Security Through Surplus Redistribution One way of addressing the food security problem, i.e., rampant hunger, malnutrition and starvation, is to redistribute surplus edible food resources for human consumption. Currently in the United States, 133 billion pounds of food is sent to landfills annually


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Reducing Food Production Redistribution for Hungry People Animal Feed Industrial Uses, e.g., Biofuel Composting

Landfill Figure 1 Food recovery hierarchy developed by the US Department of Agriculture as a food waste management strategy. Modified from The US Environmental Protection Agency, 2016. https://www.epa.gov.

(Mousa and Freeland-Graves, 2017). The Environmental Protection Agency (EPA) of the USA outlined “the food recovery hierarchy” which identifies actions that can be taken to prevent and divert wasted food in a manner that creates the most benefit for the environment, society and the economy. The second tier from the top of Fig. 1 highlights the strategy of donating food to food recipient organizations, food that would typically be sent to the landfill or incinerated. In many countries third sector organizations operate to tackle both food waste and food security, universally recognized as relevant and important global issues (Baglioni et al., 2017). Third sector organizations are driven by social values rather than profit and are not managed by political governments. These organizations can be officially registered as charities or may consist of other associations, such as community groups, and are primarily voluntary. Any profit generated is reinvested into the operation of the organization. In order to fulfill their missions, third sector organizations network and cooperate in a formal manner with state and public agencies as well as with private companies. They also foster and maintain the often informal ties to local communities (Evers and Laville, 2004). Third sector organizations include entities such as food banks, pantries, soup kitchens, and homeless shelters. Within national economies, food redistribution is accomplished primarily through the works of charitable organizations. Therefore, the ability to sustain operations depends on the availability of resources and volunteers. Historically, food donation was limited in the USA because of potential liability regarding any adverse health effects from donated food, even though food often is edible past the “best by” date. Legislation in the late 1980s and beyond have removed many of these obstacles to redistribution.

The Complication of Economics Impediments to food security are tied to economics. Other than people affected by acute problems such as natural disasters and war, it is only the impoverished that suffer from malnutrition and starvation. This is the case in impoverished countries, but also in impoverished areas of more prosperous nations. Food security is less an issue of what is currently produced worldwide, and more tied to socio-economic-political interests. The food supply chain in recent decades has moved in the direction of globalization (FAO, 2011). It has been proposed that food surplus provides an opportunity to bypass economic constraints and ensure food security for people in need. However, research indicates that food concerns are never independent of market concerns. In other words, the production of food is almost always a for-profit business. Even civic values and public opinion variables are evaluated by private food producers in light of their economic impact (Swaffield et al., 2018; Vlaholias et al., 2015). Edible food that is older than the “best by” date can be donated, and businesses are perceived as good corporate citizens for their donation of surplus food. Additionally, businesses benefit financially from savings on food waste disposal.

Population Density and the Reality of Ecology The need for food is a biological reality, and human food consists of or relies on other living plants or animals. This brings the study of humans and their food into the realm of ecology, the branch of biology that deals with the relations of organisms to one another and to their physical surroundings. An important ecological reality, one that is accepted without question regarding the rest of the biological community, is that the population of every species increases to the level of its food supply (Pimentel, 1966; Hopfenberg


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and Pimentel, 2001). Furthermore, overwhelming evidence shows that population growth and stabilization proceeds in accord with the logistic mathematical function. This means that as a population approaches the carrying capacity limit (often equated with food availability), the growth rate diminishes asymptotically over time. In fact, all logistic population growth models clearly indicate that population growth proceeds as a function of carrying capacity. The one human carrying capacity variable that has been drastically manipulated for thousands of years is food production. The prodigious increase in food production has its roots in the beginning of the agricultural revolution 10,000 years ago. This has led to near exponential human population growth, in keeping with logistic equation models. As Cohen (1995) stated, “The ability to produce food allowed human numbers to increase greatly and made it possible, eventually, for civilizations to arise.” Even Thomas Malthus (1798) who questioned whether keeping population equal to the means of subsistence would be achieved by “misery and vice” noted in An Essay on the Principle of Population, “that population does invariably increase when the means of subsistence increase.” Empirical archeological evidence and secondarily inferred genetic evidence point directly to population expansions dated to the transition to a primary reliance on agriculture. Similarly, recent analyses have shown human population growth to be a direct result of agricultural increases (Hopfenberg and Pimentel, 2001; Hopfenberg, 2003). Diamond (1999) noted that “the first connection is the most direct one: availability of more consumable calories means more people.” Farb (1978) stated that “intensification of production to feed an increased population leads to a still greater increase in population.” He further stated that “the population explosion, the shortage of resources, the pollution of the environment, exploitation of one human group by another, famine and war - all have their roots in that great adaptive change from foraging to production.” History and current events make clear that the “adaptive change from foraging to production” is coming into focus as one that has provided some relatively short-term benefits and many long-term difficulties. Fig. 2 shows the vicious cycle of food production, population growth and starvation. In light of this figure, the findings of the Rome Declaration on World Food Security and statements by the World Bank and FAO quoted in the first paragraph of this article, come more clearly into focus. The science of ecology would unambiguously predict that as “food supplies have increased substantially” the “problems of hunger and food insecurity have global dimensions and are likely to persist, and even increase dramatically”. It also stands to reason that “the world’s population recently surpassed 7 billion, having doubled over the past 50 years.” This is because “Over the same period, global food production tripled .” It further stands to reason that “some 1 billion people go hungry.” In keeping with the continual increases in agricultural production, the science of ecology would predict that “the population is expected to surpass 9 billion by 2050.” Through the lens of ecology, it is evident that increasing agricultural production fuels the population growth and the rise of the starving and malnourished sector of the population. Fully understanding and appreciating this reality is the necessary first step in guiding attitudes and policies regarding food production. Unfortunately, the current perspective upon which present-day attitudes and policies are based, is encapsulated in statements such as the following from the 1996 Rome Declaration on World Food Security: “Yet, further large increases in world food production, through the sustainable management of natural resources, are required to feed a growing population, and achieve improved diets. Increased production, including traditional crops and their products, in efficient combination with food imports, reserves, and international trade can strengthen food security and address regional disparities (FAO, 1996).”

Food Production Increase

The False Idea that “we must increase food production to feed a growing population and ameliorate starvation”

Population Growth

Increase in the Starving Segment of the Population

Figure 2

The vicious cycle of food production and population growth.

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This statement, and others like it, are internally inconsistent in that “the sustainable management of natural resources” is not possible when pursuing large increases in world food production. It also avoids the recent history, stated in the Declaration itself regarding the increases in the global population, the size of the starving segment of the population, and the prodigious increases in food production.

Redistribution as a Sustainable Solution Given that there are currently nearly one billion starving people, surplus food redistribution can help to promote food security without resorting to increasing production, an endeavor that furthers population growth, including an increase in the starving segment of the population. As the initial stages of food production involve clearing land for cultivation, increasing food production is a direct cause of habitat and biodiversity loss. Redistribution of food that has already been harvested/processed would therefore address food security for the most vulnerable people. At the same time, redistribution of food surpluses represents a move towards sustainability as it would eliminate other ecologically unsound practices such as using vast amounts of landfill acreage for food waste. Yet, it is clear that more can be done to promote and facilitate food redistribution. As Midgley (2013) described, “The leading UK food redistribution organization Fareshare stated that it redistributed a total of 3600 tons of food in 2011 and 2012. However, this is a relatively small amount in comparison to the 2,957,000 tons of food waste estimated to arise in the UK food and drink manufacturing, retail and distribution.” According to Garrone et al. (2014), donations often occur due to the initiative of individuals. Many times, this practice ceases when the individual directly involved in the donation process leaves or changes jobs or responsibilities. It has been shown that establishing a structured process for managing surplus food would make it easier to recover and donate larger quantities more predictably and using fewer resources and decreasing the inordinate reliance on particular individuals to continually spearhead the process. On the redistribution end, the third-sector organizations involved in reclaiming and redistributing food would need to attend to processes such as management and logistics, including storage infrastructure and inventory tracking. These organizations also need to have transparency regarding their processes as this instills confidence for the donor companies as well as the general public and consumers. Additionally, it is important that the third-sector organizations have effective communication processes with donors as well as beneficiaries to facilitate coordination of collection and distribution. Governmental and international support, including financial incentives, could further redistribution of food resources. The endeavor to address starvation and malnutrition through agricultural increases has one further drawback: starving people cannot wait for sowing, growing and harvesting. Addressing food security through food redistribution attends to need when and where it occurs.

References BCFN, 2012. Food Waste: Causes, Impacts and Proposal. Codice Edizioni, Milan. Retreived from: https://www.barillacfn.com. Boonekamp, C., 2015. Food security and the world trade organization. In: Gillson, I., Fouad, A. (Eds.), Trade Policy and Food Security: Improving Access to Food in Developing Countries in the Wake of High World Prices, Directions in Development. Washington, DC, World Bank, p. 154. Cohen, J.E., 1995. How Many People Can the Earth Support? Norton, New York. Diamond, J., 1999. Guns, Germs, and Steel: The Fates of Human Societies. Norton, New York. Farb, P., 1978. Humankind. Houghton Mifflin, Boston. FAO - Food and Agriculture Organization of the United Nations, 1996. Rome declaration on World Food Security: 13-17 November, 1996. FAO, Rome, Italy. Retrieved from: http:// www.fao.org. FAO, 2011. Global Food Losses and Food Waste – Extent, Causes and Prevention. UN FAO, Rome. FAO, 2015. Food Wastage Footprint & Climate Change. UN FAO, Rome. Evers, A., Laville, J.L., 2004. Defining the third sector in Europe. In: Evers, A., Laville, J.L. (Eds.), The Third Sector in Europe. Edward Elgar Publishing, Cheltenham. Garrone, P., Melacini, M., Perego, A., 2014. Surplus food recovery and donation in Italy: the upstream process. Br. Food J. 116 (9), 1460–1477. Gillson, I., Fouad, A., 2015. Overview. In: Gillson, I., Fouad, A. (Eds.), Trade Policy and Food Security: Improving Access to Food in Developing Countries in the Wake of High World Prices, Directions in Development. Washington, DC, World Bank. Hopfenberg, R., 2003. Human carrying capacity is determined by food availability. Popul. Environ. 25, 109–117. Hopfenberg, R., Pimentel, D., 2001. Human population numbers as a function of food supply. Environ. Dev. Sustain. 3, 1–15. Malthus, T.R., 1798. An essay on the principle of population. In: Oxford World’s Classics Reprint. Midgley, J.L., 2013. The logics of surplus food redistribution. J. Environ. Plan. Manag. 57, 1872–1892. Mousa, T.Y., Freeland-Graves, J.H., 2017. Organizations of food redistribution and rescue. Public Health 152, 117–122. Pimentel, D., 1966. Complexity of ecological systems and problems in their study and management. In: Watt, K. (Ed.), Systems Analysis in Ecology. Academic Press, New York and London, pp. 15–35. Swaffield, J., Evans, D., Welch, D., 2018. Profit, reputation and ‘doing the right thing’: convention theory and the problem of food waste in the UK retail sector. Geoforum 89, 43–51. US Environmental Protection Agency, 2016. Sustainable Management of Food. Food Recovery Hierarchy [online]. https://www.epa.gov. Vlaholias, E., Thompson, K., Every, D., Dawson, D., 2015. Charity starts. at work? conceptual foundations for research with businesses that donate to food redistribution organisations. Sustainability 7 (6), 7997–8021. World Bank, April 2012. Global Monitoring Report 2012 Food Prices, Nutrition, and the Millennium Development Goals (MDGs): Using Trade Policy to Overcome Food Insecurity. Retrieved from: www.worldbank.org/.


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Further Reading Baglioni, S., De Pieri, B., Tallarico, T., 2017. Surplus food recovery and food aid: the pivotal role of non-profit organisations. Insights from Italy and Germany. Voluntas 28, 2032–2052. Facchini, E., Iacovidou, E., Gronow, J., Voulvoulis, N., 2017. Food flows in the UK: the potential of surplus food redistribution to reduce waste. J. Air & Waste Manag. Assoc. Lipinski, B., Hanson, C., Lomax, J., Kitinoja, L., Waite, R., Searchinger, T., 2013. Reducing food loss and waste. In: Working Paper, Installment 2 of Creating a Sustainable Food Future. World Resources Institute, Washington, DC. Available online at: http://www.worldresourcesreport.org.

Implications of Structural Transformation for Food and Nutrition Security Sunniva Bloem, Food and Agriculture Organization of the United Nations, Regional Office for Asia and the Pacific, Bangkok, Thailand © 2019 Elsevier Inc. All rights reserved.

Abstract What Is Structural Transformation? How Are Food and Nutrition Security Affected? Who Produces Food? Industrialization of Production Diversity in Markets Who Is Food Insecure? Sustainability Issues Conclusions References

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Abstract Structural transformation, defined as the shift of nations from predominantly an agricultural to an industrial/services society, has taken form unevenly across low and middle-income countries in Asia and Africa. This has impacted how economic growth and urbanization has developed in these regions. This transformation, or lack thereof, has significant implications for food and nutrition security. This paper explores the major impacts structural transformation had or could have at the food production level to the consumer level and the resulting nutritional vulnerabilities that arise from these impacts.

What Is Structural Transformation? Structural transformation is defined as the shift of nations from predominantly an agricultural to an industrial/services society. This transformation often results in economic growth, increased prosperity and urbanization. This has happened in almost all highincome countries in the world. In low and middle-income countries in Asia and Africa, however, experiences have varied across regions (see Fig. 1). These differences have significant implications for food and nutrition security. East and South East Asia have followed a traditional pattern of structural transformation; they experienced a Green Revolution, and an industrial revolution and are some of the most rapid growing economies in the past decades (UNHABITAT, 2016) (see Figs. 1 and 2). South Asia has seen a slower transition; the structural transformation in India is stunted since urbanization has been slow and most agricultural laborers have moved from the agricultural sector to the rural-non-farm sector. Since the ruralnon-farm sector is often informal, it has exhibited low levels of productivity (Binswanger-Mkhize, 2013). Furthermore, the growth

Figure 1

Value added from industry, services and agriculture as share of total GDP. World Development Indicators, 2018.

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Figure 2

Value added from industry, services in constant 2010 US$. World Development Indicators, 2018.

of the manufacturing industry has stagnated over the past decades in South Asia. Sub-Saharan Africa has also seen an unconventional transformation as many countries are endowed with lucrative natural-resources and therefore has undergone economic growth and urbanization with limited growth in industry or agricultural productivity (Gollin et al., 2013). It has urbanized in a way to produce, what Gollin et al. term, “consumption cities” versus “production cities”. Although the share that agriculture contributes to Gross Domestic Product (GDP) has declined in all regions over the past 30 years it has increased in absolute terms in all regions. The largest growth in the agricultural industry has been in East Asia & Pacific. Therefore, the share of persons employed in agriculture (30%) in East Asia & the Pacific are now in line with the level of the share of GDP agriculture contributes (29%). This is in contrast with the situation in South Asia and Sub-Saharan Africa where more than 45% of the population are employed in the agricultural sector, which only contributes less than 20% of GDP.

How Are Food and Nutrition Security Affected? Structural transformation has two main pathways how it affects food and nutrition security. The first pathway is the change which takes place at the production level and the second at the level of the consumer, which is reflected in the ones who are food insecure or malnourished. Peter Timmer describes food security as having five components: availability, accessibility, utilization, sustainability and stability (Timmer, 2017). The right foods need to be available, accessible, effectively utilized, and delivered by a sustainable and stable food system that provide a nutritiously adequate diet. Malnutrition is defined in many ways and it includes hunger (not enough to eat), hidden hunger (not enough vitamins and minerals), stunting (indicator of poor cognitive and physical development), and obesity (too much energy dense foods for the amount of energy expended). In the past, structural transformation has been associated with falling food prices and the shrinking of the share of persons employed in and GDP attributable to the agricultural sector (Timmer, 2017). This was often followed by an initial growth in population as individuals got richer and healthier, however, eventually to a new stabilization of the population as households start to have fewer children and invest more per child. Challenges such as climate change, depleting natural resources, and slow declines in fertility rates of many low-income countries threatens the ability of the food system to provide a stable, nutritious, and accessible diet.

Who Produces Food? When the agricultural sector contracts, productivity becomes of the utmost importance as urban consumers rely on the small number of farmers to produce their food. Historically, this was not a problem because urbanization was mainly determined by an increase in agricultural productivity and an increase in demand of services and industrial development, permitting people to shift in a natural way from the rural sector to the urban sector. As a result of globalization, cities are growing without this balanced approach, particularly in Sub-Saharan Africa and Asia. Food policies need to support and ensure that these transitions are taking place in a more sustainable manner. Some nations may be able to produce enough food measured in energy but have food policies that don’t incentivize or create an enabling environment for more nutritious foods. For example, in India and Indonesia the government’s push for self-sufficiency in staples has

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negative consequences for nutrition since the availability of fresh and nutritious food products such as animal source foods, fruits and vegetables remains low and expensive. It also hinders productivity growth in the farming sector as farmers are less likely to specialize in products that the nation has a comparative advantage in or yield higher profits as the subsidies to grow staples are too lucrative. It is difficult to evaluate a nation’s effectiveness in promoting productive, healthy and sustainable food systems through total budget allocations as often these budgets are designated to fertilizers and power, which do little to increase productivity in the long run versus research and development in the agricultural sector (Reardon and Timmer, 2014). Sub-Saharan Africa should take some lessons from the Asian green revolution and invest in key farm inputs to encourage farmers to try shifting to other crop varieties that may be higher yielding and increase the diversity of foods available. This includes irrigated land, seed inputs, fertilizers, infrastructure (road and transport), trade policies that allow for cheap farm inputs to be utilized and farm science to optimize farm inputs. It is of the utmost importance that these investments be made in a more sustainable manner than its predecessors as Asia’s green revolution also had some damaging effects to the environment that will not be appropriate or sustainable to replicate (Conceicao et al., 2016).

Industrialization of Production Structural transformation does not only bring questions of who will produce food at the farm level but also brings about change at who will produce food along the supply chain. The emergence of industry in low and middle-income countries allows not just the whole economy to diversify but also the agricultural sector to diversify into agribusiness. In Asia this transition has taken place rapidly and national food conglomerates have emerged in addition to small and medium enterprises to process, store, transport and market food (Reardon et al., 2014). Agribusiness is often more profitable than the agricultural sector alone and occupies for example 43% of GDP in Thailand and 33% of GDP in Indonesia and 15% in the Philippines (UNHABITAT, 2016). Food processing has both positive opportunities such as creating longer shelf life and food fortification but can also have negative impacts in the case of ultra-processed foods that tend to be formulated with high shares of sugar, salt and fat (Augustin et al., 2016). It is necessary that public-private partnerships are formed to ensure processed food is nutritious, safe and sustainable. Although in business the concept of value chains is not new, the idea of making them nutrition sensitive is and it involves both an understanding of nutrition and also agriculture, food technology, economics, marketing and more (Fanzo et al., 2017). More research and investment into innovative solutions is required to answer these unanswered questions.

Diversity in Markets Diversification of supply chains does not end with food processing but also expands to the retail and to the food service sector. For example, the supermarket revolution has taken place in Latin America, Asia and Africa (Reardon et al. 2003, 2012), although wet markets and informal vendors still play an important role in supplying food, in particular non staple foods (Reardon et al., 2003). This has implications for both how and which farmers connect to these diversified retail outlets and how to ensure consumers have access to and are encouraged to purchase nutritious foods. In Asia they have experimented with innovative hubs or platforms to connect these modern markets with local farmers (Reardon et al., 2012). Furthermore, the food service sector has expanded rapidly from informal street food vendors, to fast food supply chains in malls, to fine dining. In East and South East Asia, the share of expenditure spent on food away from home has risen over time and is starting to be a significant proportion of food expenditure. This means that they should also play a bigger role in nutrition and food safety policies.

Who Is Food Insecure? Urbanization is a key feature of structural transformation. East Asia & Pacific is more than 50% urban and South Asia and SubSaharan Africa are more than 30% urban (see Fig. 3). This means that the burden of malnutrition has also started to shift from rural areas to urban areas. In Sub-Saharan Africa and South Asia where urbanization has occurred without structural transformation, urban food insecurity has been a larger problem (Timmer, 2017) (see Fig. 3). Although, stunting rates are still higher in rural areas, the prevalence in urban areas remains significant and is high among the poorest segments. For example, in 2011, in Bangladesh 43% of rural under-fives were stunted while the prevalence of stunting is lower in urban areas, still 36% percent of children were stunted. Furthermore, the poorest 40% of urban children had a stunting prevalence of 49%. Mean prevalence rates often mask the depravation that can still exist in cities due to its high rates of inequality. Not all have benefited from urbanization and economic growth. Cities have also been viewed as a breeding ground for a new pandemic of malnutrition, overweight and obesity. The prevalence of obesity rises more rapidly in urban areas than rural in low and middle-income countries (see Fig. 4). In 2010 South Asia is estimated to have a female adult overweight prevalence of 17%, Sub Saharan Africa 22%, and East Asia Pacific 27% (Popkin and Slining, 2013). It is clear that if the world wants to see the end of food insecurity and malnutrition, policies and programs will need to have not just a rural focus but an urban one as well. These urban areas are different than rural ones and will in many cases require new innovative solutions. More research is required to better understand urban food environments, urban food systems and urban consumer choice in order to design more effective initiatives that aim to improve urban nutrition.


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Figure 3

Share of population living in urban areas by region, trends over time. World Development Indicators, 2018.

Figure 4 2018.

Prevalence of obesity for select countries by place of residence, trends over time. WHO, Global Health Observatory (GHO) data repository,

Sustainability Issues Although it is essential more and a greater diversity of food needs to be generated to supply the needs of a growth population in a healthy manner, it is essential this is done with less resources and less land degradation than has occurred in the past to accomplish the same increases. Agricultural expansion can have grave consequences on the environment. For example, about 80% of agricultural expansion in the tropical regions has depleted primary and secondary forests (Byerlee et al., 2014). Solutions such as market certification will need to be implemented to ensure food is supplied in a sustainable manner. The increase of cereal production in South Asia has depleted resources substantially and has had negative health effects on public health through an increase of waterrelated diseases (Rasul, 2016). Multi-sectoral coordination is necessary, to ensure that all aspects of food systems are environmentally sensitive. Structural transformation can also have a negative impact on the ability of food systems to produce enough food. A recent study estimates that urban expansion will result in 1.8%–2.4% loss of global croplands by 2030 and will likely be responsible for 3%–4% of worldwide crop production in 2000 (D’Amour et al., 2017). Thus, the detrimental impact of urbanization on agricultural land is not negligible but is forecast to be relatively small at a global scale, however, regional variations should be taken under consideration. It should be noted, that policies to halt urbanization will be unlikely to be effective in both slowing urbanization and reducing crop land losses. The main cause of urbanization is population increase. Without urbanization people are more likely to live in less dense areas and thus in the face of population expansion occupy larger plots of land. Many rural citizens do not farm or do not have farming as their primary economic activity. Thus, it is unlikely that they would or be able to all farm within

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the current land constraints. Furthermore, urbanization is often associated with higher incomes and lower fertility rates and thus in the long run can help limit urban land expansion. A far more productive avenue will be to increase productivity within land constraints for both agricultural and industrial activities.

Conclusions The food system is so multi-faceted, and each region’s experience so unique, it is hard to summarize how structural transformation will need to be managed in a way to have positive effects on reducing food insecurity and malnutrition while coping with climate change and limited natural resources that should be preserved. There is no simple one-size fits all solution and it is clear the solutions that will need to be created will also have to come from a diverse set of actors working together towards one vision. More system research is necessary involving e.g., urban nutrition, sustainable food production and nutrition sensitive food value chains. However, it is also necessary for governments to implement policies and programs that scale up what we already know works to reduce food and nutrition insecurity that takes advantage of structural transformation such as food fortification and investing in sustainable cold chains to make nutritious foods more accessible to the poor.

References Augustin, M.A., et al., 2016. Role of food processing in food and nutrition security. Trends Food Sci. Technol. 56, 115–125. Binswanger-Mkhize, H.P., 2013. The stunted structural transformation of the indian economy. Econ. Political Wkly. XLVIII (26 & 27), 5–13. Byerlee, D., Stevenson, J., Villoria, N., 2014. Does intensification slow crop land expansion or encourage deforestation? Glob. Food Secur. 3, 92–98. Conceicao, P., et al., 2016. Toward a food security future: ensuring food security for sustainable human development in Sub-Saharan Africa. Food Policy 60, 1–9. D’Amour, C.B., et al., 2017. Future urban land expansion and implications for global croplands. PNAS 114 (34), 8939–8944. Fanzo, J.C., et al., 2017. Value chain focus on food and nutrition security. In: de Pee, S., Taren, D., Bloem, M.W. (Eds.), Nutrition and Health in a Developing World. New York, pp. 753–770 (Chapter 34). Gollin, D., Jedwab, R., Vollrath, D., 2013. Urbanization with and without Structural Transformation (Washington DC). Popkin, B.M., Slining, M.M., 2013. New dynamics in global obesity facing low- and middle-income countries. Obes. Rev. 11–20. Available at: http://doi.wiley.com/10.1111/obr. 12102. Rasul, G., 2016. Managing the food, water, and energy nexus for achieving the sustainable development goals in South Asia. Environ. Dev. 18, 14–25. Reardon, T., et al., 2003. The rise of supermarkets in Africa, and Latin America. Am. J. Agric. Econ. 5, 1140–1146. Reardon, T., et al., 2014. Urbanization, Diet Change, and Transformation of Food Supply Chains in Asia. Reardon, T., Timmer, C.P., 2014. Five inter-linked transformations in the asian agrifood economy: food security implications. Glob. Food Secur. 3, 108–117. Reardon, T., Timmer, C.P., Minten, B., 2012. Supermarket revolution in Asia and emerging development strategies to include small farmers. PNAS 109 (31), 12332–12337. Timmer, C.P., 2017. Food security, structural transformation, markets and governmetn policy. Asia Pac. Policy Stud. 4 (1), 4–19. UNHABITAT, 2016. Structural transformation. In: Developing Countries: Cross Regional Analysis, Nairobi. Available at: https://unhabitat.org/books/structural-transformation-indeveloping-countries-cross-regional-analysis/.

Change in Production Practices: The Role of Agri-Food and Diversified Cropping Systems Sangam L Dwivedia and Rodomiro Ortizb, a Independent Researcher, Hyderabad, India; and b Department of Plant Breeding, Swedish University of Agricultural Sciences, Alnarp, Sweden © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Access to Weather Forecast, Family Wealth and Technical Knowhow to Changes in Farming System/Crop Diversification Homogenized and Nutritionally-Poor Global-Diet Farm Holdings, Biodiversity, Productivity and Nutrient Production Conservation Agriculture to Achieve Productivity and Environmental Sustainability Harnessing Host-Plant (Below Ground) and Soil Microbiome Interaction for Stress Tolerance, Nutritional Improvement and Increased Productivity Crops/Cropping System Diversification Leads to Nutritional Diversity and Ecosystem Resilience Resource-Use Efficient and Nutritionally Enhanced Crops Adopting Integrated Crop-Livestock-Agroforestry Systems Concluding Remarks References

36 37 37 38 38 39 39 40 40 41 41 42

Glossary Climate resilient crops crop cultivars with enhanced stress (abiotic and biotic) tolerance for sustainable food production in the era of global warming Conservation agriculture achieving sustainable and profitable food production to improve farmers livelihoods through the application of minimal soil disturbance, permanent soil cover and crop rotations Conventional agriculture farming systems that include use of synthetic chemical fertilizers, pesticides, herbicides, and other inputs in agriculture production Global warming an increase in the earth’s average atmospheric temperature that causes corresponding changes in climate and that may result from the greenhouse effect Green Revolution an agricultural development strategy based on the combined use of new cultivar, fertilizers, irrigation water, and mechanization Malnutrition a condition that results from eating a diet whose nutrients are either insufficient or are in excess such that the diet causes health problems Nutrition-sensitive agriculture an approach to agricultural development by producing nutritionally rich foods by diversifying food systems to overcome hunger, malnutrition, overweight and obesity, and noncommunicable diseases in humans Overweight and obesity body mass index (BMI), a measure of overweight and obesity, is obtained by dividing body weight in kg by height in m2. BMI 25 and 30 refer to overweight and obesity, respectively Planetary boundaries safe operating space for humanity clustered into nine boundaries (climate change, biodiversity loss, biogeochemical (atmospheric nitrogen and phosphorus), ocean acidification, land use, fresh water, ozone depletion, atmospheric aerosols, and chemical pollution Sustainable Development Goals a universal call for action through 17 development goals to end poverty, protect the planet and ensure that all people enjoy peace and prosperity Trade-off a balancing of factors all of which are not attainable at the same time

Abstract Agriculture production is the major driver of destabilizing the earth system planetary boundaries within which humanity can operate safely. Large-scale production of major cereals (maize, rice, wheat) in many parts of world was made possible due to introduction of ‘Green Revolution’ technologies. However, this production system has displaced cultivation of micronutrient-dense coarse grain crops (barley, millet, sorghum, and pulses) from the system. A large percentage of human population worldwide is suffering from the triple burden of malnutrition, causing significant loss to per day productivity at individual, community, nation, and at regional level. Seed is the center of all innovations in agriculture. The way it is innovated (new cultivars bred), cultivated (crop


Encyclopedia of Food Security and Sustainability, Volume 1


Change in Production Practices: The Role of Agri-Food and Diversified Cropping Systems


husbandry), harvested, processed, stored, marketed, and integrated into the agri-food systems largely influence human and ecosystem health. Experience shows that yesterday’s ‘Green Revolution’ technologies are not always profitable and sustainable to agroecosystems, particularly those prone to stress. The deployment of nutritionally enhanced and resource use efficient ‘climate smart’ crops should ensure food and nutritional security and ecosystems resilience. Other technologies promoting sustainable agroecosystems that received major attention from the research community and policy makers worldwide (and reviewed herein) include diversified crop/cropping systems, conservation agriculture, crop-livestock-agroforestry systems, and host plant-microbe interaction. All of them show potential to sustain human and ecosystems health. Evidence suggests some pattern in farm holding, biodiversity, productivity and nutrient production. Large-scale adoption of cereal (maize, rice, wheat)-based monocropping system most often results in nutritionally poor diets, while small-scale production with diversified crop portfolio (cereals, pulses, oilseeds, fruits and vegetables) may ensure agrobiodiversity, nutritional diversity, increased incomes, and ecosystem sustainability. A weatherbased forecast will ensure adoption of appropriate crop calendar and technologies to maximize productivity at economically affordable cost, particularly in drylands. Issues associated with large-adoption of these technologies have also been highlighted. We suggest a paradigm shift to bring all stakeholders involved in food production chain into one platform to address issues related to food and nutritional security and ecosystem sustainability.

Introduction Doubling global food and feed production on existing farmland within 21st century should lead to food and nutritional security, but it should simultaneously improve resource use efficiency in agriculture, protect biodiversity in ecosystems, and restore ecosystem health that is economically viable and socially responsible. These are some of the grand challenges face by agriculture worldwide. To achieve this, food production must grow substantially while, at the same time, agriculture’s environmental footprint must shrink drastically. This could be achieved by halting agricultural expansion, closing yield gaps, increasing cropping efficiency, shifting diets and reducing waste; together these strategies could double food production while greatly reducing the environmental impacts of agriculture (Foley et al., 2011). Agriculture production is the major driver of destabilizing the earth system towards or over the boundary of a safe operating space for humanity (Rockström et al., 2009a, b). Five of the nine planetary boundaries (Steffen et al., 2015) are either at high risk (biosphere integrity, biogeochemical flows) or at increasing risk (land system change, fresh water use, global warming). Agriculture also contributes to changes in remaining planetary boundaries, which are still in the safe zone (Campbell et al., 2017). Today’s agriculture is faced with multiple challenges, including climate change and related variability effects leading to more frequent and unpredictable occurrence of extreme events such as drought and heat stress or flood, degrading land and water resources, agrobiodiversity loss, changes in pest dynamics, declining food quality, and increased risk to human food or livestock feed by mycotoxin producing fungi; all adversely impacting ecosystem health and food and nutritional security. The crop yields are either stagnated or declining (Ray et al., 2012), while often we noticed large yield gaps between the potential yield and farm yield particularly in the developing world (Edreira et al., 2017; Lobell et al., 2009; Meng et al., 2013). The world may not be able to produce enough food to feed the burgeoning population (9 billion) by 2050. There is therefore a need to adopt radical changes in agri-food systems to meet growing demand for sufficient, nutritious and safe food as well as for restoring ecosystem health. Global warming is also significantly impacting human and livestock health. This article first highlights the major factors necessitating changes in production systems and then discuss opportunities by way of which achieve food and nutritional security by opting for diverse farming practices ranging from adopting conservation agriculture, crop diversification, improved seeds, integrated crop-livestock-agroforestry systems or by harnessing hostplant-soil microbe interactions.

Access to Weather Forecast, Family Wealth and Technical Knowhow to Changes in Farming System/Crop Diversification Sub-Saharan Africa, Latin American Andes and South Asia are the worst-affected regions due to climate change and variability effects. Farmers in these regions are experiencing either late onset of the rainy season, early cessation of rainfall or reduction in length of growing seasons; all of them negatively impacting agriculture. Access to seasonal climate forecasts benefit farmers who are able to make more informed decisions about their farming practices (including crop diversification) to maximize harvest based on the likely rainfall scenario during the season (Crane et al., 2010; Gunda et al., 2017; Wood et al., 2014). The agrometeorological information and services can effectively support farmers decision making, improve agricultural productivity and increase farmer incomes, particularly in drylands. When studied the impact of these services on West African farmers, Tarchiani et al. (2017) noted that farmers use the information for a variety of choices, ‘seed variety’ and ‘sowing calendar’, ‘geographical distribution of plots’, ‘sowing date to minimize failure’, ‘matching crop development cycle with the rhythm of the rains to avoid sensitive crop phases coinciding with period of water stress’, and ‘favorable periods for different cropping operations’, with related impacts that vary by country and agroecosystem. Hence, providing and updating regularly the agrometeorological information may help farmers to manage the risks associated with climate variability. Furthermore, Guan et al. (2015) also noted that shift in total rainfall amount in West Africa primarily drove the rainfall-related crop yield changes, with less relevance to intra-seasonal rainfall variability. They


Change in Production Practices: The Role of Agri-Food and Diversified Cropping Systems

indicated that dry regions had a high sensitivity to rainfall frequency and intensity, while intense rainfall events provided greater benefits to crop yield than more frequent rainfall. However, delayed monsoon onset may negatively impact crop yields. Farmers’ attitudes in East Africa strongly favored adopting crop management practices (new crops or cultivars and planting time changes) rather than soil, land and water management practices. Hence, providing climate information to inform timely sowing, promoting crop diversification, and adopting high quality seed (or propagules) of newly bred cultivars have potential to enhance farming systems resilience in the short-term, while in the long-term, promoting adaptation through implementation of soil, water, and land management strategies will bring system reliance and profitability to the farmers (Shikuku et al., 2017). Access to family wealth and exposure to local social institutions (NGOs, extension, credit groups, research and development agencies) also influenced farming households ability to adopt on-farm changes such as using newly bred cultivars, increasing fertilizer use, investing in improved land management practices, and changing the timing of agricultural activities. Hence, understanding these drivers and outcomes of farm-associated changes across different socio-economic and environmental condition is crucial to adopt climate-resilient strategies and policies for increasing the adaptive capacity of smallholders under climate change (Wood et al., 2014).

Homogenized and Nutritionally-Poor Global-Diet The world today is faced with the triple burden of energy (hunger) and micronutrient deficiencies and the rising rates of both overweight and obesity (Gillespie and van den Bold, 2017). Cereals  particularly maize, rice and wheat constitute the major staple source for human diet in the developing world. The introduction of semi-dwarf and photo-insensitive genes in rice and wheat or hybrid maize together with government policy support (agricultural intensification through mechanization, irrigation, pesticides and synthetic fertilizer) revolutionized production of these major staple crops, which resulted in food self-sufficiency across Latin America and South Asia in the second half of the 20th Century. Globally, the land area devoted to maize, rice and wheat over the last 50 years (1961–2013) increased from 66% to 79%, while the area for coarse grain cereals such as barley, millet, oat, rye and sorghum declined from 33% to 19% (FAO, 2015). These coarse grain cereals in comparison to maize, rice and wheat are rich source of minerals (macro- and micro-nutrients). While the energy density of major cereals (maize, rice and wheat) remained constant, the protein, iron and zinc content in the global diet based on maize, rice and wheat declined by 4%, 19%, and 5%, respectively (deFries et al., 2015). Access to sufficient and nutritious food is necessary for achieving the Sustainable Development Goals. A paradigm shift is needed that promote nutrition-sensitive agriculture; i.e., mix of crops, while addressing the increasing global demand for food and healthy nutrition (e.g. micronutrients). Such a global challenge must balance productivity and nutritional needs at farm, community, country and regional levels.

Farm Holdings, Biodiversity, Productivity and Nutrient Production Malnutrition ‒both undernutrition and overweight‒ remains pervasive despite achieving substantial gains in productivity of major food crops worldwide over the past-half century. The evidence suggests that nutritional diversity of national food system, while controlling the socio-economic factors, is positively associated with key human health, and should be integrated into assessment of agriculture and food system. The diversity of agricultural goods in developing countries is a strong predictor for food supply diversity, while national income and trade better predictors in developed world (Remans et al., 2014). Are farm holdings (according to their size) and geography matter and whether there exist any relationships between farm size, agricultural diversity, and nutrient production? Large farms (>50 ha) in North and South America, Australia and New Zealand contribute between 75% and 100% of all cereals, livestock, and fruit production. Such a pattern was also noticed in other commodity groups. Small farms (2 ha) produce, instead, above 75% of most food in sub-Saharan Africa, Southeast Asia, South Asia, and China. Medium size farms (20–50 ha) in Europe, West Asia and North Africa and Central America also contribute significantly to the production of most food commodities, while very small farms (2 ha) contribute about 30% of most food commodities in sub-Saharan Africa, Southeast Asia and South Asia. Furthermore, the majority of cereals, pulses, fruits, roots and tubers and vegetables, fish and livestock are produced in diverse landscapes (>1.5 ha). These farms also provide most global micronutrients (53%–81%) and protein (57%). In contrast, most sugar (73%) and oil (57%) are from harvesting less diverse farms (1.5 ha), which also account for most global calorie production (56%). It has been also noticed that the diversity of agricultural and nutrient production diminishes as farm size increases. Regions –irrespective of farm size– with higher agricultural diversity produce more nutrients. Hence, maintaining production diversity as farm sizes increase is mandatory to maintain both the production of diverse nutrients and viable, multifunctional, sustainable landscapes (Herrero et al., 2017). Is there relationship between production diversity, dietary diversity, and nutrition? In a key study involving 234 species ( 30.0 kg/m2) and overweight (BMI 25.0–29.9 kg/m2) people should be encouraged to reduce their BMI to lower their risk of chronic kidney disease and end-stage renal disease (Ash et al., 2014). 7. Dietary restriction of AGEs may be a reasonable method to reduce the excessive amount of AGEs in vital tissues and potentially the many complications associated with CKD due to their accumulation (Uribarri et al., 2003). Healthy cooking techniques may allow achieving this goal (Fig. 1). 8. Vitamin D nutritional supplementation in cases of deficiency and insufficiency of this micronutrient is recommended (Ash et al., 2014). Dietary supplementation with vitamins is advised to achieve a healthy nutrition (Fig. 1).

Innovative Medicine The nutraceutical industry is growing very fast exceeding the expansion in the food and pharmaceutical industries. Consumption of nutraceuticals and functional foods is considered an important approach to maintain health of the population and to prevent and treat nutritionally induced chronic diseases, therefore promoting optimal health, longevity and quality of life. Although nutraceuticals have significant promise in the promotion of human health and disease prevention, health professionals, nutritionists and regulatory toxicologists should strategically work together to plan appropriate regulations to assure ultimate health and therapeutic benefit to mankind (Kumar and Kumar, 2016).

Nutraceuticals Nutraceuticals have received considerable interest in recent times because of their safety and potential positive physiological effects on the human body. The term Nutraceutical was first defined by Dr Stephen L. De Felice, founder and chairman of the Foundation


Usefulness of Dietary Components as Sustainable Nutraceuticals for Chronic Kidney Disease

for Innovation in Medicine, as “any non-toxic food extract supplement that has scientifically proven health benefits for both disease prevention and treatment” (Singh and Geetanjali, 2013). The prevention of renal dysfunction by nutraceuticals is one of the strategies followed by some researchers in order to reduce the risk of CKD. Studies carried out by Al-Okbi et al. (2014) investigated the protective effect of extracts prepared from avocado, walnut, flaxseed and Eruca sativa seeds in a rat model of kidney dysfunction induced by intraperitoneal administration of cisplatin. Cisplatin treatment induced a significant increase in plasma urea, creatinine and malondialdehyde along with a significant reduction of plasma albumin, total protein, catalase and total antioxidant activity as well as a reduction in creatinine clearance. Administration of extracts improved biochemical, histopathological and cytogenetic parameters showing a protective role against cisplatin-induced nephrotoxicity in this animal model (Al-Okbi et al., 2014). Almomen et al. (2017) investigated the beneficial effect of whole grape powder (WGP) on CKD associated with metabolic syndrome. Obese diabetic ZSF1 rats, a kidney disease model with metabolic syndrome, were fed with a WGP (5%, w/w) diet for six months. Kidney disease was determined using blood and urine chemical analyses, and histology. When compared to controls, WGP intake improved renal function as urination and proteinuria decreased, and it prevented kidney tissue damage in these diabetic rats. The renal protection of WGP was associated with up-regulation of antioxidant genes (Dhcr24, Gstk1, Prdx2, Sod2, Gpx1 and Gpx4) and downregulation of Txnip (for ROS production) in the kidneys. Furthermore, addition of grape extract reduced H2O2-induced cell death of cultured podocytes. This study concluded that daily intake of WGP reduces the progression of kidney disease in obese diabetic rats, suggesting a protective function of antioxidant-rich grape diet against CKD in the setting of the metabolic syndrome (Almomen et al., 2017). Park et al. (2014) examined whether oligonol, a low-molecular-weight polyphenol derived from lychee fruit, has an ameliorative effect on diabetes-induced alterations, such as AGE formation or apoptosis in the kidneys of db/db mice with type 2 diabetes. The administration of oligonol for 8 weeks decreased elevated renal glucose concentration and reactive oxygen species in db/db mice. The increased serum urea nitrogen and creatinine concentrations, which reflect renal dysfunction in db/db mice, were substantially lowered by oligonol. Oligonol also reduced renal protein expression of NAD(P)H oxidase subunits, AGEs, and c-Jun N-terminal kinase B-targeting proinflammatory tumor necrosis factor-a (P < 0.05). Oligonol improved the expressions of antiapoptotic (Bcl-2 and survivin) and proapoptotic (Bcl-2–associated X protein, cytochrome c and caspase-3) proteins in the kidneys of db/ db mice (P < 0.05). These results provide important evidence that oligonol exhibits renoprotective effects against the development of diabetic complications in db/db mice with type 2 diabetes (Park et al., 2014). The effects of oral supplementation with pomegranate extract on cardiovascular risk, physical function, oxidative stress, and inflammation were studied in a group of hemodialysis patients (Wu et al., 2015). Patients ingested a 1000 mg capsule of a purified pomegranate polyphenol extract or a placebo 7 days/week for 6 months. Pomegranate extract supplementation reduced blood pressure and increased the antioxidant activity, but it did not affect other markers of cardiovascular risk in these patients.

Functional Foods The European Food Safety Authority (EFSA) defines functional foods as: “A food, which beneficially affects one or more target functions in the body, beyond adequate nutritional effects, in a way that is relevant to either an improved state of health and well-being and/or reduction of risk of disease. A functional food can be a natural food or a food to which a component has been added or removed by technological or biotechnological means, and it must demonstrate their effects in amounts that can normally be expected to be consumed in the diet” (The European Parliament and The Council of the European Union, 2006). It is well known that oxidative stress plays a major role in the genesis and progression of CKD. Oxidative stress-induced activation of inflammatory and apoptotic signals are two major problems in the pathogenesis of diabetic CKD (Bhattacharjee et al., 2016). “Super foods” that contain antioxidants can help neutralize free radicals and protect the body. Increased dietary fiber intake in CKD patients may reduce serum creatinine levels and improve GFR (Salmean et al., 2013), and lower cholesterol levels and improve human gut microbiota metabolism (Cosola et al., 2017; Lyu et al., 2017). Resistant starch, a form of starch that resists digestion in the small intestine, classified as a type of dietary fiber, has shown the potential as an ingredient in the treatment of CKD (Lockyer and Nugent, 2017). Foods containing phytochemicals with antioxidant properties and dietary fiber are usually included in the kidney diet and make excellent choices for dialysis patients or people with CKD (NHS Foundation Trust, 2015; Hall et al., 2016; Colman, 2018). The top foods recommended for achieving this goal and food ingredients responsible for their CKD therapeutic properties are as follows (Fig. 2): 1. Red bell peppers are low in potassium and are also an excellent source of vitamin C and vitamin A, as well as vitamin B6, folic acid and fiber. They also contain lycopene, an antioxidant that protects against certain cancers. 2. Cabbage possesses high amounts of phytochemicals, vitamin K, vitamin C, vitamin B6, folic acid and fiber. 3. Cauliflower is high in vitamin C and a good source of folate and fiber. It also has high amounts of indoles, glucosinolates and thiocyanates, compounds that help the liver neutralize toxic substances that could damage cell membranes and DNA. 4. Garlic helps preventing plaque formation on teeth, lowers cholesterol and reduces inflammation. 5. Onions are rich in flavonoids, especially quercetin, a powerful antioxidant that reduces heart disease and protects against many cancers. Onions are low in potassium and a good source of chromium, a mineral that helps with carbohydrate, fat and protein metabolism.

Usefulness of Dietary Components as Sustainable Nutraceuticals for Chronic Kidney Disease

Figure 2


Recommended foods for improving kidney function. Vit means vitamin.

6. Apples have high amounts of dietary fiber and anti-inflammatory compounds, and are known to reduce cholesterol, prevent constipation, protect against heart disease and reduce the risk of cancer. 7. Cranberries protect against bladder infections and also protect the stomach and the gastrointestinal tract from ulcer-causing bacteria. Cranberries have also been shown to protect against cancer and heart disease. 8. Blueberries are high in anthocyanidins and other natural compounds that reduce inflammation. They are a good source of vitamin C, manganese and fiber. 9. Raspberries contain ellagic acid which helps neutralize free radicals in the body preventing cell damage. They also contain anthocyanins, manganese, vitamin C, fiber and folate. 10. Strawberries are rich in two types of phenols: anthocyanins and ellagitannins. They are also an excellent source of vitamin C and manganese and a very good source of fiber. They are known to provide heart protection, as well as anti-cancer and antiinflammatory components. 11. Cherries have been shown to reduce inflammation when eaten daily. They possess high amounts of antioxidants and phytochemicals that protect the heart. 12. Red grapes contain several flavonoids that help protect against heart disease by preventing oxidation and reducing the formation of blood clots. Resveratrol may also stimulate production of nitric oxide which helps relax muscle cells in the blood vessels to increase blood flow. These flavonoids also provide protection against cancer and prevent inflammation. 13. Egg whites provide protein with less phosphorus than other protein sources such as egg yolk or meats. 14. Fish provides high-quality protein and contains anti-inflammatory u-3 fatty acids. The healthy fats in fish can help fight diseases such as heart disease by lowering LDL and raising HDL. 15. Olive oil is a great source of oleic acid, an anti-inflammatory fatty acid. The monounsaturated fat in olive oil protects against oxidation. Olive oil is rich in polyphenols and antioxidant compounds that prevent inflammation and oxidation. Studies show that populations that use large amounts of olive oil instead of other oils have lower rates of heart disease and cancer.


Usefulness of Dietary Components as Sustainable Nutraceuticals for Chronic Kidney Disease

Food Waste Recovery of Bioactive Compounds for CKD Food wastes are produced throughout all the food life cycle. Food wastes derive, in a decreasing order, from the following sectors: vegetables and fruits; milk; meat; fish, and wine (Baiano, 2014). In order to increase the eco-sustainability of the food processing industry, it is necessary to exploit co-products before they become wastes. Until a few decades ago, food wastes were considered neither a cost nor a benefit, they were used as animal feed or brought to landfills or sent for composting (Kumar et al., 2017). Food waste reduction and valorization can be achieved through the extraction of high-value components such as proteins, polysaccharides, fibers, flavor compounds and phytochemicals, which can be re-used as nutraceuticals and functional ingredients (Baiano, 2014). Since natural bioactive compounds are being searched for the treatment and prevention of human diseases, recovered compounds from food by-products could be used for medicinal and pharmaceutical purposes. Various studies have indicated that different kind of food wastes obtained from fruits, vegetables, cereal and other food processing industries can be used as potential source of bioactive food components “also called functional food ingredients” and nutraceuticals (Kumar et al., 2017). The by-products of viticulture, grape skin and seeds, have been found to contain higher amounts of polyphenols than the edible portions. The use of these residues as valuable raw materials may lead to significant economic gain and decrease in the environmental problems associated to the accumulation of grape by-products (Rockenbach et al., 2011). Charradi et al. (2013) analyzed the protective effect of grape seed and skin extract on obesity-induced oxidative stress, renal steatosis and kidney dysfunction. Rats were fed a high-fat diet for 6 weeks and were treated with grape seed and skin extract. Fat-induced oxidative stress was evaluated in the kidney with a special emphasis on transition metals. High-fat diet induced triglyceride deposition and disturbances in kidney function parameters, which are linked to oxidative stress and depletion of copper from the kidney. Grape seed and skin extract eliminated almost all fat-induced kidney disturbances. Grape seed and skin extract exerted potential protection against fat-induced kidney lipotoxicity; therefore, it has the potential of its application in other kidney-related diseases (Charradi et al., 2013). Grape seed extract has also been studied in vitro as a candidate therapeutic agent against diabetes mellitus. The protective effects of grape seed extract were studied on high glucose-induced cytotoxicity in LLC-PK1 cells, a porcine proximal tubule cell line. A high concentration of glucose (30 mM) induced cytotoxicity and oxidative stress (ROS and nitric oxide) in cells, but treatment with grape seed extract had potent protective effects against high glucose-induced oxidative stress reducing levels of ROS and nitric oxide (FUJII et al., 2006). Corn silk (Maydis Stigma) is a by-product from corn cultivation, which is available in abundance. This by-product has been frequently used in traditional Chinese herbal medicines (Suzuki et al., 2005). Pan et al. (2017) studied the physicochemical properties and antidiabetic effects of a polysaccharide obtained from corn silk (PCS2). The hypoglycemic effects were determined using the high-fat diet and streptozocin induced type 2 diabetic mellitus (T2DM) insulin resistance mice. PCS2 treatment significantly reduced body weight loss, decreased blood glucose and serum insulin levels, and improved glucose intolerance. The levels of serum lipid profile were regulated and the levels of glycated serum protein, non-esterified fatty acid were decreased significantly (P < 0.01). The activities of superoxide dismutase, glutathione peroxidase and catalase were notably improved (P < 0.05). PCS2 also exerted cytoprotective action as shown by histopathological observation. These results suggested that PCS2 could be a good candidate for functional food or medicine for T2DM treatment and its complications such as nephropathy (Pan et al., 2017).

Traditional Medicine Traditional medicine refers to health practices, approaches, knowledge and beliefs incorporating plant, animal and mineral based medicines, spiritual therapies, manual techniques and exercises, applied singularly or in combination to treat, diagnose and prevent illnesses or maintain well-being (Fokunang et al., 2011). The study of traditional medicine is a much neglected aspect of global health care and it faces the following challenges (Cordell and Colvard, 2012): 1. Nations typically have no policies or regulations relating to all of the aspects of traditional medicine as an integral part of their overall health care system. This results in a minimal commitment to research and development funding. 2. The breadth and depth of the issues related to the quality control of traditional medicine products and practices may not be known to regulators, producers, and scientists. 3. Global attention (fiscal and human resources) is insufficient to enhance the basic, applied, and clinical sciences behind traditional medicine. This results in major deficiencies in the scientific evidence regarding the quality, safety, effectiveness, and/or health benefits of traditional medicine. Costs of traditional medicines may increase as investment is made to enhance product validity. 4. The literature and knowledge regarding traditional medicine are highly scattered, or are in library collections and databases that are not easily accessible. 5. Scientific and clinical research on traditional medicines does not always fit the Western model for medical research, which may make publication of results difficult. Health insurance coverage is very difficult to justify if traditional medicine products and practices are not evidence based. Medicinal plants represent one of the most important fields of traditional medicine all over the world and are a natural source of nutraceuticals (Singh and Geetanjali, 2013). A crucial factor in medicinal plant research and in clinical practice is sustainability. The

Usefulness of Dietary Components as Sustainable Nutraceuticals for Chronic Kidney Disease


term “sustainable medicines” describes the importance of considering the long-term use of both traditional medicines and synthetic drugs from a perspective of reliable and non-destructive sourcing for the future (Cordell, 2009). This is of great importance since the population and the use of traditional medicines are growing fast, globalization of products is in increasing demand, and climate change may affect the growing of traditional medicines (Cordell and Colvard, 2012). In this sense, “ecopharmacognosy” becomes a research priority since it is the study of sustainable biologically active natural products, from sustainable plant materials (Cordell, 2014). Traditional medicine, sustainable medicines and ecopharmacognosy contribute to achieve a sustainable health. Del Castillo et al. (2018) have defined “sustainable health” as: “a healthy and active ageing avoiding the risk of diseases”. Sustainable health may be accomplished by delivering high quality care and improved public health without exhausting natural resources or causing severe ecological damage (del Castillo et al., 2018). This can also be achieved by protecting and improving health now and for future generations using different strategies such as a healthy nutrition based on functional foods and the use of traditional sustainable medicines.

Herbs and Botanicals Numerous drugs are originated from herbs or natural substances. Herbal and natural therapies have been employed for their diuretic and renal protective actions for centuries and the use of these substances may prevent the risk of CKD or complement current treatments (Wojcikowski et al., 2006). Some plant extracts can be effective in the protection against CKD. Ecklonia cava has shown anti-inflammatory and antioxidative effects, and its effect on renal damage of high fat diet induced obese mice has been investigated (Eo et al., 2017). Natural agents that possess antioxidant and anti-inflammatory effects are expected to possess a renal protective effect. Treatment of obese mice with different doses of E. cava extract for 12 weeks lowered protein levels related to lipid accumulation (SREBP1c, ACC & FAS), inflammation (NLRP3 inflammasome, NFkB, MCP-1, TNF-a & CRP), and oxidative stress (Nrf2, HO-1, MnSOD, NQO1, GPx, 4-HNE and protein carbonyls). Moreover, this extract also significantly up-regulated renal SIRT1, PGC-1a, and AMPK, which are associated with renal energy metabolism (Eo et al., 2017). These results provide novel insights into the anti-inflammatory roles of E. cava in obesityinduced renal inflammation. Grover et al. (2001) investigated the effects of daily oral feeding of traditional Indian herbs (Momordica charantia (MC), Eugenia jambolana (EJ), Mucuna pruriens (MP) and Tinospora cordifolia (TC)) for 40 days on blood glucose concentrations and kidney functions in streptozotocin (STZ)-diabetic rats. Plasma glucose concentrations in STZ-diabetic mice were reduced by the administration of extracts of MC, EJ, TC and MP by 24.4, 20.84, 7.45% and 9.07%, respectively. Urine volume was significantly higher in diabetic controls and Indian herb extracts prevented polyuria. After 10 days of STZ administration urinary albumin levels (UAE) were over 6 fold higher in diabetic controls as compared to normal controls. Treatment with MC, EJ, MP and TC significantly prevented the rise in UAE levels from day 0 to 40 when compared to diabetic controls. Renal hypertrophy was significantly higher in diabetic controls as compared to non-diabetic controls. Among the studied extracts, only MC and EJ prevented renal hypertrophy as compared to diabetic controls (Grover et al., 2001). Results indicate that plant extracts have the potential in the prevention of renal damage associated with diabetes. Aster koraiensis, a vegetable and medicinal plant in traditional Korean medicine, has also been studied on the damage of renal podocytes in streptozotocin (STZ)-induced diabetic rats for 13 weeks (Sohn et al., 2010). Blood glucose, glycated haemoglobin (HbA1c), proteinuria and albuminuria were examined. Kidney histopathology, AGEs accumulation, apoptosis, and expression of Bax and Bcl-2 also were examined. In STZ-induced diabetic rats, severe hyperglycemia developed, and proteinuria and albuminuria were markedly increased. A. koraiensis extract reduced proteinuria and albuminuria in diabetic rats, and AKE prevented AGE deposition and podocyte apoptosis. Expression of Bax and Bcl-2 protein in the renal cortex were restored by treatment with the extract (Sohn et al., 2010). Since this extract showed an inhibitory effect of AGE accumulation and an anti-apoptotic effect in the glomeruli of diabetic rats, it could be beneficial in preventing the progression of diabetic nephropathy.

Conclusion Prevention programs may be the best strategy for reducing the risk of CKD. Dietary interventions based on the use of bioactive compounds from food, edible plants and their wastes can be considered a useful approach to reduce the risk and progression of this chronic pathology; as well as, to achieve a sustainable health.

Acknowledgements The SUSCOFFEE (AGL 2014-57239-R) and ALIBIRD-CM (S2013/ABI-2728) Projects funded this work. A. Iriondo-DeHond is a fellow of the FPI predoctoral program of MINECO (BES-2015-072191).


Usefulness of Dietary Components as Sustainable Nutraceuticals for Chronic Kidney Disease

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Food Taboos Victor Benno Meyer-Rochowa,b, a Research Institute of Luminous Organisms, Nakanogo (Hachijojima), Tokyo, Japan; and b Department of Genetics and Physiology, Oulu University, Oulu, Finland © 2019 Elsevier Inc. All rights reserved.

Abstract General Remarks Targets of Food Taboos and Promulgation Food Taboos to Highlight Events Food Taboos as Components of Magico-Religious Doctrine Food Taboos With Utilitarian Motives Related to Health Temporarily Enforced Food Taboos Food Taboos to Release Pressure on a Resource Food Taboos as an Expression of Empathy Conclusion References Further Reading Relevant Website

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Abstract The term “food taboo” is explained and contrasted with “food avoidance”. Food taboos can involve plants as well as animals and their products, solids as well as liquids, hot, cold, fresh or preserved items. Examples of some major reasons for the establishment of food taboos are given and include those of magico-religious origins presented as commands that are not to be questioned and those with utilitarian motives aimed at promoting health (even if in reality such food taboos often do more harm than good, e.g. especially with regard to pregnant and lactating women). Food taboos with an ecological ring are those that help safeguarding a resource and result in distributing pressure across a wide range of food categories. Other reasons include making auspicious events in the life cycle of a person or a people more memorable, or preparing someone for a special occasion like fight, competition, coming-of-age, wedding, birth, funeral, period of mourning, etc. Food taboos can also be created by sections of a society to monopolize certain highly appreciated foods and to contrast the special status of those in the society who can and those who can’t eat certain foods. Reasons for food taboos run into the hundreds, but what they have in common is that they promote group identity and cohesion and thus strengthen group confidence.

General Remarks Etymologically the origin of the word “taboo” (also spelled “tabu”) is the Polynesian “tapu”, which refers to something sacrosanct, something that is to be observed, conformed to and not questioned: personal decisions are secondary. Food taboos can be regarded as prohibitions and involve plants as well as animals and their products, solids as well as liquids, hot as well as cold categories, fresh and preserved items. Food avoidances based on aversions, dislikes and metabolic disagreements, on the other hand, are based on personal decisions and are not food taboos sensu stricto. However, people who, for example, categorically avoid alcoholic drinks do often somewhat incorrectly refer to alcohol as being a taboo for them. A difficult case is that of vegetarians, who declare all meat products as taboo and vegans who not only regard meat as taboo but all animal products as well, including milk and honey. Regular avoidance can turn into a tradition promulgated as a characteristic of a select group of people, a section of society, or a chosen few. A food taboo, like any taboo, can thus help in promoting group identity and group cohesion and in this way strengthen the confidence of a group in the face of others.

Targets of Food Taboos and Promulgation Food taboos, usually based on unwritten social rules, exist in virtually all societies (Harris and Ross, 1987) and, although not totally immune to change, they are extremely enduring often to an extent that it is possible to use them to trace the geographic and cultural origins of a displaced people. Food taboos can be imposed on individuals by outsiders or by members of the kinship group to manifest themselves through instruction and example of upbringing. They may be observed by all members of a group or a population, but frequently involve sub-sections of a society like only young or old individuals, men or women, pregnant or non-pregnant females; moreover members with particular occupations or persons of standing in a community such as priests or healers, may


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be specifically singled out. Some food taboos can be regarded as permanent and ubiquitous like those with connections to religions, e.g., Hinduism, Judaism, Islam, Seventh-Day Adventists, Rastafarians as well as some tribal doctrines, while others may be temporarily or cyclically enforced. However, in almost any case the precept to preserve life at all cost, being paramount, can usually override even the strictest taboo (Meyer-Rochow, 2009).

Food Taboos to Highlight Events As a way to highlight a particular event or phase of one’s life, food taboos are often operating and abided by individuals only at certain times of the year; taboos of this kind are enforced in connection with auspicious ceremonies and celebrations. Depending on the society or specific group one is dealing with, that would include preparation for a war or a hunting trip, a wedding, child birth, death and burial, the inauguration and occupancy of a new dwelling, etc. Temporary food taboos can also occur with illnesses of kinship members and oneself, with times of bereavement and in connection with harvests and planting, festivals, competitions and examinations. However, while a small number of food taboos with very few exceptions are observed by virtually all mankind (the usual refusal to allow children access to alcoholic liquids is one, the consumption of deceased human individuals [but see Gajdusek, 1977 on endocannibalism] and the eating of feces and the removal and subsequent ingestion of body parts taken off a living, warm-blooded animal are others), the vast majority are not relevant to all mankind but subgroups of it. The specific origins of the various food taboos in existence are bewilderingly complex and often related to human physiology and metabolism, the philosophy of life championed by a people and the geographic setting in which the various specific taboos are operating. In fact, according to Barfield (1997) there may be 300 reasons for particular food avoidances, amongst them not wanting to look like a food item or the place it had been obtained from. Utilitarian, i.e., health-related and magico-religious motives are frequently involved and so are reasons to make certain times or events in the cycle of a person’s life more memorable; to safeguard a resource, but also to monopolize a food category by declaring it taboo for others, or to protect a family pet from ending up in the cooking pot are further reasons.

Food Taboos as Components of Magico-Religious Doctrine Many times food taboos seem to make little sense scientifically, for what can be perfectly acceptable as a food item to members of one ethnic group or adherents of one religion, may be rejected and regarded as unfit for human consumption by another group, often actually not at all located far away but present in the neighborhood, or by followers of a different religion. Horse meat or escargots appreciated by the French but not at all by the British or dog meat, available at local markets, e.g., in Nagaland but never in neighboring Assam, come to mind. Logical explanations are hard to find when a food taboo is seen as “God-given”, as a form of instruction or command by the “Supreme” and while, for example, certain species of locusts are regarded as kosher by Jews and can be eaten, other insects are not and are rejected as food. One can assume that the primary aim of religious food taboos was to save lives and observations that certain food items could cause nausea, vomiting, diarrhea, cramps, allergies and perhaps even death would have made them prime targets for taboos. This utilitarian attitude may explain various taboos like the avoidance of pork for adherents of some religions, but it does not explain why other religious groups that are affected by the same negative health effects did not also develop the respective taboo. Obviously, there are often multiple possible explanation for a taboo and a case in point would be the aforementioned horse meat and its acceptability or rejection through history (Simoons, 1994). There is, of course, also the likelihood that disregard and non-obedience of food taboos could have led to feelings of guilt, anxiety, perhaps depression and this, too, would have reinforced the value of keeping the food taboo.

Food Taboos With Utilitarian Motives Related to Health The threat that certain food items may present to a person’s health, either directly or indirectly as a carrier of parasites that can affect a human’s health, is demonstrable with modern techniques. A utilitarian reason for many people to despise shrimp is that these invertebrates can induce outbreaks of Immunoglobulin E-mediated atopic diseases like allergies, with the latter often leading to depression (Timonen et al., 2003). The custom of the Japanese to consume raw fish is restricted to marine species as freshwater fish consumed raw could infect a human with the fish tapeworm. Pork is taboo to Jews, Muslims, Seventh-Day Adventists, Rastafarians and followers of some tribal religions not just because pigs in former times contained masses of sickness-causing parasites, but because pig meat has been linked with boils, asthma, rheumatism, high blood pressure, atherosclerosis and arthritis (Farez and Morley, 1997; Mitchell, 2011). Any meat whatsoever, irrespective as to whether it stems from mammals, birds, fish or invertebrates, together with all eggs, is taboo to Brahmin Hindus as it could affect a human’s wellbeing in this life (“you are what you eat”: Bhagavad Gita [Chapter 17]) and in future lives. However, while Hindus regard cows in particular as sacred and would never think of eating beef, the pig is regarded by Jews and Muslims alike as unclean and avoided for that reason. The Orang Asli on the Malay peninsula believe that the ‘small souls’ of young children can defeat the supposedly even smaller or weaker souls of small animals like snails, frogs, rats and mice but not those of the bigger or stronger ones (Bolton, 1972). Consequently, only as the children get older they are permitted to also consume meat of larger animals; women not being quite as strong


Food Taboos

as their menfolk are expected to abstain from consuming meat of the biggest animals like elephants. Declaring certain foods taboo, because they are thought to affect the fetus or the expectant mother negatively, is also the basis for the many taboos that women in various cultures and countries are supposed to observe during pregnancy and the post-partum period. In reality many of these prohibitions such as those affecting the consumption of eggs, the avoidance of milk and numerous kinds of fruit in many places of Africa and Asia are of no or little value (unless related to lactose intolerance, which is actually quite common in tropical regions) and many are actually harmful (Ugwa, 2016; Zerfu et al., 2016; Kariuki et al., 2017). Often grotesquely shaped food items like, for instance, water melons and pineapples amongst the Onabasulu and various other ethnic groups, are linked to difficult births or as with pawpaws, bananas and even mangos, the latter two feared by Trobriand Islanders, are thought to lead to club-foot or hydrocephalus in their newborns. Papaya and jackfruit should not be consumed by pregnant women in India as these fruits are considered to have abortive effects and porcupine meat is assumed by Nigerian Woen tribals of the IKA Division (Ogbeide, 1974) to delay labour. Animals with cryptic habits and fierce looks like certain fish are feared by Trobriand Islanders as it is believed that they cause difficult and painful births when eaten by an expectant mother (Meyer-Rochow, 2009).

Temporarily Enforced Food Taboos Sometimes food taboos can become suspended or are enforced periodically as with Fridays when for Catholic Christians only fish and not meat is to be consumed or during the pre-Easter weeks of lent, when the meat of most warm-blooded animals is taboo. The annual Yom Kippur with its total ban of any food and liquid intake for at least 24 hours as a periodical food taboo or the observance of ‘sawm’ (fasting during daytime hours in the month of Ramadan) by Muslims come to mind as special cases. Obviously, auspicious days like religious festivals, national holidays or even personal celebrations and events such as birthdays and graduations can become more memorable when accompanied by specific foods and food restrictions. Food taboos in connection with menstruation, coming-of-age ceremonies, weddings, births, times of sickness, etc. are very common and especially amongst Asian cultures bodily health is seen as a balance between hot and cold food, whereby usually not the temperature but the perspective of a food as hot and cold is pivotal and thus determines what is and isn’t taboo. During times of sickness (or pregnancy) not even iron tablets may be taken as iron is considered a hot item (Hillier, 1991). Lactating females in many cultures are subjected to a variety of food taboos and often even forced to abstain from especially nutritious and beneficial nourishment (Sundararaj and Pereira, 1975; Santos-Torres and Vasquez- Garibay, 2003; Ugwa, 2016; Shwetha et al., 2017). Occasionally not just the pregnant woman but also her husband will be subjected to certain food restrictions as with the Orang Asli, in which the fathers observe the same food restrictions as their pregnant wives until the child is born (Bolton, 1972). And babies, too, may have to observe taboos: in Japan and Korea, for example, a newborn is not to be given any honey in the first year of its life.

Food Taboos to Release Pressure on a Resource Food taboos can protect a resource and although this may not usually have been the main motivation for declaring a certain organism taboo, be it for a shorter or longer period, the consequence is likely to have been a positive one for the availability of the resource in question. If, for example, North West American Inuit and Nootka Indians both hunt and eat the whale, it makes good ecological sense when the Tlingit Indians of the same region regard the giant sea mammal as taboo and consume fish instead or look for food on land. Sustainability of a resource is served by the Jewish habit never to eat the young and its parent together on the same day (although this has also been interpreted as an expression of empathy: see below) and the widely observed Hindu custom of not totally finishing a plate, so that there is always some plant material left to be returned to Nature (e.g., seeds). Ekadasi, the once or twice monthly total avoidance of grains in the food by traditional Brahmin Hindus also has an ecological ring. The custom amongst Ka’aor Indians of the northern Maranhao (Brazil) to allow only menstruating women, pubescent girls, and parents of newborns to consume the meat of tortoises (Balee, 1985) and the fact that amongst the indigenous people of Ratanakii (Cambodia) different food taboos operate between even neighboring villages (Fisher et al., 2002) undoubtedly must have ecological consequences as it reduces the pressure on a particular food item. In the same vein, if women and children, as amongst the Orang Asli mentioned earlier, only consume small animals while older people also consume bigger species, ecological pressure is more evenly spread across a greater number of consumable species. Amongst the Bolivian Siriono many food taboos exist, but they apply only very loosely to the elderly, who are permitted to disregard the taboos (Priest, 1966). This ensures their welfare and survival when no longer able to help with the procurement of food. Such food divisions and allocations of food taboos can be helpful to disadvantaged members of a community, but they can, of course, also lead to a situation, in which females are only permitted plants and insects as food, while the menfolk are free to enjoy the more nutritious treats such as meat, eggs, and fish. That taboos imposed on one section of the society can lead to the monopolization of a specific food category by another section of the society seems often the main reason why in particular women and children are subjected to food taboos while adult males have given themselves access to the healthiest and most delicious foods. Breakages of the food taboos by the women are then often claimed to be linked with ailments and disease, reinforcing the perceived need to observe the food restrictions. However, there are also examples which show that persons of high standing, for example Trobriand Island village chiefs (Meyer-Rochow, 2009), are expected to observe food taboos even more severely than commoners and to lead exemplary lives.

Food Taboos


Food Taboos as an Expression of Empathy Never to consume milk or milk-containing food together with meat is basic to Jewish food customs and although it has ecological consequences, it has also often been interpreted as an expression of empathy - after all milk is meant to sustain life and therefore should not come into contact with something dead, like flesh in the form of meat, not even in our stomachs. Even more obvious is the empathy connection in the Jewish custom not to consume an adult bird and its chick on the same day. Generally pet animals, even dogs in societies where they are eaten by special kinds of dog lovers, enjoy a far greater degree of protection and are more likely to be given “taboo” status than individuals that are unfamiliar and “unrelated”. Pets are usually seen as an extension of the family and are expected to deserve empathy. And there could even be an element of empathy in the fact that Hindus generally and Brahmins in particular avoid harming, let alone consuming, animals as the lives of the latter are considered comparable, albeit at a different level of consciousness, to those of humans.

Conclusion Food taboos still have a role to play when clearly linked to adverse effects on a consumer’s health. They can also be useful in connection with ecological needs to safeguard a resource or endangered species and, temporarily enforced, to turn important events into unforgettable events. As cyclically occurring complements to festivals and celebrations, food taboos can become enriching features to such happenings. However, the main function of food taboos still remains to provide observers with a feeling of being part of a special group of people; a community that differs from others and has its own identity. On the other hand when food taboos are enforced upon vulnerable groups (e.g. pregnant and lactating women, children, diseased individuals, etc.), nutritious food may not reach these groups during their most critical phases of their lives. As food taboos would then exert a deleterious effect on an individual’s health, food security planners need to be aware of potentially consequences of food taboos. A similar situation can arise with regard to the widespread aversion of unfamiliar but nutritionally valuable food items like insects, snails or small rodents that are regarded by many as taboo and are rejected despite their proven nutritional qualities.

References Balee, W., 1985. “Ka’apa” ritual hunting. Hum. Ecol. 13 (4), 485–510. Barfield, T., 1997. The Dictionary of Anthropology. Blackwell, Oxford. Bolton, J.M., 1972. Food taboos among the Orang Asli in West Malaysia: a potential nutritional hazard. Am. J. Clin. Nutr. 25, 789–799. Farez, S., Morley, R.S., 1997. Potential animal health hazards of pork and pork products. Revue Sci. Tech. Off. Int. des Epizooties 16 (1), 65–78. Fisher, P., Sykes, M., Sovannary, N., Borann, M., Ratana, C., Pleut, N., Sophoeun, L., Kosom, S., Vanny, V., Yor, N., Chanthlar, N., 2002. Food Taboos and Eating Habits Amongst Indigenous People in Ratanakir. Health Unlimited, Cambodia. London. Gajdusek, D.C., 1977. Unconventional viruses and the origin and disappearance of kuru. Science 197 (4307), 943–960. Harris, M., Ross, E.B., 1987. Food and Evolution - toward a Theory of Human Food Habits. Temple University Press, Philadelphia. Hillier, S., 1991. The health and health care of ethnic minority groups. In: Scambler, G. (Ed.), Sociology as Applied to Medicine. BailliSri Tindall, London, pp. 146–159. Kariuki, L.W., Lambert, C., Purwestri, R.C., Maundu, P., Biesalski, H.K., 2017. Role of food taboos in energy, macro and micronutrient intake of pregnant women in western Kenya. Nutr. Food Sci. 47 (6), 795–807. Meyer-Rochow, V.B., 2009. Food taboos: their origins and purposes. J. Ethnobiol. Ethnomedicine 5, 18. https://doi.org/10.1186/1746-4269-5-18. Mitchell, D., 2011. The Complete Guide to Healing Arthritis. Lynn Sonberg Book Assoc., New York. Ogbeide, O., 1974. Nutritional hazards of food taboos and preference in Mid-West-Nigeria. Am. J. Clin. Nutr. 27 (2), 213–216. Priest, P.N., 1966. Provision for the aged among the Siriono Indians of Bolivia. Am. Anthropol. 68 (5), 1245–1247. Santos-Torres, M.I., Vasquez- Garibay, E., 2003. Food taboos among nursing mothers from Mexico. J. Health Popul. Nutr. 21 (2), 142–149. Shwetha, T.M., Swetha, R., Iyengar, K., Usha Rani, S., 2017. Food taboos among pregnant and lactating mothers in Tumkur: a qualitative study. Int. J. Commun. Med. Public Health 4 (4), 1060–1065. Sundararaj, R., Pereira, S.M., 1975. Dietary intakes and food taboos of lactating women in a South Indian community. Trop. Geogr. Med. 27 (2), 189–193. Timonen, M., Jokelainen, J., Hakko, H., Silvennoinen-Kassinen, S., Meyer-Rochow, V.B., Räsänen, P., 2003. Atopy and depression: results from the Northern Finland 1966 birth cohort study. Mol. Psychiatry 8, 738–744. Ugwa, E.A., 2016. Nutritional practices and taboos among pregnant women attending antenatal care at general hospital in Kano, Northwest Nigeria. Ann. Med. Health Sci. Res. 6 (2), 109–114. Zerfu, T.A., Umet, M.L., Baye, K., 2016. Dietary habits, food taboos, and perceptions towards weight gain during pregnancy in Arsi, rural central Ethiopia: a qualitative crosssectional study. J. Health Popul. Nutr. 35, 22. https://doi.org/10.1186/s41043-016-0059-8.

Further Reading Harris, M., 1985. Good to Eat - Riddles of Food and Culture. Simon and Schuster, New York. Meyer-Rochow, V.B., 2017. Therapeutic arthropods and other, largely terrestrial folk-medicinally important invertebrates: a comparative survey and review. J. Ethnobiol. Ethnomedicine 13 (9), 1–31. https://doi.org/10.1186/s13002-017-0136-0. Simoons, F.J., 1994. Eat Not This Flesh: Food Avoidances from Prehistory to the Present. University of Wisconsin Press, Madison.

Relevant Website Food taboos during pregnancy and lactation across the world at https://sightandlife.org/wp-content/uploads/2017/02/Food-Taboos-infographic.pdf.

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter Jose M Silvan and Adolfo J Martinez-Rodriguez, Universidad Autónoma de Madrid, Madrid, Spain © 2019 Elsevier Inc. All rights reserved.

Abstract Campylobacter: Significance and Microbiological Aspects Epidemiology and Reservoirs Pathogenesis and Virulence Factors Treatment and Antibiotic-Resistance Alternative Control Strategies Food By-products as Alternative for Controlling Campylobacter Fruits By-products Citrus Industry Olive Industry Grape and Winery Industry Berry Industry Cereal By-products Animal By-products Seafood Processing Industry Dairy Industry Conclusions References

336 336 337 339 339 340 340 340 341 342 343 345 345 345 345 347 347 347

Abstract Campylobacter is the leading cause of human bacterial gastroenteritis worldwide. This microorganism may be present throughout the entire food chain. For this reason, it is of particular interest to find natural alternatives environmentally sustainable to the use of antibiotics and chemical disinfectants. Industrial food by-products are an economical and sustainable alternative as a source of useful bioactive compounds against Campylobacter. The food industry generates a large quantity of by-products and wastes rich in organic matter that contribute significantly to environmental pollution. Therefore, food industries are currently focusing on solving the problems of waste management and recycling by utilization of the by-products. In the present review, the efficacy in the control of Campylobacter of several by-products from the food industry, both of plant and animal origin, has been summarized. The effect of the bioactive compounds present in these by-products against Campylobacter is discussed, both in inhibiting growth and the adhesion and invasion to intestinal epithelial cells, as well as their ability to reduce biofilm formation on biotic and abiotic surfaces.

Campylobacter: Significance and Microbiological Aspects Campylobacter has been recognized as the leading cause of human bacterial gastroenteritis worldwide (Kaakoush et al., 2015). Being the most common bacterial cause of diarrhoea in many industrialized countries, Campylobacter infection is consequently responsible for a major public health and economic burden. The genus Campylobacter is Gram-negative, non-saccharolytic bacteria with microaerobic growth requirements. Its catabolic capability is highly restricted. They do not ferment or oxidize carbohydrates neither complex substances. Energy is obtained from amino acids or tricarboxylic acid cycle intermediates. In morphological terms, campylobacters are usually S-shaped or spiral rods with tapering ends (0.2–0.8 mm-wide by 0.5–5 mm-long) (Fig. 1). Campylobacter commonly possesses a polar flagellum at one or both ends of the cell and this, presumably aided by its spiral morphology, imparts a high degree of motility to the cell. This bacterium has quite stringent requirements for its growth. Campylobacter species are microaerophilic, requiring a reduced O2 concentration of 5%–8% and an elevated CO2 concentration of 3%–10%. Most relevant species are also thermophilic, growing best among 40–42  C. Table 1 shows some of the main features of the genus Campylobacter. At present, the genus Campylobacter contains 27 species and 8 subspecies, and Campylobacter jejuni and Campylobacter coli are the most important human enteropathogens among the campylobacters, being usually responsible of around the 80%–90% of the diagnosed cases of Campylobacter infections (EFSA and ECDC, 2017).


Encyclopedia of Food Security and Sustainability, Volume 1


Food By-products as Natural Source of Bioactive Compounds Against Campylobacter


Figure 1 Scanning electron microscope image shows the characteristic spiral, or corkscrew, shape of Campylobacter jejuni cells. Agricultural Research Service (ARS) is the U.S. Department of Agriculture’s Chief Scientific Research Agency.

Table 1

Main features of the genus Campylobacter



Capnophilic Catalase activity Chemoorganotrophs Energy High temperature for growth Microaerobic atmosphere Minimal growth temperature Motility Shape

Some species require 35% CO2 to grow Positive Do not ferment or oxidize carbohydrates Obtained from amino acids or intermediates of the tricarboxylic acid cycle 42 C in case of thermotolerant species: C. jejuni, C. coli, C. hyointestinalis, C. lari, and C. upsaliensis O2 concentration between 3% and 15%. Concentrations of 5% are commonly used for isolation 30  C Corkscrew-like darting motility observed with phase contrast or darkfield microscopy. High motility in fresh cultures Spiral, S-shaped, or gull-winged-shaped when two cells form short chains. Cells in old cultures can form spherical or coccoid bodies Some species require hydrogen or formate with fumarate (electron donors) to grow in microaerobic conditions. If not, anaerobiosis becomes an optimal growth condition for these species

Special requirements to grow

Oyarzabal and Carrillo (2016).

Epidemiology and Reservoirs Campylobacters are widespread in the natural environment, and can survive for long periods of time outside and inside of a given host (Poly and Guerry, 2008). As a major reservoirs, campylobacters are part of the natural intestinal microbiota of a wide range of domestic and wild animals as well as various agriculturally important mammals (cattle, swine, and birds), especially poultry, whose intestines offer a suitable biological niche for their survival and dissemination. Particularly, C. jejuni is often the predominant species in poultry, and C. coli is most prevalent in swine. However, chickens are the most important reservoir and source of human infection. In Europe, broiler meat was the most important single source of human campylobacteriosis in 2016, and 36.7% of the 11,495 samples of fresh broiler meat were found to be Campylobacter-positive (EFSA and ECDC, 2017). In fact, campylobacteriosis was the most commonly reported zoonoses in the EU in 2016, the number of reported confirmed cases of human campylobacteriosis was 246,307 (Fig. 2).


Food By-products as Natural Source of Bioactive Compounds Against Campylobacter

Figure 2 Number of the confirmed human cases of 13 zoonoses in the EU during 2016. In 2016, campylobacteriosis was the most commonly reported zoonoses, as it had been since 2005, representing almost 70% of all the reported cases. EFSA and ECDC (2017).

In developed countries, the most recognized route of Campylobacter transmission to humans occurs commonly by handling, preparation, and consumption of contaminated chicken meat or chicken meat products. Chicken carcasses use to be contaminated by the bacteria during slaughter and further processing (Bronowski et al., 2014; Kaakoush et al., 2015), since bacterial multiplication in food is not possible. Other reported sources contributing to Campylobacter infection in humans are the consumption of untreated water, unpasteurized dairy products, eating at restaurants, as well as foreign travel (Bronowski et al., 2014; Doorduyn et al., 2010; Mughini Gras et al., 2013). Contamination of the environment by domestic and wild animal feces presents an alternative exposure pathway for human infection, for example, soil, beach sand, sewage, groundwater, and drinking water. Fig. 3 shows the main sources of C. jejuni infection. However, the most cases appear to be sporadic and show a consistent seasonality. Given the sporadic nature of Campylobacter infections, source attribution based on outbreak investigations has had limited value. This is largely because, unlike for

Figure 3 The sources and outcomes of C. jejuni infection. Several environmental reservoirs can lead to human infection by C. jejuni. It colonizes the chicken gastrointestinal tract, and is passed between chicks through the faecal-oral route. C. jejuni can enter the water supply, and possibly form biofilms. C. jejuni can infect humans directly through the drinking water or through the consumption of contaminated animal products. In humans, C. jejuni can invade the intestinal epithelial layer, resulting in inflammation and diarrhoea. Young et al. (2007).

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter


salmonellosis (Wagenaar et al., 2013), campylobacteriosis outbreaks are rarely reported. Although most outbreaks (64%) were not attributable to known sources, 12% were attributed to meat products in general, and 10% specifically to chicken meat (Newell et al., 2016).

Pathogenesis and Virulence Factors Infection begins with an infectious dose of a few hundred bacteria (5–800 organisms) which is sufficient to overcome the so-called “colonization resistance barrier” in humans (Backert et al., 2016). During infection of humans, Campylobacter enters the host intestine via the oral route (in association with food or water) and colonizes the distal ileum and colon. Following colonization of the mucus and adhesion to intestinal cell surfaces, campylobacters perturb the normal absorptive capacity of the intestine by damaging epithelial cell function either directly, by cell invasion or the production of toxin(s), or indirectly, following the initiation of an inflammatory response (Silvan et al., 2013). Fig. 4 shows the hypothetical model for C. jejuni mechanisms of human infection. The clinical spectrum ranges from severe inflammatory diarrhoea (patients in developed nations) to generally mild, noninflammatory, watery diarrhoea (patients in developing nations). The incubation period prior to the appearance of symptoms usually ranges from 1 to 7 days. Although infection can result in a severe illness lasting more than a week, it is generally selflimiting and complications are uncommon, although it can in a small number of cases result in severe complications, such as Guillain-Barre syndrome and reactive arthritis (Esan et al., 2017).

Treatment and Antibiotic-Resistance Treatment with antibiotics for uncomplicated Campylobacter infection is rarely indicated. Most humans suffering campylobacteriosis recover without therapeutic intervention other than fluid and electrolyte replacement. Antimicrobial treatment is usually required in patients with severe or prolonged enteritis, especially in infants or the elderly, immunocompromised individuals and in cases of extra-intestinal manifestations (Ganan et al., 2012). In the past, fluoroquinolones were commonly used when antibiotic treatment was needed for campylobacteriosis. However, nowadays the level of acquired resistance to fluoroquinolones precludes the use of these antimicrobial agents for routine empirical treatment of human campylobacteriosis (EFSA and ECDC, 2017). In fact, there is strong evidence linking the indiscriminate usage of antibiotics in animal production to the emergence and spread of antibiotic resistance in Campylobacter (Silva et al., 2011). Increases in the incidence of infection caused by antibiotic-resistant strains of Campylobacter make these illnesses increasingly difficult to treat (Zhang and Plummer, 2008). In view of the continuing relatively high incidence of fluoroquinolone resistance in Campylobacter from human cases, macrolides such as erythromycin and azithromycin are considered the drugs of choice for treatment of human campylobacteriosis (CDC (Centers for Disease Control and Prevention), 2014). However, the efficacies of such treatments are currently compromised by the increasing resistance to these antibiotics in C. jejuni and C. coli (Alfredson and Korolik, 2007). Fig. 5 shows the antimicrobial resistance in Campylobacter to different antibiotics in humans. Furthermore, it would be necessary to achieve alternative strategies to the use of antibiotics to reduce the presence or to eradicate Campylobacter from the human food chain.

Figure 4 Hypothetical model for C. jejuni mechanisms of human infection. The bacteria can interact with, invade into, transmigrate across, and survive within polarized intestinal epithelial cells, as indicated. Backert and Hofreuter (2013).


Food By-products as Natural Source of Bioactive Compounds Against Campylobacter

Figure 5 Antimicrobial resistance in Campylobacter from humans (2010–5). The data indicates a high level of antibiotic resistance for Campylobacter, with temporal trends indicating a rise in resistance to specific antibiotics. Of particular interest is the rise in resistance to antibiotics, such as nalidixic acid, ciprofloxacin and tetracyclines. The European Union summary reports on antimicrobial resistance in zoonotic and indicator bacteria from humans, animals and food 2010–5 (EFSA and ECDC, www.efsa.europa.eu).

Alternative Control Strategies The application of stricter hygiene measures has been found to reduce or delay Campylobacter infection in chickens, but is not sufficient to eradicate the pathogen. Also, the use of chemical agents could be an effective strategy to control Campylobacter, however, this procedure are not well accepted by the consumer and can result in the accumulation of chemical wastes, so cannot really be described as environmentally-friendly practises (Vandeplas et al., 2008). On the other hand, a number of physical decontamination techniques have been successfully investigated to control the level of Campylobacter on poultry products including ozonation, irradiation, forced air chilling, steam pasteurisation, stem-ultrasound or freezing (Boysen and Rosenquist, 2009; Whyte et al., 2001). Each method has its advantages and disadvantages with relation to appearance of the final product, consumer acceptance, price, etc. Several other treatments have been evaluated, with more or less success, as alternatives to the use of chemicals and antibiotics against Campylobacter. Table 2 shows a summary of some of the most commonly used methods for controlling Campylobacter infection in the poultry industry.

Food By-products as Alternative for Controlling Campylobacter Food industries are growing rapidly due to globalization and population increase and are providing a wider range of food products to satisfy the needs of the consumers. The major food industries of the developed countries include dairy, fruits and vegetables, meat and poultry, seafood and cereal. However, these industries generate huge amounts of food-processing wastes and by-products, which consist of high amounts of organic matter, which have not already been used for other purposes and have not been recycled, leading to problems regarding disposal, environmental pollution and sustainability. However, food industries are currently focusing on solving the problems of waste management and recycling by utilization of the by-products. These by-products can contain valuable nutrients or bioactive compounds that can be used for developing novel value-added products. Traditional methods of waste utilization include their use as animal feed, fertilizer or disposal (Jayathilakan et al., 2012). However, their use has been limited due to legal restrictions, ecological problems and cost issues. Therefore, efficient, cheap, and ecologically sound methods for utilization of wastes are being focused upon, which can minimize the quantities of wastes exposed to the environment and the subsequent health hazards. Wastes from the food industries generally comprise of dietary fibers, proteins and peptides, lipids, fatty acids and phenolic compounds, depending on the nature of the product produced. The different types of wastes produced by the different processing industries with potential revalorisation uses are listed in Table 3. Some of these by-products have been the subject to investigations and have proven to be effective sources of antimicrobial compounds against Campylobacter.

Fruits By-products The world production of fruits has increased rapidly in recent years and thereby there has been a concomitant increase in the quantity of fruits by-products (FAO, 2009). The fruit processing by-products are regarded as waste and disposed of in the environment,

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter Table 2

Control intervention strategies for prevention Campylobacter infection in poultry industry





Biosecurity measures Bacteriocins application Vaccination Subunit vaccines Killed whole cell vaccines Competitive exclusion Phage therapy Fatty acids and essential oils Hauling and transportation Scheduled slaughter Logistic slaughter Scalding Counter-current scald tanks Water flow rates Multi-stage scalds tanks Defeathering Evisceration Prevention spillage intestinal content Chilling Sanitation House practices

Newell et al., 2011; Ridley et al., 2011 Messaoudi et al., 2012; Svetoch et al., 2008 Nothaft et al., 2016; Meunier et al., 2016 Buckley et al., 2010; Theoret et al., 2012 Wyszynska et al., 2004 Laisney et al., 2004 Carvalho et al., 2010; El-Shibiny et al., 2009 Brenes and Roura, 2010; Van Gerwe et al., 2010 Hastings et al., 2010; Whyte et al., 2001 FSAI (Food Safety Authority of Ireland), 2011; Umaraw et al., 2017 Evers, 2004; Potturi-Venkata et al., 2007 Lehner et al., 2014 FSAI (Food Safety Authority of Ireland), 2011 Osiriphun et al., 2011 Hinton et al., 2004 Guerin et al., 2010 Gruntar et al., 2015 Rosenquist et al., 2006 Boysen and Rosenquist, 2009 Wideman et al., 2016 Umaraw et al., 2017

Postharvest Processing


This work.

Table 3

Different food processing industries and their wastes

Food processing industry

Waste materials generated

Cereal processing Fruits and vegetable processing Animal products Marine products processing Dairy products processing

Husks, hull, rice, bran Skin, peels, pulp, seeds, stem, fiber Skin, bones, blood, feathers, intestines Viscera, heads, backbones, shells Whey, lactose

Rao (2010).

which causes ecosystem problems as they are prone to microbial degradation. However, important efforts are being made to reuse by-products from the fruits processing industries because are enrich-sources of bioactive compounds, such as phenolic compounds. These phenolic compounds are secondary metabolites in plants and play an important role in their growth and reproduction, providing protection against several pathogens. The phenolic compounds possess potent antioxidant and antibacterial activities (Khao and Chen, 2013). In this regard, the antibacterial activity against Campylobacter has been studied reusing several fruits byproducts enriched in phenolic compounds.

Citrus Industry Citrus is one of the world’s major fruit crops with global availability and popularity that contributes to human diets (FAO, 2009). Global production of citrus fruit has significantly increased during the past few years and has reached 92 million tons in the years 2016–7 (USDA, 2017). Although many citrus fruits can be eaten fresh, approximately a third of citrus fruits worldwide are utilised after processing and juice production, yielding about 44% peel as by-product (Li et al., 2006). Therefore, the citrus industry (grapefruits, lemons, limes, oranges, and tangerines) produces annually large quantities of waste or by-products (peels, seeds, and pulps), which can represent up to 50% of the raw processed fruit (Khao and Chen, 2013). It has been proven that citrus peels and seeds contain higher amounts of total phenolic compounds than edible portions (Gorinstein et al., 2001), mainly phenolic acids and flavonoids (Castillo et al., 2017). This rich polyphenolic composition has encouraged the use of these by-products to study their potential antimicrobial capacity. Citrus extracts obtained from peels and seeds have been successfully tested for their ability to inhibit the growth and to affect other virulence factors of C. jejuni (Castillo et al., 2014 and 2017). Citrus peel extracts showed significant inhibitory activities; with inhibition zones ranging from 1.8 to 2.4 cm when the disinfectant used as positive control produced inhibition zones ranging from 2.7 to 3.0 cm. Treatment with these Citrus peel extracts were also able to reduce Campylobacter swarm motility 44%–59%. The beneficial effects of Citrus by-product extracts on the adherence and invasion to human intestinal cells in Campylobacter have been also investigated. Castillo et al. (2017) confirmed the reduction of adherence and invasion using different Campylobacter strains by


Food By-products as Natural Source of Bioactive Compounds Against Campylobacter

treatment with Citrus by-product extracts. The percentage reduction was noticeably high for both processes, reaching up to 90% inhibition almost in all tested strains. Reductions in adherence and motility of Campylobacter by treatment with citrus peel extract have been also successfully achieved (Castillo et al., 2014). However, Campylobacter did not show complete loss in the motility. This effect is an important contribution because adherence and motility are crucial for bacterial pathogenesis. Biofilm formation is another important survival mechanism for Campylobacter, because Campylobacter biofilms has demonstrated resistance to environmental stress and pharmacological treatments (Gunther and Chen, 2009). This virulence factor was also effectively reduced in 60%– 75%, depending on extract concentration and/or strain tested, by treatment with Citrus peel extract (Castillo et al., 2014). Citrus essential oils (EOs) mainly exist in fruit peels which are usually discarded as waste. EOs are a complex mixture of different components and their content as well as composition depends on species, variety, cultivation and extraction methods (Mahato et al., 2017). Their most common constituents are terpenes, aromatic and aliphatic compounds (Dugo et al., 2011). Besides being used as a fragrance, citrus essential oils have been reported to possess biological activities, such as antifungal, antioxidant, and antimicrobial activities (Mitropoulou et al., 2017; Singh et al., 2010; Torres-Alvarez et al., 2017). In this regard, limonene, citral, and linalool are ones of the major compounds of citrus fruit oils identified as active antimicrobial components (Geraci et al., 2017). Little research has been carried out on Campylobacter spp. in terms of the effects of EOs on growth and survival, but the few studies reported indicate that citrus EOs could be an effective tool to inhibit the growth of this pathogen. In this regard, EOs extracted from bergamot (Citrus bergamia) and lemon (Citrus limon) were effective to inhibit C. jejuni growth (Fisher and Phillips, 2006). Antibacterial activity of the main components of these EOs, citral, linalool and limonene, were also evaluated resulting linalool oil the most effective anti-bacterial component against C. jejuni. This active terpene compound was found more abundant in the bergamot EOs (15%) postulating that the inhibitory effect was due to linalool. Sweet orange oil has been also found effective to inhibit both C. jejuni and C. coli (Nannapaneni et al., 2009; Thanissery et al., 2014), where linalool appeared to be a dominant component (20.2%) of this tested citrus oil (Nannapaneni et al., 2009). Sour orange peel extract has been also reported to be effective against both C. jejuni and C. coli reducing the viability in a chicken skin model by > 4 log and in vitro assays (MBC 2 mg/mL) diminishing population of Campylobacter to undetectable levels (Valtierra-Rodríguez et al., 2010). Therefore, utilization of EOs from citrus byproducts as antimicrobials may provide a good solution for industry and environmental sustainability. Other valuable by-products that can be obtained from citrus fruit wastes are pectin and pectic oligosaccharides obtained by chemical and/or enzymatic pectin processing. Pectins are obtained from citrus peel powder, which is the waste of citrus juice processing industry. The main use for pectin is as a gelling and thickening agent and stabilizer in food. However, it was observed that pectic oligosaccharides extracted from Citrus sinensis inhibit C. jejuni invasion to human intestinal cells (Ganan et al., 2010). Pectic oligosaccharides seem to interfere with cell invasion by affecting the efficacy of cell adhesion as is shown in Fig. 6. Effective adhesion is a prerequisite for cell invasion, which is one of the main factors that allow the initiation of successful colonization. The ability of C. jejuni to induce symptoms involves binding and colonization of the intestinal cells. Thus, these results suggest that pectic oligosaccharides could be potentially useful as alternatives to antibiotics in the control of C. jejuni.

Olive Industry The by-products of the olive industry have attracted considerable interest as a source of phenolic compounds, with much attention focused on the olive mill wastes (OMW). The phenolic compounds present in the olive fruits are distributed into the olive oil, the aqueous phase wastewater, or the solid phase pomace, but these last olive by-products retain the great amount of total phenolic compounds (98%) that are not transferred to olive oil (Araujo et al., 2015). Therefore, OMW are a potential source of phenolics,

Figure 6 Effect of pectic oligosaccharides (POS) concentration in the invasion of undifferentiated Caco-2 cells by C. jejuni. The results represent the mean values of invasive bacteria compared to control (IRC) and the standard error of the means for three different experiments. Asterisk represents significant differences respect to control with p < .05. Ganan et al. (2010).

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter


particularly in consideration that olive oil production results in an annual generation of more than 30 million m3 of OMW (Doula et al., 2017). More than 50 different phenolic compounds have been identified in OMW. The most representative phenolic compounds have been classified into three groups: compounds related to tyrosol (tyrosol and hydroxytyrosol), derivatives of benzoic acids and cinnamic acids (Torrecilla, 2010). Several studies reported antibacterial effects of phenolic enriched fractions obtained from OMW on bacterial pathogens, including Gram positive and Gram negative bacteria (Aissa et al., 2017). However, studies about the antibacterial effects of OMW on Campylobacter are scarce, despite the epidemiological importance of this bacterium as a foodborne pathogen. Branciari et al. (2016) found that supplementing the diet of broilers with different amounts of OMW extract results in a significant decrease in Campylobacter contamination. The higher amounts of polyphenols contained in the OMW diets were likely responsible for the observed effects on Campylobacter spp. shedding. These results suggest that olive waste byproducts could be useful to reduce the risk of Campylobacter diffusion in the chicken flock and consequently in processed poultry meat. Recently, our research group has successfully evaluated the response of C. jejuni and C. coli species isolated from chicken food chain and clinical patients to OMW fractions (Silvan et al., 2018). The most active OMW fraction was bactericidal reducing the Campylobacter growth in 8 logarithms. Moreover, this bactericidal fraction markedly inhibited inflammation on macrophage cell line. These findings suggest the potential biological properties of OMW as precursor of polyphenol compounds with antibacterial and anti-inflammatory properties, which might ameliorate the infection and inflammation process induced by Campylobacter. This beneficial effect of OMW on campilobacteriosis supports the idea for increasing its revalorisation. Besides OMW, olive leaves represent another by-product of the olive industry obtained in high amounts during the olive harvest for olive oil production and have been explored as a source of phenolic compounds, albeit to a lesser extent. C. jejuni was found to be very susceptible in vitro to leaf extracts, where oleuropein was the most abundant compound ( Sikic Pogacar et al., 2016; Sudjana et al., 2009). Phytochemicals present in food by-products can also prevent the attachment of several pathogens to abiotic surfaces. In this regard, olive leaf extracts were successful proved to inhibit C. jejuni adhesion to the abiotic and biotic surfaces to prevent colonization in poultry and to reduce transmission to humans ( Sikic Pogacar et al., 2016). However, the concentrations of olive leaf extract that had anti-adhesion activities did not measurably alter C. jejuni growth. Therefore, authors suggest that the olive leaf extract tested could be considered as new antimicrobial that inhibit bacterial adhesion rather than bacterial growth.

Grape and Winery Industry Grapes are one of the world’s most commonly produced fruit crops, with approximately 75 million tons generated annually worldwide, and with the highest total value of production in the world (FAO-OIV, 2016). Grapes and winery industries produce a great variety of wines, grape juices, and raisins. But its production process generates high amounts of by-products, such as grape pomace, seeds, skins, stems, leaves and lees. For instance, production of wines, up to 40% of the grapes ends up as by-products (Friedman, 2014). This residue is generally used in the production of ethanol by fermentation/distillation, in the extraction of tartaric acid, as organic fertilizer or for animal feed (Brenes et al., 2016). However, these grape by-products contain numerous bioactive compounds, such as dietary fibre and phenolic compounds (Hogervorst et al., 2017; Teixeira et al., 2014; Zhu et al., 2012), with potentially antibacterial action against foodborne pathogens (Friedman, 2014; García-Lomillo and González-SanJosé, 2017). The largest fraction of winery waste is the winemaking waste (WW) consisting of the skins, seeds, and stems left after juice or wine is pressed. This grape by-product is a complex mixture of polysaccharides, fermentation by-products, dietary fiber, and polyphenols amongst others (Yu and Ahmedna, 2013). The feasibility of WW extract as source of active phenolic compounds against Campylobacter has been recently evaluated (Mingo et al., 2016). WW extract was active against all C. jejuni and C. coli strains tested, and most of them were inhibited at concentrations between 0.04 and 0.1 mg gallic acid equivalents/mL. Phenolic characterization of WW extract showed that catechins and proanthocyanidins were the main families involved in the antibacterial effect, and epicatechin gallate and resveratrol the most active compounds against Campylobacter. Grape seed extracts (GSE) have showed anti-Campylobacter effect in several studies. Silvan et al. (2013) confirmed strong bactericidal effect of GSE against different Campylobacter strains obtaining a reduction of up to 7 logs colony forming unit, being the minimal inhibitory concentration (MIC) lower than 0.02 mg/mL and the minimal bactericidal concentration (MBC) 0.06 mg/ mL. In this work, fractionation of the GSE was performed and the most bactericidal fraction showed that phenolic acids, catechins and flavonols were the main responsible of the inhibitory effect. Fig. 7 shows the antibacterial activity of grape seed collected fractions against C. jejuni and their phenolic composition. Hettiarachchy et al. (2010) also demonstrated inhibition of C. jejuni growth after GSE treatment (1%), obtaining a maximum reduction of 6 logs. Recently, Klancnik et al. (2017) observed anti-Campylobacter activity of waste grape skins and seeds (GSS) with a MIC of 1.25 mg/mL. This effect reached a growth inhibition in the range of 22%, inducing morphological changes, which would be associated with alterations in the integrity of the cell membrane. Sub-inhibitory concentrations of GSS extract also inhibited C. jejuni invasion by up to 20% across the tested concentration range (0.0125 to 0.2 mg/ mL). Thus, GSS showed an anti-bacterial, anti-adherent and anti-invasive activity that turned out quite effective, which could help modulate the pathogenicity of Campylobacter, and could therefore be used to prevent or treat bacterial infection. Grape skin extract, other abundant grape by-product, have also showed anti-Campylobacter effect. Katalinic et al. (2010) confirmed antimicrobial activity of grape skin extracts of 14 Vitis vinifera L. white and red varieties against C. coli. This work found that grape skin extract had antimicrobial activity against different Gram-positive and Gram-negative foodborne pathogenic bacteria, but the most susceptible organism to grape skin extracts was Campylobacter. These grape skin extracts were rich in flavonoids, catechins and flavanols. Similar antibacterial activity against C. jejuni was recently described by Trost et al. (2016) using freeze-dried grape skin and seed extracts obtained from winery by-product waste of different grape varieties. The phenolic profiles of tested grape skin and seed extracts included mainly flavonols and catechins as described by Katalinic et al. (2010).


Figure 7 (2013).

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter

Qualitative antibacterial activity of grape seed collected fractions against C. jejuni and their phenolic composition (mg/L). Silvan et al.

Leaves from V. vinifera also constitute an important waste from grape crops and winery industry. Antibacterial activity of leaf phenolic extracts obtained from six grapevine varieties against C. jejuni have been was confirmed by Katalinic et al. (2013). The analytical characterization of these leaf extracts confirmed highly content of phenolic compounds, such as flavan-3-ols and flavonols, especially quercetin and its derivatives, as well as the presence of compounds from the resveratrol family.

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter


Berry Industry Berry pomace is a by-product of the juice-pressing industry, which traditionally has been used as an ingredient in animal feed or it has been disposed into soils. Due to its low pH value it may possess significant ecological and environmental problems. Berry pomaces containing the berry skins are, however, very rich sources of phenolic compounds. Salaheen et al. (2014) evaluated the effect of bioactive compounds extracted from blueberry and blackberry pomaces on the C. jejuni growth and its pathogenicity. Results indicated that blackberry and blueberry pomace extracts significantly reduced the growth of C. jejuni. MIC and MBC of berry pomaces extract were in a range of 0.4–0.6 mg/mL and 0.5–0.8 mg/mL gallic acid equivalent, respectively. However, bactericidal activity of blueberry pomace extract was stronger than that of blackberry pomace extract. This study also found that several virulence properties of C. jejuni, such as autoaggregation, motility, adhesion, invasion, and expression level of virulence genes, were significantly modified due to exposure to berry pomace extracts. Recently, the same research group carried out a study to evaluate blackberry and blueberry pomaces on C. jejuni colonization in broiler cecum (Salaheen et al., 2018). As a water supplement, phenolic extract from berry pomaces reduced C. jejuni pre-harvest colonization level in poultry gut in a dose dependent manner. In addition, berry pomaces induced complete inhibition of the C. jejuni marker strain in drinking water reducing the potential for horizontal transfer in poultry flocks. Therefore, authors suggest that berry pomace extracts, especially from blackberry and blueberry, might be a feasible alternative as feed additives or water supplements to reduce the colonization level of C. jejuni in poultry, and as a natural preservative to control Campylobacter growth in the poultry food chain and its final products.

Cereal By-products World cereal production in 2016 reached 2500 million tons (FAO, 2017), thus cereals are a major source of agricultural waste in many countries. The seven principal cereals grown in the world are wheat, maize, rice, barley, oats, rye and sorghum. During grain processing, large quantities of by-products such as bran, germ, husk and straw that are rich in bioactive compounds are produced. To the best of our knowledge, only by-products obtained from sorghum processing have been evaluated for controlling Campylobacter. Sorghum (Sorghum bicolor) is a cereal crop in many parts of world and contains high levels of phytochemicals including condensed tannins, phenolic acids, flavonoids, deoxyanthocyanins, phytosterols and policosanols (de Morais Cardoso et al., 2017). Sorghum is converted to ethanol by yeast fermentation techniques resulting condensed distillers solubles, also referred to as sorghum syrup, as a by-product which contains bioactive compounds. Navarro et al. (2015) confirmed that sorghum syrup, obtained from bioethanol production, were active against Campylobacter with MIC values ranging from 0.25% for the concentrated sorghum syrup up to 4% for the methanol and water extractions. All tested syrup extracts showed a dose-dependent response against Campylobacter indicating higher the dose tested the higher the inhibition. Recently, the same research group confirmed that sorghum syrup obtained from bioethanol industry was effective as antimicrobial against Campylobacter (Navarro et al., 2016). The MIC that inhibited the bacterial growth reached 1% concentration of condensed distillers solubles. In this study, the main phytochemical compounds contributing to the bioactivity were determined founding that flavonol taxifolin, and the phenolic acids, protocatechuic acid, 4hydroxybenzoic acid, ferulic acid, cinnamic acid and p-coumaric acid, were the main phenolic compounds.

Animal By-products Seafood Processing Industry As described above in the case of fruits by-products, some industrial by-products of animal origin have demonstrated their effectiveness against Campylobacter. One of the most studied has been the effect of chitosan and chitooligosaccharides. Chitosan, a natural carbohydrate polymer derived from the deacetylation of chitin, is the second most abundant natural biopolymer after cellulose (Younes and Rinaudo, 2015). Chitosan is produced commercially from crab and shrimp shell wastes with different degrees of deacetylation and molecular masses, thus presenting a variety of properties. Over the past few years, chitosan has received increased attention mainly due to its innocuous nature and bioactivity, and it is used in different applications for foods and pharmaceuticals (Muxika et al., 2017). Chitosan has several biological properties useful for the food industry, but the most attractive is its potential use as a food preservative of natural origin due to its antimicrobial activity against a wide range of foodborne microorganisms (Zhengxin et al., 2017). In a work performed using three chitosans with different molecular masses against six Gramnegative and three Gram-positive bacteria, it was observed that Campylobacter was the microorganism most sensitive to chitosan, regardless of their molecular mass (Ganan et al., 2009). The MIC of chitosan for Campylobacter ranged from 0.005% to 0.05%, demonstrating the high sensitivity of campylobacters to chitosan. These authors also studied the mechanism of chitosan’s action against Campylobacter, pointed that chitosan caused a loss in the membrane integrity of Campylobacter, measured as an increase in cell fluorescence due to the uptake of propidium iodide, a dye that is normally excluded from cells with intact membranes. Recent years have witnessed great developments in biobased polymer packaging films for the serious environmental problems caused by the petroleum-based nonbiodegradable packaging materials. In this context, chitosan-based materials have been widely applied in various fields for their biological and physical properties of biocompatibility, biodegradability, antimicrobial ability, and easy film forming ability (Wang et al., 2018). Recently, it was observed that the incorporation of 50 mL/g of allyl isothiocyanate (AITC) or 300 mg/g deodorized oriental mustard extract in k-carrageenan/chitosan solutions as an edible coating significantly reduced viable numbers of C. jejuni on vacuum-packed chicken breasts and thus enhanced its safety (Olaimat et al., 2014). Even though chitosan is known to have important functional activities, poor solubility makes them difficult to use sometimes in food and biomedical


Antibacterial activity of lactic acid treatments against Campylobacter

Campylobacter strain



Treated sample


Exposure time


C. jejuni DSM 4688 C. jejuni DSM 4688 C. jejuni DSM 4688 C. jejuni DSM 4688 C. jejuni NCTC 11168 C. jejuni NCTC 11168 C. jejuni C356 ribotype C. jejuni farm-isolated C. jejuni NCTC 11168 C. jejuni NCTC 11168 C. jejuni NCTC 11168 C. jejuni NCTC 11168 C. jejuni ATCC 33291 C. jejuni ATCC 33291 C. jejuni ATCC 33291 C. jejuni ATCC 33291 C. jejuni and C. coli combined C. jejuni and C. coli combined C. jejuni and C. coli combined C. jejuni and C. coli combined C. jejuni and C. coli combined C. jejuni and C. coli combined C. jejuni and C. coli combined C. jejuni combined strains C. jejuni C. jejuni C. jejuni C. jejuni C. jejuni C. jejuni C. jejuni C. jejuni

1.51 log CFU/g 0.70 log CFU/g 0.31 log CFU/g 0.78 log CFU/g 4 log CFU/mL 6 log CFU/mL 6.7–6.9 log CFU nd 1.69 log CFU/mL 3.87 log CFU/mL 0.7 log CFU/mL 2 log CFU/mL 1.06 log MPN/cm2 0.36 log MPN/cm2 1.98 log MPN/cm2 1.27 log MPN/cm2 1.26 log CFU/cm2 0.77 log CFU/cm2 5.17 log CFU/cm2 4.25 log CFU/cm2 0.75 log CFU/cm2 2.98 log CFU/cm2 100% inhibition 3.43–3.03 log CFU/mL 1.81–1.85 log CFU/g 1.85–2.98 log CFU/g 2.05 log CFU/g 4.25 log CFU/g 5.67 log CFU/g 5.94 log CFU/g 1.22 log CFU/g 0.9 log CFU/g

15% 15% 10% 10% 0.5% 0.5% 5.7% 5.7% 2.5% 2.5% 2.5% 2.5% 3% 1% 3% 1% 5% 1% 5% 1% 5% 5% 0.05% 3% 10% 10% 0.125% 0.25% 0.5% 2% 5% 3%

Carcass Carcass Carcass Carcass Chicken juice BHI Broth Broiler feed Housed broiler chickens Chicken skin Chicken skin Chicken meat Chicken meat Chicken leg meat Chicken leg meat Chicken breast meat Chicken breast meat Chicken skin Chicken skin Chicken skin Chicken skin Chicken skin Chicken skin Bacterial inoculum Bacterial inoculum Chicken leg artificially inoculated Chicken leg naturally contaminated Culture medium Culture medium Culture medium Culture medium Broiler breast fillets Broiler breast fillets

Immersion Spraying Immersion Spraying Incubation Incubation Incubation Acidified feed Immersion Immersion þ storage 24 h at 5  C Immersion Immersion þ storage 24 h at 5  C Immersion Immersion Immersion Immersion Immersion Immersion Immersion þ storage 15 days at 4  C Immersion þ storage 15 days at 4  C Spraying Spraying þ storage 15 days at 4  C Incubation Incubation Immersion Immersion Incubation Incubation Incubation Incubation Immersion Immersion

30 s 30 s 30 s 30 s 24 h 24 h 20 min 20 days 1 min 1 min 1 min 1 min 10 min 10 min 10 min 10 min 15 s 15 s 15 s 15 s 15 s 15 s 48 h 24 h 2 min 1.5 min 2 min 2 min 2 min 2 min 2 min 2 min

Ellerbroek et al., 2007 Ellerbroek et al., 2007 Ellerbroek et al., 2007 Ellerbroek et al., 2007 Birk et al., 2010 Birk et al., 2010 Heres et al., 2004 Heres et al., 2004 Riedel et al., 2009 Riedel et al., 2009 Riedel et al., 2009 Riedel et al., 2009 Cos¸ansu and Ayhan, 2010 Cos¸ansu and Ayhan, 2010 Cos¸ansu and Ayhan, 2010 Cos¸ansu and Ayhan, 2010 Meredith et al., 2013 Meredith et al., 2013 Meredith et al., 2013 Meredith et al., 2013 Meredith et al., 2013 Meredith et al., 2013 Navarro et al., 2015 Rajkovic et al., 2009 Rajkovic et al., 2010 Rajkovic et al., 2010 Zakariene_ et al., 2015 Zakariene_ et al., 2015 Zakariene_ et al., 2015 Zakariene_ et al., 2015 Zakariene_ et al., 2015 Zakariene_ et al., 2015

This work.

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter

Table 4

Food By-products as Natural Source of Bioactive Compounds Against Campylobacter


applications. Unlike chitosan, the low viscosity and good solubility of chitosan oligosaccharides (COS) make them especially attractive in an important number of useful applications. Mengíbar et al. (2011) observed that Streptomyces chitosanase generates more deacetylated products that show higher antibacterial effect against C. jejuni. This antimicrobial effect was more pronounced for fractions with molecular weight between 10 and 30 kDa. These results have shown that COS could be useful as antimicrobial in the control of Campylobacter. Other related products, such as the antibacterial peptide fractions generated via proteolytic processing of snow crab by-products also exhibited activity against Gram-negative and Gram-positive bacteria, among them C. jejuni (Beaulieu et al., 2010).

Dairy Industry Large amounts of wastes emerge from milk processing in dairies, which are one of the largest sources of industrial effluents. The disposal of whey, the liquid remaining after the separation of milk fat and casein from whole milk during cheese processing, is a major problem for the dairy industry, because of the high volumes produced, which demands simple and economical solutions. The most abundant components of whey is the carbohydrate lactose (70%), follow by proteins and inorganic substances with differing weight proportions. The world whey production amounts to about 82 million metric tons, and especially the acid whey is seen as a waste product. However, the bioconversion of whey to valuable products has been actively explored. For example, since lactose is the major component of whey, the production of lactic acid by using lactose whey through homofermentative lactic acid bacteria is viewed as an alternative process for the management of this abundant dairy by-product. Lactic acid is widely used in food industries as mineral fortifier, preservative, acidulant, and flavouring component, in addition in the processed meat, hams, fish and poultry industries, lactic acid provides products with a longer shelf life by controlling foodborne pathogens because of its proved antimicrobial activity. Several studies have been confirmed the lactic acid effectiveness against Campylobacter bacteria employing different concentrations and contact conditions. Heres et al. (2004) performing an in vitro experiment observed a complete reduction of Campylobacter in the broiler feed acidified with 5.7% lactic acid. However, when in an in vivo experiment was carried out in chickens fed with feed acidified with lactic acid only a limited bacterial reduction was obtained, nevertheless the chickens were less susceptible to the Campylobacter infection. Ellerbroek et al. (2007) reported the efficacy of a decontamination method of C. jejuni on inoculated poultry carcasses by dipping and spray washing with lactic acid solutions (10% and 15%). The highest bacteria reductions were found after dipping in 15% lactic acid solution reducing 1.5 log10 cfu/g. Riedel et al. (2009) evaluated the effectiveness of a short-time decontamination treatment of C. jejuni on inoculated skin and chicken meat through immersion in a 2.5% lactic acid solution. The main results showed a significant reduction of bacterial growth (1.69 log10) after 1 min of immersion which increased to 3.87 log10 after 24 h chilled storage. Subsequent similar studies investigated the effect of dipping inoculated poultry samples with different lactic acid concentrations on the Campylobacter growth achieving moderate bacterial reductions and are summarised in Table 4. More efficient results of growth reduction were obtained by Birk et al. (2010) when C. jejuni strain was exposed to 0.5% lactic acid solution on chicken meat and in broth causing a 4- and 6-log reduction, respectively, after 24 h of exposure at 4  C.

Conclusions The increasing amount of waste produced by the food industry makes it necessary to create new ways for recycling, developing new technologies for waste processing. This work summarized the potential of food by-products as a source of bioactive compounds against Campylobacter, the main bacterial foodborne pathogen. This putative application would contribute to the sustainability of the food industry, also promoting the valorisation of their by-products. Further studies are required to scale up to industrial applications the best results obtained at laboratory level, in order to increase the interest of the industrial sector in this approach to exploit and revalue the food by-products.

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Food By-products as Natural Source of Bioactive Compounds Against Campylobacter

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New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods Sonia Cozzano Ferreiraa,c, Adriana Maite Ferna´ndeza,b, Marı´a Dolores del Castillo Bilbaob, and Alejandra Medrano Ferna´ndeza, a Departamento de Ciencia y Tecnología de Alimentos, Universidad de la República (UdelaR), Montevideo, Uruguay; b Instituto de Investigación en Ciencias de la Alimentación (CIAL) (CSIC-UAM), Campus de la Universidad Autónoma de Madrid, Madrid, Spain; and c Departamento de Ciencia y Tecnología de Alimentos. Universidad Católica del Uruguay (UCU)-Montevideo, Uruguay © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Food Ingredients Phytochemicals Rice Bran Proteins Antioxidant Dietary Fiber Minerals Food Applications Safety Final Comments References

351 351 352 352 354 354 355 355 356 357 357

Abstract Rice bran is a rice processing by-product which accounts for tons of food waste per year, composed by numerous nutrients and bioactive substances that are able to reduce the risk of noncommunicable chronic diseases. Therefore, rice bran can be considered a good candidate as a sustainable functional ingredient. Phytochemicals, proteins, dietary fiber and minerals are some of its components. As a consequence, some food applications have been proposed for rice bran. The present chapter represents an updated literature review on components and food applications of rice bran for a healthier nutrition.

Introduction In the last several years, food waste recovery has become an issue of global growing interest. Food waste occurs along the entire supply chain. Food waste also referred as food by-products have been proposed as natural sources of numerous bioactive compounds such as vitamins, minerals, fatty acids, antioxidants, dietary fiber, and probiotics among others for decreasing the risk of non-communicable chronic diseases (NCDs) (Galanakis, 2015, 2016; Spiker et al., 2017). Consequently, they have potential as novel functional food ingredients. Conversion of food waste into novel functional food ingredients involve several steps (Fig. 1). Foods can be considered functional if it can be scientifically proven that they have beneficial health effects on one or more functions of the organism, beyond its usual nutritional properties, in a way that improves the general state of health or reduces the risk of disease or both (Operational definition FUFOSE 1999: UE-ILSI Europe). The production of vegetable origin foods is mainly associated with four different types of crops: cereals, legumes, roots and/or tubers. Cereals occupy the first place with a production in 2017 of 2.627 million tons according to FAO, with wheat, rice and maize as the main ones (FAO, 2017). World rice production for 2017 was estimated at 500.8 million tons so one hundred million tons of rice bran would be generated, being its management an important environmental issue (FAO, 2017) (Fig. 2). Rice bran is a portion of the grain comprising the tegument, pericarp and aleurone layer which lies between the shells and the endosperm that is removed after the polishing of brown rice to obtain white rice (Gul et al., 2015; Friedman, 2013; Arendt and Zannini, 2013). Rice bran contains over 15%–20% of oil, 12%–16% of proteins, 23%–28% of dietary fiber and 7%–10% of ashes. The composition depends on many facts including botanical variety, environmental agronomical conditions and processing (Yõlmaz, 2016). During rice industrial processing (Fig. 3), the first step is to mill obtaining “brown rice” which is composed of pericarp (2%), seed cover (testa), aleurone (5%), germ (2%–3%) and endosperm (89%–94%) (Delcour and Hoseney, 2010 cited by Arendt and Zannini, 2013). Brown rice undergoes a process known as whitening which consists of a series of polishing, reaching a finer polishing. This results in a glossy surface of the white edible portion of the grain (Arendt and Zannini, 2013). The resulting amounts of rice bran from the polishing process widely vary on the procedure itself. Thus, the composition of rice bran varies according to the severity of the milling, consequently resulting in wide variations of the bran and germ mixed composition. The germ is also a by-product which is produced during the grinding process in the production of white rice from whole grain (Gul et al., 2015).

Encyclopedia of Food Security and Sustainability, Volume 1




New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods








Antioxidant Dietary Fiber Phytochemicals


Zn Mg Cl Ca Proteins

Cu Fe

Na K


Mn Biomarkers

Vitamins and Minerals

Sensory Analysis

Rice wastes



Bioactivity (antioxidants, lipids and glucose regulation, among others)

In vivo


Bioaccesibility Absorption and metabolism

Toxics effect (Pb, Hg, among others

In vitro

Figure 1

Scheme of steps for the conversion of foods wastes into novel functional foods.

Milled rice

Brown rice

Paddy rice

Whitening/ Polishing


100% World rice production (500.8 million tons)

55% (275.44 million tons)

Figure 2

15% (75.12 million tons)

10% (50.08 million tons)

20% (100.16 million tons)

---------------------------------------------- by products-----------------------------------------------------------------Rice bran Broken rice Rice hulls

Industrial processing of Paddy rice: by-products and yield according to estimated production for 2017.

In general, rice bran is composed of pericarp, aleurone, powdered germ and endosperm presenting more fragments of white rice (Gul et al., 2015). The present chapter represents an updated literature review of composition and those applications proposed for rice bran as a natural sustainable source of functional food ingredients for healthier nutrition.

Food Ingredients Phytochemicals Rice bran is recognised as one of the main sources of oryzanols (0.56–1.08 mg/g rice bran), tocopherols (0.35–0.77 mg/g rice bran) and tocotrienols (0.22–0.46 mg/g). These phytochemicals are associated to rice bran lipid fraction (Chotimarkorn et al., 2008; Butsat and Siriamornpun, 2010). Gamma-oryzanol is a mixture of sterol esters of ferulic acid and triterpene alcohols. Artenyl

New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods



Pericarp Tegmen Aleurone layerr


Starchy endosperm


Figure 3

Structure of the rice grain.

ferulate cycle, 24-methylene-cyclohexyl ferulate and campesteril ferulate are major components of rice bran oryzanol. Both tocopherols and oryzanols are excellent natural antioxidants for food applications (Afinisha-Deepam et al., 2011). Among the phytochemicals we can also find the polyphenols which are a large group of secondary metabolites of plants which possess a typical structure with aromatic rings and conjugated double bonds that enable them to act as antioxidants (Brewer, 2011). Within the polyphenols, flavonoids are characterized for presenting low molecular weight and for sharing a common skeleton of definilpirans (C6eC3eC6), composed of two aromatic rings attached through a central chain of 3 carbons and 4 carbonyl groups. They possess various hydroxyl groups attached to their ring structure that confer them the capacity to neutralize free radicals through the donation of the active hydrogen atom (Du et al., 2016). Shao et al. (2014) did not find any flavonoids in rice bran from white rice suggesting that bran flavonoids presence is associated to the coloured part of the grain. Brans coming from coloured rice grains contain higher concentrations of polyphenols and antioxidant capacity than the bran that comes from white grain (Friedman, 2013; Muntana and Prasong, 2010). However, the potential of rice bran from white rice as a source of antioxidants is not discarded. Some compounds have been identified in studies with rice bran from white rice: keremol (Wanyo et al., 2014; Reza et al., 2015), rutin (Reza et al., 2015), quercetin (Liu et al., 2017; Ghasemzadeh et al., 2015), epicatechin (Liu et al., 2017; Reza et al., 2015) and apigenin (Ghasemzadeh et al., 2015). Besides flavonoids, phenolic acids can be also found in rice bran. These are classified in 2 groups: benzoic acid and cinnamic acid derivatives. Hydroxycinnamic acids are more common than hydroxybenzoic acids and basically consist of p-coumaric, caffeic, ferulic, and synaptic acids (Manach, 2004). In whole rice grain, these acids are present in two different forms: i) soluble form that include free forms in the cellular cytoplasm and conjugated forms that can be extracted using solvents such as water, methanol, ethanol and ketone, and ii) insoluble form or “bound phenolic acids” which are covalently attached to the cell wall of the plant (Ti et al., 2014). Some authors have identified the different forms of phenolic acids in rice bran. Ti et al. (2014) analysed the content of phenolic compounds and antioxidant capacity of rice bran from 5 cultivars of the Indica variety in southern China. The authors found caffeic, protocatecuico and chlorogenic acid in the free form and galic, ferulic, coumaric and syringic acids in both forms in the cellular wall (free and bound). Free chlorogenic acid ranged from 7.4 to 9.3 mg/g. Ferulic acid was mainly bound to the cellular wall (1243.0 mg/ g) of rice bran while only 71.1 mg/g was detected in the free form. Studies by Wang et al. (2015) associated the antioxidant capacity of rice bran to a combination of phytochemicals present in rice bran and not to a single compound. However, most of the studies identified ferulic acid as the main antioxidant in rice bran which is mainly esterified with arabinoxylans and hemicelluloses in the aleurone and pericarp layer (Wang et al., 2015; Ti et al., 2014; Kumar and Pruthi, 2014; Butsat and Siriamornpun, 2010; Manach et al., 2004). Ferulic acid is insoluble in water at room temperature and soluble in hot water, ethyl acetate, ethanol and ethyl ether. Thus, phenolic acids are extractable in 60% ethanol (Guo et al., 2003 quoted by Kumar and Pruthi, 2014). Ferulic acid is a health promoting compound possessing antioxidant, hypolipidemic, anti-inflammatory and antidiabetic activity. Moreover, it can be employed as a food preservative (Kumar and Pruthi, 2014). Ghasemzadeh et al. (2015) detected ferulic acid (12.28 mg/100 g dry weight), gallic acid (GA) (11.56 mg/100 g dry weight) and chlorogenic acid (CA) (11.12 mg/100 g dry weight) in ethanolic extracts of rice bran (50%–50% v/v). Another bioactive property associated with the phytochemicals present in rice bran is antimicrobial activity associated to flavonoids such as luteolin that inhibit the growth of gram-positive bacteria and yeasts (Zarei et al., 2017). Phenolic compounds are generally in close interaction with other plant components such as carbohydrates and proteins forming insoluble complexes (Fernandez-Gomez et al., 2018; Garcia-Salas et al., 2010). The extraction methods for simple phenolic compounds (benzoic acids, benzoic aldehydes, cinnamic acids and catechins) from solid or semi-solid materials such as rice


New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods

bran, have been focused on maceration using organic solvents (Garcia-Salas et al., 2010). Basically, the pre-treated raw material is exposed to different solvents which absorb compounds of interest (Starmans and Nijhuis, 1996). Usually, samples are centrifuged and filtered after maceration to remove solid residues and the extract may be used as an additive, food supplement or intended for the preparation of functional foods depending on the nature of the solvent used (Starmans and Nijhuis, 1996). As it has already been mentioned, phenolic compounds in rice bran are strongly bound to arabinoxylans in the cell wall of the aleurone layer and, therefore, when extracts are made by simple maceration, the extraction is not complete (Butsat and Siriamornpun, 2010). An alternative approach to traditional methods for obtaining phenols from rice bran would be enzyme assisted extraction (EAE). This method is inexpensive, environmentally friendly (Liu et al., 2017) and it is mainly dependent on the enzymes’ capacity to hydrolyze cell wall components and disrupt structural complexity facilitating the release of the compound of interest in the solution (Marathe et al., 2017). The enzymes mostly used for the extraction of bioactive compounds are cellulases, hemicellulases and pectinases. Although, the main sources of enzymes are bacteria and fungi, they may also be of animal or plant origin (Marathe et al., 2017). The studies of Wanyo et al. (2014) using cellulases as the sole treatment of rice bran succeeded in increasing the amount of free phenolic acids, such as protocatechuic acid and vanillic acid. However, the treatment is inefficient as free phenolic acids increase but not the total content of phenolic compounds. In contrast, Kim and Lim (2016) observed significant increases while working with different commercial carbohydrases on rice bran, among which was the Celluclast enzyme. The increase was in the order of 1.5 to 3 times higher in total polyphenols content and antioxidant capacity measured by the DPPH and FRAP methods, respectively, after the enzymatic treatment. The most recent studies (Liu et al., 2017) on hydrolysis of rice bran using an enzyme mixture composed of 0.5% glucoamylase, 1.5% protease and 1.5% cellulase, showed to cause the hydrolysis of starch, proteins and dietary fiber of rice bran interrupting the interactions between the phenolic compounds and the components of the cell wall, consequently favoring the release of both free and conjugated compounds.

Rice Bran Proteins Rice bran proteins have attracted interest in food industry due to its high nutritional quality and hypoallergenicity in order to be used as ingredients in food development (Chanput et al., 2009). Rice bran proteins have a high content of threonine, valine, lysine, histidine and tryptophan showing higher nutritional quality than other vegetable proteins (Han et al., 2015). There is an extensive bibliography focused on the best methods of extraction for these proteins through physical processes (homogenization, grinding), application of novel technologies (microwaves and ultrasounds) or enzymatic treatments in order to increase their techno-functional and biological properties (Zhu et al., 2009; Bandyopadhyay et al., 2012; Cheetangdee, 2014). Recently, the interest in rice bran proteins have increased because of being precursors of bioactive peptides which are encoded in their native structure. Peptide sequences with a molecular weight of 800 to 2100 Da and 6 to 21 amino acid residues have been identified through the hydrolysis of albumin from rice bran protein (RBP) with a high antioxidant capacity against hydroxyl and peroxyl radicals (Wattanasiritham et al., 2016). Moreover, rice bran protein concentrate has been subjected to enzyme-assisted extraction simulating the gastrointestinal digestion process in vitro (pepsin-trypsin system) which greatly improved antioxidant properties. Hydrolysis by in vitro gastrointestinal digestion (pepsin and trypsin) followed by ultrafiltration separation of rice bran protein concentrate revealed the presence of a peptide (m/z 1088) with high antioxidant capacity (DPPH and ABTS radicals scavenging activities, and ferric reducing capacity) associated with the presence of tyrosine and phenylalanine (Phongthai et al., 2018). Rice bran proteins may inhibit the activity of angiotensin converting enzyme-I (ACE) presenting potential antihypertensive properties (Wang et al., 2017). They also inhibit the enzyme dipeptidyl peptidase IV that participates in the degradation of hormones called incretins which enhance insulin secretion in beta cells of the pancreas. Therefore, when dipeptidyl peptidase IV is inhibited the half-life of incretin hormones is improved, being able to lower blood glucose levels and consequently being of interest in antidiabetic treatments (Pooja et al., 2017).

Antioxidant Dietary Fiber The American Association of Cereal Chemists (AACC, 2001) defines dietary fiber as follows: Dietary fiber includes the edible parts of plants or similar carbohydrates that are resistant to digestion and absorption in the human small intestine with complete or partial fermentation in the large intestine. The AACC (2001) divides its constituents into 3 categories: i- Non-starch polysaccharides and non-digestible oligosaccharides: cellulose, hemicellulose, pectins, beta-glucans, gums, mucilages, fructans, inulin and oligofructose/ fructo-oligosaccharides; ii- Carbohydrates analogous: resistant starch, fructooligosaccharides, galacto-oligosaccharides, nondigestible dextrins, modified or synthetic carbohydrate components, modified celluloses (methylcellulose, hydroxypropylmethylcellulose) and polydextrose; iii- Lignin and other associated substances: lignin, waxes, phytate, cutin and tannin. According to the AACC, dietary fibers promote physiological benefits including laxation, blood cholesterol and blood glucose attenuation and thus the importance of its regular consumption. Total dietary fiber content of rice bran ranges from 6 to 29 g/100 g rice bran and is mainly composed of cellulose, lignin and hemicellulose, being mostly rich in insoluble compounds (Chinma et al., 2015; Elleuch et al., 2011). The soluble dietary fiber content of rice bran varies from 1.02 to 2.25 g/100 g (Huang and Lai, 2016). Oryzasativa cellular wall is poor in pectins and structural proteins. It also has mixes of b-D-glucans with ferulic acids bonds that cross-link the chains of xylan (hydroxycinnamates) (Carpita, 1996). Therefore, rice bran can be considered a sustainable natural source of mixed dietary fiber including antioxidants.

New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods


“Antioxidant dietary fiber is defined as the complex between phenolic compounds and polysaccharides of the cell wall” (Saura-Calixto, 1998). This definition is the first that includes substances that are “associated to dietary fiber validating the existing relationship between dietary fiber and phenolic compounds as a whole”. Lignin is not a polysaccharide but a three-dimensional polymer of base phenols called monolignols. These monolignols are derived from the p-coumaric, ferulic and sinapic acids. They can establish different types of bonds among themselves besides linking other types of molecules and make a more complex structure (Sarni-Machado and Cheynier, 2006). Rice bran is a natural source of this type of dietary fiber. Overall, dietary fiber works as a natural vehicle for bioactive compounds through the gastrointestinal tract and generates the production of metabolites during its fermentation in the colon providing health benefits (Macagnan et al., 2016). Hence, the search for natural antioxidant dietary fibre is of great interest (Macagnan et al., 2016).

Minerals The mineral content of rice bran varies between 7 and 12 g/100 g rice bran. The ashes are concentrated in the outer portions of the cariopside with a distribution of 61% in bran, 23.7% in the external endosperm, 3.7% in the middle endosperm and 11.6% in the central endosperm (Lamberts et al., 2007; quoted by Amagliani et al., 2017). The latter makes rice bran an important source of minerals for human nutrition. Amagliani et al. (2017) reported the composition of minerals and trace elements in rice bran as follows: Ca (43.3  0.30), Cl (82.0  1.00), K (1500  10.0), Mg (768  16.0), Na (12.4  0.05), P (1590  10.0), Cu (0.96  0.01), Fe (7.63  0.04), Mn (21.1  0.15) and Zn (6.25  0.04) in mg/100 g of fresh weight.

Food Applications Initially, rice bran was limited to animal feed which generated a large number of publications on the growth effects of different animals fed with diets enriched with rice bran (Warren and Farrell, 1990; Forster et al., 1993; Atuahene et al., 2000). In the 2000s, its use in human nutrition as a source of proteins and fiber and co-adjuvants was proposed because of its technofunctional properties. In this sense, Kaur et al. (2012) employed rice bran for improving color, cooking, sensory quality and shelf life of pasta. Authors concluded that up to 15% incorporation of rice bran in the formulation does not affect physicochemical properties, the cooking and the sensory quality of the pasta resulting in a pasta enriched with dietary fiber and proteins. Oliveira et al. (2016) increased the food quality of gluten-free sweet biscuits incorporating rice by-products such as rice bran and broken rice. The quality of the biscuits formulated with rice by-products was similar to the control biscuits. Rice bran fiber presents good water and oil retention capacity as well as emulsifying properties (Wang et al., 2016; Tuncel et al., 2014). Rice bran extracts from solid state fungus fermentation have been proposed as preservatives due to their antifungal properties in bakery products. Christ-Ribeiro et al. (2017) evaluated the effect of rice bran extracts at a concentration of 2.47 mg/g pizza. The shelf life increased in more than 10 days compared to the use of propionic acid as a food preservative. Moreover, addition of rice bran into yoghurts in concentrations of 1%, 2% and 3% improved its physicochemical properties such as water retention capacity reducing syneresis and increasing the stability of the food (Demirci et al., 2017). Recently, the industry interest for rice bran has increased due to its functional properties (Fig. 4). Rice bran has applied as an ingredient in bakery products. Tuncel et al. (2014) replaced wheat flour by rice bran in bread, significantly increasing the amount of vitamin B group, especially niacin and minerals such as zinc, iron, potassium and phosphorus. In addition, fiber content increased obtaining a food with potential to reduce risk of diabetes possessing antioxidant and anticarcinogenic properties. Hu et al. (2009) employed defatted rice bran (1%–4%) for the formulation of breads resulting in good sensory acceptability and high content of dietary fiber (>3) with promoting health properties. On the other hand, the addition of rice bran as a food ingredient provides multifunctional properties due to its particular profile of bioactive compounds. Phytochemicals (antioxidant compounds), dietary fiber and resistant starch can be employed as ingredients in bakery and dairy products. Kaninica and Riar (2017) mixed rice, wheat, oats bran and oregano extract in ’Sandesh’ (Indian dairy product) for improving antioxidant properties. Moreover, the sensory quality and shelf life of the food was increased. Regarding the biological properties, rice bran addition significantly increased the viability of L. casei 431 and S. thermophilus during storage of 21 days. In addition, the antioxidant properties increased (Demirci et al., 2017). Rice bran dietary fiber could be effective for controlling weight and inflammatory factors (Edrisi et al., 2017). Munkong et al. (2016) analysed the metabolic changes of obese rats, fed with high-fat diets and supplemented with a rice bran aqueous extract (2205 mg/kg/day). These experiments demonstrated the vasoprotective effect of the extracts for regulating cardiovascular risk factors. A beneficial effect on dyslipidemia, hyperinsulinemia and hypertension was observed in obese Zucker rats fed with rice bran extract obtained by enzymatic treatment (Justo et al., 2014). In the case of rice bran proteins, they may be employed in infant formulas for children with cow’s milk allergy due to its hypoallergenicity and high nutritional value (Amagliani et al., 2017). Its proteins have been compared to casein and have been reported to have anti-cancer activity by retarding the growth of tumor or cancer cells and interrupting cancer cells adhesion (Fabian and Ju, 2011). Rice bran proteins could be also employed as a substitute for animal proteins because of its high content of lysine and threonine, which are limiting essential amino acids, and because of the presence of lysine, cystine, methionine, leucine, tyrosine, phenylalanine, histidine, arginine, threonine, glycine, valine and isoleucine which are important amino acids (Fabian and Ju, 2011).


New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods


Bioacve properes

Free radicals



Health promong effects

Anoxidant acvity

Electron donaon

Figure 4

The bioactive properties of rice bran and its health promoting effects.

In addition, rice bran modulates the immunity of the intestinal mucosa with a preventive effect on the appearance of colorectal cancer. According to recent research of Pham et al. (2017), the modulatory effect is due to “Soluble feruloylatedarabinoxylan oligosaccharides and polyphenols isolated from rice bran” which promote intestinal health through its prebiotic function. Moreover, studies conducted on the consumption of 30 g/day of heat-stabilized rice bran in 7 healthy patients over 28 days show that human intervention is feasible since after two and four weeks of consumption the number of microorganisms of the genera Bifidobacterium and Ruminococcus, branched-chain fatty acids and other microbial metabolites significantly increased (p < 0.01), being indole-2-carboxylic acid the most significant change (Sheflin et al., 2015). In vitro and in vivo studies in animals and humans have shown that rice bran intake regulates lipids and blood glucose (Qureshi et al., 2002; Justo et al., 2014). A decrease in glucose absorption has been observed, delaying the release of insulin and so potentially influencing weight control (Justo et al., 2014). The examples mentioned above show that it is possible to incorporate rice bran into foods formulation and therefore its reuse making food healthier because of rice bran bioactive properties.

Safety The presence of certain minerals associated with environmental pollution such as Arsenic (As), Lead (Pb), Cadmium (Cd) and Mercury (Hg) has been detected in rice. Rego et al. (2018) detected high concentrations of inorganic As, As (III) and As (V) species in rice bran. These chemical contaminants can affect consumer’s health by causing damage in vital organs and increasing risk of cancer (Liu et al., 2016; Al-Saleh and Abduljabbar, 2017). Heavy metals would be the main threat to food safety that could present rice. Therefore, their analysis is necessary to certify the safety of rice and its by-products, including bran, and strategies to reduce their concentration and ensure a safe product have to be stablished. The accumulation of these metals occurs by absorption through the roots and their subsequent passage to the tissues. Several studies reveal that consuming certain varieties can reduce exposure to these metals (Al-Rmalli et al., 2012; Rahman et al., 2014; Naseri et al., 2015). In addition, reduction to exposure can be achieved by improving rice water management controlling the availability of metals by the mobility through irrigation, spraying or alternating wetting and drying (Das et al., 2016; Rothenberg et al., 2016; Norton et al., 2012). The incorporation of nutrients such as silicon, zinc, magnesium oxide, among others, also reduce the accumulation of heavy metals, reducing their toxicity (Kikuchi et al., 2009; Naeem et al., 2015; Saifullah et al., 2016).

New Functional Ingredients From Agroindustrial By-Products for the Development of Healthy Foods


Another possible source of food safety threat in rice is the presence of mycotoxins. Mycotoxins are secondary metabolites produced by filamentous fungi, which can cause detrimental effects on the consumer health (Neme and Mohammed, 2017). The presence in rice is less frequent than in other cereals; nevertheless, the presence of aflatoxin B1, aflatoxin B2, deoxynivalenol (DON), ochratoxin (OT), and zearalenone (ZEN) has been recorded in freshly harvested rice grains (SempereFerre, 2016; Almeida et al., 2012; Tanaka et al., 2007). In these cases, the strategies to reduce mycotoxins concentration are focused on control of the process from the field to the consumer through the application of good manufacturing practices and the implementation of Hazard Analysis and Critical Control Point (HACCP) plans, in order not to exceed the limits established by current legislation (FAO, 2004).

Final Comments Rice bran is a natural source of bioactive compounds and nutrients with potential as food ingredient. The profile of rice bran bioactive compounds possess health-promoting properties for reducing the risk of non-communicable chronic diseases. At the industrial level, production and commercialization of rice bran oil has been widely established so the use of dietary fibre (main component)is of interest. Rice bran antioxidant dietary fibremay work as a vehicle for antioxidant compounds (phenolic acids), hypoallergenic proteins and potential bioactive peptides encrypted in their native structure. To date, bioactive compounds of rice bran have been studied in vitro. Moreover, few in vivo studies on their bioaccessibility and bioavailability have been performed. Further studies should be conducted to complete the validation of rice bran as a functional food ingredient. The procedure for ensuring its safety should be thoroughly established. However, the analysis of heavy metals can be employed to achieve this goal.

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Vegetable By-products as a Resource for the Development of Functional Foods Antonio Colantuono, University of Naples “Federico II”, Portici, Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Vegetable By-products as Natural Source of Polyphenols and Dietary Fiber Vegetable By-products as Ingredients for New Functional Foods Polyphenols and the Inhibition of Key Digestive Enzymes Conclusions References

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Abbreviations GiT Gastrointestinal tract PPs Polyphenols DF Dietary Fiber

Abstract In the last decades, a growing number of functional foods promising a huge variety of health properties beyond their nutritional aspects, was developed and entered on the market. In perspective of a model of circular economy based on a sustainable food supply chain management, polyphenols obtained from vegetable by-products can be included in the formulation of new functional foods and ingredients able to modulate the metabolism of nutrients in the gastrointestinal tract through total or partial inhibition of enzymes involved in carbohydrates and fats digestion. It was widely demonstrated that different classes of polyphenols show different lipase, a-amylase and a-glucosidase inhibitory capacities and that these differences are linked to specific features in their chemical structures. Moreover, polyphenols can undergo several chemical transformations during food processing and digestive processes, thus their inhibitory capacity may change with respect to initial pure compounds. In this frame, the lacking informations about the influence of food processing and of the physiological changes that occur during digestion process on the targeted bioactive compounds, can be an important cause of costly late-stage failures in functional food development process. In this frame, enzyme assays coupled to in vitro human digestion models are useful tools to foresee the effectiveness of polyphenols to inhibit digestive enzymes, after the structural changes occurring during digestive processes. However, due to the main limitation of in vitro model systems to fully mimic the overall processes occurring in vivo, human trials are needed to confirm findings from in vitro studies.

Vegetable By-products as Natural Source of Polyphenols and Dietary Fiber In recent decades, the growing demand by consumers of functional foods enriched with bioactive compounds, as well as the increased interest of the food industry for the development of environmentally friendly food processes, led to the search of new sustainable solutions for the exploitation of by-products resulting from plant foods processing. In fact, the industrial processing of fruits and vegetables for the production of vegetable oils, juices, jams or canned foodstuffs has as a consequence the production of large amounts of food processing by-products, mainly including peels, leaves, stems, pomace, processing waters and seeds. The disposal of a large amount of these waste materials results in high costs for the food industry and can have a negative environmental impact. According to the European legislation (Directive 2008/98/EC), waste products resulting from a production process, may be considered by-products, if:

• • • •

Their use is certain; They can be used directly without any further processing other than normal industrial practice; They are produced as an integral part of a production process; Their use is lawful and will not lead to overall adverse environmental or human health impacts.

The estimated percentage of food wastes and by-products ranges from 30% to 50% for fruit and vegetable juices production, from 5% to 30% for fruit and vegetable processing and preservation and from 40% to 70% for vegetable oils production (Kasapidou et al., 2015). It is worth to notice that fruits from the temperate areas, as Mediterranean Countries, are usually characterized by a moderate amounts of waste material, whereas considerably higher ratios of by-products arise from tropical and subtropical fruits processing (Schieber et al., 2001). In this frame and in perspective of a model of circular economy based on a sustainable food


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supply chain managment, vegetable by-products can be used as sources of compounds with high biological value. In fact, vegetable by-products are rich low-cost sources of bioactive molecules, especially polyphenols (PPs) and dietary fiber (DF). Moreover, also if the use of vegetable by-products in food applications could present some criticisms related to their safety of use, the individuation of potentially hazardous constituents inside the by-products could allow the selection of safe doses for the use in final food products (Schieber et al., 2001). Similarly, microbial issues concerning vegetable by-products can be avoided by submitting the material to washing and drying steps by dryer or freeze-dryer. Then, the dried products can be milled and submitted to a solvent extraction for the recovery of bioactive compounds, or directly used in their whole form as functional flours for the formulation of new dietary fiber-rich foods (Colantuono et al., 2016, 2017, 2018). Drying processes can be also combined with further thermal treatments aiming to reduce the overall microbial load.

Vegetable By-products as Ingredients for New Functional Foods An emerging application of vegetable by-products is their re-utilization for the formulation of new functional foods and ingredients, e.g. new foods having the ability to modulate oxidative processes and the metabolism of nutrients in the gastrointestinal tract (GiT). Obesity is an urgent social problem and functional foods able to modulate oxidative stress and energy homeostasis are promising tools to control inflammatory status and body weight gain. It is well know that on the basis of their specific chemical composition (types and amount of macronutrients, micronutrients and non-nutrients bioactive compounds) as well as their physical and sensory properties, different foods can affect in a different way cognitive, hedonic, neuroendocrine and homeostatic factors underlying the regulation of appetite and energy intake (Tremblay and Bellisle, 2015). Additionally, some non-nutritional bioactive food components, mainly including DF and PPs, may act as modulators of physiological signals involved in the regulation of energy intake. In this context, the food industry may play a crucial role for the implementation of new food strategies useful to counteract the spread of obesity and overweight. As reported by Nehir El and Simsek (2012) some energy reduction strategies may include:

• • •

Calorie reduction by food structure design; Calorie reduction by the use of carbohydrate and/or fat substitutes in foods formulations; Calorie reduction by the inhibition of enzymes involved in carbohydrates and fats digestion.

This latter solution can be obtained by including in food products natural compounds that naturally inhibit digestive enzymes, i.e. molecules able to limit both bioaccessibility and bioavailability of carbohydrates, fats and proteins along the gastrointestinal tract. The term functional foods was first coined in Japan in 1984 in order to define “Foods fortified with special constituents that possess advantageous physiological effects” (Martirosyan and Singh, 2015). More recently, the Functional Food Center/Functional Food Institute, located in Dallas (Texas, USA) defined functional foods as “Natural or processed foods that contains known or unknown biologically-active compounds; which, in defined, effective non-toxic amounts, provide a clinically proven and documented health benefit for the prevention, management, or treatment of chronic disease” (Martirosyan and Singh, 2015). According to Betoret et al. (2011), technological strategies used in food processing for the development of new functional foods can be divided in three main groups:

• • •

Technologies traditionally used in food processing, mainly including formulation, blending as well as cultivation and animal breeding techniques finalized to obtain improved food products; Technologies designed to prevent the deterioration of physiologically active compounds, mainly including microencapsulation, development and utilization of edible films and coatings or the vacuum impregnation; Others more recent technologies that contribute to customize designed functional foods, mainly including nutrigenomics.

However, despite the huge number of studies about the inclusion of PPs from vegetable by-products in functional foods, there is a lack of knowledge concerning the interactions of these bioactive compounds with the other components of the food matrix as well as their potential health benefits along the GiT. Moreover, the lacking informations about the influence of food processing on the targeted bioactive compounds and about the way through they interact with other food components, as well as the fate and the potential functional properties along the GiT, can be an important cause of costly late-stage failures in functional food development process.

Polyphenols and the Inhibition of Key Digestive Enzymes PPs are molecules characterized by high structural diversity and in foods may occur both in free form (mainly as glycosides) and covalently bound to cell wall structural components (Acosta-Estrada et al., 2014). Additionally, PPs can be physically entrapped or linked to food macronutrients (i.e. starch, proteins and lipids) mainly through non-covalent interactions. The chemical structure of PPs, their linkage with other food components as well as their disposition in the food matrix, highly influence their bioaccessibility in the GiT, i.e. the amount of these compounds that is available to be absorbed. Thus, the action of the digestive and bacterial enzymes, by breaking up the food matrix and delivering PPs in the GiT, is fundamental for PPs to act both systematically


Vegetable By-products as a Resource for the Development of Functional Foods

(after absorbtion) as well as locally in the GiT. This latter is the first apparatus to be exposed to dietary PPs after their release from the food matrix. In the intestinal lumen, PPs may act as antioxidant and anti-inflammatory molecules. They can quench the free radicals continuously forming in the GiT, thus counteracting both subclinical oxidative stress and intestinal high-fat diet inducedinflammation, which are correlated to obesity exacerbation and insulin resistance (Van Den Ende et al., 2011). In the GiT, PPs may influence the activity of digestive enzymes such as pancreatic a-amylase, brush-border a-glucosidase and pancreatic lipase, thus modulating nutrients bioavailability and the neuro-hormonal signals underpinning appetite mechanisms in the short term, and the body weight in the long term (De La Garza et al., 2011; Tucci et al., 2010; Hanhineva et al., 2010). Starch is the most abundant complex polysaccharide in foods and its digestion in the GiT is mediated by different hydrolytic enzymes, mainly a-amylase and a-glucosidase. Starch digestion starts in the mouth and is completed in the intestinal lumen where it is hydrolyzed by pancreatic a-amylase. Then, the resulting oligosaccharides and disaccharides are further hydrolysed into absorbable glucose by a-glucosidases located in the brush-border surface membrane of the intestinal cells. Intestinal a-glucosidase is a brush-border enzyme responsible for the conversion of oligosaccharides and disaccharides, into absorbable monosaccharides. The inhibition of a-amylase and a-glucosidase leads to the modulation of glucose bioaccessibility and bioavailability in the small intestine, thus influencing post-prandial blood glucose and the related hormonal response (Lavin et al., 1998). Blood glycemic control is considered an effective strategy to prevent diabetes and obesity exacerbation (Hanhineva et al., 2010). Similarly, pancreatic lipase is the enzyme responsible of hydrolysis of dietary fats, mainly triglycerides (90%–95%). The hydrolysis of fats starts in the mouth, then continues in the stomach by gastric lipase, and in the duodenum through the synergistic actions of gastric and pancreatic lipases, leading to the formation of monoglycerides and free fatty acids. These compounds are absorbed by the enterocytes to synthesize new triglyceride molecules, which are transported to the different organs via lipoproteins, especially chylomicrons. The inhibition of pancreatic lipase decreases the digestion of triglycerides, resulting in a lower absorption of fatty acids and a reduced energy intake (De La Garza et al., 2011). It was widely demonstrated that different classes of PPs show different lipase, a-amylase and a-glucosidase inhibitory capacities and that these differences are linked to specifical features in their chemical structures, e. g. number and position of hydroxyl groups and/or galloyl groups, degree of polymerization and degree of glycosylation and/or methylation. For example, concerning the lipase inhibition, both for flavonoids and phenolic acids a higher number of hydroxyl groups and galloyl moieties increases the inhibitory effects. Moreover, hydroxybenzoic acids inhibit less powerfully pancreatic lipase than hydroxycinnamic acids (Buchholz and Melzig, 2015). Similarly, a high number of galloyl and hydroxyl groups in the molecules increases a-glucosidase and a-amylase inhibitory capacity of PPs while hydrogenation, methylation, methoxylation and glycosylation usually work in an opposite way (Xiao et al., 2013a, 2013b). To determine the inhibitory potential of each compound, different in vitro enzyme assays are available. However, PPs can undergo several chemical transformations during food processing and digestive processes, thus their inhibitory capacity may change with respect to initial pure compounds. In order to foresee the bioaccessibility in the GiT and simulate the ability of PPs to inhibit digestive enzymes after chemical transformations that occur during the digestive process of a newely developed functional food, in vitro enzyme assays can coupled to in vitro digestion models and to other chemical analysis. In this way it is possible to study the gastrointestinal fate of targeted PPs present in selected vegetable by-products and included in the formulation of the new functional food. However, in vivo studies are needed to confirm in vitro results and for the final validation of new functional foods/ingredients developed as well as to obtain a health claim draw up by the European Food Safety Authority (EFSA). Finally, a combination of in vivo studies and specific in vitro methods is needed to fully understand/prevent the complexity of the mechanisms that underlie the outcomes of in vivo human intervention trials.

Conclusions Vegetable by-products are a rich and plentiful low-cost source of PPs, and for this reason can be utilized for the formulation of new foods able to modulate oxidative processes and the metabolism of nutrients in the GiT by inhibiting the activity of enzymes involved in carbohydrates and fats digestion. In the development stage of these new functional foods, in vitro enzyme assays, in vitro digestion models and other chemical analysis and biochemical assays can be used simultaneously in order to foresee the potential fate of selected PPs along the GiT, as well as their potential effectiveness in the inhibition of key digestive enzymes. However, in vivo studies are needed to confirm in vitro results and for the final validation of the effectiveness of the new foods/ingredients developed.

References Acosta-Estrada, B.A., Gutiérrez-Uribe, J.A., Serna-Saldívar, S.O., 2014. Bound phenolics in foods, a review. Food Chem. 152, 46–55. Betoret, E., Betoret, N., Vidal, D., Fito, P., 2011. Functional foods development: trends and technologies. Trends Food Sci. Technol. 22, 498–508. Buchholz, T., Melzig, M.F., 2015. Polyphenolic compounds as pancreatic lipase inhibitors. Planta Medica 81, 771–783. Colantuono, A., Ferracane, R., Vitaglione, P., 2016. In vitro bioaccessibility and functional properties of polyphenols from pomegranate peels and pomegranate peels-enriched cookies. Food Funct. 7, 4247–4258. Colantuono, A., Ferracane, R., Vitaglione, P., 2018. Potential bioaccessibility and functionality of polyphenols and cynaropicrin from breads enriched with artichoke stem. Food Chem. 245, 838–844.

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Colantuono, A., Vitaglione, P., Ferracane, R., Campanella, O.H., Hamaker, B.R., 2017. Development and functional characterization of new antioxidant dietary fibers from pomegranate, olive and artichoke by-products. Food Res. Int. 101, 155–164. De La Garza, A.L., Milagro, F.I., Boque, N., Campión, J., Martínez, J.A., 2011. Natural inhibitors of pancreatic lipase as new players in obesity treatment. Planta Medica 77, 773–785. Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain directives. Off. J. Eur. Community L 312, 2008, 313–330. Hanhineva, K., Törrönen, R., Bondia-Pons, I., Pekkinen, J., Kolehmainen, M., Mykkänen, H., Poutanen, K., 2010. Impact of dietary polyphenols on carbohydrate metabolism. Int. J. Mol. Sci. 11, 1365–1402. Kasapidou, E., Sossidou, E., Mitlianga, P., 2015. Fruit and vegetable co-products as functional feed ingredients in farm animal nutrition for improved product quality. Agriculture 5, 1020–1034. Lavin, J.H., Wittert, G.A., Andrews, J., Yeap, B., Wishart, J.M., Morris, H.A., Morley, J.E., Horowitz, M., Read, N.W., 1998. Interaction of insulin, glucagon-like peptide 1, gastric inhibitory polypeptide, and appetite in response to intraduodenal carbohydrate. Am. J. Clin. Nutr. 68, 591–598. Martirosyan, D.M., Singh, J., 2015. A new definition of functional food by FFC: what makes a new definition unique? Funct. Foods Health Dis. 5, 209–223. Nehir El, S., Simsek, S., 2012. Food technological applications for optimal nutrition: an overview of opportunities for the food industry. Compr. Rev. Food Sci. Food Saf. 11, 2–12. Schieber, A., Stintzing, F., Carle, R., 2001. By-products of plant food processing as a source of functional compoundsdrecent developments. Trends Food Sci. Technol. 12, 401–413. Tremblay, A., Bellisle, F., 2015. Nutrients, satiety, and control of energy intake. Appl. Physiol. Nutr. Metabol. 40, 971–979. Tucci, S.A., Boyland, E.J., Halford, J.C., 2010. The role of lipid and carbohydrate digestive enzyme inhibitors in the management of obesity: a review of current and emerging therapeutic agents. Diabetes Metabol. Syndrome Obes. Targets Ther. 3, 125–143. Van Den Ende, W., Peshev, D., De Gara, L., 2011. Disease prevention by natural antioxidants and prebiotics acting as ROS scavengers in the gastrointestinal tract. Trends Food Sci. Technol. 22, 689–697. Xiao, J., Kai, G., Yamamoto, K., Chen, X., 2013a. Advance in dietary polyphenols as a-glucosidases inhibitors: a review on structure-activity relationship aspect. Crit. Rev. Food Sci. Nutr. 53, 818–836. Xiao, J., Ni, X., Kai, G., Chen, X., 2013b. A review on structure–activity relationship of dietary polyphenols inhibiting a-amylase. Crit. Rev. Food Sci. Nutr. 53, 497–506.

Chestnut as Source of Novel Ingredients for Celiac People Annalisa Romano and Maria Aponte, Department of Agricultural Sciences, University of Naples, Portici (Naples), Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Agronomic Classification and Composition of Chestnut Fruit Processing of Chestnuts Application of Chestnut Flour in the Development of Gluten-free Products Bakery Products: Bread and Snacks Functional Chestnut Gluten-free Foods Conclusions References

364 364 365 365 366 367 367 367

Abstract Chestnut is a nut cultivated in a variety of growing conditions and climates, being globally popular and valued for its sensory, nutritional and healthy properties. European sweet chestnut (Castanea sativa Mill.) is mainly grown in the temperate regions of continental Europe and has represented one of the most important and sustainable food resources of rural areas for many centuries. Chestnut fruit is highly appreciated and extensively consumed throughout Europe, America and Asia, because is considered a high nutritional value food, extremely versatile and safe. Recently, there is an increasing demand of both the fresh and transformed fruit e.g. chestnut flour for its gluten-free characteristic and low fat content compared with other nuts for the development of glutenfree for celiac disease patients, non-celiac gluten sensitivity people and consumers who avoid gluten for lifestyle reasons and of health-related food products. The market for edible chestnuts has considerable potential for increase in production and demand given growing consumer interest in alternative and healthy foods (Gold et al., 2004). Almost 20% of the total production is used to make chestnut flour, dried chestnuts and the marrons glacé sweet.

Agronomic Classification and Composition of Chestnut Fruit The chestnut (Castanea) group is a genus of eight or nine species of deciduous trees and shrubs in the beech family Fagaceae, native to temperate regions of the Northern Hemisphere. It is a species providing multiple benefits to man (wood, fruit, honey, tannin, preservation of ecological and landscape values). It is considered a significant tree in the agricultural and forestry economy, and chestnut fruits have represented one of the most important food resources of rural areas for many centuries. Antolia in Turkey is known as the motherland and one of the oldest cultivation places of chestnut (Erturk et al., 2006). Some species of this tree Castanea crenata, Castanea mollissima and Castanea dentata are distributed mainly in Asia particularly in China, Korea and Japan, in the America and in South Europe (Pereira-Lorenzo et al., 2006; Wani et al., 2017). Sweet chestnut (C. sativa Mill.) belongs to the angiosperm family of Fagaceae and sub family Castaneoideae and it is the only European species of chestnut. Europe is responsible for about 5% of global production, with relevance for Italy and Portugal (Botondi et al., 2009; Livre Blanc Chataigne, 2014). This is due to the favourable climatic, edaphic and ecological conditions that this area provides. Sweet chestnuts are extensively grown in Italy and they are also easily available, cheap and their flavour is known and liked by the Italian population (Durazzo et al., 2013). In particular, Campania region provides the 50% of the Italian chestnut crops and, in 1992, one Protected Geographical Indication (PGI) called “Castagna di Montella”, was created for chestnuts produced in the Irpinia district (Blaiotta et al., 2012). Sweet chestnut has become a subject of increasing international interest because of enhanced consumption especially in the countries of Europe, Australia, New Zealand and the United States (Gold et al., 2004). The European chestnut fruits are consumed as fresh, boiled, roasted or in industrially processed forms such as marrons glacé sweet and chestnut flour. Fresh chestnut fruits contain 50% water when fresh and have about 180 calories per 100 g of edible parts. Chestnut fruits are a good source of starch as they have a content between 38% and 80% (Borges et al., 2008). In particular, 21.5% of raw chestnut starch takes the form of rapidly digestible starch, 20.9% is slowly digestible starch, and 57.6% can be termed resistant starch (Pizzoferrato et al., 1999). The free sugar sucrose can be up to one-third of the total sugars, but studies revealed the presence of several mono-and disaccharides (glucose, fructose, sucrose and maltose) as well as of fiber (De Vasconcelos et al., 2010). On the other hand, chestnuts contain very small amounts of fat (1%) that is low in saturated fatty acids and high in monounsaturated (MUFA) and polyunsaturated (PUFA) fatty acids, which are known for their anticancer effects and for decreasing the risk of cardiovascular diseases and neurological function disorders. The protein content is low (5%), but of very high quality, comparable with eggs and is easily assimilated by the human body. Chestnut fruits also contain significant amounts of g-aminobutyric acid and are a good dietary source of vitamins E, C, B1, B2, B3, pantothenic acid, pyridoxine, folate and of important mineral macro- (Ca, P, K, Mg and S),


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and micro- (Fe, Cu, Zn and Mn) elements. Furthermore, the chestnut fruit content of phenolics (gallic and ellagic acid) has been linked with various positive health effects such as antioxidant effects, decreases in the risk of cardiovascular diseases, anticancer mechanisms and anti-inflammatory properties (Naczk and Shahidi, 2006; De Vasconcelos et al., 2010). Moreover, chestnut fruits are free of gluten and obviously of cholesterol.

Processing of Chestnuts Chestnuts are typical seasonal fruit that maintain their optimal commercial quality, turgescence and health for only a comparatively brief period. Fresh chestnut fruits are processed in several ways, at home or on an industrial scale to improve sensorial properties (aroma, flavour, texture), digestibility of the fruits (i.e. making nutrients more bioavailable), and shelf-life of the different chestnutbased products. For commercial purposes, chestnuts are often classified by size, being the smallest fruits used in the industry and the biggest fruits intended for the fresh fruit market. Chestnuts possess relatively high moisture content (50% wet basis) and dry out rapidly if compared with other edible nuts. The major factors in post-harvest depreciation are moulding or rotting caused by fungi and larval development of insect (Wells and Payne, 1980). Insect damage is usually due to infestations of Cydia splendana and Curculio elephas, which attack the fruits while still on the trees. Fungal infections often start in the larval galleries of insects, and nuts become infected on the ground before picking (Wells and Payne, 1980). Some moulds are considered endophytes that colonise the fruits at various stages during their development but do not cause any symptoms of disease until after fruit fall (Washington et al., 1999). Expansion of fungal mycelia in the fruits and degradation of the cotyledons mainly occur during storage (Wells and Payne, 1980). At early infection stages, it is not easy to differentiate slightly mouldy or parasitized nuts from good ones until they are processed or consumed (Wells and Payne, 1980). As a consequence, various nut-treatment techniques have been developed. The most common are thermo-hydrotherapy (warm bath) and hydrotherapy (cold bath) or “Curatura”. Thermo-hydrotherapy, the immersion of fruits into water at 50  C for 45 min followed by drying, prolongs the storage time up to 3–4 months; hydrotherapy, the immersion into water at 18–20  C for 4–7 days followed by drying, allows to extend preservation up to 5–6 months; drying, the reduction of the fruit moisture content, is used for small fruits to be peeled and transformed into flour; finally, preservation with artificial respiration in cold chambers at 0 to 2  C and 90%–95% of relative humidity, allows a preservation from 3 to 4 months. The cold-bath treatment has the advantage of not requiring any special equipment and of maximizing the weight of the fruit, but it has several disadvantages: it takes up a large space, immobilizes nuts for almost 10 days, makes the treated fruit lose lustre and cannot guarantee the total elimination of C. elephas larvae (Jermini et al., 2006). In Italy, the most diffuse chestnut treatment is the water curing, known in the past as “novena”, since fruits were usually kept in water for nine days (Blaiotta et al., 2014). Determining factors that affect effectiveness of water curing have only been explained partially (Jermini et al., 2006; Botondi et al., 2009; Migliorini et al., 2010). The efficiency of the method depends on partial lactic and alcoholic fermentation that takes place during the curing process, which reduces pH and allows diffusion of phenols from the episperm into the flesh (Botondi et al., 2009). More generally, antifungal effect of water curing can be related to an increase in CO2, acetaldehyde and phenolic compounds in water, presumably together with an increase in lactic acid content (Botondi et al., 2009). After curing, chestnuts could undergo refrigerated storage since they are not susceptible to damage caused by low temperature. The best preservation conditions have already been defined in previous studies: 1 to 2  C (Jermini et al., 2006) and a relative humidity of 90% (Mencarelli, 2001). Controlled atmosphere storage may complement low temperatures, since it slows down the activity of enzymes responsible for darkening phenomena, limits decay and delays fruit sprouting (Mencarelli, 2001). Almost 20% of the total production is used by the food industry to make chestnut flour, dried chestnuts and a confectionery preparation called ‘marrons glacé’. The marrons glacé sweet are the most appreciated processed chestnut fruits in France, Italy, Switzerland, and Spain. For the preparation of these confectioneries, chestnuts are submerged in a sugar-rich solution and then covered with glucose. The fruits are cooked in an oven at 300  C for 1–2 minutes to crystallize the sugar (López et al., 2004). The transformation of chestnuts into flour is widely practiced in Europe especially for small nuts or nuts with double embryos. Chestnut flour is obtained by grinding dried fruits after the removal of pericarp and endocarp (Bounous and Giacalone, 1992).

Application of Chestnut Flour in the Development of Gluten-free Products Chestnut fruits and flour do not contain gluten and thus are suitable for people who suffer from celiac disease and non-gluten (or wheat) sensitivity. Celiac disease and non-gluten (or wheat) sensitivity are two clinical conditions with different pathophysiology but with similar treatment i.e. the withdrawal of gluten from the diet (Leonard et al., 2017). In particular, celiac disease is a chronic inflammatory reaction in the small intestine triggered by the ingestion of immunogenic prolamin and glutelin peptides derived from barley, wheat, and rye. This autoimmune disease leads to a reduction of the intestinal villi, ultimately leading to total atrophy. Celiacs show symptoms ranging from diarrhea, fatigue, and vomiting to dermatitis and suffer reduced uptake of vitamins and minerals. Additionally, an increased risk of diabetes, osteoporosis and life-threatening small bowel cancer was detected (Rostom et al., 2006). The only treatment for celiac disease and non-gluten sensitivity is lifelong abstinence from gluten-containing products made from barley, wheat, or rye and contain more than 20 mg of gluten per kilogram. The prevalence of the celiac disease in Western Europe has been recently assessed to be 1:100 (Lebwohl et al., 2015), but the validity of this value is still unclear because


Chestnut as Source of Novel Ingredients for Celiac People

of silent forms and low clinical rates of detection. Nowadays, not only celiac disease patients, but also people who suffer from nonceliac gluten sensitivity and an increasing share of consumers who avoid gluten for lifestyle reasons follow a gluten-free diet (Masure et al., 2016). Whether or not linked to celiac disease or other gluten-related disorders, gluten-free diets attract a lot of attention in the media nowadays. A wide range of methods to produce gluten free products have been established. These can be mainly categorized according to the raw materials applied, using naturally gluten-free ingredients such as flour or starch from non-gluten cereals (e.g. corn, rice), pseudocereals (e.g. quinoa, buckwheat and amaranth), chestnut etc. Technological methods may be used to improve gluten-free products quality (Capriles and Arȇas, 2014; Matos and Rosell, 2015) or, alternatively, process engineering can be applied to degrade gluten when using traditional, non-gluten free raw materials (Kerpes et al., 2017). The main advantage of alternative raw ingredients, for instance chestnuts, is that they are by definition absent of gluten. Besides, chestnut flour possess health benefits, nutritional and flavour properties (Singh et al., 2011; Yang et al., 2015). Therefore, there are many new products derived from chestnuts and chestnut flour that have been created to replace wheat/cereal-containing foods (Aponte et al., 2013) for gluten-free diet. Chestnut flour contains starch (50%–60%), relatively high amount of sugar (20%–32%), high quality proteins with essential amino acids (4%–7%), dietary fiber (4%–10%) and low amount of fat (2%–4%). It also contains vitamin E, vitamin B group, potassium, phosphorous and magnesium (De Vasconcelos et al., 2010). Since most of the gluten-free products do not contain sufficient amounts of vitamin B, iron, folate, and dietary fiber (Moroni et al., 2009; Morrone et al., 2015), it may be advantageous to use chestnut flour due to its nutritional value (Demirkesen et al., 2010). Moreover, chestnut flour is a rich source of phytochemicals and polyphenolics, with gallic and ellagic acid as predominant among hydrolyzable and condensed tannins (De Vasconcelos et al., 2010; Durazzo et al., 2013), that exhibit antimicrobial activity (De Vasconcelos et al., 2010). Chestnut flour contains interesting levels of lignans, compounds known to exert significant positive effects on human health (Durazzo et al., 2013).

Bakery Products: Bread and Snacks Among gluten-free foods, bread is the most important. In recent years there is a trend in utilizing non conventional food sources in bakery formulation in order to improve the nutritional profile of final products (Romano et al., 2018). Baking of gluten free flours is a big challenge due to the lack of gluten proteins, as gluten is a protein which possesses structure-forming ability that affects elastic properties of dough and contributes to the overall appearance and crumb structure of many baked products. Therefore, the removal of gluten in gluten-free formulation is a very demanding task often resulting in low quality, poor mouthfeel and low flavour products (Moroni et al., 2009). Actually, studies on the possibility of using chestnut flour in bread making are gaining great interest in literature (Sacchetti et al., 2004; Demirkesen et al., 2010; Moreira et al., 2012; Dall’Asta et al., 2013; Paciulli et al., 2016; Mir et al., 2017). Outcomes of several studies (Demirkesen et al., 2010; Demirkesen et al., 2011; Demirkesen, Sumnu, Sahin, 2013a, 2013b) suggested that the addition of chestnut flour on a simple rice-based gluten-free formulation represents a promising way to enhance nutritional values of gluten-free breads. According to authors, a ratio 40/60 chestnut/rice flour, appeared to be a good compromise to obtain bread with fair firmness, density and color, but still characterized by a good fibre content. Indeed, high amounts of chestnut flour proved to lead to some deterioration in quality parameters (lower volume, harder texture and darker colour). In addition, chestnut flour added breads showed a delay in the staling process, confirming the feasibility of producing bread with improved nutritional and qualitative characteristics, not only just after baking, but also during the shelf-life (Demirkesen et al., 2014; Rinaldi et al., 2015; Paciulli et al., 2016). The use of sourdough - a mixture of flour and water, which is symbiotically fermented by the action of lactic acid bacteria and yeasts - was reported to be a potential strategy for developing of chestnut gluten-free products (Aponte et al., 2014; Aguilar et al., 2016; Rinaldi et al., 2017). As matter of fact, in sourdoughs realized with the sole chestnut flour, the achievement of the microbial equilibrium may require a longer time (Aponte et al., 2013). Chestnut flour needs to be mixed with other flours and the definition of the exact content of chestnut flour in the blend represents a crucial issue. Aguilar et al. (2016) studied a spontaneously fermented chestnut flour sourdough and evaluated its effect on gluten-free breads during 7 days of storage: chestnut flour sourdough improved the bread specific volume, rendered breads with lighter crusts, reduced the crumb hardness at day 0 and day 7 and reduced the pH. However, chestnut flour sourdough did not influence sensory characteristics perceived by consumers. While Rinaldi et al. (2017) reported that sourdough fermentation with chestnut flour reduced the volume of loaves and the heterogeneity in crumb grain. Chestnut flour could also be used as a functional ingredient in the formulation of snack products (Sacchetti et al., 2004); when added to cereal-based mixtures, chestnut flour may improve nutritional value (high content in fibre, lysine and methionine, g-amino butiric acid, vitamin E and B group vitamins), physical properties (texture, density and color), as well as sensory characteristics (sweetness and aroma) of extruded products. Studies on chestnut flour functional properties in relation to extrusioncooking processes were conducted (Silva et al., 1994); results indicated that chestnut flour might be used in the production of new food-stuffs obtained through extrusion-cooking. From a sensory standpoint, chestnut flour has a pleasant taste which grants its appreciation by the sweets and candy industries; moreover, as reported by Sacchetti et al. (2004), during processing chestnut sugars could enhance the Maillard reaction occurrence, thus improving the product’s biscuit-like and roasted aroma. These sensory characteristics were also shown to fit well with other extruded products such as ready-to-eat chestnut flour based breakfast cereals (Sacchetti and Pinnavaia, 1999).

Chestnut as Source of Novel Ingredients for Celiac People


Functional Chestnut Gluten-free Foods On the basis of the starchy nature, the overproduction of chestnuts can be profitably used in the formulation of alternative foods or for biotechnological purposes. Apart from the production of sweet flour intended for the confectionary industry (Demirkesen et al., 2010), an option for the exploitation of chestnut overproduction is production of alcoholic beverages from distillation of fermented chestnut (López et al., 2004, 2006; Murado et al., 2008). Recently, the general increase in demand for “natural” products represented a driving force that also had a positive influence on the chestnut market. Moreover, since most of the commercially available probiotic carriers are dairy-based products, such as yoghurt, fermented milk, ice cream and cheeses, an increasing interest is currently found for food matrices other than milk for the production of healthy beverage intended for vegans or consumers who are allergic to lactose present in dairy products (Prado et al., 2008). For this pourpose broken dried chestnuts, a product usually employed for flour production or for animal feeding, have been employed to prepare a puree fermented by selected functional lactobacilli, thus developing a new concept food able to join the functional properties of the chestnut fruits with the benefits provided by the ingestion of lactobacilli on human health (Blaiotta et al., 2012). Moreover according to a recent survey, indigestible chestnut fiber and chestnut extract proved to play a significant role on the gastric tolerance improvement of probiotic lactobacilli. As matter of fact, the main challenge to probiotic bacteria, during their passage through the gastrointestinal tract, are the acidic gastric secretions of the stomach and the bile salts released into the duodenum. Such protective effect of the chestnut flour extract was associated to the presence of one or more hydrophobic peptides or oligopeptides, which specifically offer a resistance to simulated gastric juice, albeit present at low concentration. Such beneficial effects proved to be dependent by the cultivar used to produce the flour (Blaiotta et al., 2013). Chestnut extract has been even used as carrier for the spray drying of two probiotic Lactobacillus rhamnosus strains; dried cultures were incorporated into an anhydrous basis for chestnut mousse developed ad hoc and, in this form, viable cells remained stable over 108 CFU/g during a 3 months long storage at 15  C, thus suggesting that chestnut mousse, a food product naturally rich in antioxidant compounds, may represent an excellent carrier for probiotics delivering (Romano et al., 2013). Chestnut flour was used to produce new chocolate-coated chestnut based chips, a snack with good nutritional value and suitable for celiacs (Di Monaco et al., 2010). For several aspects chestnut appears as a functional fruit and, moreover due to the presence of non-digestible components of the matrix, chestnut might also serve as prebiotics.

Conclusions Nowadays, the improvement of both technological and nutritional quality of gluten-free products is highly debated in the scientific literature and appears as a big challenge for the Food Science and Technology applications. Thus, the use of chestnut flour, that is gluten-free, to develop new and functional products and to improve their quality, provides a promising step towards ensuring that celiac patients, people who suffer from nonceliac gluten sensitivity and an increasing share of consumers who avoid gluten for lifestyle reasons may consume nutritionally balanced products. Chestnut flour has a large potential for commercial success as safe and sustainable ingredient, because it is also extremely versatile, easy to use and is a high nutritional value food.

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Novel Food Ingredients for Food Security Cristina Chuck-Herna´ndeza, Diana Karina Baigts Allendeb, and Ju¨rgen Mahlknechta, a Tecnologico de Monterrey, Escuela de Ingeniería y Ciencias, Monterrey, NL, Mexico; and b Tecnologico de Monterrey, Escuela de Ingeniería y Ciencias, Querétaro, Qro, Mexico © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Novel Food (NF) and Some Insights Into European Legislation Novel Food Proteins Examples of Novel Food Proteins and Protein Sources: Data Regarding Their Sustainability Insect-Based Protein Algae-Based Protein Single Cell Protein Conclusions References

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Abstract Novel foods are foods or food ingredients with no history of widespread and safe consumption whereas food security can be described as access for all people at all times to sufficient, safe and nutritious food to meet their dietary needs and preferences. In this chapter novel foods (NF) definition and insights into NF legislation are depicted as well as sources of novel proteins as sustainable alternatives to animal-based diets with the aim to have more information about their role to reach food security worldwide.

Introduction The introduction of novel food and food ingredients into the food chain can be considered advantageous for improving public health, nutritional diversity, food quality, safety and, security. Novel foods, such as those considered in this chapter, are foods or food ingredients with no history of widespread and safe consumption. The term food security is described by the United Nations as access for all people at all times to sufficient, safe and nutritious food to meet their dietary needs and food preferences. The United Nations calculates that the global population will be 9.3 billion in 2050, 30% more than the number of inhabitants today. This increase will require as much as 70% more food to account for changes in food preferences (FAO, 2017, 2009). Such amount will have an impact on social, environmental and economic resources (e.g., transportation, labor, energy, water, land, and fertilizers among others), affecting the existence of future generations. Currently, food production consumes 70% of all freshwater available, 20% to 30% of global energy, and uses 30% of the ice-free land (Aiking, 2011; FAO, 2011). Despite several efforts to diminish hunger in the world, there were still 815 million hungry people in 2016, which represents an increase of 5% compared with the data from 2015 (FAO, 2017). On the other hand, overweight, another type of malnourishment, is also increasing. Today this problem affects 5% of children and 13% of the adult population worldwide, yielding other variety of complications, such as cardiovascular diseases, cancer and diabetes. Shortly, producing enough food to achieve food security, in a broad sense, will be challenging. Even when it is technically possible to produce food for 10 billion people, a mindset change is needed to identify other food sources instead of the small range, low diversity and animal-based products that are currently being used (Aiking, 2011). The present high intake of protein of animal origin has been supported by intensive farming production and a steadily increase in agricultural yield, but this model represents a high environmental load and is non-sustainable (Baroni et al., 2014; Marlow et al., 2009). Food production from livestock requires 70% of all agricultural land, and to produce 1 kg of beef, pork and poultry meat, 7, 4 and 2 kg of grains respectively are needed, in addition to approximately 15415, 5988 and 4325 L of water, also respectively. Furthermore, the impact of livestock on the environment accounts for 18% of the total emissions of greenhouse gas (GHG) (Alsaffar, 2016; Mekonnen and Hoekstra, 2010; Premalatha et al., 2011; Steinfeld et al., 2006). The importance of animal-based proteins lies in the fact that proteins are more than simple energy sources: they provide the amino acids required for muscle renewal and basic enzymatic activities, and are also the main source of nitrogen, a constituent of DNA and RNA. Because of their importance for the future of humankind, novel protein sources have emerged, and some insights are provided in this chapter, as well as concepts of novel food and novel ingredients. The discussion includes aspects of the sustainability of novel proteins as the basis for the food security of future generations, so it is useful to reflect on the future of food production with the aim of meeting the challenge of assuring sufficient, safe and nutritious food for humankind.

Encyclopedia of Food Security and Sustainability, Volume 1




Novel Food Ingredients for Food Security

Novel Food (NF) and Some Insights Into European Legislation According to the Regulation (EC) No. 258/97 of the European Parliament, NF is a food or food ingredient that does not have a significant history of consumption within the European Union before May 15, 1997 (Fig. 1, Belluco et al., 2013). In 2015 the NF legislation was adjusted, and the European Legislation (EU) 2015/2283 was issued and fully applicable since January 1st, 2018 (replacing the 1997 version). The main reason for this change was to highlight important NF characteristics as well as to establish a new and centralized system of NF authorization. An example is a classification for insects: before the adoption of the new NF regulation, no mention was expressly made regarding insects as food. This legal gap resulted in several interpretations in different countries. Italy, Spain and Ireland, for instance, considered whole insects and their parts as NF, whereas the United Kingdom, Denmark, Belgium and The Netherlands classified them out of the scope of the NF Regulation (Lotta, 2017). The new NF legislation considers insects and their parts as NF, unless they have had a history of use as food before 1997 in the European Union.

Figure 1

Flow diagram of Novel Food evaluation according to the EC 258/1997 regulation. Modified from Belluco et al. (2013).

Novel Food Ingredients for Food Security


Under the latest regulation, NF is defined now as food: “a) with a new or intentionally modified molecular structure; b) food consisting of, isolated from or produced from microorganisms, fungi, algae, materials from mineral origin, plants or their parts without a history of use, animals or their parts without a history of use, and cell or tissue cultures; c) food produced via a novel method that changes the composition or structure; d) nanomaterials; e) substances with a prior use only in/as food supplements; and f) vitamins or minerals (in food supplements, special foods or for enrichment) produced via a new method or which are in nanoform” (Turck et al., 2016). The current authorization of use follows a centralized procedure. Some examples of NFs taken from the latest EU authorized list for microalgae, fungi, seaweed and proteins are shown in Table 1.

Novel Food Proteins As outlined in the introduction, proteins have an essential role in several physiological functions in the human body. The recommended dietary allowance (RDA) of protein for adults is 0.8 g/kg/day or approximately 10% to 30% of the total daily energy intake. In more than half of the countries in the world, the average protein consumption is below the recommendation, mainly where the gross domestic product (GDP) is low, i.e. in the developing/undeveloped world. Protein-calorie malnutrition has a high prevalence in the population of those countries, mainly in vulnerable groups such as children aged less than five years and the elderly. It is estimated that around 14% of this group suffers growth retardation due to an insufficient and inadequate diet. It is predicted that in the coming years the protein contribution will be provided from novel and more sustainable sources, such as waste stream biomass from biofuel, oil and food industries, in addition to the sources already studied in the past few years, i.e. endemic plants, seaweed, insects, algae and microorganisms, such as yeast or bacteria (Boland et al., 2013). Future sources of protein are expected to align with some characteristics like: a) high availability to be used at industrial scale for producing both protein isolates and concentrates as ingredients; b) high protein extractability; c) elimination or inactivation of anti-nutritional compounds; d) good functional properties, mainly solubility in a wide range of pH and ionic strength; and e) a high biological value and digestibility (Ochoa-Rivas et al., 2017; Spiegel et al., 2013).

Table 1

NFs related to microalgae, fungi, seaweed and proteins from novel sources selected from the EU list of novel foods (EC, 2017)


Type organism

Authorized novel food

Specified food category



Algal oil from the microalgae Ulkenia sp.



Arachidonic acid-rich oil from the fungus Mortierella alpina





Astaxanthin-rich oleoresin from Haematococcus pluvialis algae Fucoidan extract from the seaweed Fucus vesiculosus

Bakery products (breads, rolls and sweet biscuits); cereal bars; non-alcoholic beverages (including milk-based beverages). Infant formula and follow-on formula; foods for special medical purposes for premature infants as defined in Regulation (EU) No 609/2013.a Food Supplements as defined in Directive 2002/46/EC.b



Fucoidan extract from the seaweed Undaria pinnatifida



Odontella aurita microalgae

7 8

– –

Potato proteins (coagulated) and hydrolysates thereof Protein extract from pig kidneys


Rapeseed Protein



Schizochytrium sp. oil rich in DHA and EPA



Schizochytrium sp. (ATCC PTA-9695) oil



Dried Tetraselmis chuii microalgae



Yeast beta-glucans


Foods, including food supplements, as defined in Directive 2002/46/EC.b Foods, including food supplements, as defined in Directive 2002/46/EC.c Flavoured pasta; fish soups; marine terrines; broth preparations; crackers; frozen breaded fish. Not specified. Food supplements as defined in Directive 2002/46/ECb; food for special medical purposes as defined in Regulation (EU) No 609/2013.a As a vegetable protein source in foods except in infant formula and follow-on formula. Food supplements as defined in Directive 2002/46/ECb for the adult population excluding pregnant and lactating women.c Dairy products except milk-based drinks; dairy analogues except drinks; spreadable fats and dressings; breakfast cereals.c Sauces; special salts; condiments; food supplements as defined in Directive 2002/46/EC.b Food supplements as defined in Directive 2002/46/EC,b excluding food supplements for infants and young children.c

Regulation (EU) No 609/2013 of the European Parliament and of the Council of 12 June 2013 on food intended for infants and young children, food for special medical purposes, and total diet replacement for weight control. b Directive 2002/46/EC of the European Parliament and of the Council of 10 June 2002. c For more categories please refer to EC (2017).


Novel Food Ingredients for Food Security

During the last years, many potential sources of protein have been considered (e.g. soybean meal, rapeseed meal, cottonseed meal, feather meal, and blood meal) for application in various industrial sectors. In the future, these materials could be good alternatives for obtaining protein concentrates and/or isolates, consolidating their place in the value chain. A clear example of turning waste into value is whey protein from cheese factories, which a few decades ago was considered a waste effluent. Today, it is used to produce protein concentrates, isolates, and hydrolysates for significantly extended applications in the food industry due to its techno-functional properties such as foaming, emulsifying and water-binding. These characteristics have allowed the development of many products such as infant formula and sports nutrition, and other uses in the food industry. Another, more recent example of increase in value, is the extraction of protein as a coproduct from the manufacture of potato starch to obtain food-grade protein from a stream used before for animal feed (Boland et al., 2013). Potato protein and its hydrolysates are in fact included in the list of EU-authorized novel foods (Table 1). In addition to byproducts from the food or feed industries, sources like insects, seaweeds, fungi and microbes are promising sources of protein in terms of yield, extractability and capacity for production scaling (both for raw material and protein extraction processes). Fungal and microbial fermentation, in particular, are very attractive alternatives. An excellent example of a fungi-based protein product already on the market is Fusarium venenatum, which has been produced for human consumption and sold under the brand name “Quorn” since 1985 (Wiebe, 2004). Despite the many potential protein sources already described, there are only three novel proteins included in the NF list and summarized in Table 1.

Examples of Novel Food Proteins and Protein Sources: Data Regarding Their Sustainability Insect-Based Protein Insects play an important role in plant reproduction, waste biodegradation, and control of harmful pest species. Worldwide, there are approximately 1 million insect species of which only 5000 are considered to be detrimental to crops, livestock or human beings (Van Huis et al., 2013). Some advantages of insects as a source of novel proteins are their high fecundity, low water and space requirements, low production of GHG emissions and bioconversion of organic residues. From the health point of view, in addition to the high content of protein, they represent a low risk for transmitting zoonotic diseases (Rumpold and Schlüter, 2013). The requirements for insect production have been studied by several authors (Oonincx and de Boer, 2012; Van Huis et al., 2013). They report that for producing 1 kg of insect biomass, 1.7 kg of feed is required, which is 85% and 24% of the requirement for poultry and beef, respectively. Also, GHG emissions from insects (2–122 g/kg mass gain) are very low compared with those from pigs (80–1130 g/kg) or beef cattle (2850 g/kg mass gain). In addition to a moderate use of natural resources, many insect species contain as much protein as meat or fish, and some are also higher in unsaturated fats and micronutrients, such as vitamins and minerals (calcium, iron, and zinc). Some studies have compared the digestibility of insects and other animals, and it has been found that 80% of crickets are 2.0 and 1.5 times more digestible than cattle and chicken, respectively (Oonincx and de Boer, 2012; Van Huis et al., 2013). Despite all of these environmental and health benefits, the consumption of insects has not become widespread due to some misconceptions as: “insects are contaminated food” or “poor-country food”. Thus, a change of mindset is needed to popularize insect-based diets as a response to the problems of overpopulation and environmental impact caused by traditional meat production (Menozzi et al., 2017). As of January 2018, some insect species are available on the market (Table 2), and their safety has been evaluated by the Scientific Committee of the Federal Agency for the Safety of the Food Chain (FASFC) and Superior Health Council. The Committee concluded, among other things, that the probability of viral or parasitic infection due to the consumption of insects farmed under “controlled, hygienic circumstances” is very low. However, as with any animal-derived food, it recommended subjecting insectderived food to a thermal process before its commercialization or consumption. Concerning chemical hazards, the Committee found that there were no indications of toxin content or excretion from the evaluated insects, although, one of the most critical warnings is the possibility of allergic reactions in the case of consuming arthropods. Table 2

Commercially produced insects for human consumption in the Belgian market (2011)a

Latin name

English name

Stage of development at the time of consumption

Acheta domesticus Achroia grisella Alphitobius diaperinus Alphitobius laevigatua Bombyx mori Galleria mellonella Gryllodes sigillatus Gryllus assimilis Locusta migratoria Schistocerca americana Tenebrio molitor Zophobas atratus

House cricket Lesser wax moth, wax moth worm Litter beetle, lesser mealworm Buffalo worm, lesser mealworm Silkmoth, silkworm Greater wax moth, waxworm Banded cricket Field cricket African migratory locust American desert locust Yellow meal beetle, yellow mealworm Morio beetle, morio worm

Adult Caterpillar Larva Larva Pupa (without cocoon) and caterpillar Caterpillar Adult Adult Larva and adult Adult Larva Larva


FASFC (2014).

Novel Food Ingredients for Food Security


Algae-Based Protein Currently, the consumption of natural products obtained from marine organisms, such as algae, has increased because of their positive effects on human health. Macroalgae or “seaweeds” are diverse multicellular photosynthetic organisms adapted to survive in complex and extreme environments (Samarakoon and Jeon, 2012). The annual global aquaculture production of seaweed is 6.5  106 tons. Fresh products are used as vegetables in some Asian countries, where they are consumed at an average of 1.4 kg per capita in countries like Japan. In Europe, brown seaweeds are used to produce additives or meal for animal nutrition (Burtin, 2003). Macroalgae come in a great diversity of forms and sizes and can be classified into three broad groups based on their pigmentation: brown seaweed (Phaeophyceae), red seaweed (Rhodophyceae) and green seaweed (Chlorophyceae), all of which contain important amounts of nutritional compounds such as soluble dietary fibers, proteins, minerals, vitamins, antioxidants, phytochemicals, and polyunsaturated fatty acids, with a low caloric value. Higher protein content is found in green and red seaweeds (10%–47% of dry weight) compared with brown seaweeds (3%–15% of dry weight). Most seaweed proteins contain all of the essential amino acids at levels close to those recommended by FAO/WHO (Fleurence, 1999; Samarakoon and Jeon, 2012). Although seaweeds are high in protein content, most of the products obtained from them are carbohydrates with a particular functionality and, in the case of novel ingredients, fucoidan, a sulfated polysaccharide, is the most representative (Table 1). Macroalgae cultivation can be vegetative or can occur using a separate reproductive cycle. In the vegetative cycles of microalgae cultivation, small algal pieces are grown in a suitable aquatic environment at controlled conditions of temperature, light, salt content, nutrients and agitation. This is a straightforward and cost-effective method in comparison to cultivation by a separate reproductive cycle; however, the farming of some brown macroalgae requires the latter technique. Seaweed farming is relatively friendly with the environment, with the additional advantage that algae have been reported as being able to eliminate heavy metals and being very efficient as bio-filters or nutrient scrubbers. This action improves the water quality by removing dissolved inorganic nitrogen and phosphorous from aquaculture effluents (Abowei and Ezekiel, 2013; Wei et al., 2013). Seaweed biomass can also be a source of renewable energy through its conversion to biogas for electricity and biodiesel as a low-cost alternative to petroleumbased fuels (Subhadra, 2010).

Single Cell Protein Single Cell Protein (SCP) is the protein extracted from pure or mixed microbial culture biomass, which is recognized as a sustainable protein source, comparable to some high-quality sources such as soy and fishmeal, but at a lower cost. Microalgae, fungi and bacteria are the principal sources of the microbial protein that can be utilized as SCP (Table 3). Microalgae are microscopic organisms, some classified as blue-green algae (Cyanobacteria), diatoms (Bacillariophyta) and dinoflagellates (Dinophyceae). Only few microalgae (Chlorella, Spirulina, and Dunaliella) have been, until recently, commercially produced at large scale (Samarakoon and Jeon, 2012). Regarding fungi, the yeasts Candida, Hansenula, Pitchia, Torulopsis and Saccharomyces are among the most popular. These yeasts are used as protein-rich food and for the bioconversion of lignocellulosic wastes. In the case of bacteria, the most frequently used are Cellulomonas and Alcaligenes (Kuhad et al., 1997). The production of microbial biomass is conducted either by a submerged or a solid-state fermentation process. After fermentation, the biomass is harvested and subjected to downstream stages, including washing, cell disruption, protein extraction and purification. Several substrates have been utilized to cultivate microalgae, fungi and bacteria. The use of CO2 and sunlight are required for the growth of microalgae, while fungal and bacterial species can grow on various substrates, mostly cheap waste, and a source of carbon and nitrogen, yielding biomass ready to be harvested and used as SCP (Anupama and Ravindra, 2000). An important criterion to Table 3

Different sources of single cell protein (SCP)a





Methylophilus methylitropous Bacillus megaterium Bacillus subtilis Corynobacterium ammoniagenes Methylococcus capsulatus Methylomonas methylotrophus Lactobacillus species Rhodopseudomonas palustris Aphanothece microscopica Arthrospira maxima (Spirulina maxima) Arthospira platensis (Spirulina platensis) Chlorella pyrenoidosa Chlorella sorokiana Chlorella spp. Chlorella vulgaris Dunaliella sp.

Bacteria Bacteria Bacteria Bacteria Bacteria Bacteria Bacteria Bacteria Algae Algae Algae Algae Algae Algae Algae Algae

Scenesdesmus obliquus Candida utilis Chrysonilia sitophilia Cladosporium cladosporioides Debaryomyces hansenii Fusarium venenatum Kluyveromyces marxianus Hanseniaspora uvarum Kefir sp. Penicillium citrinum Pleurotus florida Saccharomyces cerevisiae Trichoderma harzianum Trichoderma virideae Yarrowia lipolytica

Algae Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal Fungal


Ritala et al. (2017), Saeed et al. (2016).


Novel Food Ingredients for Food Security

determine the value and usefulness of SCP from the different sources is the biomass composition. Microalgae are rich in protein, fat, fiber and vitamins A, B, C, D and E; fungi provide protein as well as B-complex vitamins, among other nutrients. Bacterial SCP is high in protein content (80% of the total dry weight) and essential amino acids. Currently, among all SCP sources, yeast (from breweries and bakeries) and microalgae (Spirulina and Chlorella) have garnered global acceptability and are very popular as food supplements (Becker, 2007; Cuellar-Bermúdez et al., 2017). Even though the production of microalgae and yeast is commercially available, their use as a source of protein for food is limited. The NF List (EU) only includes oil produced from the microalgae species Ulkenia sp. and Schizochytrium sp. as well as the fungus Mortierella alpina. In the case of yeast, just beta glucans are listed (Table 1), but not protein isolates nor concentrates, giving insights about opportunity areas for the future. Two other microalgae species are included in the NF list: Odontella aurita, mainly used as an ingredient in flavored pasta, fish soups, marine terrines, broth preparations, crackers and frozen breaded fish; and dried Tetraselmis chuii for sauces, special salts, condiments and food supplements.

Conclusions As a result of the expected increase in world population and improved well-being during the next years, there is a need to produce more food, and specifically more proteins, which are essential for development and physiological functions in the human body. However, food production has a significant impact on the environment through greenhouse gas emissions, use of land, water and energy consumption, pollution, and the use of chemical products such as herbicides and pesticides. Thus, the adoption of novel foods and novel ingredients, such as insects, algae, and single-cell proteins, appears to offer a safe, more nutritious and sustainable alternative for food production. The introduction of these new products or ingredients into the market requires a corresponding adaptation of the regulatory framework. Is a great opportunity the use of novel food sources as raw materials for bio refineries combined with tools like life-cycle assessment and sustainability analysis, to make adequate decisions on the topic of food security for the future.

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Snails (Terrestrial and Freshwater) as Human Food Victor Benno Meyer-Rochow, Research Institute of Luminous Organisms, Nakanogo (Hachijojima), Tokyo, Japan © 2019 Elsevier Inc. All rights reserved.

Abstract Snails and Other Edible Shell Fish: A Historical Overview Favored Species, Chemical Composition and Nutritional Value Health Risks and Safe Preparation Conclusion References Further Reading Relevant Websites

376 376 376 377 377 377 378 378

Abstract As shell remains of mollusks in middens indicate, the consumption of bivalves, e.g. snails, both freshwater and terrestrial species, has undoubtedly had a tradition in the New as well as the Old World that goes back 10,000 years or more. With few exceptions, snails are generally non-toxic, nutritious, abundant, easy to collect and relatively uncomplicated to culture in captivity. Some of them do contain pathogenic organisms, but adequately prepared they can make a valuable contribution to the food spectrum of humans. It is recommended that edible freshwater and terrestrial snails be boiled before consumption. Although large species specific differences exist, edible snails contain relatively small amounts of carbohydrates, fiber and fats, but are rich in proteins and minerals. Essential amino acids other than methionine, cysteine, taurine and possibly tryptophan are usually abundant and the amount of unsaturated fatty acids reaches 50% or more of the total fatty acids.

Snails and Other Edible Shell Fish: A Historical Overview Snails, known scientifically as Gastropoda, together with clams and mussels (Bivalvia) and squid and octopus (Cephalopoda) make up the phylum Mollusca. Middens in various parts of the world have provided archaeologists with information on the kinds of food people ate in the past. Shells of bivalves like oysters and gastropods (limpets and abalone come to mind) always featured prominently and especially coastal residents from Tasmania and Tierra del Fuego in the southern hemisphere to inhabitants of the Arctic in the North appear to have made ample use of this food category since species belonging to it were relatively simple to collect, consisted of easily digestible components, were rich in minerals and highly nutritious. However, not only marine bivalves and snails served as food: terrestrial snails, too (consumed even today by many a connoisseur) had already been part of the diet of prehistoric humans as tools to extract the soft parts of land snails through deliberately punched holes in the shells were identified from 50 human habitations of 12,000 years ago in North Africa (Hill et al., 2015). Hunter-gatherer populations of the New World are also known to have consumed gastropods as long ago as 2500 BCE (Schoeninger and Peebles, 1981). And indeed to this day mollusks, including aquatic and terrestrial gastropods, have been a food item in many parts of the world including, to name but a few, Jamaica, Mexico, Taiwan, Formosa, the Philippines, Thailand, New Caledonia and, of course, the Mediterranean countries with France in particular where “escargots à la bourguignonne” are a world famous culinary delicacy (Peterson, 2002). In some African countries like Nigeria snails marketed as “Congo Meat” are becoming increasingly popular as food. In fact snails as human food are expected to supplement traditional kinds of meat in other countries as well so that future nutritional demands can be met as the global population is expected to reach at least 9 billion in the year 2050.

Favored Species, Chemical Composition and Nutritional Value Much can be said in support of using terrestrial snail species like the widely cultured Helix spp., most notably Helix aspersa (the Vinyard Snail), and Archachatina marginata and Achatina spp., e.g. Achatina fulica (the Giant African snails) as food. However, even freshwater species like, for example, Pomacea canaliculata (known as the Golden Apple snail) have considerable potential as a supplier of minerals and protein. Slugs are shell-less gastropods, but although some are of medicinal value (Meyer-Rochow, 2017), they are not appreciated as food. What unites all the species of freshwater and terrestrial snails that are used as human food is the possession of a calcium-rich shell. Humans, however, do not ingest the shell but focus on the fleshy foot of the snail instead. Depending on the species, the environment that a snail occurs in, the material it has been feeding on, the snail’s age, parameters like temperature, humidity it


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Snails (Terrestrial and Freshwater) as Human Food


has been subjected to and the season it was collected, all this can have an effect on the chemical composition of a snail’s tissue which therefore can vary greatly. However, what is universally true of all snails and mollusks generally is that their water content with 75%–85% is relatively high and that the amount of fat/lipids in fresh specimens is quite low, rarely exceeding 2%. Although cholesterol can be relatively high. these lipids are rich in polyunsaturated fatty acids that usually make up at least 50% of the total lipids, The edible pedal mass of the foot contains between 10% and 20% protein, very small amounts of carbohydrates (1%–2%) and healthy amounts of minerals, mainly calcium, phosphorus, magnesium, potassium and sodium. Iron, zinc, manganese and copper are less abundant, but still present in sufficient quantity so that, for example, 100 g of snail meat would supply a human with the daily requirements of copper. What gives snail meat its excellent nutritive characteristics is its protein to fat ratio, its abundance in important minerals and its low calorific score. The only essential amino acids that are either lacking or present in only very small amounts are methionine, cystine and taurine. A recent compilation of the proximate nutritional composition of some preferred snail species is available (Ghosh et al., 2016) and several analyses of the chemical composition of European ‘escargots’, mainly H. aspersa, the vineyard snail, and other Helix species have been published (e.g., Gomot, 1998; Ligaszewski et al., 2005; Ikauniece et al., 2014). Comparative data on giant African land snails have, for example, been published by Imevbore and Ademosun (1988) and Adeyeye and Afolabi (2004).

Health Risks and Safe Preparation Although nutritious, snail meat should be carefully prepared for human consumption. The gut of the snail should preferably be empty, which is why giant African and other food snails are often kept in cages without food and starved for some time prior to being consumed. Coliform bacteria (1.68–2.20  107), Salmonella/Shigella (5.2–8.2  107) and lactic acid bacteria (1.03–1.30  108) as well as Staphylococcus aureus, Bacillus subtilis, and many others as well as fungal organisms ike Aspergillus terrus, A. fumigates, A. lavus and many more (7.3  10  107) have been reported from a variety of species including A. fulica, Limicolaria sp. and Helix pomatia (Adegoke et al., 2010) Cleaning in saline water and boiling for several minutes is recommended and consuming snails raw or undercooked should be avoided. With regard to P. canaliculata the primary route of infection with Angiostrongylus cantonensis causing angiostrongyliasis is the consumption of undercooked snail meat (Lv et al., 2009). One additional aspect to be considered is the fact that some snail species can accumulate pollutants and heavy metals, especially if one deals with specimens collected from highly industrialized regions.

Conclusion Of all the invertebrates under consideration as human food, snails represent a severely underutilized food category despite their long history as part of the human diet. Given their nutritional value, it would make sense to use snails more widely as human food or as ingredients to food in a direct way or more indirectly as animal feed. Depending on the species, snails generally speaking are in no way inferior to conventional food items of animal origin as they contain few carbohydrates, but are rich in protein, contain important micronutrients like vitamins and minerals and possess calorific values that are not excessive due to the low lipid content of snail meat. Provided one avoids unpalatable or toxic species, observes hygiene guidelines and cooks or boils the meat prior to consumption there are few objections to the use of snails as human food. The apparent lack of the essential amino acids methionine, cystine, taurine and possibly tryptophan in snails needs to be mentioned, but major drawbacks seem the snails’ appeal and acceptability as food when presented whole and unprocessed. The main advantage of snails over conventional meat sources is that the former require much smaller areas and can be reared on much less food and water than the latter.

References Adegoke, A.A., Adebayo-Tayo, C.B., Inyang, U.C., Aiyegoro, A.O., Komolafe, O.A., 2010. Snails as meat source: epidemiological and nutritional perspectives. J. Microbiol. Antimicrob. 2, 001–005. Adeyeye, E.I., Afolabi, E.O., 2004. Amino acid composition of three different types of land snails consumed in Nigeria. Food Chem. 85, 535–539. Ghosh, S., Jung, C., Meyer-Rochow, V.B., 2016. Snail farming: an Indian perspective of a potential tool for food security. Ann. Aquac. Res. ISSN: 2379-0881 3 (3), 1–6. Gomot, A., 1998. Biochemical composition of Helix snails: influence of genetic and physiological factors. J. Molluscan Stud. 64, 173–181. Hill, E.A., Hunt, C.O., Lucarini, G.M., Farr, L., Barker, G., 2015. Land gastropod piercing during the late pleistocene and early holocene in the Haua Fteah, Libya. J. Arachaeological Res. Rep. 4, 320–325. Ikauniece, D., Jemeljanovs, A., Sterna, V., Strazdina, V., 2014. Evaluation of nutrition value of Roman snail’s (Helix pomatia) meat obtained in Latvia. Foodbalt Proc. 2014, 28–31. Imevbore, E.A., Ademosun, A.A., 1988. The nutritive value of the African giant land snails (Archachatina marginata). J. Animal Prod. Res. 8, 76–87. Ligaszewski, M., Łysak, A., SurÓwka, K., 2005. Chemical composition of the meat of Helix pomatia L. snails from the natural population. Rocniki Nauk. Zootech. 32, 33–45. Lv, S., Zhang, Y., Liu, H.-X., Hu, L., Yang, K., Steinmann, P., Chen, Z., Wang, L.-Y., Utzinger, J., Zhou, X.-N., 2009. Invasive snails and an emerging infectious disease: results from the first national survey on Angiostrongylus cantonensis in China. PLoS Neglected Trop. Dis. 3, e368. Meyer-Rochow, V.B., 2017. Therapeutic arthropods and other, largely terrestrial folk-medicinally important invertebrates: a comparative survey and review. J. Ethnobiol. Ethnomedicine 13 (9), 1–31. https://doi.org/10.1186/s13002-017-0136-0.


Snails (Terrestrial and Freshwater) as Human Food

Peterson, J., 2002. Glorious French Food: A French Approach to the Classics. John Wiley and Sons Inc., Hoboken, N.J., USA. Schoeninger, M.J., Peebles, C.S., 1981. Effect of mollusc eating on human bone strontium levels. J. Archaeol. Sci. 8, 391–397.

Further Reading Baratou, J., 1988. Raising Snails for Food. Illuminations Press, Calistoga, CA., USA. Gryllis, B., 2014. Extreme Food: What to Eat when Your Life Depends on it. Transworld Publishers, London.

Relevant Websites http://www.mcgill.ca/bits/files/bits/bajan_achatina_an_alternative_control_of_the_giant_african_snail_through_human_consumption_in_barbados.pdf. https://www.cookingchanneltv.com/recipes/escargots-in-garlic-and-parsley-butter-2124879.

Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods Marı´a L Zambrano-Zaragoza and David Quintanar-Guerrero, FES-Cuautitlán, Laboratorio de Transformación y Tecnologías Emergentes en Alimentos, Universidad Nacional Autónoma de México, Cuautitlán Izcalli, Estado de México, Mexico © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Extrusion Techniques Variables in Food Extrusion and Sustainable Process Extrusion With Supercritical Fluids Agglomeration Encapsulation Definitions and Importance in Food Process Encapsulation Materials and Purpose Encapsulation Techniques Microencapsulation Spray Coating and Pan Coating Coacervation Spray-Drying Emulsion-Evaporation Molecular Inclusion in Cyclodextrins Nanoencapsulation Gelation in the Food Industry Coating in Food Processing Coating on Food Surfaces Conclusions References

379 379 380 381 381 381 382 382 382 385 385 386 386 387 387 387 387 388 389 389 390 390

Abstract In recent decades, encapsulation techniques such as extrusion, agglomeration, fluidized bed, coacervation, molecular inclusion, micro- and nanoencapsulation, edible coatings, and coating systems are in constant use by the food industry to protect, modify, incorporate, or preserve ingredients, to ensure the supply of essential nutrients, dietary fiber, prebiotics, probiotics, and other substances to control the release of substances, and to develop functional foods that contribute to environmental protection and human health. This chapter reviews these encapsulation processes in an attempt to connect their processing steps with global sustainability aspects. It provides a comprehensive overview of extrusion, agglomeration, gelation, and coating techniques focused on food-sustainability challenges. Several researches reporting different modifications or novel innovations of these techniques that consider issues such as more environmentally friendly steps, more efficient energy consumption, generating less waste or waste disposal, and emitting fewer greenhouse-effect gases, among other features, are also critically discussed.

Introduction During recent decades, finding new forms of food consumption that consider requirements regarding food quality and safety have taken a leading role in food marketing. The consumer entertains an increased interest in food products of high value, and the industry considers it possible to use raw materials of vegetable origin derived from the by-products or waste of the food industry: It is these nutrients sources containing bioactive substances, including some with antimicrobial, antioxidant or actives with beneficial properties for human health as dietary fiber (Gil-Chávez et al., 2013; Lu et al., 2017). This has led to the development of a process with a decrease of energy consumption, less waste generation, less use of green solvents, and systems to ensure food security at different stages of the process (Obradovic et al., 2015). In the last two decades, novel technologies and process modifications have emerged that employ optimal energy consumption and that consider the reduction of particle size in solids and a process of incorporation of oily and phenolic substances deriving from by-products and wastes as an alternative to development new functional foods with these encapsulated substances or including these in matrices that promote thermal protection, modify the properties from easy incorporation to food matrix and the reduction of chemical changes that increase their

Encyclopedia of Food Security and Sustainability, Volume 1




Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods


Solid or powder byproducts or wastes of food industries

supercritical food extrusion

Agglomeration: wet agglomeration: reversible

dry agglomeration Gelation Sustainable process with by-products, wastes or functional compounds

Solid-liquid Coatings

Extracts, essential oils, juices or drained liquids, emulsions, etc.

Encapsulation coacervation supercritical fluids extrusion

Figure 1 Novel techniques employed in functional food preparation and the incorporation of by-products or wastes with antimicrobial or functional properties.

dispersibility, quality, improve bioavailability, and presentation when the food is consumed (Recharla et al., 2017). Today, processes such as extrusion, agglomeration, particle coating and edible coating have served to develop encapsulated systems that are easily incorporated into food manufacturing processes, utilizing environmentally friendly techniques that, in turn, reduce waste due to the by-products employed and considering food security. These processes are focused on decreasing the generation of CO2, heat, improving performance, preferably employing solid waste obtained from powdered materials such as cereal seed, peel, and other parts of fruit and vegetables, which with size-reduction stages can be processed with the propose to increase the shelf life of foods (ÐorCevic et al., 2014; Bustos et al., 2016; Chauvet et al., 2017; Castelo Branco Melo et al., 2018). Moreover, gelation is a method that is used in the separation process and to modify the availability of proteins and the functionality of some integral flours used in the preparation of breads, ready-to-eat cereals, pastas, etc (Solo-de-Zaldívar et al., 2014). The main aim of this section was to review novel and current methods for the incorporation of by-products of the food industry into antioxidant, anti-inflammatory, antimicrobial, and functional properties in terms of the sustainability process. Fig. 1 depicts novel techniques in relation to the source of food by-products.

Extrusion Techniques Extrusion is considered a high-temperature short-time process, with a beneficial effect, for example, limiting denaturation or the loss of nutrients and functional ingredients, and that also aid in modifying the protein structure and changing the allergic effect of some proteins such as eggs. Currently, it has also been considered as an encapsulation of solid substances based on the transition phase, temperatures, mixture, water content, and their characteristics. This process is also used to modify, enzymatically, thermally, and chemically, food materials including their by-products (Lamsal et al., 2006; Chang and Ng, 2009; Valdez-Flores et al., 2016). At present, the extrusion process is considered friendly to the environment and highly efficient. Moreover, new modifications are considered to include the incorporation of supercritical fluids and/or it is employed in oil extraction. The use of ultrasonic previously extrusion process to reduce particle size is other novel innovation in food processing (Brncic et al., 2009). Extrusion has been used to incorporate dietary fiber from by-products, which renders it a sustainable process (Zambrano-Zaragoza et al., 2013b; Kosi nska-Cagnazzo et al., 2017; Rani et al., 2018; Rayan et al., 2018). Due to its conditions and operation, it is considered as a low-cost, efficient, free-of-organic- solvents, and easy scale-up (Maniruzzaman et al., 2016). Novel processes of extrusion by fusion techniques involve two or more components, including co-extrusion in which, for example, starches, lipids, water-soluble antioxidants with functional properties, and also co-extrusion are employed to incorporate lactobacilli, which are living organisms, obtaining a synergic effect among the components, serving as a carrier and protector (Valdez-Flores et al., 2016; Silva et al., 2018).

Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods


Variables in Food Extrusion and Sustainable Process The variables that exert the most influence on the process with respect to food material include moisture, composition, particle size, lipid content, and respect to process consider Compresion die, pressure, temperature, residence time, output die geometry, and L/D ratio of screw. Screw modifications and output die are the basis for changes in the development of new products (Gao et al., 2015). There are two types of extruders: those with a single screw (Fig. 2), and those with twin screws. Single screw extrusions possess lower thermal efficiency, an inefficient mixture, therefore non-homogeneous products. These extrusions are mainly used for premixed conditioner products and preformed and expanded products (Masatcioglu et al., 2014; Rayan et al., 2018). Due to the characteristics, versatility, and potential energy savings the twin-screw extruder, it is the most used in the development of sustainable process, including the new ingredients obtained from by-products, expanded cereal, incorporation of bioactive compounds, extraction of oil, encapsulation and agglomeration of particles, modified to improve the wettability, dispersibility, and solubility of functional substances. Twin screw has less dependence on viscosity and stickiness, best homogeneity, mixing, and better residence-time distributions (Berk, 2017; Uitterhaegen and Evon, 2017). Fig. 3 depicts a twin-screw extruder and Table 1 highlights the operation conditions influencing the extrusion.

Extrusion With Supercritical Fluids The use of supercritical fluids is a novel technique of extrusion; its use make use of a low heat process, low energy use, and low steam temperatures (Liu et al., 2018). Moreover, it is possible to obtain versatile products with greater control of expansion properties, to increase the bioavailability and digestibility of numerous nutrients, and to lower flavoring and coloring use (Chauvet et al., 2017). The twin-screw extruder is undoubtedly the best option for including the use of supercritical fluid, and the most used supercritical fluid is CO2. Due to its abundance in nature, it is inexpensive, non-flammable, environmentally acceptable, chemically inert, and easy-to-recycle, and its supercritical conditions are easily achieved (Tc ¼ 31  C; Pc ¼ 7.38 MPa) (Chauvet et al., 2017), CO2 supercritical fluid can be incorporated into susceptible products at high temperatures, such as essential oils, antimicrobial substances, prebiotics, and probiotics. Supercritical fluids possess unique properties; for example, they have unique thermophysical properties and are useful for carrying out thermoplastic modifications of food material. Another property that is taken advantage is that when the pressure increases, the density increases without an increase in viscosity, and due to those conditions, its capacity as a solvent of various compounds increased. These properties can be modified with pressure-temperature control (Liu et al., 2018). Fig. 4 presents the modifications of the twin-screw extruder for the use of CO2 as supercritical fluid.

Agglomeration Agglomeration process is carried out to improve solubility and dispersibility properties, obtaining instant products with the porosity necessary to flow and disperse with adequate size (100–250 mm). These are appropriate and novel technologies for the

Feed zone

Molding zone

Temperature increase


Barrel Increase screw diameter

Decrease screw diameter Diameter (D) Length of scew (L) Figure 2

Single-screw extruder.

Cooking zone Pressure increase as funcƟon of screw, feed rate and temperature

Expansion or formaƟon zone

Distance and thickness of paddles


Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods Co-extrusion, in distance funcon and compound to extrude.

Mixture and condioner

Co-extrusion Die Die out

Barrel length Motor

Adaptaon for oil extracon







(a) Co-Rotang (b) Couter-Rotang

Example of temperatures distribuon in funcon to extrusion condions Figure 3

Twin-screw extruder with co-extrusion adapter.

incorporation of functional ingredients with social, economic, and environmental functions, and they may include, for example, the incorporation of iron in flours to treat different types of anemia (Toniazzo et al., 2017). According to Barbosa-Canovas et al. (2005), agglomeration is a physical phenomenon that can be described as the enlargement of solid particles, which is caused by short-range physical or chemical forces between particles. Usually, agglomerations methods can be considered a kinetic growth of particles, and these methods can be carried out by dry or wet agglomeration and are considered a way to integrate components of different particle sizes, thus achieving new materials for food use that allow an integral use of by-products obtained from different processes and that have useful nutritional properties in the development of new products, thus promoting minimal use of water and minimizing the energy employed in the process (Bellocq et al., 2018). In wet agglomeration processes, water is usually employed as binder. These processes can be carried out in a fluidized bed, with high mechanical stirring, or with a spray system with the finality of incorporating the binder into the powder (Barkouti et al., 2014; Toniazzo et al., 2017). In that the generation of sustainable food is focused on obtaining sources of protein-of-vegetable-origin or of birds to generate less heat and CO2, in addition, the majority of by-products of the food industry are currently used to obtain bioactive compounds. Recently, reversible wet agglomeration has been used. In this, the authors aimed to reduce the energy necessary for the mixture and distribution of binder in the powders but, in turn, achieved a product with improved properties (Rondet et al., 2012). This consists of initially adding an excess of water and/or another binder, mixing and then adding dry material, thus avoiding changes in glass transition and stress during the mixing with the goal of producing a modification in the powder with moisture control and a decrease in the energy used during the mixture and final drying (Fig. 5) (Hafsa et al., 2015; Balasubramanian et al., 2016).

Encapsulation Definitions and Importance in Food Process Encapsulation can be defined as a process where a continuous thin coating is formed around solid particles, liquid droplets, or gas cores that are fully contained within the coating material (King, 1995). The encapsulation of food substances represents a feasible and efficient approach to modulate the release, increase its physical stability, protect and/or isolate sensitive compounds of environmental and/or chemical interactions, enhance bioactivity, reduce toxicity, and improve consumer compliance and convenience (Aguilera, 2018). It is well-known that thermal processing technologies contribute to food quality and safe consumption, but they also give rise to or accelerate chemical reactions.

Encapsulation Materials and Purpose Encapsulation involves the use of two materials: a) the encapsulated, and b) the wall materials. Fig. 6 summarizes the common materials used in food systems. It is important to point out that all of materials involved in an encapsulation process need to be Generally Recognized as Safe (GRAS). The choice of the coating material depends on the physical properties and functionality of the encapsulated material (Saravacos and Kostaropoulos, 2016). Currently, natural polymers, polysaccharides, and proteins

Extrusion process conditions and novel strategies in food

Purpose of the process

Screw type

Screw speed

Extrusion cooking process

Single screw

Reduction acrylamide formation

Twin-screw Co-rotating Twin-screw Co-rotating

250 and 160 rpm Feed rate 7.2 kg/h 200 rpm (2.5 kg/h)

Effect of extrusion process on insoluble dietary fiber, total polyphenols Stability of fructooligo-saccharides, inulin, galactooligo-saccharides Effect of crispiness, hardness and brittleness Collagen extraction from Tilapia fish Encapsulation of Lactobacillus acidophilus LA3 Modified porous-structured noodles

Screw compression ratio 4:1 25:1

Temperature/water content

Novel strategy


100, 180 y 180  C/ 2, 4,6, 8, 15, 20% 110 y 150  C /22, 24% and 26% 160  C/ 17%

Modified functional properties in expansion Carbon dioxide injection to 517 kPa, injection 120 mm before exit die. Snack-type product with bioactive compounds

Rayan et al., 2018

Prebiotics carbohydrates with low pH drink Supercritical extrusion-CO2 milk protein-starch

Masatcioglu et al., 2014 Ciudad-mulero et al., 2018

500 rpm Feed rate ¼ 20 kg/h

L/D ¼ 24

Twin-screw Conical Twin-screw Co-rotating

120–220 rpm

L/D ¼ 20:1

120 and 170  C/17%

80–110 rpm Feed rate ¼ 35 kg/h

70–80  C/14%

Single-screw Single-screw

360 rpm 50–240 rpm

28:5:1 Injection CO2 rate ¼ 0.27 kg/h 3.07:1 L/D ¼ 20:1

135  C 50–160  C/28%

Tilapia fish scale powder Protein hydrolysates from Jatropha curcas

Huang et al., 2016 Valdez-Flores et al., 2016


100 rpm Feed rate ¼ 2 kg/h

L/D ¼ 40:1

60, 70, 80 and 100  C/31%

a-Amilasa addition to wheat starch

Li, 2018

Duar et al., 2015 Liu et al., 2018

Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods

Table 1



Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods

Chiller Water Content between 15 to 40 % Pump Mixture and conditioner

CO2 Distance to die out

Motor T1 ≈ 25 °C

T2 ≈ 60 °C

T3 ≈ 80 °C

T4 ≈ 90°C

T5 ≈ 100 °C

T6 ≈ 80 °C

Example of temperatures Distribution in function to extrusion conditions Figure 4

Novel extruder with adaptation to supercritical fluid-CO2.

≈ 15 % water content

≈ 70 % water content



Mixing Powder addition

Powder Water excess Wet Agglomerates air Binder

Plas c continuous dough Binders (examples) Leci n Polyalcohols Modified starch Gum arabic Maltodextrin


Dry agglomerates

High shear mixer Figure 5

Reversible wet agglomeration.

and their blends are preferred because of their best properties, including renewability, cost, biodegradability, and sustainability. Water can be employed in several processes but, considering the lipophilic nature of the food ingredients and the technological advantages for obtaining tiny sizes, green solvents including supercritical fluids need to be utilized. Stabilizers such as surfactants or polymer steric stabilizers (e.g., gums, polysorbates, cellulose derivatives, proteins, poloxamers, lecithin, polyvinyl alcohol, etc.) have been utilized. In this context, there is a clear tendency to use green stabilizers or those from natural resources (e.g. polyphenols,

Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods


Synthetic polymers Polylactic acid, polyglycolic acid and its copolymers, butyrate phthalate, acetylcellulose, carboxymethylcellulose, nitrocellulose, methylcellulose, cellulose acetate-butyrate-phthalate, cellulose acetatephthalate, ethylcellulose, ethylenevinyl acetate, polyacrylamide, polyacrylate, polyethylene, polyvinyl alcohol, polyvinyl acetate, acrylonitrile, polybutadiene. Natural polymers Agar, gum arabic., gum acacia, sodium alginate, dextrins (malto and cyclodextrins), starch, carrageenan, agarose, dextran, chitosan, hyaluronic acid. Lipids Beeswax, mono- and dyglicerides, fats, hardened oils, paraffin, stearic acid, tristearin. Proteins Albumin, casein, gelatin, gluten, hemoglobin, collagen, legumin, vivilin. Inorganics Calcium sulfate, clay, silicates.

a) b) c) d) e) f) g) h) i) j) k)

Figure 6

Nutraceutics and nutrients. Antioxidants. Preservatives. Oils and lipids. Antimicrobials and antifungals. Flavors and colorants. Artificial sweeteners. Acids, alkalis and buffers. Food bioactives, enzymes and microorganisms. Leavening agents. Cross-linking agents.

Typical food ingredients and coating materials used in coating processes.

modified starches) (Betoret et al., 2016). The purpose of encapsulation depends on the nature and use of the food ingredient and potential advantages during processing and packaging: a) Controlled release. This is used when a food ingredient needs to be given up slowly to the food to optimize its function (e.g., gradual release of flavors during microwaving, leavening agents in baking). b) Protection and/or isolation. In this case, the encapsulated food material is protected from external environmental conditions such as temperature, moisture, oxygen, and light. c) Increase or change in the physical state. Encapsulation per se can improve mixing, flowability, and compression properties and decrease lumping. Food flavors are typically liquids at room temperature; therefore, they cannot be easily incorporated into cake and soup mixes, jelly crystals, dry-beverage mixes, instant breakfast drinks, etc. Their transformation into the form of a dry, freeflowing powder by encapsulation make this task easier (Barbosa-Canovas et al., 2006). d) Avoid or decrease ingredient incompatibilities. This can be performed by the encapsulation of one or several ingredients (e.g., avoid color, nutrient, and flavor changes by acidulants or prevent interactions between choline chloride and vitamins in premixes) (Swarbrick, 2006).

Encapsulation Techniques Different techniques based on physical and/or physicochemical means are available to encapsulate materials of different natures, but not all have applicability in the food industry. Thus, safety, toxicity and, more recently, green chemistry and sustainability aspects are defining new modalities of these techniques. Encapsulation techniques using SuperCritical Carbon dioxide (SC-CO2) have demonstrated flexibility, offering advantages in terms of the control of particle size, size distribution, morphology, and the solvent-free process. Unfortunately, these cannot be matched by conventional technologies, and not all food ingredients can be dissolved in SC-CO2) (Lee et al., 2018; Temelli, 2018).

Microencapsulation Microencapsulation is the encapsulation process with the greatest number of modalities and food applications. Microparticles can be defined as solid colloids that are approximately spherical particles, ranging in size from 1–100 mm. There are two types of microparticles: microspheres and microcapsules (Fig. 7). In general, the microencapsulation methods involve the formation of an


Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods


Figure 7


Microparticle architecture: microcapsule (A) and microspheres (B).

interfacial boundary generated by a mechanic mean followed by the aggregation or solidification of the materials. Microencapsulation techniques are detailed next (Galanakis, 2016).

Spray Coating and Pan Coating The traditional coating drum process employed in confectionary is adapted to the preparation of microspheres employing heatjacketed coating pans. The core particles, in the micrometer range, are rotated, while the coating material is sprayed at an angle from the side into the pan (ÐorCevic et al., 2014). A modality of these processes is Worsted equipment; the micrometric core particles are fluidized by air pressure and the wall material is applied from the perforated bottom of the fluidization chamber parallel to the air stream. This device produces more uniform coating thickness on the microparticles. In this case, the solvent-free or green coating solutions are preferred for food applications (Krishnaiah et al., 2014).

Coacervation Coacervation is a chemical method. Polymers tend toward dehydration and phase separation by means of changes in conditions, such as addition of electrolyte (ionic gelation), pH, temperature, addition of nonsolvent, etc., producing polymer droplets in suspension. If this system is left to undergo separation, two liquid phases are observed: one concentrated colloidal phase and another highly diluted (Fig. 8A). But if a solid is suspended or an immiscible liquid is dispersed, the coacervates arrange themselves


ΔpH, Δμ, + electrolyte, etc.


ΔpH, Δμ, + electrolyte, etc.




- ++ + - +

+ +-+ +- -

Figure 8 Coacervation processes: simple coacervation without core-food material (A); simple coacervation with core-food material (B) and complex coacervation with core-food material.

Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods


on the interface of the dispersed material, forming a coating around these (Fig. 8B). Microparticles are formed when the coating is hardened (e.g., crosslinked or heated) (ÐorCevic et al., 2014). A typical coacervation process to obtain microparticles comprises the spraying or dripping (coextrusion, extrusion) of a sodium alginate or pectin solution into a calcium chloride solution (Comunian et al., 2018). When two or more macromolecules opposite in charge are present, coacervation is driven by electrostatic interactive forces (anion–cation interactions); this is referred as complex coacervation (Fig. 8C). Typical complex coacervations are formed by mixtures of gelatin/arabic gum or chitosan/alginate. Thus, polymers with opposite charges stick together and form soluble and insoluble complexes depending on concentration and pH (Bhatia, 2016).

Spray-Drying Spray-drying is a versatile, simple scaling-up, and commercially available process used for different food materials including heat-sensitive ones. This process consists of obtaining a polymer coating “solution” in which the food material can be dissolved or dispersed. This fluid is sprayed in a closed cylindrical container where the droplets dry during their fall onto the container wall by hot-air flow (Fig. 9). Different preparative variables, such as the concentration of polymers and solids, rate of spraying, feed rate of polymer/drug dispersion, temperature during drying, and collecting chambers, etc., affect the particle size of the microparticles obtained (Krishnaiah et al., 2014).

Emulsion-Evaporation In this method, the coating material (polymer or lipid) and food material is dissolved in a food-acceptable volatile organic solvent. This organic phase is emulsified in an aqueous phase containing a stabilizer to form an oil-in-water emulsion using mechanical stirrers. Thus, the solvent is evaporated at room temperature or by reduced pressure, forming the microparticles (QuintanarGuerrero et al., 1998).

Molecular Inclusion in Cyclodextrins This is an encapsulation method at the molecular level utilized to dissolve lipophilic food materials into cyclodextrins and to facilitate their dissolution more than to protect or control the release of the active ingredient. Cyclodextrins are modified starch molecules in the form of hollow truncated cones with a cavity formed by hydrogen and glycosidic oxygen atoms capable of incorporating guest molecules (Fig. 10) (Kayaci et al., 2013).

Nanoencapsulation Nanotechnology is one of the key technologies of the 21st century (Dasgupta et al., 2015). The term Food Nanotechnology comprises an emerging multidisciplinary field that is beginning to grow exponentially and is one entertaining implications in the development of novel procedures and systems to prepare, control, protect, pack, and commercialize food products. In general, these improved characteristics are explained by their tiny particle size (1 mm) and molecular behavior (Gültekin and Deǧim, 2013). These advantages can be summarized in terms of the following aspects: a) decrease in fed/fasted variability; b) protect sensitive food materials; c) prevent evaporation; d) increase organoleptic properties; e) increase the rate of dissolution; f) increase surface area; g) lesser amount of food material required, and, j) increase consumer compliance. Nanosystems are being proposed to

Solution or dispersion Polymer and food ingredient disolved or dispersed in water or organic green solvent.

Figure 9

Typical spray-dry process.


Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods

Solvent evaporation

Emulsification diffusion

Mutual saturation Diffusion emulsion


Solvent displacement

Turbulent diffusion

Double emulsion

1st emulsion

2nd emulsion


Salting-out emulsion

Figure 10


Organic phase Aqueous phase Food ingredient Coating material Stabilizer

The cyclodextrin chemical structure (A) and the food–cyclodextrin complex (B).

solve several food challenges, such as to protect substances from temperature or chemical changes, to prevent activity loss during processing, to avoid evaporation, to increase organoleptic properties, to enhance nutrimental efficacy and, in general, for novel ways for spatial and temporal delivery (Akhavan et al., 2018; Chen et al., 2018; Pallas et al., 2018; Prakash et al., 2018). Terms such as nanofoods or nanostructured materials have been employed to describe these systems, which include the following: micelles; nanotubes; polymersomes; polymeric, metallic, and lipid nanoparticles; nanocapsules; nanogels; nanofibers, and nanocomposites, nanofibers, etc. Polymeric or Solid Lipid Nanoparticles (SLN) are submicron-sized colloidal particles produced by mechanical or chemical means in which a food substance can be dissolved in the dispersion, encapsulated within their polymeric matrix, adsorbed onto the surface, or chemically attached. In terms of size, an interval of between 10 and 1000 nm, more typically between 50 and 600 nm, is considered food-acceptable. Polymeric nanoparticles unite both nanospheres and nanocapsules (Quintanar-Guerrero et al., 1996, 1997; De Jong and Borm, 2008). SLN without active ingredient increased fruit shelf-life when they are incorporated into edible coatings. The SLN preparation is easy to set-up, easy to scale-up, is low cost, and can be performed at room temperature (Zambrano-Zaragoza et al., 2013a). The majority of nanoparticle-preparation processes consider two steps: a) the formation of an emulsion (oil-in-water), where the coating material and the food active are dissolved in a green or acceptable solvent or (SC-CO2) and dispersed (or homogenized) in an aqueous phase containing stabilizers, and b) the precipitation/gelation of a polymer into nanoparticles by the presence of a non-solvent medium or the evaporation of the solvent (Figs. 11 and 12) (Mendoza-Muñoz et al., 2016).

Gelation in the Food Industry Gelation is a technique used in food processing as an alternative to modify the functional properties, digestibility, and potential allergenicity of the component of foods such as milk, poultry and fish protein, and others of vegetal origin, mainly soy and wheat. Gelation in these cases is considered a process of structural modification, although it can also be used to prepared nano- and microparticles in addition to separation processes (Comunian et al., 2017). In the structural modification of proteins, Ultra-High hydrostatic Pressure (UHP) represents a novel non-thermal process that can be used to carry out conformational modifications of protein by means of aggregation, denaturation, and gelation processes that produce a considerable improvement in the functional and textural properties that are dependent on the temperature and the pressure of the UHP process and of the characteristics of proteins (Qin et al., 2017). Gelation with temperature increase on protein is used to modify the digestibility and potential allergenicity of these, such as the ovalbumin in eggs (Claude et al., 2017).

Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods




Cyclodextrin Inclusion

Complex Food material Figure 11

Different methods to prepare nanoparticles.

Food ingredient and coating solution

Collector plate Syringe Spirinet Power supply

Infusion pump Figure 12

Schematic representation of a typical electrospinning setup.

Coating in Food Processing The main objective of a coating is to protect from degradation due to environmental conditions (temperature, O2, relative humidity, etc.) and substances such as flavors, colorants, antimicrobial agents, antioxidants, and other bioactive compounds, as well as to increase their solubility, dispersibility, and wettability, thus facilitating incorporation into different food products during the development of new products. A coating is defined as a thin layer or shell that is used to prepare nano- and microparticles or to generate a layer that wraps a food, such as seeds, fruits, cheeses, or other foods, with the purpose of increasing its shelf life. Bioactive substances represent an alternative to the use of by-products and wastes of the food industry that meet the requirements for the development of the sustainable products included in the preparation of functional foods (Toniazzo et al., 2017; Castelo Branco Melo et al., 2018).

Coating on Food Surfaces Food coatings have different functions. They are a barrier that limits the contact of the product with the environment, modifies the functional properties of foods, and contributes to the control of the surface moisture preventing the agglomeration, adhesion, or disintegration of food. The substances used mainly as coatings in solid foods are mono and disaccharides, modified starches, polyalcohols, silicates, and other anti-wetting coatings (Ramos et al., 2014; Yao et al., 2018). Novel techniques include the development of edible coatings. These act as a layer that limits the gaseous exchange between the food and the environment, generating a modified atmosphere. Edible coatings are composed basically of polysaccharides and/or proteins that have limited control of gas exchange and lipids that limit the loss moisture (Ganiari et al., 2017; Yousuf et al., 2018). Furthermore, to increase its protective effect and control release, nanostructured systems have been used; these include nanocomposites of organic and inorganic materials that exhibit a wide range of possibilities that are necessary to explore with the purpose of increasing the shelf life, security, and safety of minimally processed food or to reduce energy by refrigeration and the use of plastic polymer packaging, thus reducing pollution. Edible coatings can be prepared with by-products such as the peels, seeds, and wastes


Novel Techniques for Extrusion, Agglomeration, Encapsulation, Gelation, and Coating of Foods

External Factors

Edible Coating Active compound

Internal Factors

Temperature Relative humidity Ethylen Other Volatile compound


CH2=CH2 Volatile compounds

Thinkness of coating(Barrier)


Edible coating


Food surface

Adhesion forces



Diffusion active

Figure 13

Edible Coating in food surface and diffusion of bioactive compounds.

of pulp of fruit that are rich in antioxidants, pigment, volatile compounds, and antimicrobial substances (Ramos et al., 2014; Zambrano-Zaragoza et al., 2018). Fig. 13 shown edible coating effect on food.

Conclusions The processes involved in the production of sustainable food include one or several operations, the purpose being to produce food safety and comply with a social function in relation to the bioavailability, digestibility, and beneficial effect on human health. Therefore, extrusion using cryogenic liquids comprises a novel strategy for the preparation of expanded products obtained from vegetal sources and their by-products, with the guarantee that these are sustainable and that they have lower energy requirements and lower heat generation, which are used in the structural modified protein of plants, poultry, and fish. The encapsulation of bioactive substances is another alternative to incorporate by-products with functional properties; thus, nano- and microencapsulation include spray drying, ion gelation, and conservation, which consider incorporating low-solubility substances in the food process with the possibility of possessing the controlled release of bioactive substances during storage. Agglomeration and coating are also used for solid foods and serve to improve the availability of nutrients, producing structural modification and changes that contribute to decreasing the energy used to transport materials, allowing better efficiency-of-process.

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Novel Foods: Allergens Luigia Di Stasio, Department of Agricultural Sciences, Portici, Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction General Characteristics of Peanut Characteristics of Main Peanut Allergens Ara h 1 Ara h 2 Ara h 3 Ara h 6 Influence of Thermal Treatment Detection Methods for Peanut Allergens References Relevant Website

393 393 394 394 394 394 395 395 395 396 397 398

Abstract A high increase in changing dietary lifestyle is spreading in the last three decades, strongly projected towards the consumption of plant-based foods in spite of the significant increases in meat consumption in the developed country over the past century. In particular, the search for new protein sources that give a similar protein intake to animal-based products is constantly growing, such as the revaluation of minor legumes or however a protein source belonging to the Leguminosae family like peanuts. The emerging knowledge suggests that the climate change and water use impacts linked to peanut production are lower for peanut crops than other plant-based and animal-based protein sources and this distinctive trait can support the validity of peanut to be considered as an alternative protein source (Sandefur et al., 2016). Given the important role of peanuts in modern food consumption habits, it is important to consider also the allergenic problem, in addition to their agronomic and nutritional value. Indeed, peanut allergy is one of the most important IgE mediated immune disease in worldwide. Food processing could contribute in promoting/non promoting its allergenic potential. In addition, biochemical changes that arise following technological process make difficult to find optimal methods to detect and quantify allergens in order to protect consumers against “hidden allergens”. Nowadays, ELISA immunoassay is the only official method for the detection of trace of allergens in food matrix used by food industries. In this chapter, the impact of food processing on the allergenic potential of peanut proteins and an overview on currently detection methods for the quantification of peanut allergens has been considered.

Introduction Food is indispensable for sustenance and, in particular, consumption of protein is critical for maintaining our body in an optimum state of health. Nowadays, the problem of global population growth has focused on finding new protein sources in order to provide adequate protein in the diet for the developing countries that still suffers from an insufficient access to nutritious and safe food, but also developed countries due to their massive exploitation of current agricultural and animal resources. For this reason, a shift in dietary habits from animal-based protein to plant-based protein is occurring. Peanuts, for example, is considered a plant-based protein alternative which can provide an important source of nutrients, in particular a high concentration of proteins and amino acids (Nadathur et al., 2017). The application of peanut flour in foodstuffs include breads and bakery products, breakfast cereal flakes, meat pastries, snack food, beverages, ice creams and soups. The scientific perspective for food industry is to use protein extracts from peanuts, for example, as a source of enrichment of foodstuffs, or to improve protein functionality through modifications (e. g. fermented flours or enzymatically modified flours) in order to develop new types of improved peanut protein products in the future. When we talk about proteins, one of the major concern is the safety assessment linked to the potential allergenicity. Food allergy, in fact, is an important health problem (Sampson, 2004). For a small percentage of people, specific components of food cause adverse reactions: food allergy, for example, occurs when allergen triggers a chain of reaction involving the immune system. It is been estimated that IgE mediated food allergies affect 1%–2% of adults and 5%–6% children younger than 18 years (Sicherer and Sampson, 2010). Particularly, peanuts are one of the common causes of food allergy and its prevalence is in increasing in the last years. Actually, the ingestion of peanuts is a major cause of serious allergic reactions like hives, asthma and gastrointestinal disorders. The only effective measure to prevent these allergic reactions is the avoidance of the allergen containing food by allergic individuals (Sicherer and Sampson, 2007). For peanut allergic subjects, total removal is often difficult because peanuts are present in different processed foods like ingredient or used in diet as important protein source. In order to protect food allergic consumers,

Encyclopedia of Food Security and Sustainability, Volume 1




Novel Foods: Allergens

labelling legislation about food allergens has been improved by drawing up a list of 14 principal allergens (EC 1169/2011) that must be labelled on pre-packaged and no-packaged products (Sayers et al., 2016). Nevertheless, this legislation do not keep in consideration cross contact of allergenic ingredients into food products due to lack of appropriate cleaning procedure of food processing lines. It is apparent, however, that peanut consumption is closely associated with the way in which food is prepared, dietary habits and food preferences of people and for this, the prevalence of allergy isn’t connect in the same way in worldwide. For example, linking allergy prevalence to dietary habits include a higher incidence of sesame allergy in the Middle East and Israel and a higher incidence of rice allergy in China and Japan (Hadley, 2006) and also, about geographical differences, a higher incidence of apple allergies occurs in Northern Europe where birch trees are found. This may be explained by the similarity between apple allergens and birch trees allergens (Burney et al., 2010). About dietary habits, previous epidemiologic studies have associated the increased consumption of peanut by pregnant and the allergic sensitization of their children (Lack, 2008).

General Characteristics of Peanut Peanut belongs to the family Fabaceae. It is the third important food crop in the world after soybean and cotton. The cultivation of peanut began in Bolivia, South America, but today it is grown throughout various ecological zones of the world. Unites States, China and India are the leading producers of peanuts providing 70% of the world’s peanuts for more than 25 years and, due to its beneficial nutrients, the consumption and crop of peanuts is increasing. They are rich in minerals and fibre, with high levels of phytosterols and unsaturated fatty acid. They are consumed as a snack or used as ingredients in several foodstuffs like desserts, due to their flavour and aroma (Fu and Maks, 2013). They are consumed, depending on the cultural and dietary habits, in different ways: boiled, fried, roasting or even raw. Just regarding process technologies, scientific literature is poor currently in number of in vivo studies and little is known about how peanuts processing may affect allergic sensitisation and subsequent induction of adverse reactions to peanut proteins. Beside these nutritional benefits, peanuts have some proteins known as allergens. The International Union of Immunological Allergen Nomenclature Sub Committee (www.allergen.org) has registered and characterized 13 peanuts protein (Ara h1 to Ara h13) classifying them as allergens (Kroghsbo et al., 2014). Peanuts allergy has been considered one of the most adverse food allergy, due to peanuts proteins have shown to be resistant to digestion, proteolytic actions or heat denaturation. Seed storage proteins like vicilins (7S globulins), legumins (11S globulins) and 2S albumins are the most important peanut allergens. Profilin, class I chitinase and lipid transfer protein (LTP) are minor allergen group with the function of defending plants against pathogens (Table 1).

Characteristics of Main Peanut Allergens Ara h 1 Ara h1 protein is a major allergen of peanut. It belongs to the vicilin family, a seed storage protein. Ara h1 protein is a glycoprotein of molecular mass 65 kDa, with an isoelectric point of 4.55, and contains a free sulfhydryl group in the molecule. 23 linear IgE epitopes have been identified nevertheless few of the IgE-binding epitopes are resistant to pepsin degradation (Maleki et al., 2000b).

Ara h 2 Ara h 2 is a member of conglutin family (2S albumin), a storage protein. The molecular mass of this glycoprotein is 17.5 KDa. It is known that Ara h 2 is resistant to degradation by digestive enzymes, which might explain why it is recognized by IgE in 70%–90% of patients with peanut allergy (Maleki et al., 2000a).

Table 1

A list of the main allergens of peanut and their characteristics


Protein family


MW (kDa)

ARA H 1 ARA H 2 ARA H 3/4 ARA H 5 ARA H 6 ARA H 7 ARA H 8 ARA H 9 ARA H 10 ARA H 11 ARA H 12 ARA H 13

Vicilin 7S globulin Conglutin 2S albumin Legumin 11S globulin Profilin Conglutin 2S albumin Conglutin 2S albumin Bet v 1 homolugus LTP Oleosin Oleosin Defensin Defensin

6.20 5.96 5.52 4.58 6.15 6.74 5.03 9.45 9.61 10.08 – –

64 17–19 13–45 15 15 15.8 16.8 9.8 16 14 8 8

Novel Foods: Allergens


Ara h 3 Ara h 3 belongs to 11S storage protein from glycinin family and it consists of a series of polypeptides (acidic and basic subunits) ranging from approximately 14 to 45 kDa. The great homology with soy glycinin, in which acidic subunit was found to be the main antigenic and allergenic part of soy glycinin, could explain the main IgE reactivity of 45 and 42 kDa band (acidic subunits) and minor IgE reactivity 25 kDa band (basic subunit) (Koppelman et al., 2003). Ara h 4 is considered an isoallergens of Ara h 3 (35.9 KDa acidic subunit) with 91% of homology.

Ara h 6 Ara h 6 is a 2S albumin, it has homology to Ara h 2, and in fact, they have similar molecular size: Ara h 2 is 17–19 kDa and Ara h 6 is 14.5 kDa (Flinterman et al., 2007; Koppelman et al., 2003). This homology of both 2S albumin leads to cross-reaction of the epitopes of Ara h 6 is cross-reactive with epitopes on Ara h 2. Ara h 6 also, like Ara h 2, is considered heat-stable and resistant to digestion in the gut (Iqbal et al., 2016; Koid et al., 2014).

Influence of Thermal Treatment The incidence of food processing on allergenicity of protein may change from food to food or protein to protein. Biochemical changes that arise following technological process of food make difficult to study and predict how the allergenicity is affects (Kroghsbo et al., 2014). In the past, many food allergies studies have treated properties to confer on proteins an immunogenic and allergenic potential; for example, glycosylation, stability to proteolytic digestion, enzymatic activity and, above all, the impact of food processing on allergens (Wickham et al., 2009). The types of processing that have been implicated in promoting/non promoting allergenic potential of peanuts proteins are: heating (roasting, boiling e.g.), physical treatments (such as high pressure processing) and fermentation. Thermal processing, such as boiling, roasting and other types of cooking can cause biochemical reactions in foods like the Maillard reaction, an important reaction for developing of flavour and colour happens during processing of food. Carbonyl compounds attack free primary amino groups during the Maillard reaction, leading to the formation of stable advanced glycation products (AGE). These changes in proteins may influence antibodies’ ability to bind to the modified protein, and in the case of IgE antibody binding this may imply an altered capacity to elicit an allergic reaction (Maleki et al., 2000a). Chung and Champagne (2001) utilized antibodies specific for certain types of AGEs to demonstrate that Ara h 1 and Ara h 3 are more commonly modified than Ara h 2. Furthermore, the solubility of target protein and the extractability of soluble proteins can be affect by thermal processing, and this is another drawback for the detectability of allergens in foodstuff. About roasting, scientific studies in literature show different results. Roasting of peanut is usually performed at 140  C for 40 min. At this high temperature chemical modifications, like covalent links between lysine residues of the protein and other constituents of the food matrix, may occur. The resulting in the formation of adducts may involve the formation of reactive complexes (Chung et al., 2003). Several studies demonstrate that degranulation capacity is reduced by Ara h 2 and Ara h 6, purified from roasting peanuts, significantly enhanced by Ara h 1 (Vissers et al., 2011). Others studies conversely, in which the ability of Tcell stimulation of Ara h1 and Ara h3 was compared, reported that Ara h 2 has higher IgE reactivity and T-cell stimulation property than Ara h 1 (Tordesillas et al., 2014). More broadly, peanut allergens (Ara h 1, Ara h 2 and Ara h 3) from roasted peanuts extracts increase IgE binding by 90-fold compared with raw peanut extracts due to greater accessibility of IgE-binding epitopes from roasted peanuts. Several results in literature as well concern the effect of boiling processes on IgE binding capacity of peanut allergens. Some studies (Beyer et al., 2001; Blanc et al., 2011; Mondoulet et al., 2005; Vissers et al., 2011) demonstrated that boiling decreased the IgE-binding capacity than roasted peanuts, assessment lead by immunochemical assay like EAST, immunoblotting, MRA. Particularly, Turner et al. (2014) found that boiling for 6 hours lead a loss of proteins, particularly the most immunogenic protein, Ara h 2 and Ara h 6, and these LMW proteins could be found in cooking water. Therefore, different from other technological process, boiling brings a decrease in allergenicity not associated with structural modifications but with a loss of low molecular weight proteins into the cooking water (Mondoulet et al., 2005). Futhermore, Beyer et al. (2001) demonstrates like different methods of peanut preparation influence IgE-binding capacity. Particularly, frying (120  C) and boiling (100  C) reduced IgE binding of Ara h 1, Ara h2 and Ara h 3 compared with roasted preparations (150 C–170  C). In detail, the IgE binding to Ara h 2 and Ara h 3 was, in parallel with Ara h 1, significantly lower in boiled and fried peanuts in comparison with roasted preparations. This finding may explain the relationship that exists in lower prevalence of peanut allergy in China where the consumption of boiled peanuts is more widespread than in the United States where prevailing consumption of roasted peanuts. The autoclaving, also, was considered an important physical method able to decrease IgE-binding properties of roasted peanut promoting lost of most of the a-helical structure and then changing the structure of proteins. Both by in vitro experiments (Western blot, ELISA) and in vivo experiments (Skin Prick Test), IgE immunoreactivity of roasted peanut protein extract decreased significantly at extreme conditions of autoclaving (Cabanillas et al., 2012). The time, the temperature, the nature, the intensity and all conditions that distinguish several heat treatments can affect allergenic proteins either destroying or forming new allergenic complexes. These factors associated with the effect of food matrix could explain why the effects of thermal treatments are eliminated or attenuated for whole peanut food as compared with isolated pure allergens (Mondoulet et al., 2005).


Novel Foods: Allergens

Detection Methods for Peanut Allergens Protein-based methods include immunoblotting, enzyme-linked immunosorbent assay (ELISA), lateral flow device (LFD), rocket immunoelectrophoresis (RIE), radio-allergosorbent test (RAST), enzyme allergosorbent test (EAST), radioimmunoinhibition assay (RIA) and liquid chromatography–tandem mass spectrometry (LC–MS) are some of the different rapid immunochemical methods develop by academic and industrial laboratories, for protection of consumers against “hidden peanut allergens” (Roder et al., 2009; Schubert-Ullrich et al., 2009). These reliable methods to detect and quantify allergens are required by the food industry to validate cleaning procedures, to ensure hygiene during food production, to ensure compliance with food labelling and to improve consumer protection (Poms et al., 2004). Nowadays, ELISA assay is the official method for detection of trace of allergens in foodstuff that can be detected binding a specific enzyme-labeled antibody by colorimetric reaction. High sensitivity, low cost, fast application are only any features that makes its assay so useful (Iqbal et al., 2016). The ELISA methods is based on antigen-antibody interaction to allergenic proteins. It is very matrix specific and it is susceptible to producing false negative results. Several ELISA test kits are available for peanut determination. Commercially available ELISA test kits have a typical limit of detection (LOD) included in a range of 1–5 ppm (parts per million) and they measure specific peanut allergens (Ara h 1 and Ara h 2) or total soluble peanut protein (Poms et al., 2004). The strong variance in results of commercial ELISA kits should be cause by: different proteins target (selected proteins, raw peanut proteins extract, Ara h1, Ara h2 or Ara h3), the extraction procedure (sample preparation, composition of extraction buffer, incubation time and temperature), the detection and quantification limit, the time of experiment (between 30 minutes and 3.5 hour) and the costs. Even though immunoassays provide a specific, sensitive and rapid method to detect and quantify even traces of allergens, in previous studies has been demonstrated that heat treatment provoke a significant effect on the detectability of peanut allergens by ELISA kits. Poms et al. (2004) affirm that time of roasting could cause a change in antigen recognition by the IgG antibodies and in protein solubility of ELISA test systems, due to alteration of specific epitopes for example changing in the secondary structure conformation with formation of b-structures. In ELISA assay, when using monoclonal antibodies there is a great possibility of false negative, while polyclonal antibodies are recommended because reducing the risk in obtaining false negatives (Iqbal and Ateeq, 2013). This immunoassay is also subject to complications that depend from food matrices. For example, dark chocolate, as complex matrix, could contribute to provide both false positive and false negative responses in ELISA assay. In some cases, commercial ELISA kits may not detect processed peanuts, despite they showed high binding capacity to human sera immunoglobulin E (IgE) from patients allergic to peanuts (van Hengel, 2007). As well as ELISA kits from several producers can provide different results depending probably on the different content in allergens (Table 2). In addition, DNA-based detection methods (like Real-time Polymerase Chain Reaction PCR) are utilized to detect peanut proteins in foodstuff. Even if these methods are very specific and sensitive, they may suffer significant variations in the relationship between the quantity of DNA present and the amount of allergen present (Shefcheck et al., 2006). Therefore, the main drawbacks of immunological methods are the cross-reactivity with matrix components that can result in false positive results and the matrix effect on the detection of epitopes for the ELISA assay; while concerning the DNA-based detection methods, the presence of peanut DNA in a food product does not guarantee the presence of allergens since very often purified proteins are used as an ingredient, and to this is added that the allergenicity of a food is caused by its proteins and not its DNA (Chassaigne et al., 2007). One of the emerging technologies, that use target protein or fragment of DNA, is the immunochemical biosensor, which allows measuring a specific molecular interaction through a quantitative assessment of the activity of binding between one or more molecules. Proteomics methods that employ mass spectrometry (MS) could be a good alternative in overcoming difficulties associated with immunological approach. This method has already been used in spotting traces allergens in foodstuff, providing a good identification of allergenic proteins and this represent a major advantage compared to methods based on immunological techniques or DNA analysis (Shefcheck and Musser, 2004; van Hengel et al., 2006). In addition, multi-allergen detection and quantification are satisfied, considering that, even in this case, also for immunological methods, thermal treatments may influence the detection of allergic proteins (Pedreschi et al., 2012). Particularly, concerning peanut allergens, LC matched with Q-TOF MS/MS enables the simultaneous detection of a variety of peptide tags derived from the three major peanut allergens, Ara h 1, Ara h 2, and Ara h 3 in raw peanuts, while the detectability of a large number of ions derived from same allergens in processed peanuts is Table 2

Protein, major allergens content of peanut samples and their reactivity in various ELISA kits (Koppelman et al., 2016) Major allergens content

Reactivity in peanuts ELISA

Peanut cultivar

Ara h 1

Ara h 2

Ara h 3

Ara h 6



IgE-binding IC50 (mg/mL)

Runner Spanish Valencia Virginia

12.1 15.3 14.6 20.9

4.4 5.7 6.5 8.0

77.7 83.5 80.1 58.0

3.8 4.8 4.8 9.7

4.27 3.88 4.14 3.61

0.50 0.61 0.63 0.92

0.41 0.27 0.23 0.23

Novel Foods: Allergens Table 3


Relative MS Signal Intensity for six selected peptides ions measured in raw, mild and strong roasted peanut extracts (Chassaigne et al., 2007) Relative intensity

Peptides sequence


Position sequence

Raw peanut extract

Mild roasted peanut extract

Strong roasted peanut extract



172–180 461–471 22–31 147–155 258–264 342–354

27.4 24.9 80.1 45.5 15.0 11.5

18.5 27.3 19.5 65.2 26.8 27.5

12.3 13.9 8.5 81.0 5.1 28.9


in part affected (Chassaigne et al., 2007) (Table 3). Also (Sayers et al., 2016) emphasizes the different behaviour of peanut allergen targets after heat processing: Ara h1 and Ara h3 showed more complex behaviour than Ara h 2, Ara h 6 and Ara h 7. This might be related to the formation of aggregated structures by Ara h1 and Ara h 3 following thermal processing, which would involve a lower accessibility of trypsin and then a lower reliability as targets for quantification. The efficiency both LC-MS/MS methods and immunoassay are related to their sensitivity: in the immunoassay depends on antibody binding capacity while in LC-MS/MS methods depends on the ionization efficiency of target peptides (Careri et al., 2008; Koppelman et al., 2016). Due to an absence of validated methods for LC-MS/ MS, currently the immunological test is still the most suitable technique for the assessment and the detection of peanut allergens and more generally of traces of hidden allergens in food. Anyway, a need to develop a robust and validated method is desirable to ensure consumer safety.

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Novel Foods: Allergens

Nadathur, S.R., Wanasundara, P., Scanlin, L., 2017. Proteins in the Diet. Pedreschi, R., Norgaard, J., Maquet, A., 2012. Current challenges in detecting food allergens by shotgun and targeted proteomic approaches: a case study on traces of peanut allergens in baked cookies. Nutrients 4 (2), 132–150. Poms, R.E., Capelletti, C., Anklam, E., 2004. Effect of roasting history and buffer composition on peanut protein extraction efficiency. Mol. Nutr. Food Res. 48 (6), 459–464. Roder, M., Vieths, S., Holzhauser, T., 2009. Commercial lateral flow devices for rapid detection of peanut (Arachis hypogaea) and hazelnut (Corylus avellana) cross-contamination in the industrial production of cookies. Anal. Bioanal. Chem. 395 (1), 103–109. Sampson, H.A., 2004. Update on food allergy. J. Allergy Clin. Immunol. 113 (5), 805–819 quiz 820. Sandefur, H., McCarty, J., Boles, E., Matlock, M., 2016. Peanut products as a protein source: production, nutrition, and environmental impact. Sustain. Protein Sources 209–221. Elsevier. Sayers, R.L., Johnson, P.E., Marsh, J.T., Barran, P., Brown, H., Mills, E.N., 2016. The effect of thermal processing on the behaviour of peanut allergen peptide targets used in multiple reaction monitoring mass spectrometry experiments. Analyst 141 (13), 4130–4141. Schubert-Ullrich, P., Rudolf, J., Ansari, P., Galler, B., Fuhrer, M., Molinelli, A., Baumgartner, S., 2009. Commercialized rapid immunoanalytical tests for determination of allergenic food proteins: an overview. Anal. Bioanal. Chem. 395 (1), 69–81. Shefcheck, K.J., Callahan, J.H., Musser, S.M., 2006. Confirmation of peanut protein using peptide markers in dark chocolate using liquid chromatography-tandem mass spectrometry (LC-MS/MS). J. Agric. Food Chem. 54 (21), 7953–7959. Shefcheck, K.J., Musser, S.M., 2004. Confirmation of the allergenic peanut protein, Ara h 1, in a model food matrix using liquid chromatography/tandem mass spectrometry (LC/ MS/MS). J. Agric. Food Chem. 52 (10), 2785–2790. Sicherer, S.H., Sampson, H.A., 2007. Peanut allergy: emerging concepts and approaches for an apparent epidemic. J. Allergy Clin. Immunol. 120 (3), 491–503 quiz 504–505. Sicherer, S.H., Sampson, H.A., 2010. Food allergy. J. Allergy Clin. Immunol. 125 (2 Suppl. 2), S116–S125. Tordesillas, L., Goswami, R., Benede, S., Grishina, G., Dunkin, D., Jarvinen, K.M., Maleki, S.J., Sampson, H.A., Berin, M.C., 2014. Skin exposure promotes a Th2-dependent sensitization to peanut allergens. J. Clin. Invest. 124 (11), 4965–4975. Turner, P.J., Mehr, S., Sayers, R., Wong, M., Shamji, M.H., Campbell, D.E., Mills, E.N., 2014. Loss of allergenic proteins during boiling explains tolerance to boiled peanut in peanut allergy. J. Allergy Clin. Immunol. 134 (3), 751–753. van Hengel, A.J., 2007. Food allergen detection methods and the challenge to protect food-allergic consumers. Anal. Bioanal. Chem. 389 (1), 111–118. van Hengel, A.J., Capelletti, C., Brohee, M., Anklam, E., 2006. Validation of two commercial lateral flow devices for the detection of peanut proteins in cookies: interlaboratory study. J. AOAC Int. 89 (2), 462–468. Vissers, Y.M., Blanc, F., Skov, P.S., Johnson, P.E., Rigby, N.M., Przybylski-Nicaise, L., Bernard, H., Wal, J.M., Ballmer-Weber, B., Zuidmeer-Jongejan, L., Szepfalusi, Z., Ruinemans-Koerts, J., Jansen, A.P., Savelkoul, H.F., Wichers, H.J., Mackie, A.R., Mills, C.E., Adel-Patient, K., 2011. Effect of heating and glycation on the allergenicity of 2S albumins (Ara h 2/6) from peanut. PLoS One 6 (8), e23998. Wickham, M., Faulks, R., Mills, C., 2009. In vitro digestion methods for assessing the effect of food structure on allergen breakdown. Mol. Nutr. Food Res. 53 (8), 952–958.

Relevant Website ALLERGEN NOMENCLATURE (WHO/IUIS Allergen Nomenclature Sub-Committee): http://www.allergen.org/.

Sustainable Crops for Food Security: Quinoa (Chenopodium quinoa Willd.) Annalisa Romano and Pasquale Ferranti, Department of Agricultural Sciences, University of Naples, Portici (Naples), Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Agronomic Aspects and Composition of Quinoa Crop Quinoa Seeds Composition and Nutritional Aspects Antinutritional Factors Conclusions References

399 399 400 400 400 401 401

Abstract The pseudocereal quinoa (Chenopodium quinoa Willd.) is a crop that has endured the harsh climate conditions of the Andean region in South America since ancient times. Because of its stress-tolerant characteristics (the plant is cold, salt and drought tolerant) and of the high seed nutritional value and biological properties, quinoa has been described as one of the grains of the 21st century; and FAO launched the International Year of Quinoa in 2013. Quinoa seeds, and to some extent its leaves, are traditionally used for human and livestock consumption in the Andean region. Nowadays, quinoa cultivation has crossed continental boundaries to reach Europe. It is cultivated in France, England, Sweden, Spain, Denmark, Finland, Holland and Italy. It is grown in the United States and Canada, as well as in Kenya, in the Himalayas and India. Quinoa seeds are an exceptionally nutritious food source, owing to their high protein content rich in all essential amino acids, absence of gluten, high level of important minerals, such as calcium and iron, and health-promoting compounds such as flavonoids. Thus, quinoa provides a promising crop towards ensuring sustainable and safe food, e.g. gluten-free foods and nutritionally balanced products at affordable costs and a low impact on the environment.

Agronomic Aspects and Composition of Quinoa Crop Quinoa (Chenopodium quinoa Willd.), a facultative halophyte (Adolf et al., 2012) belonging to the Amaranthaceae, is a dicotyledonous plant belonging to the Chenopodiaceae family and is widespread in Latin America, particularly in South America where the crop cultivation had its origin 5000 years ago (González et al., 2015), on the present Peruvian and Bolivian border near Titicaca lake. Production of quinoa has, until now, been prevalently conducted in Bolivia and Peru and still is with small productions in other Andean countries like Ecuador, Chile, Argentina, and Colombia (Ruiz et al., 2014). Although, until the beginning of the 1980s, quinoa cultivation was specific to these countries, since then the potential and benefits of this plant have started to be appreciated. Interest in quinoa as a valuable food source has been renewed in recent years because of its versatility and its ability to grow under conditions normally inhospitable to other grains. Quinoa cultivation has crossed continental boundaries to reach Europe. It is cultivated in France, England, Sweden, Spain, Denmark, Finland, Holland and Italy (FAOSTAT, 2013; Medina et al., 2010). It is grown in the United States and in Canada, as well as in Kenya, in the Himalayas and India (FAOSTAT, 2013). Quinoa crop can be adapted to different environmental conditions, being environmentally resistant. In fact it maintains productivity on rather poor soils and under conditions of water shortage, high salinity, high altitude, thin cold air, hot sun, and sub-freezing temperatures. Today, the scarcity of water resources and the increasing salinization of soil and water are the primary causes of crop loss worldwide and may become even more severe as a consequence of desertification (FAO, 2011). Quinoa’s exceptional tolerance to hostile environments makes it a good candidate crop offering food security in the face of these challenges (Ruiz et al., 2014). The fruit is a tiny achene, and seed color ranges from white and yellow to purple and black (Ruiz et al., 2014). Betalains are the most relevant phytochemicals present in quinoa grains and are responsible for their color. The presence of betalains is correlated with high antioxidant and free radical scavenging activities (Abderrahim et al., 2015; Escribano et al., 2017). Violet, red and yellow quinoa grain extracts show remarkable antioxidant activity in comparison with the white and black one. The highest activity was observed in the red-violet varieties containing both betacyanins and betaxanthins, with remarkable activity also in the yellow varieties, where dopaxanthin is a significant constituent (Escribano et al., 2017). Quinoa leaves are widely used as food for humans and livestock (Weber, 1978) and constitute an inexpensive source of vitamins and minerals. Generally, the younger leaves are used as a vegetable for human food (Ahamed et al., 1998). Chenopodium leaves have more protein and minerals than commonly consumed spinach and cabbage but less than amaranth leaves. The higher content of lysine and lower content of methionine of quinoa leaves are its most distinguishing features respect to other leafy vegetables. The leaves of Chenopodium species contain from 3% to 5% dry weight nitrate (Prakash et al., 1993). They can be eaten in salads and are

Encyclopedia of Food Security and Sustainability, Volume 1




Sustainable Crops for Food Security: Quinoa (Chenopodium quinoa Willd.)

important in regions where vegetables are scarce. The leaves and stems are also udes for feeding ruminants, and the chaff and the gleanings for pigs (Ahamed et al., 1998). The potential health benefits of quinoa have been extensively reviewed in recent years (Simnadis et al., 2015; Navruz-Varli and Sanlier, 2016; Maradini Filho, 2017; Tang and Tsao, 2017; Suárez-Estrella et al., 2018). It was reported that one serving of quinoa (about 40 g) meets an important part of daily requirements for essential nutrients and health-improving compounds (Graf et al., 2015).

Quinoa Seeds The small, round, flat seeds measure about 1.5 mm in diameter, and 350 seeds weigh about 1 g (Ruales and Nair, 1993). The seeds may be utilized for human food, in flour products and in animal feedstock because of its high nutritive value (Repo-Carrasco et al., 2003). They are used whole in soups, in salads or ground into flour to make bread (sourdough or non-sourdough), pasta (spaghetti or tagliatelle), cookies, crepes, muffins, pancakes, and tortillas to enhance their nutrition values (Chauhan et al., 1992b; Stikic et al., 2012; Wang and Zhu, 2016; Romano et al., 2018). In addition to good nutritional composition, more recently, attention has been given to quinoa as an alternative to the cereals wheat, rye and barley, which all contain gluten. In the Western countries, quinoa flour is also mixed with other gluten-free grains for development of gluten-free bakery products (Turkut et al., 2016; Wang and Zhu, 2016) for the increasing number of people with diagnosis of celiac disease, non-gluten (or wheat) sensitivity, or for consumers who avoid gluten for lifestyle reasons and of health-related food products.

Composition and Nutritional Aspects The major component of quinoa seed is starch, which ranges 30%–70% of the dry matter. Quinoa seeds are an exceptionally nutritious food source (Alvarez-Jubete et al., 2010; Nowak et al., 2016), owing to their high protein content with all essential amino acids. In particular, the high amount of lysine (12%–19%; average, 15%) - the limiting amino acid in all cereals – makes quinoa unique among grains (Maradini Filho, 2017; Mota et al., 2016). For these characteristics, in 1989 the National Academy of Sciences of the United States included quinoa among the best protein sources in the vegetal kingdom. The protein content is of about 15% in quinoa seeds, exceeding that found in mainstream cereals such as wheat, barley, oats, rice, and sorghum. The levels of soluble protein in quinoa are similar to those of barley and higher than those of wheat and maize (Gonzalez et al., 1989). Moreover, quinoa seeds are gluten-free (Romano et al., 2018) and contain considerable amounts of fiber, vitamins (B, C, and E), minerals, e.g., Ca, Mg, Fe (Abugoch, 2009), and of health-promoting compounds such as flavonoids (Ruiz et al., 2014), known to reduce cancer risk. Moreover, nursing women fed with quinoa may have a higher production of better quality milk as also found in animal models fed with isoflavone-rich forage (Zhengkang et al., 2006). Seeds also contain large amounts of flavonoid conjugates, such as quercetin and kaempferol glycosides. Flavonoids can prevent degenerative diseases such as coronary heart disease, atherosclerosis, cancer, diabetes, and Alzheimer’s disease through their antioxidative action and/or the modulation of several protein functions, thus exerting health-promoting effects (Hirose et al., 2010). Recently, quinoa seeds have been analyzed for their ecdysteroid content (Kumpun et al., 2011). Phytoecdysteroids are plant secondary metabolites that have a protective role (in plants) against insects and nematodes. These compounds also have positive effects on human health through their antioxidant properties and are able to inhibit collagenase, thereby preventing skin aging (Ruiz et al., 2014). Quinoa seeds have approximately 9% fat on a dry weight basis. Quinoa fat has a high content of oleic acid (24%) and linoleic acid (52%) (Ruales and Nair, 1993).

Antinutritional Factors The antinutritional factors in quinoa seeds are saponins, protease inhibitors, and phytic acid. Saponins, natural detergents commonly found in plants, are abundant in quinoa (Gómez-Caravaca et al., 2011): 0.2 to 0.4 g/kg dry matter. Their antinutritional properties have been investigated in several studies (Vega-Gálvez et al., 2010; Maradini Filho, 2017). Furthermore, to be edible from a sensory standpoint, quinoa seed saponins must be removed, since they affect the palatability of the products (Coulter and Lorenz, 1990). These antinutritional compounds have a bitter taste, that greatly limits the use of quinoa as food. However, research has selected ‘sweet’ quinoa varieties with lower or null saponin content, whereas processes for improving quinoa acceptability have also been designed (Suárez-Estrella et al., 2018). The bitterness of quinoa has always been associated with the presence of saponins (Reichert et al., 1986) in quantities higher than 1.1 mg g 1, corresponding to the amount proposed by Koziol (1991) as the threshold for human perception of bitterness, but Chauhan et al. (1992a) showed that 34% of the total saponins are located in the hulls of quinoa seeds and can be removed by dehulling. The total amount of saponin remaining in quinoa seeds was much lower than that found in soya beans and some pulses (Jood et al., 1986). The main negative effects associated with consumption of foods rich in saponins are the decrease in mineral and vitamin bioavailability (Southon et al., 1988; Ruales and Nair, 1993; Cheeke, 2000), the damage to small intestine mucous cells due to the alteration of their membrane permeability, and the decrease in food conversion efficiency (Gee et al., 1993). Nowadays, saponins are considered bioactive, health-promoting compounds, with many interesting nutritional characteristics as a result of their hypocholesterolemic (Lopez de Romana et al., 1981), analgesic, antiallergic and antioxidant activities (Güçlü-Ustünda g and Mazza, 2007; Kuljanabhagavad et al., 2008). Besides saponins have insecticidal, antibiotic, fungicidal, and pharmacological properties (Carlson et al., 2012; Vega-Gálvez et al., 2010), thus contributing to

Sustainable Crops for Food Security: Quinoa (Chenopodium quinoa Willd.)


the plant’s defense against pests and pathogens. The abundance of saponins in quinoa offers an additional use for this species (or for its side products) as an alternative source of these compounds for industrial applications in the preparation of soaps, detergents, shampoos, beer, fire extinguishers and photography, cosmetic, and medicinal (as adjuvants in vaccines and for cholesterol reduction) (Balandrin, 1996; Güçlü-Ustündag and Mazza, 2007). Other important antinutritional factors in quinoa seeds are protease inhibitors and phytic acid. The concentrations of protease inhibitors in quinoa seeds are less than 50 ppm (Kakade et al., 1969). Phytic acid is present in the outer layers of quinoa seeds and distributed in the endosperm. Ranges of 10.5 to 13.5 mg/g of phytic acid for five different varieties of quinoa were reported by Koziol (1991), similar to the range of 7.6 to 14.7 mg/g for other cereals (Fretzdorff, 1992). The phytates form complexes with minerals such as iron, zinc, calcium, and magnesium and can make the mineral content of a food inadequate, especially for children.

Conclusions Security of food production for a growing population under low-input regimes is a main task for research in the present century. Quinoa has a large potential for commercial success as safe and sustainable ingredient, as it is a plant with high capacity to tolerate adverse environmental conditions and exceptional nutritional qualities. For all these reasons, quinoa it is an interesting crop whose environmentally resistant and nutritional properties warrant further research in all fields of plant biology, agronomy, ecology and Food Science and Technology.

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An evaluation of natural vs. synthetic substrates for measuring the antitryptic activity of soybean samples. Cereal Chem. 46, 518–525. Koziol, M.J., 1991. Afrosimetric estimation of threshold saponin concentration for bitterness in quinoa (Chenopodium quinoa Willd). J. Sci. Food Agric. 54, 211–219. Kuljanabhagavad, T., Thongphasuk, P., Chamulitrat, W., Wink, M., 2008. Triterpene saponins from Chenopodium quinoa Willd. Phytochemistry 69, 1919–1926. Kumpun, S., Maria, A., Crouzet, S., Evrard-Todeschi, N., Girault, J.P., Lafont, R., 2011. Ecdysteroids from Chenopodium quinoa Willd. an ancient Andean crop of high nutritional value. Food Chem. 125, 1226–1234. Lopez de Romana, G., Graham, G.G., Rojas Jr., M.M.W., 1981. Digestibilidad y calidad proteica de la quinoa: estudio comparativo en niños entre semilla y harina de quinoa. Arch. Latinoam. De. Nutr. 31, 405–497. Maradini Filho, A.M., 2017. Quinoa: nutritional aspects. J. Nutraceuticals Food Sci. 2, 1–5.


Sustainable Crops for Food Security: Quinoa (Chenopodium quinoa Willd.)

Medina, W., Skurtys, O., Aguilera, J.M., 2010. Study on image analysis application for identification quinoa seeds (Chenopodium quinoa Willd) geographical provenance. LWT Food Sci. Technol. 43, 238–246. Mota, C., Santos, M., Mauro, R., Samman, N., Matos, A.S., Torres, D., Castanheira, I., 2016. Protein content and amino acids profile of pseudocereals. Food Chem. 193, 55–61. Navruz-Varli, S., Sanlier, N., 2016. Nutritional and health benefits of quinoa (Chenopodium quinoa Willd.). J. Cereal Sci. 69, 371–376. Nowak, V., Du, J., Charrondière, U.R., 2016. Assessment of the nutritional composition of quinoa (Chenopodium quinoa Willd). Food Chem. 193, 47–54. Prakash, D., Nath, P., Pal, M., 1993. Composition, variation of nutritional contents of leaves, seed protein, fat, and fatty acid profile of Chenopodium species. J. Sci. Food Agric. 63, 203–205. Reichert, R.D., Tatarynovich, J.T., Tyler, R.T., 1986. Abrasive dehulling of quinoa (Chenopodium quinoa): effect on saponin content as determined by an adapted hemolytic assay. Cereal Chem. 63, 471–475. Repo-Carrasco, R., Espinoza, C., Jacobsen, S.E., 2003. Nutritional value and use of the Andean crops quinoa (Chenopodium quinoa) and kañiwa (Chenopodium pallidicaule). Food Rev. Int. 19, 179–189. Romano, A., Masi, P., Bracciale, A., Aiello, A., Nicolai, M.A., Ferranti, P., 2018. Effect of added enzymes and quinoa flour on dough characteristics and sensory quality of a glutenfree bakery product. Eur. Food Res. Technol. https://doi.org/10.1007/s00217-018-3072-x. Ruales, J., Nair, B.M., 1993. Contents of fat, vitamins and minerals in quinoa (Chenopodium quinoa Willd.) seeds. Food Chem. 48, 131–137. Ruiz, K.B., Biondi, S., Oses, R., et al., 2014. Quinoa biodiversity and sustainability for food security under climate change. A review. Agron. Sustain. Dev. 34, 349–359. Simnadis, T.G., Tapsell, L.C., Beck, E.J., 2015. Physiological effects associated with quinoa consumption and implications for research involving humans: a review. Plant Foods Hum. Nutr. 70, 238–249. Southon, S., Wright, A.J.A., Price, K.R., Fairweather-Tait, S.J., Fenwick, G.R., 1988. The effect of three types of saponin on iron and zinc absorption from a single meal in the rat. Br. J. Nutr. 59, 389–396. Stikic, R., Glamoclija, D., Demin, M., Vucelic-Radovic, B., Jovanovic, Z., Milojkovic-Opsenica, D., Jacobsen, S.E., Milovanovic, M., 2012. Agronomical and nutritional evaluation of quinoa seeds (Chenopodium quinoa Willd.) as an ingredient in bread formulations. J. Cereal Sci. 55, 132–138. Suárez-Estrella, D., Torri, L., Pagani, M.A., Marti, A., 2018. Quinoa bitterness: causes and solutions for improving product acceptability. J. Sci. Food Agric. https://doi.org/10.1002/ jsfa.8980. Tang, Y., Tsao, R., 2017. Phytochemicals in quinoa and amaranth grains and their antioxidant, anti-inflammatory, and potential health beneficial effects: a review. Mol. Nutr. Food Res. 61, 1–16. Turkut, G.M., Cakmak, H., Kumcuoglu, S., Tavman, S., 2016. Effect of quinoa flour on gluten-free bread batter rheology and bread quality. J. Cereal Sci. 69, 174–181. Vega-Gálvez, A., Miranda, M., Vergara, J., Uribe, E., Puente, L., Martínez, E.A., 2010. Nutrition facts and functional potential of quinoa (Chenopodium quinoa Willd.), an ancient Andean grain: a review. J. Sci. Food Agric. 90, 2541–2547. Wang, S., Zhu, F., 2016. Formulation and quality attributes of quinoa food products. Food Bioprocess Technol. 9, 49–68. Weber, E.J., 1978. The Inca’s ancient answer to food shortage. Nature 272, 486. Zhengkang, H., Wang, G., Yao, W., Zhu, W.Y., 2006. Isoflavonic phytoestrogensdnew prebiotics for farm animals: a review on research in China. Curr. Issues Intestinal Microbiol. 7, 53–60.

Challenges of Food Security for Orphan Crops Zerihun Tadele, Institute of Plant Sciences, University of Bern, Bern, Switzerland © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Diversity and Importance of Orphan Crops Challenges for Orphan Crops Biotic Stresses Abiotic Stresses Challenges Due to Inherent Properties of Orphan Crops Challenges Due to Enabling Environment Conclusions References

403 403 404 405 405 405 406 407 407 408

Abstract Food security is the main challenge in many parts of the world especially in developing countries where crop productivity is extremely low and population density is very high. Food security does not only refer to the availability of food in terms of quantity but also to the access to nutritious diet and the availability of food in a sustainable fashion. Orphan crops which are also known as neglected-, lost- and underutilized-crops play key role in food security of smallholder farmers and consumers in developing world. These crops belong to the major groups of crops including cereals, legumes, root and tubers and fruits. Despite their resilience to marginal environments, orphan crops are challenged by different types of constraints which include, biotic stresses, abiotic stresses, plant-related constraints and constraints related to enabling environment. Biotic stresses which include diverse types of diseases, insect pests and weeds substantially affect the productivity of orphan crops. Since orphan crops are mostly cultivated in marginal environments with severe limitations in climatic and soil parameters, the effect of these abiotic stresses on orphan crops could be severe under extreme environmental conditions. Constraints related to policy including the investment, marketing and extension system contribute to poor productivity of orphan crops. In this article, diversity in orphan crops and challenges which affect the improvement of under-researched crops are discussed.

Introduction Food security is defined as a situation that exists when all people, at all times, have physical, social and economic access to sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life (FAO, 2003). According to United Nations Food and Agriculture Organization, food security is based on four pillars: (i) food availability: refers to the availability of sufficient quantities of food on a consistent basis; (ii) food access: refers to having sufficient resources, both economic and physical, for acquiring appropriate foods for a nutritious diet; (iii) food utilization: refers to the appropriate use of food based on knowledge of basic nutrition and care, as well as adequate water and sanitation, and (iv) stability: refers to availability and accessibility of quality food at all times (FAO, 2006). Information for 26 relevant parameters in food security under the above four pillars is available for all countries, regions and continents (FAOSTAT, 2018). At the present time, food security is the main challenge in many parts of the world especially in the developing world where crop productivity is extremely low and population increase is very high. The global population is expected to reach 9.8 billion by 2050 from the current 7.6 billion, an increase of 29% in just 32 years. Although the world population increases by about 1% annually, the population in Sub-Saharan Africa (SSA) increases by over 3% (Roser, 2018). It might be difficult to accept the reality that in the next three decades a substantial increase in the population of countries in developing world where food security is already at high risk. This high increase in the population meets with higher demand for food. Sub-Saharan Africa (SSA) is the region with the highest risk of food insecurity. According to some estimates the population of the continent will increase by 2.5-fold while the demand for cereals will increase three-fold (van Ittersum et al., 2016). Although the majority of the population in most SSA countries engage in agriculture, these countries annually import large quantities of food in terms of grain or flour. Hence, they are obliged to expend large amount of their budget to buy food at least partially satisfy the high demand. In 2013 alone, African countries imported 75 million tons of cereal grains for 27.5 billion USD (FAOSTAT, 2018). In addition to the availability in terms of quantity, food security also refers to the quality in terms of nutrition and health-related benefits. Large proportion of consumers in low income countries rely on a single crop for the bulk of their diet due to mainly economic reasons. Hence, due to malnutrition, population in these countries particularly children under the age of five are vulnerable to disease infection and/or lose resistance once infected (UNICEF, 2018).

Encyclopedia of Food Security and Sustainability, Volume 1




Challenges of Food Security for Orphan Crops

At the global level, major crops play a vital role in providing the bulk of the food for consumption. However, at a local level especially in developing countries, orphan crops which are little known outside their territories are extensively cultivated and consumed. Hence, food security could be achieved by focusing on both major and orphan crops. The latter are also known by different names to reflect the following properties: ‘neglected’ (by science and development), ‘orphan’ (without champions or crop experts), ‘minor’ (relative to global crops), ‘promising’ (for emerging markets, or because of previously unrecognized value traits), ‘niche’ (of marginal importance in production systems and economies), and ‘traditional’ (used for centuries or even millennia) (Dawson and Jaenicke, 2006). The National Research Council refers to the same group of crops as ‘lost crops’ (NRC, 1996, 2006, 2008). However, it is sometimes difficult if not impossible to confidently draw a line between the major and orphan crops. This is due to at least the following two reasons, (i) promotion of orphan crops to major crops as has been witnessed for crops such as sorghum due to increased investment that resulted in improved technologies; which referred to ‘Graduation of Orphan Crops’, and (ii) the large-scale cultivation of some orphan crops due to their superiority in nutritional and health-related traits. This article on Challenges of Food Security for Orphan Crops briefly introduces the types of crops considered as orphan crops and their economic importance. However, focus is given to main challenges affecting the advancement of these vital crops in developing countries that could not win the attention of global research community.

Diversity and Importance of Orphan Crops Diverse types of orphan crops that include cereals, legumes, vegetables, root crops and fruits are cultivated and consumed mostly in developing countries. Table 1 shows the contribution of major and orphan crops in Africa and Asia in terms of their share to the global area and production. For the sake of this review, the distinction between major and orphan crops are mainly made on the basis of the size of land the crop is cultivated and how wide the crop is distributed globally. The list of widely cultivated orphan crops were reported (Tadele, 2017; Williams and Haq, 2002; NRC, 1996; 2006, 2008; Tadele and Assefa, 2012). Except for sorghum which is still considered by many as an orphan crop, the proportion of major crops in terms of area cultivated is low in Africa compared to Asia. For example, the contributions of major cereals in Africa are: maize (19.5% of global area), rice (7.8%) and wheat (4.0%). However, the corresponding figure for Asia are substantially high (87.9% for rice, 45.6% for wheat and 33.6% for maize). What is more worrying in African agriculture is not only the lower percentage of area under major crops compared to Asia but the contribution in terms of total production since the share of the three crops in terms of total production is not proportional to the total area under cultivation. For instance, about 20% of the global maize is cultivated in Africa, but the continent contributes for only 6.7% of the global maize production. Although similar types of crops are cultivated in Africa and the rest of the world, Africa has unique crops which are solely cultivated and consumed in the continent. These include cereals such as fonio (Digitaria exilis and D. iburua) in the western Africa, and tef (Eragrostis tef) in the Horn of Africa, a food legume called bambara groundnut (Vigna subterranean) in the southern and western Table 1

Major and minor crops extensively cultivated in Africa and Asia in 2016 indicating the contribution of each crop to global area (%) and global production (%) Major crops

Orphan crops





Sorghum (68.2; 46.7) Tomato (26.5; 11.2) Maize (19.5; 6.7) Potato (9.2; 6.5%) Sunflower (8.5; 4.7) Rice (7.8; 4.3) Barley (7.6; 3.3) Wheat (4.0; 3.1) Soybean (1.6; 0.6) Oats (1.5; 0.8)

Rice (87.9; 90.1) Tomato (53.6; 60.2) Potato (52.9; 50.6) Wheat (45.6; 43.6) Maize (33.8; 30.6) Barley (20.9; 14.1) Soybean (16.4; 8.6) Sorghum (16.3; 12.5) Sunflower (13.5; 12.8) Oats (5.2; 4.6)

Fonio (100; 100) Tef (100; 100) Enset (100; 100) Bambara (100; 100) Cowpea (98; 96.4) Yams (97.1; 97.0) Taro (88.1; 72.8) Cassava (72.4; 56.8) Millet (63.2; 48.1) Sesame (56.8; 53.9) Sweet potato (48.6; 20.3) Banana (35.3; 18.6) Beans (24.4; 24.2) Pigeon pea (12.5; 19.0) Lupin (10.4; 5.6) Peas (8.9; 4.4) Chickpea (4.8; 5.9) Linseed (3.1; 3.3) Lentil (2.6; 2.9)

Pigeon pea (84.5; 77.8) Chickpea (84.4; 80.3) Beans (50.8; 45.6) Linseed (45.2; 36.4) Lentil (47.7; 36.8) Sweet potato (45.4; 74.7) Rapeseed (42.1; 33.5) Banana (41.0; 54.4%) Sesame (40.3; 43.0) Millet (34.3; 47.4) Peas (28.1; 17.2) Cassava (17.3; 32.2) Taro (8.9; 22.3) Cow pea (1.3; 2.0)

Adapted from FAOSTAT (2016) and CSA (2018).

Challenges of Food Security for Orphan Crops


Africa, and a root crop called enset (Ensete ventricosum) in the densely populated region of Ethiopia. Except for the linseed, the top five orphan crops cultivated in Asia are legumes. This indicates the big role played by this group of crops which are not only vital in replenishing the soil by adding nitrogen but also by providing protein to the diet of the population who are largely dependent on cereals as a staple food. Orphan crops have a number of benefits related to agronomy, nutrition and health. Cereal orphan crops such as finger millet, tef, fonio are drought tolerant and fast maturing (NRC, 1996); hence they are the source of food during critical food shortage periods, particularly the time just before most crops are ready for harvest. Orphan legumes particularly cowpea and bambara groundnut are source of protein in addition to their resilience to drought and maintenance of soil fertility (NRC, 2006). Enset is the major food for about 20 million people in the densely populated regions of Ethiopia where it is considered as an extremely drought tolerant (Olango et al., 2015). Nutrition and health related benefits of some orphan crops are remarkable. For instance, the seeds of fonio are nutritious especially in methionine and cysteine, the two amino acids essential for human health but deficient in major cereals such as wheat, rice and maize (IPGRI, 2004). The recent review also mentioned the potential of five under-researched but vital crops due to their gluten-free grains (Cheng, 2018). These crops are proso-millet, tef, quinoa, amaranth, and common buck wheat. In general, orphan crops play a key role in the livelihood of the resource-poor farmers and consumers because they perform better than the major crops under extreme soil and climate conditions.

Challenges for Orphan Crops Orphan crops possess a number of desirable agronomic and nutritional properties. However, they are also affected by a number of challenges. Challenges reported in earlier studies were based on the goals of these studies. For instance, the study made on six major food crops and 13 farming systems in Africa and Asia identified four major categories of constraints, namely, abiotic, biotic, management and socio-economic which varied from crop to crop and region to region (Waddington et al., 2010). According to the same work, the main constraints of sorghum were weed competition, soil degradation, poor soil fertility, and drought, while challenges for cassava were marketing and lack of finance. On the other hand, the study in the Sub-Saharan Africa identified only biotic and abiotic stresses for major cereals and root and tubers (Reynolds et al., 2015). In the present review, constraints under four categories are briefly discussed. The four groups of constraints are: (i) biotic stresses, (ii) abiotic stresses, (iii) plant-related constraints, and (iii) constraints due to enabling environment. Summary of these constraints is indicated in Fig. 1.

Biotic Stresses Biotic stresses refer to the type of stresses caused by the living organisms. Every year, diseases, insect pests and weeds cause substantial yield loss to both major and orphan crops. The extent and severity of biotic stresses are more pronounced in tropical region than in the temperate region. This is mainly due to the presence of more conducive environment in the tropics throughout the year where pests and diseases are continuously feed on their host. On the contrary, due to the presence of four distinct seasons in the temperate, the overwintering of most pests and diseases is halted. In addition, commonly practiced cropping systems by smallholder farmers, especially the multiple cropping system where several crops share the same piece of land at the same growing period provide suitable condition for the long-term presence and infestation of pests and diseases. Diseases: a variety of fungal, bacterial and viral diseases cause considerable damages to all crops including orphan crops although the type and severity of damage varies from crop to crop and location to location. For instance, a blast disease caused by a fungal pathogen (Magnaporthe oryzae) is globally important disease of finger millet with over 40% grain yield loss (Lule et al., 2014). On the other hand, a viral disease called cassava mosaic is among the major diseases of cassava with tuber yield losses of up to 70% (Fargette et al., 1988). Insect pests: A study in Africa indicated that dipterous and lepidopterous stem borers are the major insect pests that causes up to 30% and 60% yield losses in Africa, respectively (Oerke, 2006). Fall armyworm (Spodoptera frugiperda), a devastating insect pest recently introduced to Africa, is not only the pest of maize but also inflicts substantial damage to Africa’s orphan crops including millets (CABI, 2018). Weeds: In addition to major broadleaf and grassy weeds, parasitic weeds particularly witchweed (Striga hermonthica) cause annually tremendous yield losses to both major such as maize and sorghum and orphan crops including millets (Rich and Ejeta, 2008). Studies in India showed that the critical stage of weed competition in millets is 4–6 weeks after planting (Mishra, 2015).

Abiotic Stresses A number of soil and climate related constraints cause substantial losses to crop plants (Tadele, 2018). Effects of several abiotic stresses are briefly indicated below. Poor soil fertility: most African soils are inherently low in fertility due to high weathering and leaching; hence, they are deficient in major nutrients such as nitrogen and phosphorus (Okalebo et al., 2006). Poor soil management and removal of crop residues from the field also contribute for the substantial reduction in soil fertility.


Challenges of Food Security for Orphan Crops

Constraint Biotic stresses

Abiotic stresses

Immediate effect • • • • • • • • •


Disease invasion (fungal, bacterial or viral) Pest infestation (insects, rodents) Weed infestation (broadleaves, grasses, parasitic) Scarce moisture (drought) Excess moisture (waterlogging) Heat Cold or frost Soil acidity Soil salinity or alkalinity

• • • • • • • •

Plant-related constraints

• • • • • • • • •

Low productivity of food or feed crops Weak architecture of the plant Few or no fertile tillers Less nutritious products Unfavorable taste Long cooking time Production of toxic substances Low oil content and/or yield Short shelf-life of products

Enabling environment

• • • • • • • •

Unfavorable policy on land tenure & use Limited investment on research & development Lack of germplasm collection & conservation Poor extension system Limited access to inputs (seed, fertilizer, etc.) Limited access to credit & insurance Unfavorable market and distribution Weak partnership with relevant stakeholders

Figure 1

• •

• • • • • • • •

Poor crop productivity Low amount of food or feed Little nutritious food Unhealthy food product Perishable food product Unpredictable market price Susceptible plant to biotic stress Susceptible plant to abiotic stress Limited investment on crop improvement Poor dissemination and adoption of improved technologies Little farmer income High demand for food State of food insecurity High inflation of food High amount of food import Trade deficit due to high food import Low literacy rate as kids work on the farm Low living standard

Major groups of constraints of orphan crops and their immediate effect as well as long-term impact.

Drought: moisture scarcity is the most wide-spread challenge to crop production. It affects both the quantity and quality of the produce. Yield losses due to drought reached to 40% in tef (Abraha et al., 2015), 51% in pearl millet and 57% in bambara groundnut (Mahalakshmi et al., 1987). Waterlogging: The waterlogging problem is prevalent on poorly drained soils commonly known as Vertisols, the black clay soil with high water-holding capacity that are severely affected by excess moisture. Since soil pores during waterlogging are filled with water, the diffusion of gases is hampered resulting in anaerobic conditions. As a result, the normal functioning of stomata, photosynthesis and roots are severely affected (Parent et al., 2008). From the total of about 250 million hectares of Vertisols present in the world, the majority are present in India (30% of the total), Australia (27%), and Sudan (19%) (Ahmed, 1996). Soil acidity: Toxic level of aluminum affects root growth and resulted in stunted growth, small grain size and poor yield of the plant (DAFWA, 2016). From the total global arable area, 40% is currently affected by soil acidity (Gale, 2002). Reclaiming acid soils is mostly done using large amount of lime or calcium carbonate which are either unaffordable or inaccessible by small-scale farmers. Soil salinity: Soil salinity which is characterized by a high concentration of soluble salts, affects crop productivity. From the total global arable area, a third is affected by salinity (Gale, 2002). The accumulation of salts depends on the quality of the irrigation water, the irrigation management and the drainage of the soil. High air temperature: Global warming is expected to negatively affect crop production. An increase of 3 to 4  C in air temperature is expected to reduce crop productivity by 15%–35% in Africa and Asia (Bita and Gerats, 2013).

Challenges Due to Inherent Properties of Orphan Crops Poor productivity: Due to lack of genetic improvement, farmers use land races with little or no improvement. These landraces produce inferior yield in terms of both quality and quantity of the produce. Both major and orphan crops are low yielders in Africa. Regarding orphan crops, the share of Africa to the global area under cultivation was 72.4% for cassava, 48.6% for sweet potato and 35.3% for banana although its contribution to the total global production was only 56.8% for cassava, 20.3% for sweet potato and 18.6% for banana (Table 1). This is due to extremely low productivity of crops in Africa. Among inherent properties of the plant

Challenges of Food Security for Orphan Crops


that affect crop productivity, the following play key role: (i) weak architecture of the plant which makes the plant susceptible to lodging and as consequence both the quality and quality of the produce drastically reduce; (ii) low number of fertile tillers which affects productivity per plant and per unit area; and (iii) poor competition to weeds which makes the plant liable to weed infestation due to limitations for light, water and mineral nutrients. Poor in nutrition: Root and tuber crops such as cassava and enset produce high yield, however; the products are largely starchy materials that are deficient in other essential nutrients particularly protein. A study in Kenya and Nigeria showed that children who consume cassava as a staple food are at greater risk of inadequate dietary protein (Stephenson et al., 2010). Production of toxic substances: Some widely cultivated crops produce a variety of toxic substances that affect human health. The roots of cassava contain poisonous compounds called cyanogenic glycosides (CG) which liberate cyanide (Ceballos et al., 2004). Konzo is a paralytic disease associated with consumption of insufficiently processed cassava. The seeds of grass pea contain a neuron-toxic substance called ODAP [b-N-Oxalyl-L-a, b-diaminopropanoic acid] (Yan et al., 2006). ODAP is the cause of the disease known as neuro-lathyrism, a neuro-degenerative disease that causes paralysis of the lower body. Serious neuro-lathyrism epidemics have been reported during famines when grass pea is the only food source (Getahun et al., 2003).

Challenges Due to Enabling Environment Enabling environment refers to policy-related issues which facilitate the advancement of the crop (Tadele, 2017). Constraints related to enabling environment are briefly discussed below: Land productivity and tenure system: Land is the major resource on which agriculture is based. The fertility of the land and the land tenure system have huge impact on crop productivity. The recent report by the United Nations Food and Agriculture (FAO) indicated that only a portion of the total land area is suitable for crop cultivation in Africa (FAOSTAT, 2016), Even this suitable land is not efficiently utilized. The type of land tenure or ownership also affects crop productivity. Inefficient use of agricultural resources and inputs: Improved technologies or inputs which enhance productivity are poorly implemented in Africa. Access and timely availability to inputs such as improved seeds, fertilizers, pesticides, irrigation, and machineries have substantial effect in promoting productivity. Irrigation is widely implemented in Asian countries especially in the southern part where it is applied on about 35% of the agricultural land. On the other hand, except for the northern Africa where 5% of the agricultural land is under irrigation, in the SSA irrigation contributes for below one percent of the agricultural land (FAOSTAT, 2018). This extremely low input use in Africa is partially responsible for the little advancement of crops cultivated in the continent. The low input use is linked to the weak extension system as the dissemination of improved technologies could not be efficiently communicated to end users, i.e. farmers. Inadequate investment: Although member countries of the African Union agreed to allocate at least 10% of their national budgetary resources to agriculture and rural development, the target was not achieved but 20 of the 47 member states are on track towards achieving the commitment (AGRA, 2018). The famous Green Revolution which contributed for significant boost in crop production and productivity in Asia but not in Africa, was mainly due to the exclusion of major African crops as a primary focus of improvement (Tadele, 2014). In terms of total area under cultivation, the top three crops in Africa are maize, sorghum and millet while in Asia they are rice, wheat and maize in descending order (Table 1). This shows that the two crops (wheat and rice) hugely benefited from the Green Revolution are not the major crops of Africa as they each contributed for only 4% of the global production compared to Asia where wheat with 90% and rice with 44% share in the total production. On the other hand, African dominant root and tuber crops such as cassava (manioc; Manihot esculenta) and yam (Dioscorea sp.) produce high amount of yield but are associated with a high risk of post-harvest losses due to short shelf-life. Another constraint related to orphan crops is the failure to attract funding for both basic and applied research. Inadequate partnership with stakeholders: partnership with private-public institutions at the national, regional and international level is important for the advancement of orphan crops research and development. However, this type of collaboration has not been established for most orphan crops. Due to this, researchers of orphan crops in developing world perform their investigations on their mandate crop almost in isolation with locally available limited tools and expertise.

Conclusions Orphan crops provide food and income for resource-poor farmers and consumers. They are also exposed to marginal environmental conditions many of which are poorly suited to major crops of the world. Despite their huge importance, orphan crops have received little attention by the global scientific community. The major bottlenecks affecting the productivity of orphan crops are genetic traits such as low yield, poor nutritional status and production of toxic substances. The extremely low productivity of orphan crops is also due to the prevalence of huge number biotic and abiotic stresses, the use of inefficient agricultural inputs, and policy-related problems. These constraints will have impact not only on the amount of food production and food security but also on the literacy rate, import and trade balance, as well as the living standard of the population. Since this chapter focuses on the constraints related to orphan crops, suggestions related to the improvement of these unprivileged crops in a value-chain approach will be addressed in another chapter. In addition, the role of diverse stakeholders involved in farming, research, development and policy making towards promoting the productivity of orphan crops will be addressed.


Challenges of Food Security for Orphan Crops

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Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.) Montesano Domenico, Cossignani Lina, and Blasi Francesca, Department of Pharmaceutical Sciences, University of Perugia, Perugia, Italy © 2019 Elsevier Inc. All rights reserved.

Abstract Botanical Aspects Cultivation and Agronomic Aspects Moringa and Environment Desertification, Sustainable Production Systems, Biodiversity Sustainable Food Production Moringa and Nutrition Moringa and Malnutrition Medical Aspects References Relevant Websites

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Abstract Today, Moringa oleifera Lamarck is the most widely cultivated species in the genus and represents a multi-purpose tropical tree crop with great potentials. In fact, all its parts are suitable for many uses and can provide innumerable advantages to the communities, for example the leaves and pods are an important source for food and animal feed industries due to their high nutritional value. Nowaday, this cultivation is considered able to provide food security and to contribute to more sustainable agricultural practices and to the development of rural areas. Current information from the scientific community has reported that moringa can help improve food security and reduce malnutrition and desertification. This plant is attributed the capacity to cure about three hundred diseases and it is reported, moreover, that it contains more vitamins than many fruits and vegetables. For these remarkable properties this crop is today considered among the most important and compatible with the great themes related to food security and sustainability both from an environmental and socio-economic point of view.

Botanical Aspects Moringa oleifera Lamarck belongs to the Moringaceae family. This plant is popularly known, in Brazil, as “moringa”, “lírio branco” or “quiabo-de-quina” and generally also as horseradish tree or ma-rum tree and “senjana”; in some areas, instead, it is called drumstick tree, because of the elongated shape of the pods that contain the seeds, while in Asia it is known as malunggay (Morton, 1991). M. oleifera is the most cultivated species of the Moringaceae family (Duke, 2001). It is native to Northern India, but currently it is widely distributed in Asian regions such as Pakistan, Bangladesh, Afghanistan, sub-Himalayan area and also in the Americas, Africa, Europe and Oceania (Oliveira et al., 1999; Fahey, 2005). Historically, this tree was used by the ancient Romans, Greeks and Egyptians and nowadays by many populations of Africa and Asia thanks to its high nutritional and medicinal value. Generally, the moringa tree is an evergreen or deciduous medium-sized tree, growing very fastly, until 3 m the first year and can reach a height of 10–12 m fully ripe. The bark has a whitish-grey colour and is surrounded by thick cork. Young shoots have purplish or greenish-white, hairy bark. The alternate, twice or thrice pinnate leaves are 20–70 cm long, grayish-downy when young, long petiole with 8–10 pairs of pinnae each bearing two pairs of opposite, elliptic or obovate leaflets and one at the apex, all 1–2 cm long. The flowers, fragrant and bisexual, are about 1.0–1.5 cm long and 2.0 cm broad, surrounded by five unequal yellowish-white petals (Morton, 1991). The fruit, by a taste that can be described as similar to asparagus, consists of a pod containing seeds and is reminiscent of long and thin beans or pea pods. They go from white to brown when fully ripe. The seeds inside, which are as much appreciated by local populations as the fruit, are between 5 and 20 per fruit. Fig. 1 shows the leaves, flowers and fruits of M. oleifera.

Cultivation and Agronomic Aspects M. oleifera adapts to both a wide range of precipitation and tolerates a wide range of soil conditions (pH 5.0–9.0), usually it prefers a neutral to slightly acidic (pH. 6.3–7.0), well-drained sandy or loamy soil. Generally, the best temperature range is between 25–35  C, but the tree tolerates up to 48  C in the shade and it can survive a light frost. The moringa trees do not need watering, and this is very important because this tree can be planted in different geographical area with particular climate. This plant is

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Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.)

Figure 1 (A) Moringa oleifera leaves on a young tree. (B) M. oleifera flowers. (C) M. oleifera pods. (A) Courtesy of the Favella Group by Nicola Rizzo, Corigliano C., Italy. (B) Adapted by Saini, R.K., Sivanesan, I., Keum, Y.S., 2016. Phytochemicals of Moringa oleifera: a review of their nutritional, therapeutic and industrial significance. 3 Biotech 6, 203–217. (C) Adapted by Muhammad, H.I., Asmawi, M.Z., Khan, N.A.K., 2016. A review on promising phytochemical, nutritional and glycemic control studies on Moringa oleifera Lam. in tropical and sub-tropical regions. Asian Pac. J. Trop. Biomed. 6, 896–902.

particularly generous, in fact under very dry conditions, it needs water regularly for the first two months and then only when the tree is obviously suffering. Furthermore, moringa trees grow well without adding very much fertilizer and as this cultivation is spreading across the world under different climatic conditions, it can be exposed to different pests and diseases but, generally, is resistant to most pests (Mridha and Barakah, 2017) giving testimony of its compatibility with concepts related to sustainable agriculture in all its aspects. Altitudes below 600 m are best for moringa, but this adaptable tree can grow in altitudes up to 1200 m in the tropics. It is a good rule that the pods for human consumption, must be harvested when their are still young.

Moringa and Environment Desertification, Sustainable Production Systems, Biodiversity Nowadays, climate changes are an important cause of desertification. Generally, uncontrolled deforestation results in soil erosion: in fact, under these conditions, the soil would no longer be able to absorb the rain, and would also be deprived of essential nutrients. In addition, the animals would no longer have available water. These conditions are very likely to lead to frequent disease, which, together with increasingly more widespread poverty, and over the years can lead to a worrying rate of chronic malnutrition especially in the poorest countries. Moreover we must take into account that the urbanization today with over 50% of the world’s population living in urban areas, represents one of the most significant reasons for global environmental change (Gopal et al., 2015). In order to cope with these problems at least partially, it seeks to propose policies of reforestation or restocking of urban and non-urban areas with trees able to combat the aforementioned phenomena. For this purpose, moringa can play a role in the battle against desertification because this tree grows fast and well in dry areas. This species can be easily propagated and is adaptive to a wide range of climatic and soil conditions in arid and semi-arid regions of the world, thus can be considered a climateresilient crop. For these reasons M. oleifera has also been introduced in Saudi Arabia for economic importance and to reduce the desertification (Mridha, 2015). Not least, another relevant aspect is that in the Tropics and Subtropics, trees provide the necessary shade to protect themselves from hard solar radiation. It’s notable that this plant grows well in a wide range of production systems and the use of the diversity of production systems in specialized environments can represent several advantages such as the sustainability of production systems, the promotion in-situ of germplasm conservation and the soil conservation. Nevertheless, its good productivity and great adaptability help to develop resilience in farm enterprises and to ensure better enterprise profitability and sustainability (Keatinge et al., 2017). The trees in the city represent important ecosystem services that involve not only aesthetic improvements, but also economic, social and health benefits. Moreover, trees are fundamental in the regulation of some natural and environmental processes including carbon sequestration, air quality improvement, rainwater runoff and energy saving (Roy et al., 2012). Among the large spectrum of moringa applications, another one is the production of renewable energy from biomass residues, in fact the vegetable wastes from this tree are used for producing bioethanol and biodiesel as alternative fuel. It’s important to note that

Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.)


this relevant application is in accordance with the main targets for countries policy measures to mitigate climate change (Raman et al., 2018). From the moringa kernels can be obtained a water extract useful for purification of water and wastewater. In particular, this extract can be used as replacement coagulant for chemicals such as aluminium sulphate (alum) in developing countries. Thus, the water extract of seed meal obtained after extraction of oil can be used to purify water, in fact this residue is very active as a coagulant (Raman et al., 2018; Bhuptawat et al., 2007).

Sustainable Food Production Moringa and Nutrition One of the three key objectives in Horizon 2020 is ‘Better Society’ stressing the importance of how to tackle societal challenges through longer and healthier lives. It is recognized that a major threat to human health in Europe and in the World is that of chronic diseases, with degenerative diseases, in particular recognized as a challenge to quality of life and significant affect on societal health care expenses. The quality and health beneficial effects of food consumed are an important key to tackle these challenges either by developing and offering new and healthier food raw material or through development of healthy food ingredients to be included in meals on a daily basis. From this point of view, the possibility of using a multi-use crop, which allows the use of all its parts for nutritional purposes, represents a significant added value of this plant. In addition, the possibility of using by-products rich in aminoacids (kernels, seed meal) which are generated in the process of extraction of oil, as animal feed, gives further added value to this plant (Falowo et al., 2018). Moreover, M. oleifera leaves (foliage) has proved to be useful in feeding animals, highlighting considerable advantages (Sultana, 2015; Damor et al., 2017). In this way will be possible to create an example of circular economy defined as a regenerative system in which resource input and waste, emission, and energy leakage are minimised by slowing, closing, and narrowing material and energy loops. This can be achieved through long-lasting design, maintenance, repair, reuse, remanufacturing, refurbishing, and recycling (Geissdoerfer et al., 2017). The M. oleifera, present mainly in the poorest countries, is a precious species because its fresh leaves and pods are both edible and extremely rich in macro and micronutrients (Aja et al., 2013). Table 1 shows the nutritional composition of the different parts of the tree. The leaves of this species can generally be eaten fresh, cooked or stored as dried powder for many months without refrigeration, and reportedly without loss of nutritional value, the dried leaves are a good source of micronutrients and very useful for the formulation of fortified foods for chronically malnourished and malnourished children. Leaves, green

Table 1

Nutritional composition of Moringa oleifera (leaves, seeds, and pods)

Moisture (%) Protein (%) Lipid (%) Carbohydrate (%) Ash (%) Fibre a

Leaves (dry)

Leaves (fresh)


Pods (fresh)

3.06a–9.533b 25.0l–30.998d 6.50b–16.9c 35.7c–57.61a 7.64b–11.18a 7.29a–22.3c

71.6c–74.5c 9.1c–13.6c 1.0c–1.7c 7.3c–11.3c 1.8c–3.0c 3.3c-4.5c

5.70e–8.90e 29.36e–33.25f 35.3e–41.20f 18.4g–21.12f 4.43f–6.2g 7.2e-7.54e

– 2.5h–16.6i 0.1h–4.68i 3.7h–17.6i 9.8i 4.8h–36.2i

Valdez-Solana, M. A., Mejía-García, V. Y., Téllez-Valencia, A., García-Arenas, G., Salas-Pacheco, J., Alba-Romero, J. J. and Sierra-Campos, E. (2015). Nutritional content and elemental and phytochemical analyses of Moringa oleifera grown in Mexico. Journal of Chemistry, Article ID 860381, 1–9. b Moyo, B., Masika, P. J., Hugo, A. and Muchenje, V. (2011). Nutritional characterization of Moringa (Moringa oleifera Lam.) leaves. African Journal of Biotechnology 10, 12925– 12933. c Yaméogo, C. W., Bengaly, M. D., Savadogo, A., Nikiema, P. A. and Traore, S. A. (2011). Determination of chemical composition and nutritional values of Moringa oleifera leaves. Pakistan Journal of Nutrition 10, 264–268. d Korsor, M., Ntahonshikira, C., Bello, H. M. and Kwaambwa, H. M. (2017) Comparative proximate and mineral composition of Moringa oleifera and Moringa ovalifolia grown in central Namibia. Sustainable Agriculture Research 6, 31–44. e Anwar F. and Rashid U. (2007). Physico-chemical characteristics of Moringa oleifera seeds and seed oil From a wild provenance of Pakistan. Pakistan Journal of Botany 39, 1443– 1453. f Oliveira, J. T. A., Silveira, S. B., Vasconcelos, K. M., Cavada, B. S. and Moreira, R. A. (1999). Compositional and nutritional attributes of seeds from the multiple purpose tree Moringa oleifera Lamarck. Journal of Science and Food Agriculture 79, 815–20. g Leone, A., Spada, A., Battezzati, A., Schiraldi, A., Aristil, J. and Bertoli, S. (2016). Moringa oleifera seeds and oil: characteristics and uses for human health. International Journal of Molecular Science 17, 2141–2155. h Gopalakrishnan, L., Doriya, K. and Kumara, D. S. (2016). Moringa oleifera: A review on nutritive importance and its medicinal application. Food Science and Human Wellness 5, 49– 56. i Melesse A. and Berihun K. (2013). Chemical and mineral compositions of pods of Moringa stenopetala and Moringa oleifera cultivated in the lowland of Gamogofa Zone. Journal of Environmental and Occupational Science 2, 33–38. l Brilhante, R. S. N., Sales, J. A., Pereira, V. S., Castelo-Branco, D. S. C. M., de Aguiar Cordeiro, R., de Souza Sampaio, C. M., de Araújo Neto Paiva, M., Feitosa dos Santos, J. B., Costa Sidrim, J. J. and Rocha, M. F. G. (2017). Research advances on the multiple uses of Moringa oleifera: A sustainable alternative for socially neglected population. Asian Pacific Journal of Tropical Medicine 10, 621–630.


Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.)

pods, flowers and toasted seeds are used as vegetables; the roots are used as spices; the seeds are used for cooking and as an oil in cosmetics. Nowadays, the major application of M. oleifera is in the food sector, thanks to nutritional and medicinal plant properties (Muhammad et al., 2016). In recent times, the moringa has attracted a lot of interest both from the scientific world and from the charitable organizations, in fact the latter have labeled moringa as “natural nutrition for the tropics”, as the plant is widely distributed in many locations of tropical and sub-tropical areas. Generally, in those countries differentiation between food and medicinal uses of plants or parts of them is very difficult since many plants are used for both medicinal and nutritional use and are deeply connected to the socio-cultural traditions of the local community. Moringa has important functional properties. It contains a huge array of bioactive compounds (BAC) belong to different classes of phytochemicals (Hamany Djande et al., 2018). Today, over 200 chemical compounds have been identified and fully characterized from leaf, stem, root and seed of moringa, and this plant results particularly rich in proteins, carbohydrates and dietary fibre. Among the BAC classes, they are present tannins, phenols, especially flavonoids, alkaloids saponins and glycosides from leaves; flavonoids, especially quercetin, tannins, steroids, alkaloids, glycosides, and terpenoids from flowers; catechins, epicatechin, phytosterol, quercetin, glycosides, phenolic acids such as gallic, ferulic, caffeic, protocatechuic and cinnamic acids from seeds; procyanidins, aurantiamide acetate, 3-dibenzylurea, quercetin glycoside, rhamnoglucoside quercetin, and chlorogenic acid from roots; procyanidin, sterols, triterpenoids, glycosides, tannins, alkaloids, b-sitosterol and octacosanoic acid from stem bark. Many important biological properties have been attributed to many of these phyto chemicals, i.e. antioxidant, antimicrobial, anti-inflammatory and antipyretic, antiviral, antifungal, anticancer. Nowadays it is essential to develop new plant sources to improve sustainable food production. In particular, greater production of plant proteins is needed to support the production of foods rich in proteins able to replace meat or alternative to it in the human diet with the fundamental purpose of reducing greenhouse gas emissions and environmental stress associated with intensive animals production. Hence, moringa represents an excellent opportunity in this sense, since proteins certainly are the most abundant nutrients of moringa, in particular leaves and seeds can be considered as low-cost protein sources, especially for the lowincome population in developing countries (Mune et al., 2016). The percentage of protein content (Table 1) in dry leaves ranges from 25.0% to 30.998% (Brilhante et al., 2017; Korsor et al., 2017). The leaves are considered a complete dietary supplement because contain essential amino acids (about 43%) like methionine, cystine, tryptophan and lysine. It is noteworthy that, both seed and leaf flour are rich in leucine (7.17% and 9.70%, respectively) and valine (7.08% and 6.65%, respectively), and total aromatic amino acids. As peculiar characteristics of the seed flour there is to highlight a low percentage of lysine (1.64%) and both the seed and the leaves flour have a total sulfurized amino acid content low (2.11% and 1.81%, respectively). The available lysine results significantly (p < 0.05) higher in the leaf flour (3.78 g/16 g N) compared to the seed flour (1.30 g/16 g N) (Mune et al., 2016). Interestingly, moringa leaf and seed flour show higher total essential amino acids content than the FAO/WHO (1991) reference pattern, with lysine and total sulfur amino acids being limiting. Furthermore, regarding leaf flour it’s possible notice a higher chemical score, protein efficiency ratio and protein digestibility corrected amino acid score, and available lysine than seed flour. Another interesting and useful way to use leaves is like powder, as such its protein profile show 70.1% of insoluble proteins, 3.5% glutelin, 3.1% albumin, 2.2% prolamin, and 0.3% globulins. Pods and flowers have about 30% of protein content, while stems 13% (Teixeira et al., 2014). The proteins of the seeds and leaves have a different structure and amino acid composition, in fact the leaf flour is more susceptible to pepsin digestion than the seed flour, and the pancreatin digestion has greatly influenced the seed flour compared to the flour of leaves. Seeds are generally a good source of protein (about 40%), and their low molecular weight is very useful for water purification, due to its powerful antimicrobial and coagulant properties. Proteins derived from moringa leaves contain low-weight proteins and peptides with different biological activities such as antibacterial and antifungin and also contain pterygospermin, a compound that dissociates into two molecules of benzyl isothiocyanate, which has antimicrobial properties. The fat and defatted M. oleifera kernels have a high protein content, 36.18% and 62.76%, respectively. Because of these characteristics, kernel flour could be used as a precious source of protein in the formulation of food products (Ogunsina et al., 2010). Cereal gruels have also been fortified by moringa leaves in order to improve the protein content and energy (Gopalakrishnan et al., 2016). Moringa is used as a fortifier for the formulation of different food products in order to provide the market with new products with additional nutritional properties. Moringa leaves can be incorporated in poultry diets because of high protein content, without causing any adverse effects on growth performance, and substituting other expensive ingredients such as soybean meal. An aspect that increases and further emphasizes the sustainability of this crop is the use of moringa leaf flour as a source of protein in concentrated products for dairy cows fed low-protein diets in tropical areas. From this point of view there are interesting evidences that testify to this specific use of moringa leaves, in fact it has been reported that the cows fed with a diet formulated containing 20% of the leaves of moringa had a higher average value milk fat, total solids, non-fat solids, crude proteins and casein compared to those formulated with 20% soy flour. Furthermore, there has been an increase in total solids, non-fat solid fats, milk fat, milk proteins and ashes from moringa-fed cows compared to those fed with the Trifolium alexandrinum ration (Khalel et al., 2014; Zhang et al., 2018). Recently, M. oleifera has been considered for the production of protein isolates that represent potential food supplements with functional properties, as they can generate bioactive peptides through in vitro or digestive proteolysis (González Garza et al., 2017). Moringa leaves contain, as above mentioned, many other BAC in high concentration, i.e. there is more vitamin A than carrots (6780 mg vs 1890 mg/100 g edible portion) and vitamin C than oranges (220 mg vs 30 mg/100 g e.p.), more calcium than milk (440 mg vs 120 mg/100 g e.p.), and more potassium than bananas (259 mg vs 88 mg/100 g e.p.). Of interest, the protein quality of moringa leaves is very high, in fact it corresponds to that of milk and egg (100 g of fresh raw leaves carry 9.8 g of protein or about 17.5% of daily required levels). Instead, moringa flowers are rich in potassium and calcium, and

Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.)


contain nine amino acids, sucrose, D-glucose, traces of alkaloid, wax, and some flavonoid pigments (Anwar et al., 2007). Moringa fruits are whole eaten, either cooked (boiled) or pickled. They are rich in vitamins A and C, minerals, thiamine, protein, b-carotene, and riboflavin (Omotesho et al., 2013). The tender young pods are cooked and eaten whole or sliced, the pulp are extracted from the mature pods and soft seeds from immature pods are boiled and eaten like fresh peas (Omotesho et al., 2013). The seeds are another important nutritional resource of this crop, in fact they can be consumed in various ways as fresh, crushed or even roasted. Their oil content varies from 19% to 47% and as it contains high percentages of behenic acid (about 6%) it is also known commercially as “Ben” or “Behen” oil (Leone et al., 2016). The seed oil has a MUFA content of 68%–80%, representing an excellent source of oleic acid, which makes it ideal as a substitute for olive oil (Nadeem and Imran, 2016). The oil also contains about 21%, with palmitic acid as the major representative. the use of such an oil, therefore, can significantly improve the nutritional levels of the populations in many regions of Africa and of Asia subject to drought and in general in the poorest countries. Even the leaves have a discreet lipid content, in fact ranging from 1.7% to 2.3% on fresh leaves, up to 5.2 on dry ones. The lipid component of moringa is also characterized by the significant amount of important compounds such as phytosterols such as stigmasterol (23.78%), b-sitosterol (11.78%), D7-stigmasterol (16.60%) and D7-campesterol (74.39%), kampesterol which exert essential physiological/biological actions, for example are hormone precursors (Anwar and Rashid, 2007; Al Juhaimi et al., 2017). The leaves bring high quantities of phenols and flavonoids ranging from 2.35 to 13.23 g/100 g, expressed as chlorogenic acid equivalent (Vongsak et al., 2013). These quantities are on average twice as high as that found in other vegetables such as spinach, broccoli and peas, respectively (Gopalakrishnan et al., 2016). Furthermore, it has been reported that moringa leaves act as a good source of natural antioxidant due to the presence of various types of bioactive compounds such as ascorbic acid, flavonoids, phenolics and carotenoids. The antioxidant activity of M. oleifera is particularly strong in leaf, pod and seed extracts (Kou et al., 2018). It has been suggested that the high phenolic and flavonoid content in the extract may protect against oxidative damage in normal and diabetic individuals, for which M. oleifera could have a role in regulation of diabetes-induced oxidative stress (Paula et al., 2017; Kou et al., 2018).

Moringa and Malnutrition The conditions of life in the contemporary world are not always ideal, indeed very often we see alternating models of well-to-do life with others in which poverty and malnutrition are present. And poverty is today one of the main causes of malnutrition. International Organization linked to the FAO, called the Global Horticulture Initiative, calculated about two billion people with a lack of micronutrients, has also estimated overweight and obese people in a billion and 805 million are those chronically undernourished and suffer from energy proteins deficiency. In recent times, more and more financial aid has been registered for biofortification of basic crops. Although high-value horticultural crops that can generate income can be a lifeline for small farms contributing to poverty reduction, there is, however, a general tendency to underestimate these crops that provide micronutrients, vitamins, antioxidants, medicines and income. The World Vegetable Center, an on-profit organization with the mission of alleviating poverty and malnutrition, has made significant progress in promoting the production and use of health-promoting vegetables in many poor countries. In this context, M. oleifera represents an ideal crop especially for its high content of proteins, nutrients and vitamins of the vegetative parts as well as two amino acids (arginine and histidine) which are particularly important for children. The International Society for Horticultural Science (ISHS) has been involved in the promotion of plants such as M. oleifera able to tackle and alleviate the pressing problems of poverty and malnutrition (Drew, 2017). Its products could be a valuable source of nutrients for all-age people and used also to counteract malnutrition, especially among infants, small children, pregnant and nursing women. In fact in many poor and underdeveloped countries, today, health workers are now treating malnutrition in small children, pregnant and nursing women with M. oleifera leaf powder (Adekitan et al., 2012). Nutritionist and food researchers believe that this plant possesses unique nutritional qualities very promising for impoverished communities around the world who need of dietary supplements, like proteins, minerals, and vitamins.

Medical Aspects M. oleifera has multiple medicinal uses, in fact all parts of this crop have been used for therapeutic purposes since ancient times in different parts of the world (Onwuliri and Dawang, 2006; Fahey, 2005), and has stood out in alternative medical therapies, showing benefits for the control of several diseases (Anwar et al., 2007), for example it is listed among the medical remedies in Ayurvedic medicine. Different preparations based on moringa powder and capsules are available on the market although most of the intake takes place through food. To date, the healing properties of this plant are ascertained by various scientific studies. However, moringa is still in the new drugs list and the claims from the moringa companies are strictly monitored. Legal notice has been sent from the FDA for regulatory action (FDA, 2015). FDA asks for even more scientific evidence to be able to approve the moringa extracts as a drug considering the current state of knowledge still at the initial level. However, no adverse effects were reported in association with human studies (Stohs and Hartman, 2015). Nowadays, several clinical researches have been carried out to ascertain antidiabetic properties (Gupta et al., 2012; Arun Giridhari et al., 2011; Paula et al., 2017), anti-obesity effect (Metwally et al., 2017), antitumor properties (Al-Asmari et al., 2015; Sreelatha et al., 2011; Bose, 2007; Tiloke et al., 2013; Berkovich et al., 2013) and anti-ulcer activity (Devaraj et al., 2007;


Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.)

Verma et al., 2012). Overall, the seeds and the other part of the plant are recognized for their antibiotic and antiinflammatory properties useful to treat arthritis, rheumatism, gouts, cramps; in addition action against sexually transmitted disease, boils and epilepsy are reported (Fahey, 2005). Due to the high protein and fiber content, the pod can play a useful role not only in the treatment of malnutrition but also in diarrhea, especially in children (Lakshminarayana et al., 2011).

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Metwally, F.M., Rashad, H.M., Ahmed, H.H., Mahmoud, A.A., Abdol Raouf, E.R., Abdalla, A.M., 2017. Molecular mechanisms of the anti-obesity potential effect of Moringa oleifera in the experimental model. Asian Pac. J. Trop. Biomed. 7, 214–221. Morton, J.F., 1991. The horseradish tree, Moringa pterygosperma (Moringaceae) a boon to arid lands? Econ. Bot. 45, 318–333. Moyo, B., Masika, P.J., Hugo, A., Muchenje, V., 2011. Nutritional characterization of moringa (Moringa oleifera Lam.) leaves. Afr. J. Biotechnol. 10, 12925–12933. Mridha, M.A.U., 2015. Prospects of moringa cultivation in Saudi Arabia. J. Appl. Environ. Biol. Sci. 5, 39–46. Mridha, M.A.U., Barakah, F.N., 2017. Diseases and pests of moringa: a mini review. Acta Hortic. 1158, 117–124. Muhammad, H.I., Asmawi, M.Z., Khan, N.A.K., 2016. A review on promising phytochemical, nutritional and glycemic control studies on Moringa oleifera Lam. in tropical and subtropical regions. Asian Pac. J. Trop. Biomed. 6, 896–902.

Sustainable Crops for Food Security: Moringa (Moringa oleifera Lam.)


Mune Mune, A.M., Nyobe, E.C., Bassogog, C.B., Minka, S.R., 2016. A comparison on the nutritional quality of proteins from Moringa oleifera leaves and seeds. Cogent Food & Agric. 2, 1213618–1213626. Nadeem, M., Imran, M., 2016. Promising features of Moringa oleifera oil: recent updates and perspectives. Lipids Health Dis. 15, 212–220. Ogunsina, B.S., Cheruppanpullil, R., Govardhan Singh, R.S., 2010. Physicochemical and functional properties of full-fat and defatted Moringa (Moringa oleifera) kernel flour. Int. J. Food Sci. Technol. 45, 2433–2439. Oliveira, J.T.A., Silveira, S.B., Vasconcelos, K.M., Cavada, B.S., Moreira, R.A., 1999. Compositional and nutritional attributes of seeds from the multiple purpose tree Moringa oleifera Lamarck. J. Sci. Food Agric. 79, 815–820. Omotesho, K.F., Sola-Ojo, F.E., Fayeye, T.R., Babatunde, R.O., Otunola, G.A., Aliyu, T.H., 2013. The potential of Moringa tree for poverty alleviation and rural development: review of evidences on usage and efficacy. Int. J. Dev. Sustain. 2, 799–813. Onwuliri, F.C., Dawang, N.D., 2006. Anti-bacteria activity of aqueous and ethanol leaf extract of drumstick plant (Moringa oleifera Lam.) on some bacteria species associated with gastrointestinal diseases. Niger. J. Bot. 19, 272–279. Paula, P.C., Oliveira, J.T.A., Sousa, D.O.B., Alves, B.G.T., Carvalho, A.F.U., Franco, O.L., Vasconcelosa, I.M., 2017. Insulin-like plant proteins as potential innovative drugs to treat diabetes-The Moringa oleifera case study. New Biotechnol. 39, 99–109. Roy, S., Byrne, J., Pickering, C., 2012. A systematic quantitative review of urban tree benefits, costs, and assessment methods across cities in different climatic zones. Urban For. Urban Green. 11, 351–363. Raman, J.K., Alves, C.M., Gnansounou, E., 2018. A review on moringa tree and vetiver grass-Potential biorefinery feedstocks. Bioresour. Technol. 249, 1044–1051. Saini, R.K., Sivanesan, I., Keum, Y.S., 2016. Phytochemicals of Moringa oleifera: a review of their nutritional, therapeutic and industrial significance. 3 Biotech. 6, 203–217. Sreelatha, S., Jeyachitra, A., Padma, P.R., 2011. Antiproliferation and induction of apoptosis by Moringa oleifera leaf extract on human cancer cells. Food Chem. Toxicol. 49, 1270–1275. Stohs, S.J., Hartman, M.J., 2015. Review of the safety and efficacy of Moringa oleifera. Phytotherapy Res. 29, 796–804. Sultana, N., 2015. The feeding value of Moringa (Moringa oleifera) foliage as replacement to conventional concentrate diet in Bengal goats. Adv. Anim. Vet. Sci. 3, 164–173. Teixeira, E.M., Carvalho, M.R., Neves, V.A., Silva, M.A., Arantes-Pereira, L., 2014. Chemical characteristics and fractionation of proteins from Moringa oleifera Lam. leaves. Food Chem. 147, 51–54. Tiloke, C., Phulukdaree, A., Chuturgoon, A.A., 2013. The antiproliferative effect of Moringa oleifera crude aqueous leaf extract on cancerous human alveolar epithelial cells. BMC Complementary Altern. Med. 13, 226–234. Valdez-Solana, M.A., Mejía-García, V.Y., Téllez-Valencia, A., García-Arenas, G., Salas-Pacheco, J., Alba-Romero, J.J., Sierra-Campos, E., 2015. Nutritional content and elemental and phytochemical analyses of Moringa oleifera grown in Mexico. Article ID 860381 J. Chem. 1–9. Verma, V.K., Singh, N., Saxena, P., Singh, R., 2012. Anti-ulcer and antioxidant activity of Moringa oleifera (Lam.) leaves against aspirin and ethanol induced gastric ulcer in rats. Int. Res. J. Pharm. 2, 46–57. Vongsak, B., Sithisarn, P., Gritsanapan, W., 2013. Bioactive contents and free radical scavenging activity of Moringa oleifera leaf extract under different storage conditions. Ind. Crops Prod. 49, 419–421. Yaméogo, C.W., Bengaly, M.D., Savadogo, A., Nikiema, P.A., Traore, S.A., 2011. Determination of chemical composition and nutritional values of Moringa oleifera leaves. Pak. J. Nutr. 10, 264–268. Zhang, T., Si, B., Deng, K., Tu, Y., Zhou, C., Diao, Q., 2018. Effects of feeding a Moringa oleifera rachis and twig preparation to dairy cows on their milk production and fatty acid composition, and plasma antioxidants. J. Sci. Food Agric. 98, 661–666.

Relevant Websites Global Horticulture Initiative, http://www.fao.org/sustainable-food-value-chains/library/details/en/c/274645/. International Society for Horticultural Science, https://www.ishs.org. Miracle tree, https://miracletrees.org/. World Vegetable Center, https://avrdc.org/about-avrdc/history.

Insects (and Other Non-crustacean Arthropods) as Human Food Victor Benno Meyer-Rochow, Research Institute of Luminous Organisms, Nakanogo (Hachijojima), Tokyo, Japan © 2019 Elsevier Inc. All rights reserved.

Abstract People Who Consume Insects and Other Non-crustacean Arthropods: A Historical Overview Most Favored Food Insects Food Insects’ Chemical Composition and Nutritional Value Selection and Acceptance of Food Insects Insect-Based Foods and Their Preparation Breeding Insects for Human Consumption Environmental Considerations Food Insects and Health Risks Conclusion References Further Reading Relevant Website

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Abstract The consumption of some non-crustacean arthropods like insects and spiders has undoubtedly accompanied the evolution of humankind from its beginnings. About 2000 species of insects are known to be consumed by different ethnic groups. With few exceptions, insects are generally non-toxic, nutritious, abundant, easy to collect and relatively uncomplicated to culture in captivity. Their feed conversion ratios and calorific values often surpass those of conventional food animals and requiring less space, feed and water than conventional animals, their carbon footprint is considered to be lower than that of the latter. Although large species specific differences exist, edible insects contain relatively small amounts of carbohydrates and fiber, but are rich in proteins, fats, and minerals. Essential amino acids with the exception of methionine and tryptophan are usually abundant and vitamins A, C, D and E as well as some of the B vitamins (other than B12) are well represented. Edible insects and other non-crustacean arthropods can be used as human food in a variety of ways, but it is recommended that they be boiled or fried before or turned into a flour that can be added to conventional flour types.

People Who Consume Insects and Other Non-crustacean Arthropods: A Historical Overview People of western cultural backgrounds often see insects and other non-crustacean terrestrial arthropods like spiders, millipedes and centipedes as nothing more than useless vermin or disease carrying pests. However, it has not always been like that and when pushed to think of some attractive or useful insects, butterflies and ladybird beetles may be mentioned or products like honey and silk come to mind. In fact the reason or reasons for the current low esteem and often even outright rejection of insects and kin are unclear and some researchers have tried to link this attitude with the arrival of the Christian religion in Europe, with historic epidemics like the Black Death and other diseases, with urbanization and hygiene problems or the increasing awareness of agricultural pests and the damage the latter do to our crops. And yet, even in Roman times certain grubs were still considered a delicious treat and served to wealthy and influential folk (Holt, 1885) while locusts, even today, are regarded by Jews as a perfectly ‘kosher’ and edible food item. Going further back to the dawn of mankind we can submit that our ancestors (and the great apes still today) were mainly frugivorous vegetarians. For such a diet humans did not need large and pointed canine teeth, but they had to have a relatively long gut, carbohydrate splitting enzymes in their saliva and color vision to distinguish ripe from unripe, sour from sweet, and poisonous from edible fruit. Just like many monkeys today, there can be no doubt that early hominoids ingested insects together with their fruits and vegetables that they collected and ate, so that it would be fair to say that entomophagous habits have undoubtedly accompanied the evolution of mankind from its beginnings. Consuming insects and other terrestrial arthropods has been something that has fascinated scholars at least since Holt (1885) publication, in which he provocatively asked “Why not eat insects?” Others have added information on where on Earth people use insects as food and in his treatise on “Peuples entomophages” Bergier (1941) devotes separate chapters to insect-consuming humans known from Europe, Africa, Asia and Oceania. Bodenheimer (1951) added further information to the earlier reports and went as far as stating that there wasn’t a single major group of insects that did not have a fancier somewhere in the world. However, it was Meyer-Rochow’s publication of 1975, in which for the first time it was suggested that a revival of consuming insects as food (or at least an attempt to keep entomophagous practices alive in places where they had been an integral part of local customs


Encyclopedia of Food Security and Sustainability, Volume 1


Insects (and Other Non-crustacean Arthropods) as Human Food


and had not yet been replaced by western attitudes) could help to ease the problem of global food shortages. That suggestion was taken up seriously (Van Huis et al., 2013) as it has been estimated that by the year 2050 the global population could be 10 billion and that malnutrition and famines could then become commonplace unless food production were to increase considerably. Currently at least 2000 species of insects have been described in the literature as being edible (Mitsuhashi, 2008; Jongema, 2015). Singling out countries with long traditions of having made use of insects as food is not an easy task as often only certain sections, tribes, or ethnic groups, frequently living in remote areas and consisting of small populations, make use of insects and other terrestrial arthropods in their diets while urban residents might never even dream of consuming insects as food. Countries with a variety of ethnic groups that use insects and other terrestrial arthropods as food are predominantly found in South America (e.g., Venezuela, Columbia, Ecuador, Peru, Brazil, etc.), sub-Saharan Africa (including all West and East African nations), South and East Asia as well as Papua New Guinea. Arabian and North African countries contain some insect-eating tribals and Australian Aborigines and New Zealand Maori are known to consume certain insects either in larval or adult form. In Central America, especially in Mexico, and in some North-East Indian states like Nagaland, Mizoram, Manipur, Meghalaya, Assam and Arunachal Pradesh as well as surrounding regions, food insects are popular and their consumption as well as that of certain spiders is widespread just like it is in Thailand, Laos, Cambodia, and Vietnam. In Korea canned silkworms, termed beondaegi, are available in most supermarkets and in Japan’s mountainous interior prefectures a variety of insects are still being consumed by residents as part of their normal diet (Cèsard et al., 2015). Information on the use of edible insects in Polynesian islands and Central Asian states is scanty.

Most Favored Food Insects Although insects are abundant in almost any terrestrial and freshwater environment, are polyphagous in nature and may occur in various and highly diverse habitats, species often differ from country to country and certainly continent to continent. It is therefore not at all surprising that insect-eating people living in different parts of the world consume different species of insects. On the other hand it is equally unsurprising that certain especially numerous and palatable species of insects have fanciers in many countries. Generally speaking the most commonly consumed insects, either as adults or immature stages, belong to the orders Coleoptera (beetles), Hymenoptera (ants, bees, and wasps), Orthoptera (crickets, grasshoppers and locusts), Hemiptera (vegetable and water bugs, cicadas), Lepidoptera (butterflies and moths), Isoptera (termites) and Odonata (damsel and dragonflies). However, as Bodenheimer had already noticed in 1951, all insect orders including those not mentioned above, contain species that have fanciers somewhere on Earth. Larvae known as grubs of the various species of beetles belonging to the genus Rhynchophorus are highly appreciated in tropical countries throughout the world. Likewise larvae of cerambycid and buprestid beetles known to Australian Aborigines as bardies and occurring in damaged or rotting trees and their roots are also appreciated. Mealworms, the larvae and pupae of the flour beetle Tenebrio molitor, have a wide ‘following’ and are the focus of especially those who want to promote insects as human food in Europe. Amongst the Hymenopterans wasps as well as the larger hornets and their larvae are very popular amongst insect-consuming folk and so are certain ant species and their larvae, pupae and even adults, e.g., the weaver ant Oecophylla smaragdina. The most commonly used orthopteran insects, but nowadays mainly available as flour, are crickets belonging to a variety of genera, e.g. Gryllus, Acheta, Teleogryllus, Brachytrupes, etc. However, locusts and grasshoppers, the latter known in Japan as ‘inago’ are also important food Orthopterans. Water bugs belonging to genera like Belostoma and Lethocerus as representatives of the order Hemiptera and certain water beetles are very popular with East Asians ranging from China via North-East India and the Indochinese region to as far as Korea and Japan; other Hemiptera like the vegetable stink bugs Encosternum delegorguei in southern Africa and the socalled gondibug (Aspongopus nepalensis) in southern Asia are also highly appreciated food insects in countries in which these species occur. The champion food insect of the insect order Lepidoptera is undoubtedly the silkworm moth whose larvae and especially pupae have perhaps the widest patronage of all food insects in Asia. A similarly wide audience has the African mopame (also known as mopane or mophane) worm, which is the caterpillar of the saturniid moth Gonimbrasia belina and is widely consumed in countries like Zimbabwe, Mozambique, South Africa, Zambia, Namibia, Angola, Malawi and Botswana - the latter even featuring the caterpillar on its 5 pula coin. Regarding edible termites (Isoptera) and members of the Odonata (damsel and dragonflies) it is difficult to single out species, but Odontotermes spp., Macrotermes spp. and Syntermes spp. should be mentioned with regard to Asian, African and South American edible termite species while dragonfly nymphs of, for example, Orthetrum spp. and Crocothemes spp. in NorthEast India and mayfly nymphs of the species Caenis kungu in East Africa and nymphs of other aquatic insects are widely used as human food when available.

Food Insects’ Chemical Composition and Nutritional Value Numerous edible insects had their chemical compositions and nutritional values analyzed (e.g. Bukkens, 1997; Rumpold and Schlüter, 2013; Ghosh et al., 2017) and unsurprisingly there are far more dissimilarities between species than similarities. What unites all of them is the presence of an exocuticular integument, which is a structure composed of the carbohydrate chitin and protein. Although regarded as indigestible with regard to humans, it adds roughage to the diet and thus can be considered beneficial. There have also been reports, however, that at least some humans possess enzymes that can attack and break down chitin


Insects (and Other Non-crustacean Arthropods) as Human Food

(Paoletti et al., 2007). A loose assignment to one of three categories of food insects is possible: a) those that are rich in proteins (they comprise the most frequently encountered species); b) those that are richer in fats (they are less common and often restricted to larval forms); and c) those relatively rich in carbohydrates (they are the least common and exemplified by honeypot ants and to some extent honey bees as well as some sugary lerp aphids). It is quite likely that it was the category of sweet/tasting insects that first found acceptance as edible insects by our ancestors, followed by fatty and finally protein-rich species (Meyer-Rochow, 2005). Edible insects like crickets and grasshoppers, but also many bugs, adult beetles, dragonfly nymphs, caterpillars, etc. usually possess relatively high amounts of protein, frequently reaching up to 70% or even more based on dry matter analyses. Fatty grubs of cossid and hepialid origins like the wijuti of Australia or those belonging to the wood-eating cerambycid, curculionid, tenebrionid and buprestid beetles possess high fat contents, which may reach 50% or more based on dry matter analyses as in case with some termites for instance. However, with regard to the nutritional value of an insect species the absolute amounts of proteins and fats are less important than their respective contents of amino and fatty acids. Of the so-called 9 essential amino acids for humans, histidine, isoleucine, leucine, lysine, phenylalanine, threonine, and valine are usually present in adequate amounts in insect proteins (only methionine and tryptophan are often either missing or present in rather small quantities). With regard to fatty acids, lipids found in insects represent a mixture of saturated fatty acids, often 50% or even more of the total, and mono as well as polyunsaturated fatty acids. The two essential fatty acids linoleic and alpha-linolenic acids are usually present in adequate amounts and the only saturated fatty acid that is credited with playing a positive role with regard to the removal of ‘bad’ cholesterol in the human body, namely stearic acid (Bonanome and Grundy, 1988), can reach 10% or more of the saturated acid fraction in, to name but a few lipid-rich species, Macrotermes sp., Odontotermes sp. and Brachytrupes orientatlis. Vitamins and minerals, being important micronutrients, should be present in any balanced human diet and most insect species do contain adequate amounts of these chemicals. The aforementioned wijuti grub, for instance contains 400 international units (i.u.) of vitamin D, 100 i.u. of vitamin A per 100g, 6 ppm iron, 5 ppm copper and 19 ppm zinc. One hundred grams of the Japanese inago grasshopper contain 300 i.u. vitamin A, 920 i.u. of carotene, 20 mg of vitamin C, m7 mg of vitamin B1þB2 and healthy amounts of calcium as well as niacin. Although with regard to micronutrient compositions there are wide variations between different species of insects owing to their different ways of life and sources they feed on, generally the amounts of potassium, iron, calcium and zinc present in them are sufficient to make edible insects a valuable source of these minerals and frequently copper, magnesium and manganese levels also surpass those of conventional meats. Vitamins C and A in particular, but in some cases also very high levels of vitamin E as well as appreciable amounts of the B vitamin complex (with the exception of B12) further testify to the nutritional value of edible insects. Calorific values of edible insects depend largely on their relative amounts of proteins and fats, but often even eclipse those reported for conventional food sources like beef, pork and poultry, but not necessarily nuts and vegetable oils. Antinutrients like tannins and phytic acid are present in insects and having been assessed in species like, for example, Odontotermes sp. and Oecophylla smaragdina (Chakravorty et al., 2016) were found to be of no greater concern than antinutrients commonly associated with vegetables like beans, cabbage and sweet potato to name but a few.

Selection and Acceptance of Food Insects There are many factors that influence which species of insects are collected and accepted as food for humans. Obviously traditions play an important role, climatic conditions and an availability of insects to be used as food for humans are involved and so are the health status of potential consumers of insects and an attitude towards novelty, animal welfare and the environment. While the latter three concerns are frequently mentioned by people residing in the richer so-called developed countries as motivating factors to eat insects, food security, traditional habits and ready availability of food insects are major reasons that prompt people in developing countries to consume insects. Vabø and Hansen (2014) distinguish food choices from food preferences and regard food preference as one of several other factors like health, price, convenience, mood, nutrient content familiarity, ethical concerns and sensory appeal that determine food choice. Obviously, how an insect smells, looks, feels and ultimately tastes must be among the most important drivers of both food choice (dietary habits) and food preferences, i.e. the selection of a particular food item out of a repertoire. However, the ease with which a particular kind of food can be obtained, supply and demand, peer pressure and traditional expectations as well as ethical concerns, religious and other beliefs, etc. may further influence which insect to eat and which to reject (Lensvelt and Steenbekkers, 2014). What this boils down to is a web that the consumer of insects as food finds herself/himself in, a web involving not only the consumer’s senses of vision, touch, smell and taste or the nutritional needs of the consumer and availability of food insects, but also cultural, ecological and economic questions and the urge to satisfy the inherent trait of ‘novelty seeking’. Historically some insects and other non-crustacean arthropods were ingested for the purpose of fighting diseases and it is likely that some found their way into the human diet also in this way (Meyer-Rochow, 2017).

Insect-Based Foods and Their Preparation A number of insect-based food products are on the market and more can be expected. Such insect-based products available now in European and North American countries include bread and pastries, tortillas with mealworms, mueslis and rice dishes as well as pot cakes with wasp larvae in them as in Japan. Traditionally, however, insects were sold at open markets in either whole and still alive

Insects (and Other Non-crustacean Arthropods) as Human Food


or freshly killed states. Larger species like giant waterbugs would be sold as individuals, small aquatic insects as scoops taken with a net, and smaller and dried insects by weight or volume in measuring cups. Insects collected in the field would frequently be consumed raw there and then, but when taken home drying them was a common practice. To prepare insects for dishes numerous cooking books in a variety of languages nowadays provide recipes and instructions. Depending on personal tastes and preferences some species like water beetles and water bugs are considered most delicious when cooked and served as part of a soup; other insects are said to exhibit their full flavor only when fried or roasted and numerous species are turned into pickles for non-immediate uses. Sometimes sugar is added to species lightly cured in soya sauce and smoking or steaming insects are yet other methods to prevent insects going off too quickly. One of the best ways to preserve food insects and letting them keep their freshness is to freeze them for later use. A variety of food insects, but apparently not edible spiders, are available in canned form or in plastic bags sealed airtight. Combining insects or edible spiders with other food items is common and often fresh or sour cream can be added to fried larval insects which are then meshed up in a blender together with some spices before they, for example mealworms, can be served on crackers or mixed into leafy salads. Sometimes mayonnaise and other ‘dips’ are made available in combination with edible insects and alcoholic drinks with insects in them are also known. Being relatively small and available in so many different shapes and forms, insects can be used in the human diet in a wide range of ways.

Breeding Insects for Human Consumption Culturing insects, i.e. rearing and breeding them under controlled conditions in confined places, is a relatively new concept when specifically applied to insects for human consumption. Honey bees, mentioned 50 times in the Bible, whose products honey and wax, but whose larvae too, were appreciated by humans since ancient times come to mind. Obviously silkworms, tended by people of the Assam region in India already some 6000 years ago and in parts of southern China more or less at the same time as well, were not just kept for the purpose of obtaining silk from them. It seems likely that the original aim was to consume them as food and the use of silk was secondarily discovered (Cloudsley-Thompson, 1976). The beginnings of culturing esteemed food insects reach even further back and have been described from a variety of regions in which locals are said to have deposited adult food insects on their preferred food plants to make sure there would be tasty insects in the future: for instance sago palm weevils and the longicorn beetle Bardistus cibarius, whose larvae especially Western Australian Aborigines relished are amongst them. Nowadays, however, we can speak of insect farming, for there are some countries in which certain species are in culture. They primarily include a variety of crickets and the common mealworm T. molitor, bred solely for the purpose of supplying the growing food insect industry with the raw material. Other food insect species like certain grasshoppers, possibly wasps in the region of Gifu in Japan (Payne and Evans, 2017), the mopame worm in southern African states, bamboo caterpillars in South-East Asia are further species that are already being in culture or are in the process of being cultured. What is involved in culturing food insects is first of all the necessity of holding areas and containers for the insects. Other requirements include a readily available supply of food and water for the insects, optimal environmental conditions with regard to shelters as well as light, temperature and humidity for growth and reproduction, and the need to monitor the insects’ state of health throughout the rearing process.

Environmental Considerations Tone of the two major environmental concerns is that uncritical and unrestricted collecting of highly esteemed food insects as well as edible spiders and kin from the wild can affect the ecosystem negatively in a number of ways. Numerous species of insects, most notably insectivorous species like dragonflies, many ants and wasps, some bugs and even more so spiders are highly beneficial arthropods and their large scale removal for the purpose of serving as alimentation for humans must have an impact on insects that would normally serve the insectivorous arthropods as food. The same could be said with regard to parasitoid wasps, although they do not feature much on the list of edible species. Highly problematic is the use of adult and immature female honey and bumble bees as human food, for they are the most important pollinators of fruits and many vegetables throughout the world. Positive environmental consequences can be expected from the removal and subsequent use as human food of crop pests like caterpillars, grasshoppers. cicadas and other plant damaging and timber attacking insect species. However, the second major concern of food insect species in culture is that they could escape and then, especially if alien to the environment they encounter after having gotten away, multiply unchecked and upset an existing ecosystem. This must be a worry in all cases where non-native species are kept in culture, for escaped individuals can not only threaten native species by being perhaps more resistant, accepting a wider range of food stuffs and ultimately outperforming native species with regard to reproductive success, they can also harbor microorganisms that native insects are not immune to.

Food Insects and Health Risks With few exceptions like meloid and some lycid and staphylinid beetles, the vast majority of the insects are not poisonous and even venomous spiders lose usually their toxicity when boiled or fried. There are, however, a number of health risks related to collecting


Insects (and Other Non-crustacean Arthropods) as Human Food

and consuming food arthropods. Some possess irritating cuticular hairs or spines; some have powerful and in the case of spiders venomous bites, some can sting most painfully and some cause allergic reactions either when handled or even more so when ingested. And quite apart from these hazards, there are other dangers of which the transmission of infectious diseases is the least, especially when the food insects and spiders are boiled or fried. Omnivorous insects more so than strictly phytophagous or insectivorous species can act as carriers for human pathogens (e.g. salmonellae, Campylobacter spp., Shigella spp.) and some of these non-crustacean edible arthropods, as reported by Grabowski and Klein (2017) have been shown to host probiotically-acting bacteria, e.g. Lactobacillus spp. and Bifidobacterium spp. The most commonly encountered phyla were Proteobacteria and Firmicutes, but in addition to bacteria, insects and other arthropods used as human food can contain viruses, nematodes, mites and fungi. Some of the latter can potentially cause illnesses in humans (e. g. Aspergillus spp., Fusarium spp., Mucor spp. and Aureobasidium pullulans); others may act as food spoilers. Pathogens are generally restricted to certain species, but there are some that have a more ubiquitous distribution. Problems with pathogens are usually aggravated when dying or dead food insects are kept together with freshly collected specimens and no refrigeration is provided. Drying often increases the numbers of some specific microorganisms at the expense of others, but even boiled, steamed or fried non-crustacean edible arthropods are not immune to spoilage and can become a growth medium for sickness-inducing microorganisms. In this way the non-crustacean edible arthropods’ role in passively transmitting microorganisms is far greater than that as their serving as vectors for infectious diseases. One final point worth mentioning is the risk that edible insects obtained from highly industrialized regions may pose, as they can contain higher than acceptable amounts of harmful elements like, for instance, lead, cadmium and even arsenic.

Conclusion Of all the arthropods under consideration as human food, insects represent a severely underutilized food category. Although the consumption of insects by humans has been part of humanoid evolution since its beginnings and even today, especially in tropical countries, numerous people consume insects on a regular basis, insects until very recently have not been subjected to controlled breeding and marketing. Rather than spending large amounts of efforts and money to protect plants and crops against pest insects (which often are nutritionally more valuable than the plants one wishes to protect), it would make sense to use of the insects directly as human food or indirectly as feed for animals as there are clear environmental and other benefits to do so. Depending on the species, insects generally speaking are in no way inferior to conventional food items of animal origin as they contain few carbohydrates, but are rich in protein or fats, contain important micronutrients like vitamins and minerals as well as fibrous material and possess calorific values that frequently exceed those known from conventional meat sources. Provided one avoids unpalatable or toxic species and observes hygiene guidelines there are few shortcomings to the use of insects as human food. The apparent lack of the essential amino acids methionine and tryptophan in insects need to be mentioned, but major drawbacks seem the insects’ appeal and acceptability as food when presented whole and unprocessed especially to potential consumers of western cultural backgrounds. However, in the form of insect flour or insect meal, used in bakery and other products, insect-based foods can certainly enrich the repertoire of the human diet and assist food security. The main advantage of food insects over conventional meat sources is that the former require much smaller areas and can be reared on much less food and water than the latter. Furthermore their rate of reproduction is considerably higher than that of conventional food animals and a significantly greater proportion of an insect’s body weight is utilizable as food than is the case with regard to conventional meat animals. Finally, the so-called carbon footprint of farmed insects is deemed to be appreciably lower than that of farmed conventional food animals.

References Bergier, E., 1941. Peuples entomophages et insects comestibles: ètude sur les moeurs de l’homme et de l’insecte. Imprimérie Rullière Frères, Avignon. Bodenheimer, F.S., 1951. Insects as Human Food. W. Junk, The Hague. Bonanome, A., Grundy, S.M., 1988. Effect of dietary stearic acid on plasma cholesterol and lipoprotein levels. N. Engl. J. Med. 318, 1244–1248. Bukkens, S.G.F., 1997. The nutritional value of edible insects. Ecol. Food Nutr. 36, 287–319. Cèsard, N., Komatsu, S., Iwata, A., 2015. Processing insect abundance: traditional fishing of zazamushi in Central Japan (Nagano Prefecture, Honshu Island). J. Ethnobiol. Ethnomedicine 11, 78. Chakravorty, J., Ghosh, S., Megu, K., Jung, C., Meyer-Rochow, V.B., 2016. Nutritional and anti-nutritional composition of Oecophylla smaragdina (Hymenoptera; Formicidae) and Odontotermes sp. (Isoptera; Termitidae): two referred edible insects of Arunachal Pradesh, India. J. Asia-Pacific Entomology 19, 711–720. Cloudsley-Thompson, J.L., 1976. Insects and History. Weidenfeld and Nicolson Publishers, London. Ghosh, S., Lee, S.-M., Jung, C., Meyer-Rochow, V.B., 2017. Nutritional composition of five commercial edible insects in South Korea. J. Asia-Pacific Entomology 20, 686–694. Grabowski, N.T., Klein, G., 2017. Bacteria encountered in raw insect, spider, scorpion, and centipede taxa including edible species and their significance from the food hygiene point of view. Trends Food Sci. Technol. 63, 80–90. Holt, A.V., 1885. Why Not Eat Insects? E.W.Classey Ltd, Faringdon. Jongema, Y., 2015. List of Edible Insects of the World. Wageningen University, Wageningen. Available at: http://tinyurl.com/mestm6p. Lensvelt, E.J.S., Steenbekkers, L.P.A., 2014. Exploring consumer acceptance of entomophagy: a survey and experiment in Australia and The Netherlands. Ecol. Food Nutr. 53, 543–561. Meyer-Rochow, V.B., 1975. Can insects help to ease the problem of world food shortage? Search 6, 261–262.

Insects (and Other Non-crustacean Arthropods) as Human Food


Meyer-Rochow, V.B., 2005. Traditional food insects and spiders in several ethnic groups of Northeast India, Papua New Guinea, Australia, and New Zealand. In: Paoletti, M.G. (Ed.), Ecological implications of minilivestock – potential of insects, rodents, frogs and snails. Science Publishers, Enfield, pp. 385–409. Meyer-Rochow, V.B., 2017. Therapeutic arthropods and other, largely terrestrial folk-medicinally important invertebrates: a comparative survey and review. J. Ethnobiol. Ethnomedicine 13 (9), 1–31. https://doi.org/10.1186/s13002-017-0136-0. Mitsuhashi, J., 2008. Sekai Konchu Shoko Taizen. Yasaka Shobo, Tokyo. Payne, C.L.R., Evans, J.D., 2017. Nested houses: domestication dynamics of human-wasp relationships in contemporary rural Japan. J. Ethnobiol. Ethnomedicine 13, 13. Paoletti, M.G., Norberto, L., Damini, R., Musumeci, S., 2007. Human gastric juice contains chitinase that can degrade chitin. Ann. Nutr. Metab. 51, 244–251. Rumpold, B.A., Schlüter, O.K., 2013. Nutritional composition and safety aspects of edible insects. Mol. Nutr. Food Res. 57, 802–823. Vabø, M., Hansen, H., 2014. The relationship between food preferences and food choice: a theoretical discussion. Int. J. Bus. Soc. Sci. 5, 145. Van Huis, A., Van Itterbeeck, J., Klunder, H., Mertens, E., Halloran, A., Muir, G., Vantomme, P., 2013. Edible Insects: Future Prospects for Food and Feed Security. FAO of the United Nations, Rome.

Further Reading Evans, J., Flore, R., Frøst, M.B., 2017. On Eating Insects - Essays, Stories and Recipes. Phaidon, London. Fessard, R., 2013. Délicieux: 60 recettes à base d’insectes. Héliopolis, Paris. Lang, E., 2013. Eating Insects. Eating Insects as Food. IMB Publishing, Dublin.

Relevant Website https://www.wur.nl/en/Expertise-Services/Chair-groups/Plant-Sciences/Laboratory-of-Entomology/Edible-insects/Worldwide-species-list.htm.

Probiotic Food Development: An Updated Review Based on Technological Advancement Daniel Granatoa, Filomena Nazzarob, Tatiana Colombo Pimentelc, Erick Almeida Esmerinod, and Adriano Gomes da Cruze, a State University of Ponta Grossa (UEPG), Ponta Grossa, Brazil; b Institute of Food Science, Avellino, Italy; c Federal Institute of Paraná (IFPR), Paraná, Brazil; d Federal University Fluminense (UFF), Niteró, Brazil; and e Instituto Federal de Educação, Ciência e Tecnologia do Rio de Janeiro (IFRJ), Rio de Janeiro, Brazil © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Dairy Probiotic Foods: Recent Advances Nondairy Probiotic Foods: Recent Advances Trends and Conclusion Remarks References

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Abstract Fermented dairy products, such as yogurt, fermented milk, and fermented whey beverages, comprise most of the food containing probiotic cultures. However, consumers are now looking for cholesterol-free and animal-based-free foods because of nutritional restrictions (i.e., lactose intolerance or high total cholesterol), philosophy (i.e., veganism or vegetarianism) and/or taste requirements. This technological trend is expanding and food companies are investing in developing nondairy alternatives of probiotic foods, such as meats, juices, jams, granolas, dried fruit slices, and other vegetable-based products. In this review, we focused on the latest development of probiotic foods (dairy and nondairy products), giving emphasis on technological aspects.

Introduction Probiotics are defined as live microorganisms which when administered in adequate amounts, confer health benefits on the host (Hill et al., 2014). They have been studied as functional agents in many non-communicable diseases, such as diabetes, hypertension, and hypercholesterolemia. Type-2 diabetes affects more than 380 million people worldwide and has been associated with dysbiosis and one of the possible routes to restore a healthy gut microbiota is by the regular ingestion of probiotics. In this sense, Tonucci et al. (2017) evaluated the effects of probiotics added in fermented milks (Lactobacillus acidophilus La-5 and Bifidobacterium animalis subsp lactis BB-12 – 109 CFU/day each for 6 weeks) on glycemic control, lipid profile, inflammation, oxidative stress and short chain fatty acids in 45 diabetic individuals. After the 6-week treatment, pro-inflammatory cytokines (IL-10, TNF-a and resistin) were reduced in the test group compared to the negative control (individuals that consumed fermented milk without probiotics). In addition, glycated hemoglobin, total cholesterol (including low-density cholesterol) were reduced in the group that consumed probiotic fermented milk. As a conclusion, these probiotics were proved to exert functional properties in diabetic individuals. As the scientific community has studied the beneficial effects of probiotic microorganisms, food companies follow the technological trend and have launched many products worldwide, both dairy and nondairy. These foods include vegetable juices, fruit juices, granola, cheeses, ice creams, yogurts, fermented milks, and many others (Fig. 1). In this sense, the main objective of this chapter is to provide an updated overview on probiotics application in food technology, with a vision to new potentially functional foods.

Dairy Probiotic Foods: Recent Advances The global economic scenario of probiotics is very encouraging. The growth forecast for probiotic ingredients and supplements is to the tune of $36.7 billion in 2018 and $48 billion in 2019, with a compound annual growth rate of 6.2% (Technavio Research, 2016; Vasava and Jana, 2018). Dairy products are the category with more probiotic foods available on the market. The success is related to the fact that milk is a nutritious and natural part of a balanced diet. The development of functionality in dairy products consists of modifying and/or enriching the original base, which is already healthy (Pimentel et al., 2017c). Dairy products with incorporated probiotic bacteria are gaining popularity and the probiotics comprise approximately 65% of the world functional food market (Vasava and Jana, 2018). Fermented dairy products, such as yogurt, fermented milk, and fermented whey beverages, comprise most of the food containing probiotic cultures. They are suitable for incorporation of probiotics because they already present a positive image for consumers, do


Encyclopedia of Food Security and Sustainability, Volume 1


Probiotic Food Development: An Updated Review Based on Technological Advancement

Figure 1


Potential technological application of probiotic strains in food products, both dairy and nondairy ones.

not require significant changes in the technology involved and manufacturing process to include the probiotic cultures; and they are a matrix with ability to protect probiotics through the gastrointestinal tract. In addition, the fermentative process acts in the maintenance and optimization of microbial viability; and consumers are familiar with the fact that these products contain living microorganisms. The refrigerated storage helps to stabilize the probiotic cultures. Besides the fermented dairy products, other products can be added with probiotic cultures, such as cheeses, ice creams, and dairy desserts. Yogurts and other types of fermented milk entered the probiotic market with strong advertising campaigns presenting health claims, special focus on intestinal constipation, and gained the market quickly. Many people became regular consumers of the products and health professionals began to prescribe them for therapeutic purposes. Among the different types of products available in the market, the drinking yogurt (stirred after the fermentative process) is one of the most commercialized product (Pimentel et al., 2017a). One of the major limitations of the incorporation of probiotic cultures in yogurts and fermented milks is the low pH of these products, because most of probiotic cultures have an optimal growth pH between 5 and 9. Therefore, it is advised to keep the pH of the products higher than 4.6, select probiotic strains more resistant to the acidity of the medium; and/or reduce the L. bulgaricus concentration on the starter culture, in order to reduce the post acidification alterations (Pimentel et al., 2017c). Furthermore, one problem with the development of probiotic yogurts and fermented milks is the slow growth capacity of these cultures in milk and, in some cases, low survival rate during storage. The addition of prebiotic components, plants extracts, milk proteins and other components were alternatives to increase the survival of these cultures in the products (Shori, 2015). In addition, the fruit-flavored yogurts are the most consumed products, which indicates that it is important to evaluate the effect of the fruit pulp or juice on the probiotic survival in the product. In a general view, probiotic yogurts and fermented milks are an established probiotic category, which implicate that the probiotic cultures generally present suitable counts during the shelf life of the products and their addition do not influence significantly on the acceptance of the products by consumers. The utilization of cheese whey, a cheese processing byproduct, has been extremely attractive by food biotechnology industry, resulting in the development of many types of whey beverages. The utilization of whey protein concentrates (WPCs) in probiotic whey beverages presented a significant contribution on the survival of the probiotic cultures (L. acidophilus and Bifidobacterium species). The main reasons were the buffering capacity of the WPC, delaying the post acidification of the products; and the sulfur amino acid release during the heat treatment, lowering the redox potential of the media. A precaution that must be considered when developing probiotic whey beverages is the quantity of whey used, since high concentrations (>65%) can compromise the sensory acceptance of the products by consumers (Shori, 2016). Considering the expansion of the cheese production, there will be a significant increase in the production of whey beverages, especially those added with probiotic cultures. This increase is also related to the recent researches proving the health effects of the whey proteins (Akal, 2017). Kefir is a fermented milk produced using kefir grains or commercial starter cultures. Kefir grains contain lactic acid bacteria, yeasts and acetic acid bacteria, combined with casein and complex sugars in a polysaccharide matrix. The microbial population found in kefir grains is an example of a symbiotic community (Kandylis et al., 2016). Microbial evaluation and in vitro and in vivo researches concerning the probiotic potential of kefir grain and kefir fermented milks indicate that this product is intrinsically a probiotic food (Turkmen, 2017). In many countries, this type of probiotic dairy product is widely available in supermarkets. However, in others, such as Brazil, there is a demand for such new product.


Probiotic Food Development: An Updated Review Based on Technological Advancement

Cheese is a dairy product with potential for delivering probiotic microorganisms, because it presents a higher pH when compared to yogurts and fermented milks, resulting in a more stable matrix for the survival of probiotic microorganisms. In addition, cheeses have a relatively high amount of fat, which provide protection for probiotic bacteria during their passage through the gastrointestinal tract, and present higher buffering capacity, more solid consistency, higher nutrient availability, and lower oxygen content than yogurts (Pimentel et al., 2018). In ripened cheeses, the probiotics can remain viable over extended periods of time, so there is an increasing trend in the development of this type of probiotic cheeses (Silva et al., 2018a,b). However, it is important to select the suitable strain, processing conditions, cooking procedure, and the temperatures of ripening and storage (Shori, 2015). The microencapsulation would seem to offer a good technological alternative for use in the cheese industry, receiving considerable interest (Castro et al., 2015). Different types of cheeses were recently evaluated as a carrier of probiotic cultures, such as fresh cream (Speranza et al., 2018), Prato (Silva et al., 2018a,b), Pico (Ribeiro et al., 2018), Pasta filata soft cheese (Cuffia et al., 2017), Pecorino Siciliano (Pino et al., 2017), coalho (Bezerra et al., 2017), Minas Frescal (Felicio et al., 2016) and cheddar (Demers-Mathieu et al., 2016). As there is a positive correlation between high sodium intake and hypertension, osteoporosis, kidney stones, and cardiovascular diseases, recent researches have focused on the development of low salt (sodium) probiotic cheeses (Felício et al., 2016, Silva et al., 2018a,b). Ice cream has good potential for use as a probiotic carrier because of its neutral pH and high total solid level providing protection for probiotic cells (Ergin et al., 2016), and because of its composition, pleasant taste and attractive texture (Akalin et al., 2017). However, incorporation of air in the ice cream production (overrun) introduces oxygen that can be a destructive agent for the anaerobic and microaerophilic probiotics. Additives and flavors lower the pH levels and can lead to a reduction in probiotic viability (Zanjani et al., 2018). Furthermore, probiotic cells must survive freezing as well as frozen storage; and temperature changes during freezing and thawing may cause damage such as reduction or even complete loss of metabolic activity (Ergin et al., 2016). Numerous strategies have been proposed to improve the survival of probiotics in ice cream, such as strain selection, addition of prebiotics or other sugars, microencapsulation of the probiotic culture, addition of glycerol, addition of the probiotic culture at optimum inoculation level, use of sugar substitutes, pH adjustment, adjustment of the cream fermentation level, and control of the freezing parameters (Champagne et al., 2015, Ozturk et al., 2018). Parussolo et al. (2017) evaluated the feasibility of strawberry ice cream with yacon flour (YF, 0%–3%) (prebiotic) and L. acidophilus NCFM culture (0%–0.13%), for its physicochemical, microbiological and sensory attributes, as well as its probiotic potential, over a 150-day storage period ( 18  C). All formulations met the standards for the microbiological and physicochemical quality of food products, and the addition of yacon flour improved the concentration of minerals in the ice cream. The sensory evaluation showed scores higher than 7 in 9-point hedonic scale for overall acceptance of all test formulations, demonstrating that the ice cream was well accepted by consumers. During the 150-day storage period, the food matrix, acidity and pH maintained the viability of the probiotic microorganisms above 107 cfu/g, therefore, demonstrating the potential of the developed symbiotic ice cream. The addition of yacon flour enhanced the number of viable probiotic microorganisms, demonstrating that this ingredient has potential for use as a prebiotic in the food matrix. Zanjani et al. (2018) performed the microencapsulation of the probiotics Lactobacillus casei ATCC 39392 and Bifidobacterium adolescentis ATCC 15703 using calcium alginate, wheat, rice, and high amylose corn (Hylon VII) starches along with chitosan and poly L-lysine coatings. The effect of microencapsulation on the survival and sensory properties of ice cream over 100 days at 30  C was evaluated. The results suggested that the survival of probiotics is increased by microencapsulation. Coating the capsules with chitosan and poly L-lysine led to enhanced bacterial viability and an increase in the size of microcapsules. Among different starches, Hylon starch enhanced the survival of probiotics at low temperatures the most. Furthermore, the addition of probiotics in free and encapsulated states did not have a significant effect on the sensory properties, or pH levels of the final product during storage. Dairy desserts are healthy products with pleasant sensory properties, and primarily formulated with milk, thickeners (starch, sodium carboxymethylcellulose and other hydrocolloids), sucrose, flavoring and colorants. Because they are added thickeners, they exhibit viscoelastic properties typical of weak gels (Pimentel et al., 2017b). Dairy desserts are consumed by all age groups and this consumption is mainly influenced by their nutritional and sensory characteristics. Moreover, the dairy dessert market has increased in the last years and a broad range of ready-to-eat milk-based desserts has been available to the consumer (Buriti et al., 2016). Most studies show that probiotic desserts present enough populations of viable cultures during their shelf lives and good sensory quality. New formulations were made using the prebiotic fiber inulin with the purpose of developing prebiotic milk-based desserts, due to its health benefits and its advantageous technological properties (Buriti et al., 2016). Because of the high fat and calories contents of this type of dairy products, a trend is the development of low-fat probiotic dairy desserts. The success in the market will be related to the maintenance of the taste, mouthfeel and texture of the traditional full-fat products. Cow’s milk predominates as a consumption option in most countries, however, other mammalian species also contribute and are important to produce milk in certain regions. Goat and sheep milk is widely consumed in eastern and southern Europe, buffalo milk serves primarily the populations of Asian countries and camel milk traditionally serves the people of Arab culture. Other species such as reindeer, llamas, yaks, and horses are also domesticated for the same purpose, but less economically significant (Pimentel et al., 2017d). Therefore, a recent trend in the development of probiotic dairy products is the utilization of milks different from the cow milk. Therefore, sheep milk ice cream (Balthazar et al., 2018), sheep milk fermented milk (Nadelman et al., 2017), goat milk ice cream (Silva et al., 2015), dromedary camel fermented milk (Hatmi et al., 2018), ewe fermented milk (Pinto et al., 2017), and goat Coalho cheese (Bezerra et al., 2017) were studied, with interesting findings concerning the probiotic survival, physicochemical stability and sensory acceptance.

Probiotic Food Development: An Updated Review Based on Technological Advancement


Nondairy Probiotic Foods: Recent Advances It is widely known that the addition of probiotic microorganisms into dairy matrices is well established and more common in the market (Silva et al., 2018a,b). According to Vinderola et al. (2017), the dairy industry, especially those dedicated to the manufacture of fermented foods, was the first in successfully marketing specific strains of probiotic bacteria in foods, such as yogurts, fermented milks, cheeses, and other desserts. However, consumers are now looking for cholesterol-free and animal-based-free foods because of nutritional restrictions (i.e., lactose intolerance or high total cholesterol), philosophy (i.e., veganism or vegetarianism) and/or taste requirements. This technological trend is expanding and food companies are investing in developing nondairy alternatives of probiotic foods, such as meats, juices, jams, granolas, dried fruit slices, and other vegetable-based products (Nematollahi et al., 2016; Mosso et al., 2016; Alves et al., 2016; Popova, 2017; da Costa et al., 2017; Betoret et al., 2017). Below we listed some of the most recent innovations in food technology applied to nondairy foods. Fruit juices and other vegetables have shown to be interesting matrices for the addition of probiotic bacteria. For instance, Mauro et al. (2016) developed blueberry and carrot juice blend fermented by Lactobacillus reuteri LR92 and assessed the physicochemical and cell viability of the beverages at 4  C for 28 days. The cell viability remained over 8 log CFU/mL after 28 days of storage and products had a low pH (below pH 4). After 150 min in contact with bile salts in pH 7.4, the cell viability was 9.2 log CFU/mL, indicating the fermented juices are suitable matrices for probiotification. No significant difference (P > 0.05) was observed in the total phenolic content and antioxidant activity measured by the ABTS assay, but the antioxidant activity measured by the DPPH assay increased considerably (P < 0.05) in the course of the storage period. da Costa et al. (2017) assessed the effects of oligofructose (20 g/L) or vitamin C (0.24 g/L) on the viability of L. paracasei ssp. paracasei, sensory acceptance and physicochemical properties of unfermented orange juice. Neither the prebiotic fiber nor the vitamin C protected the probiotic culture after 28 days at 4  C. The biomass was cultivated in sterilized orange juice at 37  C/ 15 h and separated by centrifugation for the addition in pure orange juice. Juices were stable to cold storage when pH, texture parameters, acidity, and soluble solids, while the vitamin C content decreased about 14%–20% and turbidity increased in the course of storage. The cell viability remained higher than 107 CFU/mL after 28 days of storage, indicating the orange juices manufactured with probiotic culture and/or prebiotic and/or vitamin C may be considered a potential functional food as L. paracasei ssp. paracasei was resistant in the product. In the sensory evaluation, the addition of prebiotic, probiotic, and/or vitamin C did not affect (P > 0.05) the acceptance (appearance, aroma, flavor, texture and overall impression) of the orange juice. Alves et al. (2016) studied the effects of drying and feed flow rate on the bacterial survival and physicochemical properties of a nondairy fermented probiotic orange juice powder. For this purpose, initially L. casei lyophilized cells were activated in MRS (Man Rogosa and Sharpe) broth at 37  C/12 h until 108 CFU/mL was achieved. Frozen concentrate orange juice was diluted with water (1:7 v/v) and the pH of the juice was adjusted to 6.0. The diluted juice was inoculated with 2% (v/v) of the inoculum and incubated at 30  C/20 h. Then, maltodextrin or gum Arabic (15% w/v) were used as drying agents, and the fermented orange juice was spray-dried using the following conditions: inlet air temperature of 140  C, nozzle air flow rate of 30 L/min, and hot drying air flow rate of 3.5 m3/min. The probiotic viability, physicochemical properties, particle size, and rehydration time of powders were assessed. The spray drying affected negatively the cell viability of the probiotic culture in comparison with the spouted bed drying technique because of the low inlet temperature used in this technique (60  C). The moisture content of the spray-dried samples was lower compared to the spouted bed drying samples. Despite this, spouted bed dried samples presented low moisture and water activity values lower than 0.2. Spouted bed dried samples presented d50 lower than 9.5 mm, which means that 50% of the particles had a diameter below 9.5 mm, which is interesting for food formulations to ensure homogeneity. Freire et al. (2017) developed a nondairy fermented beverage from a blend of cassava and rice, which is based on Brazilian indigenous beverage known as cauim using probiotic lactic acid bacteria (Lactobacillus plantarum CCMA 0743 and L. acidophilus LAC-04) and yeast (Torulaspora delbrueckii CCMA 0235). The beverage had 8 log CFU/mL after the fermentation process, the alcohol content in the beverage was lower than 0.5% (w/v) and the beverage had a modest in vitro antioxidant activity measured by the DPPH and ABTS assays. Although the chemical characterization was made, for a (nondairy) probiotic product be marketed by a food company, it needs to be viable and well accepted by consumers. In this aspect, studies should focus on sensory properties, optimization of costs and upscaling studies as well. Another aspect of technological interest is related to the microencapsulation of probiotics aiming to increase their survival in acidic environment. Probiotic bacteria must survive in adequate amounts in gastric acids to reach the small intestine and colonize the host for appropriate prevention and management of several gastrointestinal diseases (Shori, 2017). To avoid cell deaths during the passage through the gastrointestinal tract, microencapsulation (ME) of probiotics has shown promising results (Huq et al., 2017). Microencapsulation is a process in which the probiotic cells are incorporated into an encapsulating matrix or membrane that can protect the cells from degradation by the damaging factors in the environment and release at controlled rates under particular conditions (Arslan-Tontul and Erbas, 2017). The ME process is performed so that microorganisms, segregated them from the external environment with a coating of hydrocolloids, could be released in the appropriate gut compartment at the right time. The technology protects probiotics in food and during the passage through the gastrointestinal tract; furthermore, ME may enhance microbial survival and operating efficiency during fermentation. Microparticles should be water-insoluble to maintain their structural integrity in the food matrix and in the upper part of the GI tract. For ME of microorganisms, the most used polymers (all necessarily natural, inexpensive, biocompatible and GRAS) are chitosan, alginate, carrageenan, whey proteins, pectin, poly-l-lysine, and starch, such as resistant starch. Most of materials are not degraded by the pancreatic amylase, thus arriving at the intestine in an indigestible form, and


Probiotic Food Development: An Updated Review Based on Technological Advancement

Figure 2 Distribution in the current scientific literature of papers dealing with probiotic microcapsules application in different food categories. Modified from De Prisco, A., Mauriello, G., 2016. Probiotication of foods: a focus on microencapsulation tool. Trends Food Sci. Technol. 48, 27–39.

providing a good release of bacterial cells in the large intestine. In some cases, microcapsules are filled with an additional film, to avoid their exposure to oxygen during storage and can enhance their stability at low pH. Different techniques are used in microencapsulation of probiotics: coacervation, emulsion, extrusion, spray drying, and gel-particle technologies, including spray chilling. The size of the microcapsules is an important parameter capable to affect the sensory properties of foods. Some evidenced proved that the smaller is the size of the capsules the greater is their effectiveness even in protecting the microorganisms they entrap. At present, different foods are manufactured with microencapsulated probiotics. Following the most recent data present in the scientific literature, we can say that most foodstuffs containing micro-encapsulated probiotics are milk based foods and account for 49% of products studied or developed in the laboratory as well. 28% are fruits and/or vegetables based foods (Fig. 2). About 10% to 13% percent are meat based products or baked products, respectively (De Prisco and Mauriello, 2016). Different foods containing encapsulated probiotic cells are already present on the market. The Belgium group Barry Callebaut, for example, produces chocolate containing encapsulated probiotic cells. This allows do not negatively affect the taste, texture or mouth feel of the final functional product; such product, at doses of 13.5 g/day, might be sufficient to positively affect the gut microbiome. Some products contain also inulin or other prebiotics added to probiotics, for example manufacturing of the bar called ‘Attune’ (www.attunefoods.com), into yogurt-covered raisins, nutrient bars, chocolate bars, or tablets (www.balchem. com). The ice cream industry is viewing the probiotic market with much interest. Different companies such as Dos Pinos, Hansen and Unilever have marketed probiotic ice creams with multiple health benefits (www.chr-hansen.com). Ghasemnezhad et al. (2016) produced chocolate milk containing microencapsulated probiotic bacteria as a functional food. In the specific case, they injected L. casei and B. animalis into chocolate milk both in free and microencapsulated forms. Sodium alginate and resistant starch were used for microencapsulation via extrusion method. The changes in probiotic bacteria count and their sensory acceptability were evaluated at 5  C for 21 days. Now it is also easy to find products such as tablets, capsules containing encapsulated and lyophilized probiotics on the market, then used as powder, which ensure the probiotic cells to be preserved against the acidic juices of the stomach and able to reach the intestine, and with a shelf life over 24 months if stored at refrigerated temperature (www.cerbios.ch). Today, new foods such as cereal-based products, soy based products, fruits, vegetables and meat products are considered as potential carriers of probiotics. Appropriate selection of cultures to be microencapsulated can improve their viability without affecting the sensory property of the final products, and can open new frontiers in the use of ME in food industry. Given the growing popularity of incorporation of probiotic L. acidophilus La-5 in foodstuffs worldwide, Talebzadeh and Sharifan (2017) attempted to study the feasibility of probiotic jellies via microencapsulation technique. Three forms of jellies containing free bacteria, alginate beads and chitosan-coated ones were developed and stored at different temperatures. The survival rate and gastrointestinal resistance of bacteria as well as physical and organoleptic properties of jellies were investigated besides. Findings indicated that the encapsulated probiotics were protected against low pH and high temperatures with maximized sensory attributes despite the subsequent loss in turbidity. The counts of coated L. acidophilus in the GIS could be maintained above 106 log CFU/g after 42-day storage. Microencapsulation with alginate, particularly when coated by chitosan, demonstrated to could successfully shield L. acidophilus against harsh processing and digestive conditions with desirable organoleptic and physical parameters. An Iranian native probiotic strain (L. casei T4) was used for the manufacture of cornelian cherry juice (Nematollahi et al., 2016). Authors adjusted the pH (from 2.6 to 3.5) to increase the cell viability of the probiotic strain during cold storage at 4  C for 28 days. The viability of industrial strains L. rhamnosus and L. plantarum decreased from the initial number of 8.00 log CFU/mL to 4.24 and 4.20 log CFU/mL respectively, after 7 d, but the viability of L. casei T4 had a slight increase after 28 days of storage, remaining higher

Probiotic Food Development: An Updated Review Based on Technological Advancement


than 8 log CFU/mL. Additionally, authors measured and monitored the levels of total phenolic compounds, anthocyanins, and antioxidant activity of the cherry juice and all decreased slightly (P < 0.05) in the course of storage period. The juice containing L. casei T4 had no off-flavor in the sensory analysis but it was clear that optimization in the sensory properties of probiotic cherry juice must be conducted. Santos et al. (2017) used pectin and passion fruit peel as carriers of Lactobacillus rhamnosus ATCC 7469 in a fermented and non-fermented beverages. Authors verified that sucrose increased survival of L. rhamnosus under simulated gastrointestinal conditions in non-fermented beverages. PE increased the cell viability in non-fermented and fermented beverages. Overall, the probiotic viability after 28 days of storage was higher for non-fermented beverages (9 log CFU/mL). Therefore, passion fruit pulp and pectin extracted from its peel can be considered suitable probiotic food carriers in non-fermented or fermented beverages. This study represents an excellent example that unites food science and technology to develop new strategies to increase the probiotic viability using conventional fruit residues (peels). Gupta and Bajaj (2017) developed a probiotic oat flour fermented with L. plantarum M-13 added with honey. For this purpose, authors tested some concentrations of oat flour, incubation time, and honey content using a Box-Behnken design. The best conditions to increase the probiotic count was 8.0% w/v of oat flour, 48 h of incubation, and 3.0% w/v of honey. The viable cell count of L. plantarum M-13 the product in this condition was 16.9 log CFU/mL. Good viability of L. plantarum M-13 was observed in the fermented product over a period of three weeks of storage at room temperature and with refrigeration.

Trends and Conclusion Remarks There is no doubt that probiotic microorganisms have gained space in the shelves. The increased demand for such products is closely related to the scientific advancements in nutrition, food science, and food technology, including food microbiology. The integration of all these fields have boosted our knowledge in relation to the effects of probiotics on human health and on the manufacture of potentially functional foods. In this field, both dairy and nondairy foods tend to be more explored not only in the academia but also by the food sector. It is important, however, to not only develop a potentially functional food but also maintain the sensory quality, guarantee the price, and make sure the consumer actually understands the health-promoting effects of the regular consumption of such microorganisms allied to a balanced diet and healthy habits.

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Probiotic Food Development: An Updated Review Based on Technological Advancement

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Food Waste Valorization: New Manufacturing Processes for Long-Term Sustainability Gerrard EJ Poinern and Derek Fawcett, Murdoch University, Murdoch, WA, Australia © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Food Waste Valorization Valorization Strategies and Manufacturing Processes Thermal Conversion Processes Solvent Extraction Processes Chemical and Biotechnology Processes Microwave Assisted Processes Ultrasound Assisted Processes Future Prospects and Conclusion References Further Reading

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Abstract Food production, security and sustainability are major priorities facing the world today. Increasing food production levels to feed an ever-growing global population has also created a large and ever-growing amount of food waste. The disposal of increasingly larger amounts of food waste also has several serious impacts on the environment. In recent years there has been a significant interest in developing sustainable eco-friendly practices and innovative strategies that can valorize food waste. Food waste is a renewable resource that is predominantly composed of organic materials. Waste valorization strategies are designed to convert food waste into different value-added products such as bioactive compounds, biofuels and pharmaceuticals. However, to fully exploit this largely under-utilized renewable resource new manufacturing processes are needed, and conversional manufacturing processing need to be re-engineered to handle food waste. This chapter summarizes current waste valorization strategies and the various physical, physicochemical and biological processes that can be used to manufacture valorized products. While future perspectives are also discussed and considered in this chapter.

Introduction Food security and sustainability have become major priorities for the international community in recent years. The United Nations’ Sustainable Development Goals have identified food security and sustainable agricultural practices as major challenges facing humanity in future years. International policy makers believe that sustainable food production, intelligent management of resources and effective food distribution are key factors that will deliver effective food security and deliver food production levels capable of feeding the predicted 12.3 billion people in 2100 (Gerland et al., 2014). Future modelling also predicts increasing global temperatures, growing energy usage, scarcity of natural resources and increasing pollution. At the same time, food production will continue to have a major impact on the environment. Current food production practices depend heavily on natural resources and ecosystems that are already under stress and in some regions are in decline. At first glance, easily recognizable factors contributing to this stress include human urbanization, extraction of mineral resources and industrialization. But factors like modern farming and fishery practices also have a significant detrimental effect on natural resources and ecosystems. Typically, a food supply chain involves agricultural production, food processing and packaging, distribution, retail and ultimately consumption. The supply chain also uses environmental inputs such as land, water and energy. In addition to producing food, the supply chain also produced detrimental outputs to the environment that include, greenhouse gases, contaminated waste water, packaging and food waste. Globally, approximately one-third (1.3 billion tons) of all food produced by the supply chain (from farm to consumer) is lost every year (Food and Agriculture Organization, 2011). This large and ever-increasing amount of food waste is currently a major source of economic and environmental problems that will only increase in magnitude in future decades with an increasing global population and diminishing natural resources. Today, food security not only needs to consider sustainable food production, but it also needs to address the high level of food waste. Traditionally, waste management protocols involved treatment, reduction, and prevention strategies to reduce the detrimental impact to the environment from disposal methods such as incineration and landfill. Therefore, new manufacturing processes and waste valorization strategies are needed to convert renewable food waste sources into more useful products such as industrial important chemicals, pharmaceuticals, biomaterials, and fuels. Because of the potential applications and economic impact, food waste valorization has attracted considerable scientific and research and development interests in recent

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Food Waste Valorization: New Manufacturing Processes for Long-Term Sustainability

years. However, due to the diversity and variability of food waste there is a number of practical challenges that need to be overcome such as determining the most effective type of conversion process, its efficiency (i.e. the degree of waste valorization), and its financial viability as a commercial operation. These challenges will only be overcome by multi-disciplinary approaches that incorporate disciplines such as biochemistry, environmental science, biotechnology, food production practices, government legislation and policy, and economics that deliver innovative sustainable waste valorized manufacturing processes incorporating green chemical principles. These new waste valorized manufacturing processes are critical to securing sustainable food security by fully utilizing all food resources used within the food supply chain. This chapter briefly summarizes current waste valorization strategies for the sustainable manufacture of industrial important chemicals, pharmaceuticals, biomaterials, and fuels through the development of various physical, physicochemical and biological production strategies. Also discussed here are future perspectives and challenges.

Food Waste Valorization Traditional waste management strategies for dealing with food waste include animal feed, composting, incineration, converting waste to energy (e.g., anaerobic digestion) and landfill. In recent years, problems associated with disposal strategies such as incineration and landfill has increased interest in finding novel alternative methods to reduce the environmental damage caused by these strategies. Food wastes are a renewable resource that are predominantly composed of organic materials, which can be converted into different value-added products such as chemicals, natural dyes, bioactive compounds, biofuels and pharmaceuticals. At present there is considerable interest in replacing petrochemical-derived materials with renewable material sources such as food waste and co-products produced during food processing (Vandermeersch et al., 2014). In fact, food wastes are interesting renewable materials that can be converted into a wide variety of value-added products. The process of converting food wastes (waste valorization) is an attractive approach for producing more useful and higher value products. Valorizing food waste components has existed for a long time, generally associated with waste management protocols, but it gaining wider appeal due to its ability to have a significantly impact on developing sustainable and cost efficient methods for producing high value products. Waste valorization is of particular importance today, since there is high global demand for biofuels, enzymes, pharmaceuticals, solvents and surfactants. This high demand has prompted many countries to create strategies for the development of large-scale facilities for converting different food waste streams into a variety of valorized products (Snyder, 2015). For example, it is expected that materials derived from crop sources will form around 25% of the chemical feedstock of United States of America by 2030 (Sengupta and Pike, 2012). Present bioenergy studies have shown that anaerobic digestion can be used on a wide range of food and grain wastes to produce bioethanol, biodiesel and biogas. Furthermore sugarcane, maize, rice, barley and potato wastes can be used to produce succinic acid. While surfactants can be produced from tropical oil producing grains and biopolymers, solvents and adhesives can be produced from rapeseed and sunflower wastes.

Valorization Strategies and Manufacturing Processes Waste valorization is an appealing concept for promoting and developing manufacturing processes that converts renewable sources of food waste into valuable marketable products (Mirabella et al., 2014). In recent years interest in waste valorization has increased since the extraction of individual biomolecules, bio-molecular groups and compounds can be achieved using a variety of physical, physicochemical and biotechnology based processes. These processes have the potential to deliver innovative, eco-friendly and sustainable protocols to convert food waste into higher value products. The five presented process methods (thermal conversion, solvent extraction, chemical/biotechnology, microwave, and ultrasound) represent some of the most important waste valorization strategies.

Thermal Conversion Processes Historically, solid waste products resulting from agricultural practices that were fibrous, wood and non-woody have been burnt to produce thermal energy for a variety of domestic and commercial applications including space heating, water heating and power generation. However, thermal conversion processes can also be used for the sustainable production of high-value products from a wide range of food wastes. The two fundamental thermal conversion processes are hydrothermal carbonization and pyrolysis. Hydrothermal carbonization is a low temperature process (180–350  C) that is carried out under autogenous gas pressures. The hydrothermal carbonization process was used by (Parshetti et al., 2014) to convert urban food wastes in Singapore into high value hydro-chars that could then be used to remove textile dyes from contaminated water. The second thermal conversion process is pyrolysis and involves heating bio-mass at high temperatures in the absence of oxygen to generate decomposed products. Pyrolysis is an established method for char generation, but to date there are no pyrolysis processes specifically developed for food waste valorization. However (Heo et al., 2010), have used pyrolysis to convert waste sawdust into a bio-oil product. At 450  C to the process produced a bio-oil yield of around 57%, but at higher temperatures the sawdust decomposed into smaller gaseous molecules. Also, a microwave-assisted pyrolysis process has also been used to produce syngas with tune-able hydrogen/carbon

Food Waste Valorization: New Manufacturing Processes for Long-Term Sustainability


monoxide ratios or bio-oil-derived biofuels from a variety of renewable bio-wastes (Luque et al., 2012). Furthermore, pyrolysis can also be used to manufacture high-value advanced nanometer scale materials such as carbon nanospheres, carbon nanotubes and graphene-like materials.

Solvent Extraction Processes Solid-liquid extraction is a popular method that is designed to separate soluble components from a solid matrix using an appropriate solvent. And in spite of the process requiring high energy inputs, the use of hazardous organic solvents and long extraction periods, it is widely used in a variety of industrial applications. Typical industrial applications include the removal of a specific extracts from particular plant materials for further processing as in the case of aroma extraction for perfumes and food preparations. In these applications the type of solvent used, its interaction with the plant matrix, and extraction parameters such as temperature, pH and time, must be fully optimized to extract the desired molecular compounds at maximum yields. For example, alcohol-based extraction is a commonly used method that can be used for recovery of valuable antioxidants, phenolic compounds, organic acids and vitamins from food wastes. The process involves blending a food waste with a water and alcohol mixture. The influence of process parameters such as temperature, time and alcohol concentration (alcohol concentration ranging from 50% to 90%) determines the yield of molecular compounds. After sufficient time the blend is filtered and the resulting liquid can either be used directly or it can be further refined to separate individual molecular groups and compounds. However, not all alcohols can be used as a solvent in extraction processes if the resulting extract is to be used in food products. For instance, ethanol is considered a food friendly solvent, unlike the lower priced methanol that is deemed toxic. Recently (Amado et al., 2014), used water and ethanol mixtures to extract antioxidant compounds from potato peel waste (Solanum tuberosum). Thus demonstrating the viability of using a solvent based extraction process for waste valorization by recovering a valuable antioxidant compounds. Other extraction processes that use different forms of solvent include steam, pressurized fluid and supercritical fluid. Some researchers have used steam to extract volatile compounds (pyrazines and aldehydes) from potatoes (Buttery et al., 1973). While the higher temperatures of pressurized fluids increases the penetration of the fluid (solvent) into the sample matrix allowing greater rates of solute diffusion in the solvent. When the fluids pressure and temperature are greater than its critical values (i.e. outside the vapor–liquid coexistence curve), the fluid is termed supercritical. A commonly used supercritical fluid is liquid carbon dioxide. This is due to its low critical values (31.1  C and 73.8 MPa), its chemical stability and lack of overall toxicity. Importantly, its solvating power is similar to many liquid organic solvents and solute separation from the fluid is straightforward. Supercritical fluid extraction has been used in processing such as fragrances and essential oils, but its wider commercial application is limited due to equipment and facility costs. In addition, ionic liquids are low melting point salts in the liquid state that can be used to extract pharmaceuticals as well as materials to process woody and cellulosic food waste materials.

Chemical and Biotechnology Processes In food processing industries, commonly used chemical conversion methods such as hydrolysis and oxidation reactions are used to produce high-value biomolecules and chemical compounds from food waste. Furthermore, chemo-enzymatic and biotechnological approaches can be also be used depending on the type of food waste. The production of food waste derived biomolecules and chemical compounds is a sustainable strategy. Since it maximizes the use of a renewable resource and reduces waste generation. For example, food wastes rich in starch can be used as feedstock for the production of ethanol by fermentation. However, prior to fermentation the waste needs to be hydrolyzed into fermentable sugars using either an acidic or enzyme-based treatment. The drawback of using an acidic treatment is that food waste requires a further neutralization step before fermentation. However, enzyme-based treatments are considered more eco-friendly since they are biodegradable, perform in aqueous solutions under mild processing conditions (Yamada et al., 2009). Furthermore, enzymes such as cellulases and hemicellulases can hydrolyze cell walls of plant-based materials to promote greater cell wall permeability. Thus, allowing greater extraction of chemical compounds such as antioxidants, flavors, oils, pigments and polysaccharides. Alternatively, recent research is investigating the use of food waste and eco-friendly technologies for producing sustainable sources of bioenergy in the forms of biodiesel, bioethanol and biogas. The advantage of using waste grains, fruits and vegetables is that it does not depend on crops being specifically grown for biofuels. Thus, waste utilization reduces the demand for arable land needed for biofuel production. However, studies have revealed the high cost of pre-treatment facilities, fermenters and inefficient conversion processes as the main factors restricting the commercialization of large scale processing facilities (Banerjee et al., 2010). Waste conversion processes can provide bioenergy, and at the same time, fully utilize a renewable source of feedstock. But further work in this field is needed to achieving this objective. There needs to be significant improvements in current plant and equipment operating efficiencies, thus reducing conversion costs, and to develop more efficient food waste conversion technologies. Another new and innovative approach for waste valorization is to use food waste in the manufacture of high-value metal and metal oxide nanoparticles. This eco-friendly and green chemistry-based method is a bottom up approach that synthesizes metallic ions from precursor materials and promotes their self-assemble to form nanoparticles. Many food wastes contain biomolecules and chemical compounds that can act as metal reducing agents that can form the precursor metal ions in aqueous solutions. The metal ions subsequently assemble under the influence of other biomolecules, which act as modelling agents to guide particle growth in particular orientations. Also present in the solution are biomolecules that can act as capping agents to prevent nanoparticle


Food Waste Valorization: New Manufacturing Processes for Long-Term Sustainability

agglomeration (Shah et al., 2015). Nanoparticles are of particular interest because of their extremely small size and large surface area to volume ratio that gives them unique physiochemical properties. Because of these unique properties gold (Au) nanoparticles have been widely used in medicine for diagnostics, pharmaceuticals and treatments. While silver (Ag) nanoparticles have been used in a wide range of commercially available antimicrobial pharmaceuticals and consumer products. However, using food wastes for the manufacture of high-value nanoparticles is a fairly new field of research and only a relative few studies have been reported. The major advantage of this waste valorization strategy comes from the fact that nanoparticles produced from food wastes are free from toxic solvents and chemicals that are normally used in conventional physical and chemical manufacturing processes. Thus, reducing the harmful risks to human health and environment (Ghosh et al., 2017).

Microwave Assisted Processes Microwave heating is an efficient waste valorization technology that can be used for the separation and extraction of chemical compounds from food wastes. Microwaves are electromagnetic waves ranging in frequency from 0.3 to 300 GHz that interact with molecules by ionic conduction and dipole rotation. Thus, water present within the food waste rapidly absorbs microwave energy until it is superheated. The superheated water disrupts the cell structures of the various wastes to release their contents. The breakdown of the cellular structure permits the migration of various molecules and molecular compounds into the extraction solvent, thus improving their recovery (Ho et al., 2015). Microwave assisted extraction can be carried out in two configurations, namely closed and open. In the closed chamber configuration, the extraction process is carried out at high pressures and temperatures during microwave heating. Under these operational conditions the extraction of molecules and molecular compounds is fast, less solvent is used and extraction yields are higher. Thus, making the microwave-based extraction process efficient and unique. Furthermore, its lower levels of solvents usage, means that it has a smaller detrimental environmental impact than other solvent–extraction processes. On the downside, filtration or centrifugation is needed to remove unwanted solid residues remaining after microwaving. Developing open microwave assisted extraction systems is also of interest, since this type of configuration could revolutionize industrial scale waste valorization. This could be achieved by using a flow process that incorporates higher material conversion rates via microwave heating, which in turn generates a continuous production stream. However, there are a number of technical issues that would need to be resolved before this large-scale waste valorization process could be achieved. For example, heat build-up in the microwave generators and ensuring effective heat transfer from the microwave generators to the waste stream (Glasnov and Kappe, 2011).

Ultrasound Assisted Processes Ultrasound transducers generate acoustic waves (frequencies greater than 20 kHz) that travel through the solvent (water or organic) causing alternating compression and expansion cycles. The expansion cycle pulls molecules apart to create cavities or bubbles that rapidly grow in the solvent. During the compression cycle there is a suddenly collapse of the bubble releasing large amounts of energy. During the implosion of the bubble high pressures (approx. 200 atm.) and temperatures (approx. 5000 K) are produced. Also produced are high-speed (280 m s 1) intense solvent jets that penetrate into cellular material. Thereby, increasing the surface area between the cellular matrix and solvent, thus facilitating a higher mass transfer of targeted molecules and molecular compounds towards the solvent. However, fully recovering the targeted molecules and molecular compounds depends essentially on the nature of the food waste and the configuration of the ultrasound system. Moreover, there are several operating factors that also influence the kinetics and extraction yields of the ultrasound system. Therefore, factors such as ultrasound power and amplitude, type of extracting solvent, extraction time and temperature must also be optimized to achieve the desired results (Pingret et al., 2013). Currently, ultrasound-assisted processing equipment and plant is not an off-the-shelf technology, but must be designed and fabricated for specific applications. Nevertheless (Virot et al. 2010), has demonstrated that ultrasound assisted extraction can be successfully used for the extraction of antioxidants from food processing by-products.

Future Prospects and Conclusion Food security and sustainability are major priorities to the international community. At the same time, policy makers identify the ever-increasing amount of food waste generated globally as a serious challenge facing humanity today. Food wastes are a considerable economic cost to society and are major causes of problems in the environment. Waste valorization is an attractive strategy that has gained considerable interest globally. Food wastes, because of their inherent diversity and variability, offer numerous opportunities for extracting valuable molecules and chemical compounds using innovative processing operations. However, waste valorization is still in its infancy and means investing in research, developing new eco-friendly and sustainable recovery technologies, and/or new production lines. This also means investigating the feasibility of modifying existing technologies and plants for food waste valorization. Furthermore, a multi-discipline approach that includes specialists from food sciences, engineering, environmental sciences, biochemistry and biotechnology is also needed so that an integrated strategy is fully investigated and developed. Since only new integrated strategies and innovative efficient technologies are capable of delivering an economically sustainable and eco-friendly bio-economy for future generations.

Food Waste Valorization: New Manufacturing Processes for Long-Term Sustainability


References Amado, I.R., Franco, D., Sanchez, M., Zapata, C., Vazquez, J.A., 2014. Optimisation of antioxidant extraction from Solanum tuberosum potato peel waste by surface response methodology. Food Chem. 165, 290–299. Banerjee, S., Mudliar, S., Sen, R.G., et al., 2010. Commercializing lignocellulosic bioethanol: technology bottlenecks and possible remedies. Biofuels Bioprod. Biorefin. 4, 77–93. Buttery, R.G., Guadagni, D.G., Ling, L.C., 1973. Volatile components of baked potatoes. J. Sci. Food Agric. 24, 1125–1131. Food and Agriculture Organization, 2011. Global Food Losses and Food Waste: Extent, Causes and Prevention. Food and Agriculture Organization of the United Nations, Rome, Italy. Gerland, P., Raftery, A.E., Seveikova, H., et al., 2014. World population stabilization unlikely this century. Science 346, 234–237. Ghosh, P.R., Fawcett, D., Sharma, S.B., Poinern, G.E.J., 2017. Production of high value nanoparticles via biogenic processes using aquaculture & horticultural food waste. Materials 10 (852), 1–19. Glasnov, T.N., Kappe, C.O., 2011. The microwave-to-flow paradigm: translating high-temperature batch microwave chemistry to scalable continuous-flow processes. Chem. Eur. J. 17, 11956–11968. Heo, H.S., Park, H.J., Park, Y.K., et al., 2010. Bio-oil production from fast pyrolysis of waste furniture sawdust in a fluidized bed. Bioresour. Technol. 101, S91–S96. Ho, K.K.H.Y., Ferruzzi, M.G., Liceaga, A.M., San Martin-Gonzalez, M.F., 2015. Microwave-assisted extraction of lycopene in tomato peels: effect of extraction conditions on all-trans and cis-isomer yields. LWT Food Sci. Technol. 62, 160–168. Luque, R., Menendez, J.A., Arenillas, A., Cot, J., 2012. Microwave-assisted pyrolysis of biomass feedstocks: the way forward? Energy Environ. Sci. 5, 5481–5488. Mirabella, N., Castellani, V., Sala, S., 2014. Current options for the valorization of food manufacturing waste: a review. J. Clean. Prod. 65, 28–41. Parshetti, G.K., Chowdhury, S., Balasubramanian, R., 2014. Hydrothermal conversion of urban food waste to chars for removal of textile dyes from contaminated waters. Bioresour. Technol. 161, 310–319. Pingret, D., Fabiano-Tixier, A.S., Chemat, F., 2013. Ultrasound-assisted extraction. In: Rostagno, M.A., Prado, J.M. (Eds.), Natural Product Extraction: Principles and Applications. The Royal Society of Chemistry, United Kingdom, pp. 89–112. Sengupta, D., Pike, R.W., 2012. Chemicals from Biomass: Integrating Bioprocesses into Chemical Production Complexes for Sustainable Development. CRC Press, United States of America. Shah, M., Fawcett, D., Sharma, S., Tripathy, S.K., Poinern, G.E.J., 2015. Green synthesis of metallic nanoparticles via biological entities. Materials 8, 7278–7308. Snyder, S.W., 2015. Commercializing Biobased Products: Opportunities, Challenges, Benefits, and Risks. Royal Society of Chemistry, United Kingdom. Vandermeersch, T., Alvarenga, R.A.F., Ragaert, P., Dewulf, J., 2014. Environmental sustainability assessment of food waste valorization options. Resour. Conserv. Recycl. 87, 57–64. Virot, M., Tomao, V., Le Bourvellec, C., Renard, C.M.C.G., Chemat, F., 2010. Towards the industrial production of antioxidants from food processing by-products with ultrasound-assisted extraction. Ultrason. Sonochem. 17, 1066–1074. Yamada, S., Shinomiya, N., Ohba, K., Sekikawa, M., Oda, Y., 2009. Enzymatic hydrolysis and ethanol fermentation of by-products from potato processing plants. Food Sci. Technol. Res. 15, 653–658.

Further Reading Baiano, A., 2014. Recovery of biomolecules from food wastes - a review. Molecules 19, 14821–14842. Chandrasekaran, M., 2012. Valorization of Food Processing By-products. CRC Press, Boca Raton. Galanakis, C.M., 2012. Recovery of high added-value components from food wastes: conventional, emerging technologies and commercialized applications. Trends Food Sci. Technol. 26, 68–87. Ghosh, P.R., Fawcett, D., Sharma, S.B., Poinern, G.E.J., 2016. Progress towards sustainable utilization and management of food wastes in the global economy. Int. J. Food Sci., 3563478, 1–22.

Food Process Modeling Olivier Vitrac and Maxime Touffet, Food Processing and Engineering, INRA, AgroParisTech, Université Paris-Saclay, Massy, France © 2019 Elsevier Inc. All rights reserved.

Abstract The Challenge for the 21st Century New Modeling Strategies for New Opportunities, Issues and Risks New Opportunities for Modeling Principles of Food Process Modeling Conservation Laws All Energies in Food Are Kinetic or Potential Continuous Effective Medium Property The Multiscale Problem Overview How to Calculate Properties and Structures From Chemical Structures Modeling and Simulation Approaches Deep-Frying: A Case-Study of Multiscale and Multiphysics Modeling Temperature Variation in a Batch Deep-Fryer A Simple but Useful Model Anisothermal Oil Flow in the Frying Bath Oil Oxidation Simple Oxidation Kinetic Model in Perfectly Mixed Deep-Fryer Simulation of the Decomposition of Hydroperoxides in a Real Household Deep-Fryer Coupled Heat and Mass Transfer Within the Product During Deep-Frying During Cooling Oil Dripping Process Oil Absorption Trends and Perspectives Acknowledgments References

434 434 435 435 436 436 437 438 438 438 439 440 441 442 443 445 445 446 446 447 447 447 448 450 450 453 453

Abstract Food production systems must be updated to face numerous global challenges: a growing urban population consuming mainly processed foods; an increasing demand for minimally processed foods; new supply chains shorter and more coefficient, stricter food safety standards, etc. For all these questions, food process modeling combined with multiscale simulations and approaches can accelerate the exploration of competing alternatives, while fulfilling consumer needs and expectations. The methods of comprehensive modeling from the scale of food ingredients up to entire food supply chain including the food itself and its process are discussed and illustrated with numerous and varied examples. Meshless methods inherited from various computational fields are particularly encouraged as they remove most of the mathematical difficulty to focus on problem-solving and understanding.

The Challenge for the 21st Century The population is growing and more than ever city dwelling. Food process engineering is the integrated discipline essential to the cost-effective production and distribution of food products, and to services to end-consumers. Food is not as any commodity product, it is a fundamental right, as acknowledged by the International Covenant on Economic, Social and Cultural Rights (ICESCR). Besides, it cannot be prepared, assembled, produced, distributed without complying to a large set of rules including food safety, nutritional value, social acceptance. Beyond obvious relationships between health and food, the social role of food cannot be underestimated. Eating is part of our human experience, setting our preferences, encouraging us to synchronize our eating actions, to socialize . (Higgs and Thomas, 2016). Modern food process engineering needs to envision all aspects, bringing efficiency and resilience to a large supply chain facing itself numerous challenges. This chapter focuses on recent and integrated techniques and approaches, which have been initially tested and developed by scientists from various fields and which are now broadly available to food scientists, food engineers and food process engineers. Problem solving approaches and illustrative results are preferred to complex mathematical formulations.


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Food Process Modeling


We entered in the computer age where interdisciplinary experience should prevail over pure mathematical and computational training. Besides the continuously increasing computational capabilities of recent computers, new dedicated physics processing units offer real time simulations of rigid/soft body dynamics. Combined with the generalization of cloud computing, Lagrangian descriptions involving thousands to millions of particles are appealing alternatives to complex partial differential equations to describe mass transfer, reactions and flows. Conventional techniques are not excluded and are also considered. Eulerian schemes (fixed mesh) or semi-Lagrangian (moving frame/mesh) remain competitive for complex multiphysical problems involving strongly coupled partial differential equations. The strengths and weaknesses of the different methods are reviewed in this chapter. Techniques centered on data, including data mining and machine learning, are not discussed here.

New Modeling Strategies for New Opportunities, Issues and Risks The engineering community tends to repeat that all simple problems have been already solved. Only non-reducible questions would remain, in particular, those that need to consider at the same time several scales, many subsystems and linked descriptions (mechanics, physics, biochemistry, chemistry, physiology, etc.). A short example of global engineering questions could be:

• • •

A significant amount of energy used by mankind is used to preventing food spoilage via proper stabilization treatments (drying, frying, cooking, chilling, freezing, etc.), how we can modify such stabilization processes to reduce energy consumption while maintaining a similar food safety and preserving quality attributes? If the question appears too general, applies it to the production of cube sugar or potato chips. Food handling accounts for nearly half of the energy used in food production. Direct (food) and indirect (packaging, disposable dishes) food wastes contribute have also strong negative environmental impacts. How can we design an efficient food supply chain with minimally processed food, sustainable food packaging, household food processing? How can we reduce water consumption in food production systems?

The goal of modeling and simulation is, however, not to solve all the problems at once but to accelerate the exploration of possibilities and potentialities of competitive alternatives: energy integration, sustainable production, waste minimization, impact reduction, etc. In the context of food product development and innovation, the speed to reach the marketplace may be as important as efficient production, which is usually achieved via a thoroughly optimized continuous process or equipment. The arguments for sophisticated simulations are recapitulated in Fig. 1. Understanding the relationships between key parameters (process, formulation, geometry .) and outcomes is the main benefit. The complementarity with experiences offers additional promises: simulation may be faster than experience and may provide results at large or short length scales, which are not accessible to experiments. New tomography and spectroscopic techniques can accelerate the development of multiscale simulations incorporating food structure and food constituent details.

New Opportunities for Modeling Templating is a common strategy to design and develop reusable models. In this perspective, open-source software and open-data encourage collaborative engineering between different fields. Food modeling can gain developments achieved in connected

Figure 1

Arguments in favor of sophisticated food process simulations including the also the food product.


Food Process Modeling

Figure 2 Comparison between the effort to study or optimize a function, a food characteristic according to the intermediate results supporting the decision are calculated or measured/observed.

domains, including materials science, nanotechnology, metabolomics . A categorization of applications within the context of food production is proposed in Fig. 2. Modeling should be preferred whenever it is more competitive than experiments or whenever understanding is prioritized. It is particularly suitable when alternative scenarios need to be considered into the final decision. Food formulation including consumer acceptance and sensory evaluation are the most distant targets currently achievable with mechanistic or comprehensive modeling. Cognitive and complex perception processes look currently out of reach. Artificial intelligence concepts could help in a near future to remove these last frontiers.

Principles of Food Process Modeling Food process modeling uses mainly common physical laws to describe the transformation of food: mainly classical physics to describe flows, heat and mass transfer. Some results of quantum mechanics are required when interactions between matter and electrical fields and/or radiations are involved (e.g. microwave heating, pulsed electrical field or light, Joule heating, etc.). Chemical reactions lie at the interface between microscopic and macroscopic worlds, but, as other phenomena, they can be easily captured at macroscopic scale via simple principles such as conservation laws, effective medium approximation, etc. In shorts, complex physics, chemistry and biochemistry can be described through relatively simple laws. Most of the complications associated to mathematical resolution on complex geometries and coupling can be nowadays solved numerically with proper simulation software. Because most of the required effort has been removed, modeling and simulation activities can be focused on phenomena, cognition and innovation rather than numeric techniques.

Conservation Laws Conservation laws are central in food process modeling as they are practically the starting point of all applied laws to describe heat, mass and momentum transfer. They also state which kind of transformation freezing/thawing, evaporation/condensation, mixing/ phase separation, etc. can occur or not during processing. The origin of conservation ideas for mass and energy is deeply rooted in the nature of molecules and atoms. As initially observed by J. Wallis in 1668, when rigid objects collide, their positions, their velocities and accelerations are modified, but the total momentum defined as the sum of the mass  velocity of all particles is well preserved. While collisions take place, no matter the microscopic details of the collisions, conservation holds. Because, they cannot be destroyed, matter, momentum and heat can only either flow or being converted into the other. Conservation of mass including chemical species, energy and momentum can be summarized for any quantity q (temperature, mass/amount, momentum) contained in a volume V:       rate of q rate of q rate of q ¼  flowing IN in V flowing OUT in V accumulation in V (1)     rate of q rate of q þ  generation in V loss in V

Food Process Modeling


The volume can be macroscopic (V > 0 ) or elementary (V/0), representing an effective medium or a single phase. The flux density (amount per time unit and surface area) crossing an interface around V (phase interface, surface of the food, crosssection of a pipe, etc.) reads: q q  þ velocity   flux of qjinterface ¼ Diffusivity  gradient (2) V V interface Diffusivity with SI units in m2,s1 is the main effective transport property measuring the rate of diffusion of mass (diffusion coefficient), temperature (thermal diffusivity) and momentum (kinematic viscosity). In details, the self-diffusion of isolated molecules is relative to the mean velocity of the center of mass of all molecules around as we follow it during its motion. The macroscopic velocity or advection velocity is governed by the local properties of the general flow induced by a pressure gradient, a solid deformation (swelling/collapse), diffusion in multicomponent mixtures, etc.

All Energies in Food Are Kinetic or Potential Energy is central to the transformation of food: freezing/thawing, crystallization/dissolution, drying/wetting, mixing/separation . Contributing to economical and safe food production forces the exploration of new pathways to achieve similar functions in food. Some transformations are spontaneous (exothermic transformations) whereas others required either energy (heat) or mechanical work (see Fig. 3). Using the analogy with a pendulum or a rolling ball on an inclined surface, thermodynamical equilibrium (the likeliest state) is defined either as a state associated to an energy extremum (unstable equilibrium) or to a state, where the net force is zero (stable equilibrium). The initial idea was proposed independently by Stefan and Maxwell to describe ideal multicomponent diffusion, but it is insufficiently general in presence of many degrees of freedom and nonidealities. A more robust alternative consists in introducing thermodynamics principles (first and second principles) in modeling and simulations strategies. The studied system is described by a small number of variables (if possible intensive, that is not related to the size of the system), which are related to evolution functions and state diagrams. Such approaches can describe any combination of mechanical, chemical, thermal equilibria such as phase transitions, equilibria between gas and liquids, liquids, liquids and solids, solutions and mixtures, adsorption/binding, partitioning, some chemical reactions under thermodynamical control . In this framework, thermodynamical equilibrium of an isolated system is defined as a macroscopic state, which maximizes the number of microscopic configurations (microstates) while keeping unchanged the thermodynamical variables such as pressure, temperature, volume, number of molecules, etc. This definition of entropy is so fundamental that it has been carved on the tombstone of its author, Ludwig Boltzmann, in the central cemetery in Vienna. It describes phenomena as varied as the distribution of the sequence of coin flips, heat flow, the expansion of gases, the tendency of food components to mix, the rubber elasticity in complex food mixtures .

Figure 3

Examples of transformations/evolutions in food according to the system is subjected to mechanical work or heat.


Food Process Modeling

The connection between the macroscopic and the microscopic world offers new strategies of simulations of complex systems using non-deterministic rules. A “good” non-deterministic simulation based on the random displacement of particles should treat each possible outcome fairly in comparison with other alternatives, with a weight consistent with the Boltzmann factor expð  hεi=RTÞ, where hεi is the average energy of the considered microstate in J,mol1, R is the ideal gas constant and T is the absolute temperature. Susceptibilities which measure the change of volume with temperature (isobaric thermal expansion coefficient), pressure (isothermal compressibility) or composition (isobaric partial molar volume) offers a direct assessment of entropic effects. The thermal expansion of food constituents evidences the loosening up of intermolecular interactions with temperature. Pressure have opposite effect, whereas the partial molar volumes evidence the interaction between a solute and the host medium (Nguyen et al., 2017a).

Continuous Effective Medium Property In most of problems of concern met in food, it is usually unnecessary to keep the local fluctuations of composition and temperature, as they are mainly associated to uncontrolled microscopic details. Only temperature, composition, velocity and pressure averaged over all phases need to be predicted. These quantities can be very local, but they are called effective because they apply only to a representative elementary volume (REV). As an example, momentum equations applied to porous media (e.g. membrane separation, food drying, etc.) will be replaced by a Darcy’s law, relating the “averaged velocity” of the liquid with the local pressure gradient Vp: keff vDarcy ¼  Vp m


where keff is the effective permeability and m is the dynamic viscosity of the liquid. The Darcy velocity (or Darcy flux) differs from the velocity experienced by fluid particles, vfluid , circulating through the connected pores, which is usually greater: 1 vf luid ¼ vDarcy ε


with ε is the porosity of the medium, defined as volume fraction of connected pores which can be filled by the fluid. The concept of effective medium permeability keff relies on several important assumptions: i) the porous medium is assumed to be homogeneous (variations are similar at the REV level), ii) the macroscopic flow is assumed to be unidirectional at REV scale, iii) a steady flow is assumed (fully developed wetting flow, no wetting front or displacement of a non-wetting phase), iv) incompressible fluid, v) the pore pressure and the pore velocity are averaged over the REV (no distinction is made between the fluid and the solid phases). That means that Eq. (3) applies to a miniature column, whose length tends to zero and whose pressure and velocity are uniform across the section. This description is not causal and can apply either to a flow induced by a total pressure gradient (filtration), a gradient of liquid pressure induced by capillarity (capillary migration, e.g. oil uptake in fried products) or the pressure drop induced by the escape of a fluid (e.g. internal pressure caused by internal boiling/vaporization in food products).

The Multiscale Problem Any problem in food engineering or in food processing becomes rapidly a multiscale problem because the evolution of the food is multifactorial and combines composition, structure, reactivities occurring at time and length scales along the process and storage. Comparatively to similar problems in chemical and product engineering, physicochemical modifications underwent by the food product bring additional complications by affecting all properties set at the beginning of the simulation on the raw materials. For example, the creation of a crust during drying or cooking or the swelling of the matrix during rehydration . affects both the transport properties and the overall mechanical behavior of the studied system.

Overview The connections between the different scales as well as the relationships with experimental approaches to setup models or to validate them are sketched in Fig. 4. The depicted applications range from molecular calculations up to simulation at the entire supply chain. Molecular and supramolecular scales (below mm and ms) play an important role, as they could feed ab-initio nested simulations, where all properties (thermodynamic, transport, reactivities, etc.) are calculated from first principles at the lowest level without using any experimental data. In practice, uncertainty tends to be propagated and amplified across scales and along chained steps. The entire approach needs to be constrained by experimental results, used either as inputs (e.g. static properties) or as punctual validations (e.g. dynamic properties). In the specific context of food products, the generalization of micro-computed tomography techniques (X-ray, neutrons) and of spectroscopic techniques (mid-infrared, Raman, 1H NMR, X-ray) helps the rapid parameterization end/or validation of complex simulations. Important food composition and structure details caused the natural variability of food components can be directly incorporated in simulations and investigated. Similar approaches can be applied to analyze the effects of the microstructure during process and storage. One valuable consequence is that simulations are not limited anymore by the availability of tabulated food properties (see, for example, the handbook of food properties prepared by Rahman, 2009) and can be applied to a broader range of raw materials and to new categories food products.

Food Process Modeling

Figure 4


Relationship between modeling and experiment at different scales.

Simulations derived from continuum principles can be set up for various problems coupled or not. Various commercial and open-source software are now available for a wide range of tridimensional and unsteady physical problems including heat and mass transfer, laminar and turbulent flows, viscoelastic mechanical problems on both simple and complex geometries. These software, as molecular ones, are not specific to food engineering applications and are already used by a large community, including of chemical and mechanical engineers, materials scientists, physico-chemists, etc. The parameterization of such models and the approximation of the real geometry via a polygonal or polyhedral mesh can be, however, particularly difficult. The coupling between physical problems, the equilibrium between various phases and chemical species complexifies dramatically the setup of realistic models. Meshfree methods remove most of the complications and are preferred in soft matter approaches (see x2.4.2). At the largest scale, technological risks such as those associated to the chronic exposure to chemicals originating from materials in contact with food (Vitrac and Goujon, 2014) or those associated with the contamination of food after industrial disasters, such as the nuclear accident of Fukuschima-Daichi on March 11th, 2011 (Larese et al., 2017) can be addressed also via modeling approaches. Such models differ from previous models not only to the scales considered but also by their final aim. They do not try to predict the average outcome but the maximum outcome instead (contamination, exposure), which could be expected under conservative assumptions. This approach is already used in EU to evaluate the compliance of plastics materials intended to be in contact with food (regulation 10/2011/EC European Commission, 2011, Hoekstra et al., 2015).

How to Calculate Properties and Structures From Chemical Structures The best way to calculate properties in food with complex structures because they have been created by life (e.g. cellular structures, fibers .) or by the process (crust, foam, gel, emulsion .) is to use molecular modeling at atomistic or coarse-grained scales. The principles of molecular modeling are out of the scope of the chapter, but they can be found in reference text books (Frenkel and Smit, 2002). Several software packages are highly popular among molecular biologists and materials scientists. The central idea is to assume that covalent (which connect objects via chemical bonds) and non-covalent forces derive from pair-potentials between interacting particles. The equations of Newton are then integrated explicitly (via the Verlet algorithm or its variants) with a time step imposed by the vibration of the lightest atom: hydrogen. From these considerations, the displacements of N atoms are described at the scale of the femtosecond (10–15 s) to the microsecond (10–6 s). Their behavior is controlled by statistical averages over


Food Process Modeling

Figure 5 Description of potato parenchyma tissue at scale of its constituents: crystalline cellulose and amorphous pectins modeled at atomistic and coarse-grained scale. Starch granules are represented as solid particles.

ensembles with random character, such as the random distribution of thermal kinetic energy over the 6 N degree of freedoms. Removing hydrogen atoms, decreases globally the number of degree of freedoms by 3 and enables time steps 10 times longer. Repeating the process for segments enables to decrease dramatically the required computational effort and consequently, pushes back the limit of integration times. This approach is particularly efficient for the description of polymeric food constituents. The principles of supramolecular modeling via coarse-graining is illustrated of the major components of primary cell walls (e.g. potato parenchyma) in Fig. 5. The organization of cellulose in microfibrils as well as the properties of amorphous pectins in bulk can be approached at the scale up to 0.5–1 mm. Such details can be integrated into larger simulations involving a full parenchyma tissue (a potato tissue with various contents in starch granules is depicted). The principles of coarse graining apply not only to objects, but also to forces. In binary diffusion, the gradient of concentration is in some way the effective driving force responsible of the displacements of molecules in a condensed phase. This description is not correct at microscopic scale as the random walk of molecules is only the consequence of a potential mean force, which is on average zero, but which fluctuates with time. This impalpable force can be envisioned in condensed phases (e.g. colloidal suspension) as the consequence of the hard-core and Coulombic interactions between multiple small objects (solvent molecules, flexible polymer segments) and giant objects or molecules behaving as a rigid body (see details in Frenkel, 2002). The equivalences between various descriptions are presented in Fig. 6 along our current computational limitations to describe various phenomena relevant in food systems at atomistic scale. Based on current capacities, simple phenomena such as phase separation, gel swelling in viscoelastic systems are intractable without involving potential mean forces (i.e. without dropping atomistic details).

Modeling and Simulation Approaches

Compendium of methods

Modeling and simulation are both faces of a same coin. Modeling and simulating of real food systems food impose strict requirements such as: i) model simplifications, which do not impede the reliability of the outputs within a prescribed accuracy, ii) a sufficient efficiency to be feasible with practical technical means, iii) the availability of computational codes (commercial or public) for the considered platform, iv) the possibility of training. A classification of available methods is suggested in Table 1. Thermodynamic calculation methods involving molecular theories (mixing and self-association theories) are not mentioned, and the reader can refer to specialized text books (Prausnitz et al., 1999; Kontogeorgis and Folas, 2009).

Limitations and alternative to brute force calculations

Emphasizing the simulation of real food systems is consequential to the sake of new solutions to new and complex challenges. Not all the presented methods can be considered fully mature and readily available to a large community of users. In particular, several

Food Process Modeling


Figure 6 (a) Principles of coarse-graining for the description of the random walk of rigid molecules or colloids in a viscoelastic medium (solution, gel). (b) Evolution of our capabilities to simulate viscoelastic systems by brute force simulations at atomistic scale.

methods may need to be adapted to food problems, and the gaps between scales need to be covered by a proper hierarchical modeling. As acknowledged by Berendsen, who developed the method of controlling pressure in molecular dynamics simulations (see page 5 of Berendsen, 2007), “simulation becomes a third way of doing science, not instead of, but in addition to theory and experimentation. The imperious necessity of combining several scales and methods to get reliable estimates in food from computer calculations is illustrated in Fig. 7 for mass transfer in and through food packaging. Only chemical potentials in liquids can be calculated at atomistic scale; solubility, excess chemical potential and diffusion coefficients in polymers require much larger length and time scales to accommodate polymer relaxation, swelling and plasticizing effects. Efficient approximations are required to preserve molecular details while enabling sufficient accuracy in the predictions. Promising theories include generalized free-volume theory (Durand et al., 2010; Fang et al., 2013), off-lattice Flory-Huggins approximations (Gillet et al., 2009, 2010; Kadam et al., 2014; Nguyen et al., 2017a).

Mesh vs meshless simulation schemes

Collective methods known also as meshless ones extend dramatically the capability of coarse-graining by grouping neighboring particles within a same entity so-called parcel. Conventional coarse graining uses soft potentials (i.e. weakly repulsive with possible overlapping). As particles, parcels have a prescribed mass, but they are continuously overlapping with others and unlike real particles, they have to be repartitioned frequently. Despite some inherent complications, such as emerging modeling and simulation strategies open the way of virtual process engineering for broad class of problems involving liquids, solids or their mixtures. They are reviewed in the collective book (Li et al., 2013) and shortly compared to conventional description using discretization schemes on a mesh in Table 2. The main point is that meshless methods do not require any particular refinement or alignment close to defects or discontinuities, so that images directly obtained from laser scanned confocal microscopy or 3D microcomputed images can be directly used after proper thresholding.

Deep-Frying: A Case-Study of Multiscale and Multiphysics Modeling Deep-frying is one of the oldest operation units aiming at drying and cooking food products (meat or vegetable products). It has been used by ancient Egyptians and Chinese. Significant understanding of mass transfer and physico-chemical transformations in the food product has been gained only during the last two decades. One of the most evocative examples is the oil uptake mechanism, which has been shown to occur mainly during cooling, when the product is exposed to air (Ufheil and Escher, 1996; Moreira and Barrufet, 1998). The driving forces combine capillary pressure and steam condensation due to the reabsorption of water in contact with macromolecules (starch, pectins, cellulose) when superheated steam in cells is cooled down before being diluted with air (Vitrac et al., 2000, 2002). The presence of air (a non-visible phase) does not modify only the thermodynamics of water,

442 Table 1

Food Process Modeling List of comprehensive approaches to calculate properties from food constituents to food properties

Target Principles Modeling scale Length scale Time scale Modeling strategy

) Local food constituents )Energy prevails Quantum Molecular 0.1 nm 1 nm 10–15 s 10–12 s Thermodynamical equilibrium preferred Classical forcefield Molecular Dynamics and Monte-Carlo Hybrid quantum-atomistic methods Car-Parrinello Molecular Dynamics Quantum Monte-Carlo Quantum chemical methods

State of theoretical development

Highly dependent on current research in theoretical physics and chemistry

Computational capabilities Possibilities of internal development for food engineers and food scientists

Possibility to validate the model

Scaling behavior of food properties/ Entropy prevails/ Supramolecular Mesoscale Macroscale 10 nm 100 nm mm 10 mm 0.1 mm Mm 10–9 s 10–6 s 10–3 s 10–1 s s min, hour Out of equilibrium simulations Finite-Element, FiniteStokesian Monte-Carlo Volume, Finite Dynamics, statistics and Difference Dissipative Dynamics (e.g. calculations Particle Kinetic MonteContinuum Dynamics Carlo) hydrodynamics Smooth Particle Coarse-Grained Hydrodynamics Molecular Lattice Boltzmann Dynamics hydrodynamics Non-Equilibrium Volume/phase Molecular averagingDynamics homogenization methods Active research field in engineering fields well-established and including chemical, mechanical, material associated to a large and food engineering. community of users

Outside standard curriculum in food engineering

Encouraged but it remains highly problem dependent. One or several methods need to be combined together. Hierarchical modeling should be the solution by nesting the different scales to match the final needs.

from quantum level calculations 3D reconstructions can be compared directly from structure factors obtained by X-ray or neutron diffraction/diffusion. Comparison with static (density, partial volume, thermal expansion coefficients), or dynamic properties (diffusivity, viscosity)

Microscopic observations, microcomputed tomography, multi-spectral imaging offer various level of validation. Thermodynamic oriented calculations can be directly compared to macroscopic experiments (isotherms, heat of sorption, partition coefficients, etc.)

Not specific but can be easily implemented with various levels of complexity. Complex geometries and coupling are particularly difficult to grasp and handle. Direct validation of with macroscopic mass balance, strain or breaking force measurements, concentration, temperature, pressure kinetics, etc

but also slow down dramatically the percolation of oil within the various defects met in the porous crust of the fried product (Patsioura et al., 2015). Forced and spontaneous oil imbibition spreads, consequently, over time scales ranged from ms to hours. Short time scales are not accessible to direct experimental observations and are hindered by competitive phenomena such as oil dripping, air penetration, rapid cooling by convection and radiation. This section describes various models which have been developed to gain a better knowledge and control of the frying unit operation: i) reducing oil oxidation (off-flavor and toxic compounds) and acrylamide production (Mottram et al., 2002); ii) reducing oil uptake; iii) improving oil dripping. The different models cover a broad range of scales, methods, coupling which are of general interest.

Temperature Variation in a Batch Deep-Fryer The temperature variation in the deep-fryer is required to optimize the geometry of the tank, the heat control strategy in relationship with the final quality attributes of the fried product (drying rate, surface temperature and acrylamide production, oil oxidation). The case of a house-hold batch deep-fryer including a submerged electrical resistance is presented as an example. When the product is present, heat is first transferred to the oil volume and subsequently transferred to the fried product, where it is used mainly to vaporize water. The enhancement of heat transfer due to the local wake effects induced by steam escaping from the top surface has been well described in the literature (Costa et al., 1999; Hubbard and Farkas, 1999; Vitrac et al., 2003; Vitrac and Trystram, 2005; Achir et al., 2009) and can be also included in the model as an effective convective heat transfer coefficient hðtÞ varying either ðtÞ

with time or with the drying rate

dWS dt


Food Process Modeling


Figure 7 Hierarchical modeling applied to the calculations in mass transfer in food packaging. The scale associated to the direct calculations of ex excess chemical potentials in liquids mex L , in solids mP and diffusion coefficients D are presented. Table 2

Comparison between meshless and mesh-based methods of simulations

Type of simulation methods


Hybrid Particle-mesh

Elementary description Conservation laws

Individual particles or fluid Individual particles or fluid elements þ elements Energy (potential, total, free-energy), mass, momentum, charge

Application domain

Any application not requiring a controlled temperature gradient or heat flux density (i.e. mainly isolated system or obeying to specific rules) Pair particle–particle Binary interactions between particles þ interaction forcefields interactions with averaged fields Microscales are explicitly considered. Easy to implement Possibility to directly code chemical details (atomistic structure, radial distribution function, potential mean-force). Natural coupling with calculations at atomistic scale Multiphasic, compressible, turbulent flows Thermodynamical calculations (specific ensembles, thermodynamic integration, Monte-Carlo sampling) Effective transport and viscoelastic, mechanical properties Strong parallelization possible.

Inputs Main advantages

A Simple but Useful Model

Mesh Fixed


Eulerian descriptions

Semi-Lagrangian scheme Energy, mass, Energy, mass, momentum, heat momentum, heat Any application for which material properties are known. Initial and boundary conditions; effective transport laws and effective properties. Complex geometries (but not fractal) Multiphysics Multigrid methods available Large systems Parallelization is more difficult to implement.

In first approximation, coupled heat and mass transfer can be envisioned from mass balance in the product (only water is lost, no oil uptake) and heat balance at the scale of the frying bath: 0 11 8 ðtÞ ðtÞ > ðtÞ > Toil  Tsat dWS 1 l > @ A > z  þ > > < dt hðtÞ kðtÞ ð1  ε0 ÞrS L0 DHvTsat eff (5) >    > ðtÞ 0 >  dT > 1 W dW ðtÞ S > oil ¼ S  > mproduct DHvTsat þ PðtÞ þ Eloss : moil Cpoil dt 1 þ WS0 dt ðt;ToilðtÞ Þ


Food Process Modeling ðtÞ


with WS the global residual water content expressed in mass of water per mass of solids (solids are assumed not lost), Toil the bulk ðtÞ temperature in the oil bath (gradients of temperature are not considered explicitly), keff the effective thermal conductivity of the crust, ε0 the product porosity, rS the density of the solid phase, L0 the product thickness, DHvTsat the enthalpy of water vaporization at the boiling temperature, moil the mass of oil, Cpoil the heat capacity of oil, mproduct the mass of potato product, P ðtÞ the electrical ðtÞ power of the deep-fryer and Eloss the thermic loss by the surfaces. Inside the fried product, one-dimensional approximation is considered (slab geometry). In addition, a vaporization front is assumed to move inside the product from the external surface to the geometric center (“sponge” model). By neglecting the liquid ðtÞ migration, the distance of the vaporization front to the surface can be approximated from WS value, by considering a humid 0 core (with a same water content as the initial one: WS ) surrounded by two rigid crusts of thickness lðtÞ and with a water content equal to a critical water content WScrit separating the domain, where capillary water can exist (close to and below the boiling temperature Tsat ), from the pure hygroscopic domain, where water still exists in a condensed phase but in interactions with macromolecules (starch, cellulose, pectins). These considerations lead to the following dimensionless position of vaporization front: l



¼ L0

WS0  WS WS0  WScrit

! (6)

Examples of predictions of temperature variations in large batch deep-fryers used in catering and fast-food chains (typical oil capacity 20 L and electrical power of 22 kW) and in kitchen appliances (capacity 5 L and electrical power of 2 kW) are presented in Fig. 8. The kinetics are shown for three amounts of French-fries from fresh potatoes (0.046 kg, 2.4 kg and 4.6 kg for the 20 L deep-fryer and 0.0115 kg, 0.6 kg, and 1.15 kg for the 5 L deep-fryer) immerged into hot oil at 180  C. Due to the temperature decrease, the frying kinetics are highly different. Putting more products do not necessarily increase the production yield as frying time are longer and oil temperature is highly variable with time.

Figure 8 Variation of oil bath temperature during immersion stage for a 20 L deep-fryer (a) and 5 L deep-fryer (c) and associated product drying kinetics (b and d). The dashed lines represent the targeted residual water content in the product.

Food Process Modeling


Anisothermal Oil Flow in the Frying Bath Oil is a highly dilatable liquid and, therefore, subjected to strong natural convection as soon as the source of heat is located at the bottom of the deep-fryer or in the vertical walls. Understanding how natural convection develops during the initial stage of oil heating is important to determine i) the efficiency of the frying design, ii) to get an estimation of the renewal rate of oil between cold and hot regions, iii) to estimate local temperature gradients in the oil bath. We simulated heat transfer during the first 9 mins of heating of small kitchen appliance in three dimensions. The fields of temperature, velocity and residence time are depicted in Fig. 9 for the three main planes in the deep-fryer once the set temperature (165  C) is reached. A stagnant cold region is clearly identified beneath the heating resistance. Mixing is not uniform and instantaneous in the deep-fryer. This information could not be reconstructed from the oil zero-dimensional model (5).

Oil Oxidation Auto-oxidation of triacylglycerols (LH) at high temperatures is a source of several undesirable products: trans-fatty acids, offflavors volatile compounds, cyclic compounds and polymers. Several national regulations in EU enforce heating temperature below 175  C (European Commission, 2017), amount of polar compounds lower than 25% and polymer content lower than 15%. Recent results (Patsioura et al., 2017) have shown that in conventional deep-fryers, the overall oxidation kinetics are mainly governed by the kinetics of dissolution of oxygen at the immediate surface (all the oxygen is absorbed immediately below the surface) and by the temperature at which hydroperoxides decompose. Hydroperoxides (LOOH) are intermediate oxidation products produced exclusively at the surface of the oil bath, which are unstable at high temperatures. They represent a continuous source carbon-centered radical (L$ ), which contribute to propagate the oxidation mechanisms deeply inside the oil bath. Understanding the transport and decomposition of LOOH species is critical to design new deep-fryers or to devise new strategy of control, which limit the production of undesirable compounds (development of rancid smell, accumulation oilgum solids).

Figure 9 Residence time, isolines of temperature and velocity field inside the three main planes (P1, P2 and P3) of a 4L deep-fryer including a submerged electrical heating resistance after 9 mins of heating.


Food Process Modeling

Simple Oxidation Kinetic Model in Perfectly Mixed Deep-Fryer The simplest oxidation scheme involves four reactions. The chain reaction based on bimolecular initiation, propagation and termination is summarized as follows: k1 R1 : LOOH þ LOOH ! L$ þ LOO$ k 2 R2 : L$ þ O2 ! LOO$ k3 R3 : LOO$ þ LH ! LOOH þ L$ k4 R4 : LOO$ þ LOO$ ! secondary oxidation products


which can be coded in the standard matrix form as: dC ¼ S RðT; k1 ; k2 ; k3 ; k4 ; CÞ dt


where C ¼ ½½LOOH; ½L$ ; ½LOO$ ; ½LH; ½O2 ; ½secondary oxidation products’ ; R is the reaction rate vector, whose general term is for the reaction fRi gi¼1::4 involving two reactants A and B: ki ½A½B. S is the stoichiometry matrix detailed in Table 3. Examples of predictions of Eq. (8) are shown Fig. 10 for sunflower oil heated at 180  C and at 140  C in a bubbling reactor (close deep-fryer with air injected from the bottom, see details in Patsioura et al. 2017). The model succeeds to predict the competition between the accumulation of LOOH and their decomposition leading to stable secondary oxidation products (only 2-alkenals and 2,4-decadienals are shown). The effect of temperature is dramatic on the net balance in hydroperoxides and on their possibility of accumulation in the deep-fryer.

Simulation of the Decomposition of Hydroperoxides in a Real Household Deep-Fryer If we assume that oxidation does not affect the viscosity of oil and its thermal properties, the endothermic decomposition of hydroperoxides can be simulated by calculating the residence time of fluid particles along the streamlines in the oil bath. When the flow is steady, fluid particles are transported along the same streamlines and reaction kinetics can be recasted by replacing time with the local velocity. In Lagrangian coordinates and for a given trajectory, the decomposition rate along the curvilinear coordinate ‘ reads:      d½LOOH d½LOOH dt  1 ¼ $ (9)  d‘ ¼ R1 Tjx;y;z ; ½LOOHj‘ $Uj $qj d‘  dt ‘



with Ujx;y;z the local oil velocity in Cartesian coordinates and qj‘ the unitary vector tangent to the considered streamline. Table 3

Stoichiometry matrix used in Eq. (8) Reaction / Substance Y

S1 S2 S3 S4 S5 S6

LOOH L$ LOO $ LH O2 Secondary oxidation product





2 1 1 0 0 0

0 1 1 0 1 0

1 1 1 1 0 0

0 0 2 0 0 1

Figure 10 Simulated oil oxidation kinetics (hydroperoxides and secondary oxidation products) of sunflower oil at 180  C (a) and 140  C (b) when oxygen mass transfer is not limiting. Experimental data are depicted as symbols (4 repetitions).

Food Process Modeling


Figure 11 Typical simulated particle trajectories in the top and in the region (a), associated residence time at different temperature (b) and hydroperoxides decomposition kinetics (c).

Typical streamlines and residence times at different temperatures are shown in Fig. 11. The simulated kinetics of decomposition of hydroperoxides are compared with experiments for two conditions according to there are i) originating from the top surface (conditions met at steady state in a normal cycle of production) or ii) originating from the bottom of the cold-region beneath the resistance (condition when the bath is initially heated to prepare a cycle of production). Ensemble-averaged over a large set of trajectories (>1000) are in good agreement with measured values. Short-time trajectories shorter than the first passage times between the bottom and top regions tend to underestimate the decomposition as they underestimate the real temperature of the fluid particle. The issue was solved by increasing the number of considered fluid particles.

Coupled Heat and Mass Transfer Within the Product Coupled heat and mass transfer can be also studied by simulation at the different stages of frying using multiscale modeling.

During Deep-Frying By replacing the ordinary differential Eq. (5) by a coupled set of partial differential equations (see Achir et al., 2009), the rough estimates of product temperature and water content can be replaced by detailed concentration profiles and temperature. Examples of predictions are presented in Fig. 12 for unfrozen par-fried products immerged into hot oil at 170  C. The simulation used an enthalpic formulation, which enables to integrate the experimental isobaric desorption curve of water in unfrozen par-fried products (starch is already gelatinized). The development of the crust can be observed and it is good agreement with local temperature measurements.

During Cooling

During the cooling of fried products, several phenomena occur simultaneously: oil adhesion, oil flow along the product and oil dripping, oil imbibition in the product. Several models of different kinds are presented to show how wetting and fluid percolation can be described at relevant scales. Before entering into details, it is worth remembering some important results of wetting properties. In one of his famous book, Pierre-Gilles de Gennes (see de Gennes et al. 2004) was asking: “If the content of a bucket is poured on the floor, what is the surface area to mop?”. The same question can be imagined for fried products, what is the final oil film thickness after oil dripping if we consider that oil has a sessile or flattened shape.


Food Process Modeling

Figure 12 Simulation of coupled heat and mass transfer of par-fried unfrozen French-fries during deep-frying at 170  C: temperature (a) and water content profiles (b); temperature (c) and drying (d) kinetics. Experimental data are depicted as symbols (2–4 repetitions).

The transition between a droplet (truncated sphere of radius R) and one or several puddle(s) is controlled by the capillary length, k1 oil , defined as: rffiffiffiffiffiffiffiffiffi goil k1 (10) oil ¼ roil g where goil is the oil-air surface tension, roil the oil density and g the gravitational force. The two extreme cases are sketched in Fig. 13. In the case of oil at 120  C, k1 oil is ca. 1.7 mm, that is much smaller than the thickness of a French-fry. As a result, oil is present on the surface of fried products as films and not as droplets. Droplets can form only when oil flows due to its own weight (pendant droplets).

Oil Dripping Process The oil dripping process is described for a model French-fry and compared with experiments on similar metallic bars in vertical position. Heat transfer is considered but not described in this chapter in the sake of concision. The oil film adhering to the surface of the product is created when the product is removed from the oil bath at the velocity vc . At this stage, the film is metastable and its

Figure 13

Equilibrium shape of an oil according to the ratio kR1 with gSA the solid-air surface tension, gSL the solid-oil surface, qE the contact angle oil

between the oil and the solid, P the hydrostatic pressure and d the oil film thickness.

Food Process Modeling


evolution is governed by the net balance between viscous and capillary forces, as captured by the dimensionless capillary number Ca: Ca ¼

hoil vc goil


where hoil is the dynamic viscosity of oil. The subsequent evolutions of the film are summarized in Fig. 14. When the velocity is enough small, the surface tension exerted on the film dominates and the initial film thickness, d0 , before detachment obeys to the Landau-Levitch-Derjaguin model: d0 ¼ k1 Ca1=2 Once the oil film is detached from the oil surface, the free flow of oil follows the Reynolds thinning law: sffiffiffiffiffiffiffiffiffiffiffiffiffi  vdðs; zÞ 1 l hoil 1 ¼  vs z¼l 2 2 roil g s3=2



When this solution is valid (for s  sr ¼ rhoilgdL2 ), the integration of Eq. (13) leads at the bottom end of the product to a flow are: oil


QðsÞ ¼ Pm

d3 ðs; z ¼ LÞ 2 groil 3hoil


where Pm is the perimeter of the bottom end surface of the bar. The shape of oil films and corresponding oil flow are tabulated in Fig. 15 for an 80 mm long cylinder (diameter 7 mm). Experimental results are also shown for an initial oil temperature of 140  C. As shown in observations of Fig. 12, the oil flow creates droplets at the bottom end of the bar. The growth rate of oil droplets is governed, in first approximation, by the following set of equations (see Kloubek, 1975; Jho and Burke, 1983; Jho and Carreras, 1984): 8 dMdrop > > > ¼ QðsÞ if Mdrop < Mr < ds (16) > 2prdrop goil ðiÞ > > þ kgoil roil ðti  ti1 Þð3=4Þ : Mr ¼ g where rdrop is the radius of the pendant drop, k a constant associated the considered bar and ti  ti1 the time to fill the ith drop. When the mass of the droplet exceeds the critical mass Mr , the droplet is pull away from the surface and detaches itself. The oil dripping process is therefore discontinuous with increasing delays between droplets. The simulated kinetics of formation of oil

Figure 14 ti::ndrop ).

Evolution of the oil film on a bar surface from removal to the drop formation (se : removal duration, sd : dripping period, L: bar length,


Food Process Modeling

Figure 15 Simulated evolution of the shape of the film (a), of the thickness at the bottom end (b), of the oil flow (c) with time. Experimental values are depicted as empty red circles.

droplets is shown in Fig. 16 for two cylinders of 80 mm length but with different diameters (7 and 11 mm). The simulations are good agreement with experiments. From these simulations, the best product geometry and cooling conditions to maximize oil dripping can be determined.

Oil Absorption Oil dripping process occurs on very similar time scales of oil imbibition in the fried product. A modified Kinetic Monte-Carlo algorithm combined with a first passage algorithm has been devised to map back experimental defects observed at microscopic scales (from 50 nm to 0.5 mm) to 3D reconstructions of parenchyma tissues (Vauvre et al., 2015). The approach and typical results are illustrated in Fig. 17. As for oil droplets, oil percolation tends to be a discontinuous phenomenon due to the nature of oil-air biphasic flow: air needs to be displaced before oil can penetrate to the next damaged cell. The oil filling kinetics are very dissimilar between the first and the second cell layer (Fig. 15b). Fig. 15c shows the results averaged over thousands cells mimicking the crust of a French-fries for several damage ratios and damage profiles. In French-fries made from fresh potatoes exhibit a higher damage at the top surface (Achir et al., 2010) and lower internal damages; whereas parfried frozen products have opposite damage profiles (Vauvre et al., 2014). Both profiles lead to different oil uptake kinetics and final oil content. Reducing the number of entry points for oil is more effective than preventing the creation of cavities inside the product.

Trends and Perspectives The content proposed in this chapter crosses the invisible line between basic sciences and engineering. Fundamental phenomena occurring in food or during food processing can be investigated nowadays partly virtually with proper modeling and simulation techniques. Rapid prototyping of new food formulation and process could be envisioned from basic properties such as composition

Food Process Modeling

Figure 16


Simulated kinetics of formation of oil drop droplets for cylinder of 80 mm length with different diameter: 7 mm (a) and 11 mm (b).

Figure 17 Approach for the multiscale study of oil percolation kinetics (a), oil filling kinetics of the first and second cell layers (b) and oil uptake kinetics for different damage ratios and damage profiles (dashed lines: low damage ratio, continuous lines: high damage ratio) (c).


Food Process Modeling

and local structures. The gap between the dream of this new paradigm and realization is currently as thin as the distance between research results and applications. Numerical methods and computational capabilities are broadly available and can be considered sufficiently mature to constitute the skeleton for a future multiscale modeling framework for food products. In the perspective of authors (see Figs. 18 and 19), direct applications include the possibility to calculate sorption isotherms in conditions where they are difficult to measure (i.e. above the boiling point of water); looking for alternative to frying to

Figure 18 Examples of applications of multiscale modeling at the scale of the food product (molecular) calculation of sorption energy of water in amorphous starch (microstructure) redefinition of the concept of crust in fried products based on the displacement of equilibrium curves and of the glass transition temperature (packaged food product) predicting the shelf-life of rich-oil food products according to the conditions of storage/transportation and the type of food packaging.

Figure 19 Multiscale approach to estimate consumer exposure to chemicals from materials in contact with food: free energy calculations, desorption kinetics and scenarios of consumption at the scale of households.

Food Process Modeling


generate a crust in parfried product; optimizing the design of food packaging according to the shelf-life of the considered food product. In the field of food safety, multiscale modeling is already used to evaluate not only the risk of contamination of food by packaging substances (Vitrac and Hayert, 2005, 2007; Vitrac and Leblanc, 2007), but also to optimize the design of packaging to minimize the risk (Nguyen et al., 2013) and to alert on new risks of contamination from secondary packaging (Nguyen et al., 2017b). The concepts are well established and sketched briefly in Fig. 19. These specific examples demonstrate that both hierarchical and multiscale modeling can help us to understand the spanning of self-organized structures, the consequence of linked decisions . and finally how our technical choices may affect our own life or well-being. At process scale, it is obvious that the equipment design cannot be optimized, modified independently of the food itself. We propose to upgrade the concept of unit operation to a broader dimension. We suggest envisioning it as a whole with safety, social acceptance and environmental impacts considered all together along with shelf-life, nutritional values and sensory constraints. Future solutions and innovations may perhaps lie far from reductionist approaches in the gray domain, where food systems are far from equilibrium, with non-linear behaviors . Bridging micro-mechanisms and macro-behaviors may require specific training and capabilities. Education program should be adapted to the needs of the future food scientists and food engineers.

Acknowledgments The authors would like to thank Dr Mohamed Hatem Allouche from UMR 6303 between University of Burgundy and CNRS for his contribution on anisothermal flow simulation data and the collaborative project “Fry’In” for its support (grant FUI APP17).

References Achir, N., Vitrac, O., Trystram, G., 2009. Heat and Mass Transfer during Frying, Advances in Deep-fat Frying. CRC Press, Boca-Raton, pp. 5–32. Achir, N., Vitrac, O., Trystram, G., 2010. Direct observation of the surface structure of French fries by UV–VIS confocal laser scanning microscopy. Food Res. Int. 43, 307–314. Berendsen, H.J.C., 2007. Simulating the Physical World: Hierarchical Modeling from Quantum Mechanics to Fluid Dynamics. Cambridge University Press. Costa, R.M., Oliveira, F.A.R., Delaney, O., Gekas, V., 1999. Analysis of the heat transfer coefficient during potato frying. J. Food Eng. 39, 293–299. de Gennes, P.G., Broachard-Wyart, F., Quere, D., 2004. Hydrodynamics of Interfaces: Thin Films, Waves, and Ripples, Capillarity and Wetting Phenomena, first ed. Springer-Verlag, New York, USA, p. 292. Durand, M., Meyer, H., Benzerara, O., Baschnagel, J., Vitrac, O., 2010. Molecular dynamics simulations of the chain dynamics in monodisperse oligomer melts and of the oligomer tracer diffusion in an entangled polymer matrix. J. Chem. Phys. 132, 194902. European Commission, 2011. Commission Regulation (EU) No 10/2011 of 14 January 2011 on plastic materials and articles intended to come into contact with food. Off. J. Eur. Union L12, 1–89. European Commission, 2017. Commission Regulation (EU) 2017/2158 of 20 November 2017 establishing mitigation measures and benchmark levels for the reduction of the presence of acrylamide in food. Off. J. Eur. Union L304, 24–44. Fang, X., Domenek, S., Ducruet, V., Refregiers, M., Vitrac, O., 2013. Diffusion of aromatic solutes in aliphatic polymers above glass transition temperature. Macromolecules 46, 874–888. Frenkel, D., 2002. Soft condensed matter. Phys. A Stat. Mech. Appl. 313, 1–31. Frenkel, D., Smit, B., 2002. Understanding Molecular Simulation. Academic Press. Gillet, G., Vitrac, O., Desobry, S., 2010. Prediction of partition coefficients of plastic additives between packaging materials and food simulants. Ind. Eng. Chem. Res. 49, 7263–7280. Gillet, G., Vitrac, O., Tissier, D., Saillard, P., Desobry, S., 2009. Development of decision tools to assess migration from plastic materials in contact with food. Food Addit. Contam. Part A-Chemistry Analysis Control Expo. Risk Assess. 26, 1556–1573. Higgs, S., Thomas, J., 2016. Social influences on eating. Curr. Opin. Behav. Sci. 9, 1–6. Hoekstra, E.J., Brandsch, R., Dequatre, C., Mercea, P., Milana, M.R., Störmer, A., Trier, X., Vitrac, O., Schäfer, A., Simoneau, C., 2015. Practical Guidelines on the Application of Migration Modelling for the Estimation of Specific Migration. Hubbard, L.J., Farkas, B.E., 1999. A method for determining the convective heat transfer coefficient during immersion frying. J. Food Process Eng. 22, 201–214. Jho, C., Burke, R., 1983. Drop weight technique for the measurement of dynamic surface tension. J. Colloid Interface Sci. 95, 61–71. Jho, C., Carreras, M., 1984. The effect of viscosity on the drop weight technique for the measurement of dynamic surface tension. J. Colloid Interface Sci. 99, 543–548. Kadam, A., Karbowiak, T., Voilley, A., Bellat, J.-P., Vitrac, O., Debeaufort, F., 2014. Sorption of n-hexane in amorphous polystyrene. J. Polym. Sci. Part B Polym. Phys. 52, 1252–1258. Kloubek, J., 1975. Measurement of the dynamic surface tension by the drop weighing method. Colloid Polym. Sci. 253, 929–936. Kontogeorgis, G.M., Folas, G.K., 2009. Thermodynamic Models for Industrial Applications: From Classical and Advanced Mixing Rules to Association Theories, first ed. Wiley, Chichester, West Sussex, UK, p. 710. Larese, D., Sweeney, B., Wetherby Jr., A., Wei, C., Vitrac, O., 2017. Contamination of food by radionuclides after a nuclear accident. In: FDA (Ed.), 2017 FDA Science Forum, pp. 53–54. Li, J., Ge, W., Wang, W., Yang, N., Liu, X., Wang, L., He, X., Wang, X., Wang, J., Kwauk, M., 2013. From Multiscale Modeling to Meso-science, first ed. Springer, Berlin, DE, p. 484. Moreira, R.G., Barrufet, M.A., 1998. A new approach to describe oil absorption in fried foods: a simulation study. J. Food Eng. 35, 1–22. Mottram, D.S., Wedzicha, B.L., Dodson, A.T., 2002. Acrylamide is formed in the Maillard reaction. Nature 419, 448. Nguyen, P.-M., Goujon, A., Sauvegrain, P., Vitrac, O., 2013. A computer-aided methodology to design safe food packaging and related systems. AIChE J. 59, 1183–1212. Nguyen, P.-M., Guiga, W., Dkhissi, A., Vitrac, O., 2017a. Off-lattice Flory-Huggins approximations for the tailored calculation of activity coefficients of organic solutes in random and block copolymers. Ind. Eng. Chem. Res. 56, 774–787. Nguyen, P.-M., Julien, J.-M., Breysse, C., Lyathaud, C., Thébault, J., Vitrac, O., 2017b. Project SafeFoodPack Design: case study on indirect migration from paper and boards. Food Addit. Contam. 34, 1703–1720.


Food Process Modeling

Patsioura, A., Vauvre, J.M., Kesteloot, R., Jamme, F., Hume, P., Vitrac, O., 2015. Microscopic imaging of biphasic oil-air flow in French fries using synchrotron radiation. AIChE J. 61, 1427–1446. Patsioura, A., Ziaiifar, A.M., Smith, P., Menzel, A., Vitrac, O., 2017. Effects of oxygenation and process conditions on thermo-oxidation of oil during deep-frying. Food Bioprod. Process. 101, 84–99. Prausnitz, J.M., Lichtenthaler, R.N., de Azevedo, E.G., 1999. Molecular Thermodynamics of Fluid-phase Equilibria, third ed. Prentice Hall, New Jersey. Rahman, M.S., 2009. Food Properties Handbook, second ed. CRC Press, Boca Raton, FL, USA. Ufheil, G., Escher, F., 1996. Dynamics of oil uptake during deep-fat frying of potato slices. LWT - Food Sci. Technol. 29, 640–644. Vauvre, J.-M., Kesteloot, R., Patsioura, A., Vitrac, O., 2014. Microscopic oil uptake mechanisms in fried products*. Eur. J. Lipid Sci. Technol. 116, 741–755. Vauvre, J.M., Patsioura, A., Vitrac, O., Kesteloot, R., 2015. Multiscale modeling of oil uptake in fried products. AIChE J. 61, 2329–2353. Vitrac, O., Dufour, D., Trystram, G., Raoult-Wack, A.-L., 2002. Characterization of heat and mass transfer during deep-fat frying and its effect on cassava chip quality. J. Food Eng. 53, 161–176. Vitrac, O., Goujon, A., 2014. Food packaging: new directions for the control of additive and residue migration. In: Hamaide, T., Deterre, R., Feller, J. (Eds.), Environmental Impact of Polymers. Vitrac, O., Hayert, M., 2005. Risk assessment of migration from packaging materials into foodstuffs. AIChE J. 51, 1080–1095. Vitrac, O., Hayert, M., 2007. Effect of the distribution of sorption sites on transport diffusivities: a contribution to the transport of medium-weight-molecules in polymeric materials. Chem. Eng. Sci. 62, 2503–2521. Vitrac, O., Leblanc, J.-C., 2007. Consumer exposure to substances in plastic packaging. I. Assessment of the contribution of styrene from yogurt pots. Food Addit. Contam. Part AChemistry Analysis Control Expo. Risk Assess. 24, 194–215. Vitrac, O., Trystram, G., 2005. A method for time and spatially resolved measurement of convective heat transfer coefficient (h) in complex flows. Chem. Eng. Sci. 60, 1219–1236. Vitrac, O., Trystram, G., Raoult-Wack, A.-L., 2003. Continuous measurement of convective heat flux during deep-frying: validation and application to inverse modeling. J. Food Eng. 60, 111–124. Vitrac, O., Trystram, G., Raoult-Wack, A.L., 2000. Deep-fat frying of food: heat and mass transfer, transformations and reactions inside the frying material. Eur. J. Lipid Sci. Technol. 102, 529–538.

Food Supply Chain Demand and Optimization Marco A Miranda-Ackermana,c and Citlali Colı´n-Cha´vezb,c, a CONACYT-El Colegio de Michoacán, La Piedad, Michoacán, Mexico; b CONACYT- Centro de Investigación en Alimentación y Desarrollo, Hermosillo, Sonora, Mexico; and c Centro de Innovación y Desarrollo Agroalimentario de Michoacán (CIDAM), Morelia, Michoacán, Mexico © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction What Are Food Supply Chains? How Does Food Supply Chain Demands Work? Abiotic Conditions Biotic Conditions Social Conditions Economic Pressures Transversal Factors in Food Supply Chain Optimization Innovation, Design and Technology Sustainability Social Responsibility Food Supply Chain Optimization Product and Process Design Food Supply Chain Design Optimization and Demand Satisfaction Supplier Echelon Production Echelon Packaging and Market Echelons Conclusion References Further Reading

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Abstract Food security depends on a network of actors and elements working together to produce and deliver healthy, sustainable, varied, safe and plentiful food supplies to society. The interactions between these actors and elements can be framed through the scope of the Supply Chain Management paradigm. Through the scope of Food Supply Chains, this is to say as a system of interconnected actor working towards providing goods and services in an optimal way, one can design, manage and optimize to satisfy global food demand. In this chapter we introduce the concepts and key elements in order to understand and use the idea of Food Supply Chain in order to optimize scares resources and satisfy ever-increasing requirements and demand for food around the world. Providing an outline to understand and improve food security from an operational and strategic point of view. Key definitions are described, some important issues specific to food supply chains are detailed and a systemic view is presented in order to understand the interconnected and complex nature of food production systems and the networks that they construct. Lastly, a brief reference is given to the upcoming technological advances that may help reach food security for future generations.

Introduction Food Supply Chains (FSC) are unique in many ways compared to other product or service supply chains. They have unique restrictions and objectives related to issues of the upmost importance to individuals and society as a whole, mainly the fact that humans ingest these products providing nourishment at a cost and risk. Costs are important given that the population is growing - as highly populated countries develop and adopt western consumption patterns cost patterns change worldwide. At the same time consumers are becoming more demanding expecting healthy, safe and available food year round. Modern food supply chains are composed of many actors that find ways to minimize these costs and risks by using conventional and innovative techniques. Cold chains, active and intelligent packaging, preservatives, biological and organic agriculture, environmental impact assessments, norms and standards, are just some of the many interacting elements that help supply chains maintain access to safe and affordable food to so many people. There are many levels at which FSC are optimized. At an operational level - cost minimization through synchronization - is very important. At a tactical level cooperation at interfaces help reduce economic, health and other types of risks by

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Food Supply Chain Demand and Optimization

helping maintain and surveying the quality in food handling, storage, processing, packaging, among other operations. Lastly at the strategic level FSC are designed, redesigned, and adjusted to meet global requirements. These requirements change country to country – region to region, and as globalization exude its pressure on societies and their consumption behavior, demand changes in tune. Thus the need of optimization of food supply chains to meet social demands.

What Are Food Supply Chains? Current industrial enterprises are typically composed of multiples sites operating in different regions and countries satisfying a globally distributed clientele. Thus planning, coordination, cooperation and responsiveness between nodes in the network, made up by the different stakeholders are of essence in order to remain competitive and grow. The need for integrated and systematic strategies for plant coordination and operation is driven by the need to minimize capital and operating costs. Improving output and maintaining market response flexibility, thus leading to the development of the Supply Chain Management paradigm (Hugos, 2003). The “Supply Chain Management” term started to be used in the late 1980s and was popularized in the 1990s. Before SCM the terms logistics and operations management were used instead. In order to understand what SCM is, first one needs to define what a Supply Chain is:

A supply chain consists of all stages involved, directly or indirectly, in fulfilling a customer request. The supply chain not only includes the manufacturer and suppliers, but also transporters, warehouses, retailers, and customers them-selves. Chopra and Meindl (2001)

Thus the concept of supply chain can be derived as:

The systemic, strategic coordination of the traditional business functions and the tactics across these business functions within a particular company and across businesses within the supply chain, for the purposes of improving the long-term performance of the individual companies and the supply chain as a whole. Mentzer et al. (2001)

It must be emphasized that currently SCM and logistics differ as concepts. The latter refers to activities within the boundaries of a single organization while the former refers to a network of companies that work together and coordinate their actions to provide products and services to markets. The companies that make up the SC network must make decisions individually and collectively on three levels: 1. Strategic level: these are decisions with a long-term time horizon mainly related to long-term partnerships and capital investment projects. Some of the issues that are formulated are related to, e.g. the number, location, and capacity of warehouses and manufacturing plants and the flow of material through the SC network. 2. Tactical level: these are decisions with a medium-term time horizon mostly related to issues on purchasing, production planning, inventory planning, transportation, marketing and distribution policies and strategies. 3. Operational level: these are decisions on a day-by-day basis related to issues on weekly and monthly scheduling, planning, response to customer feedback, materials routing, information flow and collection. Each of these levels requires different types of strategies to model, optimize and solve the unique issues that make the elements in each level work together harmoniously. Food supply chain management have many unique characteristics compared to other consumer goods supply chains. In the next sections some of the more important issues are explained.

How Does Food Supply Chain Demands Work? Food supply chain demands are influenced by two main sources the supply side and the consumer demand side. On the supply side, production of food can become volatile given the dependency on uncontrollable natural phenomena. This is to say, food is generally obtained from plants and animals that either thrive or struggle based on human factors but also on environmental ones. The capacity of plants and animals to provide products and the raw materials for processed foods needed to satisfy demands depends in large part in the abiotic and biotic conditions of the places where they are grown and cultivated.

Abiotic Conditions Abiotic conditions, such as weather, play a large role in the quality and quantity of food production. This is why global markets exist, and complex supply chains function, allowing through global transportation networks to distribute products to all corners

Food Supply Chain Demand and Optimization


of the earth. While there are resent advancements in the artificial control and habilitation of protected farming systems, these are not close to the quantities and costs requirements that global markets currently demand. Albeit progress is being made every day in this front, global demand equally is rising at a constant pace.

Biotic Conditions Biotic conditions also play a large role in the FSC. Food production systems are mostly located in areas where the agricultural food product or prime raw material for processed food have a natural adaptation to the abiotic and biotic conditions through evolution or human intervention. These ecosystems are changed by man through economic forces, where apt soil, water sources and weather conditions, promote certain ecosystems and there biomes as being suitable arable land. These biomes both promote and attack the health of food systems, from microorganisms that produce the nutrients needed for plant growth to fungi that attack insects and defend plants from there negative effects, at one side of the spectrum, while plant disease and pests that are antagonist to cultivar may diminish or ravish entire crops. Because these life systems depend on each other and on the environment, uncertainties arise. The complexity of food systems and there dependence of so many uncertain factors affects the supply availability of the key raw materials needed in food production, be it fresh cultivars or minimally processed animal products. Availability in quality and quantities change continuously and many times rapidly without warning. As mentioned before demand is not only influenced by the source of the products, this is to say the supply side of the equation, consumers influence demand as well and consequently the food supply chain as a whole.

Social Conditions Social conditions of consumers play a large role on the food supply chain given that demand is also a social-economic phenomenon. As societies change and cultures become westernized food demand is changed. Places like China and India, where population are very large, when one compound small changes in their diets this changes become large changes in food supply and demand in the global stage. For example, according to FAO’s database1 China consumed 20,000,000 tonnes of chicken meat in 1975, and in 2015 this has grown to just under 100,000,000 tonnes, this is a substantial growth that influences the world inventory of animal meat at a global scale. This is a reflection of a general population growth (see Fig. 1) as well as a growing middle class that desires a high protein diet for their families.

1.2 1.1 1 0.9

median 80% prediction interval 95% prediction interval observed +/- 0.5 child 60 sample trajectories




Population (billion)





China: Total Population

1950 1960 1970 1980 1990 2000 2010 2020 2030 2040 2050 2060 2070 2080 2090 2100 Figure 1 Population growth in China. Source: United Nations, Department of Economic and Social Affairs, Population division (02-2018) https:// esa.un.org/unpd/wpp.


Food Supply Chain Demand and Optimization

Societal change also occurs in more developed countries, like those in Europe and North America, where consumer behavior has also been shifting towards biological and organic food products. This tendencies arise from new consumer awareness with the advent of eco-labeling and access to information that formerly where not as readily available as today. Making consumers increase their requirements on quality attributes related to human and environmental health. Growing demand for lower carbon foot-print products, and organically grown and healthier foods also apply a force on demand and thus on supply chains and their design.

Economic Pressures All of these natural and human factors apply pressure on the global economy of food. Food economy is in this sense sensitive and volatile. Processed food industries have to continuously cover risk through different means. In some cases where commodities play a large role, say for example bread production that depends on grain commodities, bread makers may use financial instrument to guarantee raw materials supply at a given price through hedging, futures and commodities markets. While other types of products such as fresh fruit may use different strategies. Given the perishable nature of fresh fruit products, market prices continuously changing creating markets for speculation, the use of insurance or contract farming are implemented. The laws of supply and demand react to many of the factors and pressures mentioned before, and create virtuous and vicious cycles that can amplify changes in the market. These changes in turn can have a whip-effect on the supply chain where overcompensation in decision making may lead to sizable errors. Take for example a rise in demand of avocados during a period that is out of seasonality, say the summer Olympics produce an unexpected surge in demand, the rise in demand may be speculated to stop rising so venders try to cover the demand by asking supplier to cut fruit early or late in the season, and producers read this queue and decide to cut to produce availability, this saturates the international inventory and thus the balance of supply and demand shifts with losses to those that overreacted to the market queues. Those further away from the information source, usually farmers, are the worse off. In both cases, developed and emerging economies, a third important factor plays a key role: innovation. Innovation in food production continuously provides new means to produce, process, transport, sell and distribute food products in deferent more efficient ways. Innovation is in this way an escape valve to some of the demand pressures that society applies on variety, quantity and quality demands on food supply chain networks.

Transversal Factors in Food Supply Chain Optimization Innovation, Design and Technology Product design: Food products such as fresh fruit, processed foods, and beverages have different designs. These can be related to the product that is to be bodily consumed by the consumer, for example frozen fruit, dehydrated fruit, packaged fresh fruit, etc.; design can also be related to the packaging and bottling technologies used, for example glass bottle, paper trays, plastic bags, among many others. It can also relate to the different presentations for the consumers comfort, say for example fruit on a wooden stick, in powder form, etc. These are but a few of many food product design categories. Each used to help satisfy one or more objectives, this is to say, extend the shelf life, ease of consumption, logistic cost minimization, and may be simultaneously achieved through the products design, e.g. dehydrated mango vs fresh mango, the first has a long shelf life and is lighter to transport than the second, while fresh mango is highly perishable and requires cold or cool chains and careful handling. One design factor or design attribute that has recently been included is related to environmental impact and sustainability, think of organic foods. This last point is described in more detail in the next section. Process design: For all cases mentioned in the previous paragraph a process design decision is interdependent to the product design strategy being pursued. Taking organic foods as an example, this attribute is obtained by adhering to strict production process rules implemented at the agricultural level (i.e. restricted use of agrochemicals, among other inputs), and the processing process (e.g. restricted use of animal lard based lubricants for machinery). Thus product and process design are intertwined in the design decision framework. Distribution channels and marketing innovation: Product and process design also influence distribution channels and marketing strategies. In the case of distribution channels food chains may be cold, fresh or indifferent to environmental conditions, depending on the food or beverage presentation. Thus the distribution channels capacity to maintain the required handling characteristics is of essence to maintain a healthy and quality product. The product/process design also influence marketing and vise versa. Market research may suggest consumers demand a certain attribute, for example environmentally friendly foods, thus the product and process design process adds objectives and restrictions during the design process. For example, if two technologies to stabilize the bacteriological charge of a given food use different types of energy (e.g. heat for pasteurization and pulse electric field pasteurization) each technology would have a different environmental footprint, making the product more or less marketable to environmentally friendly consumers. This could be applied to other attributes such as nutrient content, taste and color, etc. that are affected by the product/process design.

Sustainability Organic farming and food production: an important issue in food production and environmental sustainability and food safety is related to the techniques and inputs used in the production process. In the farming stages of food production, the use of certain

Food Supply Chain Demand and Optimization


chemicals have been linked to the damage of the natural environment and to health risks, thus some consumer markets demand products that avoid these technologies during the food making process. The use of labels help inform the consumer of this trait and value is added to the product concurrently. Although this may be an important strategy to address social and environmental needs for more environmentally friendly and healthier products, there are other ways this can also been done for example green supply chain management. Green Supply Chain Management: in the case of environmentally friendly foods, there has been a push my consumers, producers and scientist towards the design of Green Supply Chains. These supply chains take into account, in there operational performance, environmental impact measurements. This is mostly done through Life Cycle Assessment strategies or related Environmental Assessment techniques (Miranda-Ackerman et al., 2017). Through these techniques impacts such as CO2 emissions, acidification, eutrophication, among others are estimated, and design and performance can be adapted to minimize these environmental damage indicators. The use of green supply chain design tools may hold an important means to minimize environmental impact of food production at all stages, especially those beyond the agricultural stage (Miranda-Ackerman and Azzaro-Pantel, 2017). Other important strategies related to Green Supply Chain Management are Closed Loop Supply Chain Management, that focuses on maximizing the use of resources by using waste in one link in the chain as an input in a different link within the same supply chain; and Reverse Logistics, that applies principals of recycling and reutilization to the supply and product design process, think of returnable glass bottles for beverages.

Social Responsibility Corporate social responsibility (CSR): Industry led initiatives such as CSR labels are a means to add value to products. Where manufacturing companies and corporations that maintain minimum standards related to social responsibility obtain accreditation of this achievement. The activities that CSR labels may represent vary, one example is the promotion of education and human development of the communities where the labor force come from. Fair trade: Similar to other primary industry dependent production processed, such as mining, farming and food processing largely depends on the farming work of, many times, economically marginalized segments of society. These farm workers have for many years been subject to low wages and inadequate working conditions, this has been changing for the better in recent decades. Fair trade certifications provide a means to inform the product consumer that the production process has been verified and certified to meet basic economic and working condition requirements for the farmers and related labor force in the production of the food being sold and consumed.

Food Supply Chain Optimization Product and Process Design One very important issue that is sometimes overlooked my management literature is the need to reflect on the different types of products and processes that are used in food supply chains. Food products are diverse and come in a range of presentations. Many food products are in a fresh presentation such as fruit in the produce section or minimally processed form such as “Ready-to-eat” packaged salads. These types of products have a supply chain network design that is rather simple compered to more complex processed foods, such as frozen pizza or microwave ready dinners. The former, nevertheless requires technologies during the cultivation and handling that are difficult to maintain such as certifications and strict norms related to food safety and quality. Modified atmospheres in fright transport, cold chains, cool chains, traceability all play an important role in the design and management of fresh food supply chains. The technical requirements of different food products change the design requirements of the supply chain. Take for example orange juice concentrate production, where oranges coming from different orchards are processed through washers, sorters, cutters, presses, centrifuges, pasteurizers/bacteriological stabilizers, evaporators, packagers, mixers, bottlers among other equipment and unit operations, that require energy, water and a local supply of oranges. The selection of the equipment will depend on the scale, energy availability and locations of raw materials and consumers (see Fig. 2).

Food Supply Chain Design Medium and large size companies can evaluate the different sources of pressure that influence the performance of their value chain. By doing this managers and decision makers can model, evaluate, design and test different food supply chain configurations. This can be done at different levels: operational, tactical and strategic. Operational design decisions are related to short term planning such as scheduling operations and controlling inventories. Tactical design decisions are related to medium term planning such as inventory policies, pricing strategies, procurement improvements, raw source mixing, while strategic design decisions are long term high capital cost investments such as packaging equipment, product design, and production process machinery, transportation and handling. In order to model the FSC design decisions different technics are available for the different levels of detail, scope and timeframes. For operational and tactical decision making discrete event simulation, computational statistics and operations research models can


Food Supply Chain Demand and Optimization

Energy cost Water cost Agriculture operations cost

Fruit yield

Energy source

Land area Figure 2

Regional limit

Distance to market

Food production systems and sources of pressure.

be used to evaluate the design alternatives. For strategic decisions, i.e. long-term time horizons, a combination of techniques have to be used in order to integrate management judgment, product and production design and supply chain network design. Common strategies use many different tools at different levels, integrated to large mathematical programing models that can be solved through exact or probabilistic technics. Some commercial software exists for such operations, but much of the work is still done with in-house developed software and algorithms, integrating information from marketing, sales, operations, procurement, regulatory affairs, quality assurance, manufacturing, logistics and many other departments, into systems that integrate and create functional relationships between uncertain variables, decision variables and parameters, that interact and are reflected in the response variables linked to key performance indicators.

Optimization and Demand Satisfaction In order to model and optimize the food production systems supply chain networks some mathematical modeling techniques have been developed. One that is often used given the nature of supply chain and logistic network design requirements to reach different objectives and the restrictive configurations of solutions (e.g. routes, scales, design strategies, regulations, etc.) is the Multiobjective Optimization (MOO) model (Collette and Siarry, 2003). The general representation of a multiobjective optimization problem is as follows: min ½f 1 ðx; y; zÞ; f 2 ðx; y; zÞ; .; f n ðx; y; zÞ s:t: gðx; y; zÞ  0; x ˛ Z; y ˛ f0; 1g; z ˛ R


This formulation (see Eq. 1) involves a set of objective functions from 1 to n to minimize, subject to a set of inequality constraints (g) where the variables are defined as (x) for integer, (y) for binary and (z) for real. Through this general structure a complex model can be developed to reflect some key strategic decisions for food production systems. Models such as this compact the possibilities and options that can be chosen, and allows the use of mathematical and computational techniques to find supply chain network design alternatives and best trade-off solution. The problem formulation and modeling strategy that have been proposed for food supply chain network design and optimization have been derived and adapted from chemical processing industry supply chain modeling proposed by (Guillén-Gosálbez and Grossmann, 2009; Hugo and Pistikopoulos, 2005). As food supply chain network design strategies have evolved into its own field, new approaches and case studies have been developed (Miranda-Ackerman et al., 2017). The latter research article proposes an approach targeting characteristics of a globally sourced food supply chain system. It addresses the issue of greening the supply chain, by formulating the problem as a supply chain network design (SCND) problem. It is based on finding the optimal configuration of a four-echelon supply chain (supplier-production-packaging-market; see Fig. 3) with the aim at optimizing criterion, simultaneously taking into account the preferences and objectives of the principal stakeholder (e.g. Focal Company, consumer market, society, etc.) The concrete decisions that are evaluated are related to suppliers and to the supply chain network configuration.

Supplier Echelon At this stage a set of compounded questions are formulated composed by (a) the selection of raw material procurement region, i.e. the region that houses the set of suppliers that will be considered to be selected. This question is relevant, given that each producing

Food Supply Chain Demand and Optimization

Figure 3


Example of a food supply chain network.

region has its own characteristics, related to orchard performance, environmental performance, and costs; (b) secondly, the supplier selection holds an important role, given that each supplier provides a range of capability that may be selected in order to produce the necessary raw material production to satisfy the next stage of production; (c) lastly, the selection of the agricultural practice technique to be used in the field, this is central to the approach, given that it is the first and determinant decision to satisfying the minimum requirements related to food safety and quality to access attractive consumer markets.

Production Echelon In this stage of the supply chain an interconnected set of questions are formulated. First the location of the processing plant, this is to say the region. The region must be the same as that of the supplying orchards, given that, initial processing is performed near raw materials providers, thus the selection of region affects directly both the possible effects the location may have on supplier performance, but also on the initial processing of raw materials. The location for example, determines such important factors as type of electric power production mix (regions where electricity is produces by geothermal means may perform better environmentally than those from that use coal powered electricity generation plant), energy cost, water cost, wages, etc. The other important question that must be answered is the capacity to be installed at the plant location formulated as a scaling estimation. It is indirectly determined by the market demand and product mix per market, which is further downstream in the supply chain. Another important issue at this initial processing stage is related to some key process equipment selection that in many cases maybe energy intensive (such as thermal pasteurization and freezing) leading to a technology selection problem. In Fig. 4 a representation is given on the decision flow in relation to materials flow, where we see at the top a rude representation of the scaling or capacity problem. Fig. 4 helps illustrate inputs and outputs and some choice routs that can be taken. In the far left the inputs to the processing plant two arrows represent the flow of raw materials supplied to the plant, where a fraction is then processed through Process 1 and sent out as an intermediate product with the characteristic of being organic or conventional, and in both cases pasteurized (assuming that Process 1 is a pasteurization process). While the remaining fraction of raw materials processed further in Process 2 (say a concentration step). This leads to a processing and product mix problem formulation.

Packaging and Market Echelons In this section a similar combination of questions is formulated, the first is the location of the Packaging/bottling plant. This question is important in that it takes into consideration the distances of the final stretch from the packaging/bottling plant to the distribution center or broker. In Fig. 5 we see the decision flow of the network configuration alternative in dark black, where there are two market regions that have within them a set of possible packaging/bottling plant locations, and a set of markets that this plant will satisfy. Each plant location has a different distance to each target market, and a single plant location can be selected (assuming it is either a plant capacity increase or a new plant installation). Secondly, and not illustrated through any figure, a technology selection process can also take place at the packaging/bottling plant, e.g. glass, carton or plastic bottle. This is to say, a similar formulation to the one formulated in the Process Echelon section,


Food Supply Chain Demand and Optimization

Figure 4

Technology selection example with materials flows.

Figure 5

Logistics network of possible routes.

Food Supply Chain Demand and Optimization


Figure 6 Production mix illustration of 4 final products based on organic and conventional raw materials, and pasteurization and concentration processing options.

which is depicted in Fig. 4, can be made. Lastly, a determination of the demand that will be fulfilled for each market per type of product in a product family. In other words, given the limited resources one can invest in adding capability to a production system, some markets and product demands will be more profitable and sustainable than others, and thus need to take priority against other less performing alternatives. This is important given that an allocation of resource along the full supply chain will depend on the benefits of satisfying certain market regions with certain product types. This is represented by the scaling of “demand silo” that represent the range of possible mix of production capacity (shown in the left section of Fig. 6) that distributed along the different product types and target markets (at the right of the figure) in product mix distribution as histograms. The methodology here presented can be generalized to different food supply chain. There are some issued that need to be taken into account when starting to evaluate a food supply chain optimization problem. Here are some questions that maybe important to know or answer:

• • • • • •

Raw materials are obtained from a single sourcing region (i.e. country) or many locations? Due suppliers work through contract farming schemes or other types of schemes? Is the food supply chain of a single product range or family or multiple products and presentations? What are the market requirements of the target consumer market? What are the presentation preferences and quality attributes that are most valued by the potential customer? Should production be centralized adding economic and environmental cost related to logistics, but obtaining economies of scale and local control? or should it be distributed near consumer markets in small production units minimizing transport and handling, but adding complexity to the supply chain? Each processing step is evaluated with the possibility of choosing from a set of technology alternatives that have different energy and performance characterizations? What attributes should be considered when choosing which technology to use? Some important ones are: energy consumption, waste and efficiency, maintainability and reliability, ease of use, etc. The SC network are usually evaluated in trimester and per annum terms, but the global time horizon is set in terms of technology useful life, this is to say the life of an equipment or factory may be 5–30 years, so strategic decisions should be made investing in quality information to have a solid foundation for the supply chain alternatives being considered.

Conclusion Food supply chain optimization is continuously changing in par with the development of new technologies, and environmental and social change. New tendencies such as big data, internet of things, artificial intelligence, advances in materials science, among other improvements change the way food supply chain may look in the future. Social, environmental and economic pressure will also change food demand, and will influence the types of foods and presentations that will be produced. In order to secure food production to satisfy growing demand, while maintaining or recovering in the environmental front, will require a conscious effort to improve and optimize food supply chains in terms not only of economic and operational performance, but social and environmental ones. The use of organic and carbon foot-print eco-labels, social justice labels, and other means of informing consumers will need to become a means of internalizing many cost that have overwhelmingly been considered externalities to food companies. Sustainable consumption and public policy is and will be required to accelerate the rate of change.


Food Supply Chain Demand and Optimization

Hopefully overpassing the rate at which climate change is depleting the natural landscape form which food is produced, and the rate at which food shortage is becoming more pressing as demographics and world economics continuously evolve.

References Chopra, S., Meindl, P., 2001. Supply Chain Management: Strategy, Planning, and Operation. Prentice Hall. Collette, Y., Siarry, P., 2003. Multiobjective Optimization: Principles and Case Studies. Springer Science & Business Media. Guillén-Gosálbez, G., Grossmann, I.E., 2009. Optimal design and planning of sustainable chemical supply chains under uncertainty. AIChE J. 55, 99–121. https://doi.org/10.1002/ aic.11662. Hugo, A., Pistikopoulos, E.N., 2005. Environmentally conscious long-range planning and design of supply chain networks. Recent advances in industrial process optimisation Recent advances in industrial process optimisation J. Clean. Prod. 13, 1471–1491. https://doi.org/10.1016/j.jclepro.2005.04.011. Hugos, M.H., 2003. Essentials of Supply Chain Management. John Wiley & Sons. Mentzer, J.T., DeWitt, W., Keebler, J.S., Min, S., Nix, N.W., Smith, C.D., Zacharia, Z.G., 2001. Defining supply chain management. J. Bus. Logist. 22, 1–25. https://doi.org/10. 1002/j.2158-1592.2001.tb00001.x. Miranda-Ackerman, M.A., Azzaro-Pantel, C., 2017. Extending the scope of eco-labelling in the food industry to drive change beyond sustainable agriculture practices. Modeling the impact of human activity, behavior and decisions on the environment. Marketing and green consumer J. Environ. Manage. 204, 814–824. https://doi.org/10.1016/j.jenvman. 2017.05.027. Miranda-Ackerman, M.A., Azzaro-Pantel, C., Aguilar-Lasserre, A.A., 2017. A green supply chain network design framework for the processed food industry: application to the orange juice agrofood cluster. Comput. Ind. Eng. 109, 369–389. https://doi.org/10.1016/j.cie.2017.04.031.

Further Reading Ahumada, O., Villalobos, J.R., 2009. Application of planning models in the agri-food supply chain: a review. Eur. J. Oper. Res. 196, 1–20. Bourlakis, M.A., Weightman, P.W., 2008. Food Supply Chain Management. John Wiley & Sons. Pullman, M., Wu, Z., 2012. Food Supply Chain Management: Economic, Social and Environmental Perspectives. Routledge.


United Nations, Food and Agriculture Organization, FAOSTAT (02-2018) http://www.fao.org/faostat/.

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products Through Membrane-Based Technologies Roberto Castro-Mun˜oza,b,c, a University of Chemistry and Technology Prague, Prague, Czech Republic; b Institute on Membrane Technology, Rende (CS), Italy; and c Universidad de Zaragoza, Zaragoza, Spain © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Membrane-Based Technologies: The Emerging Tool to Recovering High-Added-Value Compounds from Agro-Food By-Products Current Uses of High-Added-Value Compounds Extracted From Agro-Food By-Products Economic Framework of Membrane-Based Technologies in Agro-Food By-Product Fractionation Chapter Summary References

465 465 466 472 473 473 474

Nomenclature MF Microfiltration UF Ultrafiltration NF Nanofiltration TMP Transmembrane pressure MWCO Molecular weight cut-off MW Molecular weight OMWs Olive mill wastewaters NWs Nixtamalization wastewaters AWs Artichoke wastewaters OPL Orange press liquor TOC Total organic carbon RO Reverse osmosis OD Osmotic distillation

Abstract Typically, the various agro-food by-products of the food industry are treated by standard membrane-based technologies, such as microfiltration (MF), ultrafiltration (UF) and nanofiltration (NF). Recently, however, the separation, fractionation and concentration of high-added-value compounds, such as phenolic compounds from agro-food waste, can be performed by using these technologies which are capable to reach such recovery task. Indeed, UF membranes are able to separate, recover and concentrate macromolecules of relative high molecular weight from aqueous systems, while NF membranes are able to fractionate, recover and concentrate selectively micromolecules of low molecular weight. The goal of this chapter is to provide a critical overview of the main agro-food by-products processed by membrane technologies for the recovery of phenolic compounds, their derivatives of different molecular weight and some other compounds. An outlook is given concerning to separation processes, molecule properties, membrane characteristics and other interesting phenomena that occur during their recovery. Finally, an economic framework of the membrane-based technologies in agro-food by-product fractionation is provided.

Introduction Currently, the final disposal of agro-food by-products has become a major challenge for food processing industries due its potential impact on the environment. Different methods have been used to deal with this problem, such as decantation separation, dissolved air flotation, de-emulsification, coagulation and flocculation, all of which aim to reduce the organic matter from aqueous waste (Cheryan and Rajagopalan, 1998). Recently, membrane-based technologies, such as micro- (MF), ultra- (UF) and nano- (NF) filtration, have been applied to the treatment of agro-food by-products i.e. wastewaters. These pressure-driven membrane techniques

Encyclopedia of Food Security and Sustainability, Volume 1




Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products

have several benefits such as high separation efficiency, easy scale-up, simple operation, high productivity in terms of permeate fluxes, and the absence of phase transition. Collectively, these advantages facilitate the recovery of high-added-value compounds (Cassano et al., 2011). For this reason, these techniques have been used on various scales, ranging from macroscopic pretreatment (MF) to the use of separation, fractionation and concentration techniques (i.e. UF, NF) (Galanakis, 2012, 2015; Castro-Muñoz et al., 2017a). Different classes of high-added-value compounds have been recovered from agro-food byproducts, such as antioxidant components, carbohydrates, betalains, anthocyanins, flavonoids, sugars, pectins, proteins and phenolic compounds (Castro-Muñoz et al., 2015a, 2017b; Galanakis, 2015). In the case of phenolic compounds and their derivatives in particular, there is great interest in identifying new sources and tangible methods for extracting them from such sources. However techniques, such as hot-water extraction, solvent extraction, irradiation-assisted extraction, adsorption, ultrasoundassisted extraction, enzyme-assisted extraction and supercritical fluid extraction, have not produced sufficiently positive results. The degradation of phenolic compounds usually occurs due to their low stability at high temperatures, long extraction times and the need for solvents (Conidi et al., 2014b). Phenolic compounds are of particular interest for the food and pharmaceutical industries due to their benefits to human health. With their antioxidant activity, they can offer protection against the development of cancers, cardiovascular diseases, diabetes, osteoporosis and neurodegenerative conditions (Pandey and Rizvi, 2009). As the secondary metabolites of plants, these compounds are widely found in vegetables (artichoke, olive, maize, etc.), fruits (grapes, apple, pear, cherries, berries, etc.), beverages, cereals and other foodstuffs. Nevertheless, there is strong evidence that such valuable compounds can also be present in several agro-food by-products (Castro-Muñoz et al., 2016a), such as artichoke (Conidi et al., 2014b), nixtamalization (Castro-Muñoz and Yáñez-Fernández, 2015), olive mill wastewaters (Cassano et al., 2011, 2013) and orange press liquor (Conidi et al., 2012), to mention just a few. These by-products could be a new source for the recovery of phenolic compounds, their derivatives and some other valuable solutes leached from both industrially-processed natural products and their wastes. The aim of this chapter is to provide an overview of the high-added value compounds (mainly phenolic compounds) that have been recovered from agro-food by-products by using membrane-based technologies.

Membrane-Based Technologies: The Emerging Tool to Recovering High-Added-Value Compounds from Agro-Food By-Products Nowadays, the application of membrane-based technologies is not only focused on pollution removal, but also on the recovery of high-added-value compounds from agro-food by-products, which is actually one of the current roles of the pressure-driven membrane techniques (Castro-Muñoz et al., 2017b). For instance, the recovery of phenolic compounds from olive mill wastewater (OMW) has been the most studied (Mudimu et al., 2012; Rahmanian et al., 2014; Conidi et al., 2014a; Cassano et al., 2016). Russo (2007) proposed a membrane process for the selective fractionation and recovery of polyphenols from raw OMW extracts. The processing of these extracts using MF and UF processes resulted in permeates with different polyphenolic fractions containing hydroxytyrosol (134,879–266,679 ppm), tyrosol (7968–11,218 ppm) oleuropein (7765–26,698 ppm), caffeic acid (10,570–21,982 ppm) and protocatechuic acid (8871–22,601 ppm). It is clear that by-products coming from olive processing industries are an important source of nutraceutical components, the proposed process was not efficient enough to reject the components due to their low molecular weights, which are between 138–540 Da (Bendini et al., 2007; Drynan et al., 2009). As the final step, there were proposed NF and Reverse Osmosis (RO) operations for the fractionation and concentration of the phenolicenriched permeate, respectively. A considerable increase in phenolic content was achieved using these NF membranes; various fractions with a high phenolic content (1369–9962 mg L1) were obtained from a feed solution with a low polyphenol content of about 725 mg L1. It is important to highlight that a UF pretreatment process was used prior to NF process (Paraskeva et al., 2007). Later, Galanakis et al. (2010) clarified OMWs by using four different UF membranes, showing that the membrane most efficient for the removal of the heavier fractions of hydroxycinnamic acids and flavonols was the 25 kDa membrane. Using this membrane, almost all of the initial phenolic compounds were recovered in the permeate stream (retention 10%). While, the use of NF membrane (120 Da) led to obtain high retention of phenolic compounds (70% retention, including 99% recovery of the initial hydroxycinnamic acids and flavonols). Concerning to high flavonol retention, this group of micromolecules is formed by monomers such as procyanidin, quercetin and kaempferol, all of which have hydroxyl groups (OH) that provide negative polarity to the micromolecules. This characteristic, a well-known phenomenon termed ‘polarity resistance’, enables the attraction of water molecules and the restriction of membrane permeation (Galanakis, 2015). Cassano et al. (2011) also evaluated different UF membranes for the recovery of phenolic compounds. They used first a MF pretreatment in order to remove suspended solids that cause fouling phenomena and to enhance the performance of UF membranes. All of the reported membranes displayed low rejection of total polyphenols, meaning that the phenolic compounds were collected in the permeate fraction. Within these nutraceuticals several derivatives such as hydroxytyrosol, protocatechuic acid, caffeic acid, tyrosol and p-coumaric acid were found. Tyrosol was the main compound in the OMW extracts, accounting for 53.5%–68.2%. Moreover, the permeate fractions showed high antioxidant activity ranging from 3.1 up to 7.7 mM Trolox, which is expected based on these low molecular polyphenols regularly show high antioxidant activity (Tuck and Hayball, 2002). Using integrated membrane processes can efficiently perform the fractionation task of agro-food by-products. An integrated membrane process involves the use of multiple membrane techniques in sequence, the main aim of the approach being to reduce

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products


the occurrence of fouling phenomena in the subsequent membrane steps by prepending high pore size membranes. Cassano et al. (2013) tested this approach for the fractionation of OMWs; basically, the design was the sequence of two UF processes followed by a final NF step. The proposed design was able to fractionate the by-product in 3 valuable streams: (i) a concentrated fraction with a high content of organic substances (UF retentate) suitable for other biotechnological applications (e.g. biogas production); (ii) a concentrated fraction rich in phenolic substances (ca. 960 mg L1; NF retentate) suitable for food, cosmetic and pharmaceutical applications due to the main phenolic compounds identified being hydroxytyrosol, tyrosol, caffeic acid, pcumaric acid, catechol and protocatechuic acid; (iii) water with a low total organic carbon (TOC) content (95 mg L1; NF permeate) that can be reused in different ways within the olive oil extraction process. The recovery of these phenolic micromolecules depends on the narrow pore size of the membrane used, but the nature of the molecules also plays an important role. Phenolic compounds present aromatic rings and aliphatic chains that produce a hydrophobic profile increasing their volume Furthermore, these solutes attract also water molecules that increase the volume of the molecules, restricting the permeation performance through membrane pores due to the “polarity resistance” phenomenon (Galanakis, 2015). Garcia-Castello et al. (2010) also recovered phenolic fractions from OMWS; in their study, almost all of the initial polyphenols were recovered (319 mg L1) in permeate from the NF step (the extract was microfiltered in order to reduce the suspended solids). Although the NF membrane rejected about 5% of the initial phenolic compounds, specific components, including hydroxytyrosol, tyrosol, caffeic acid, p-cumaric acid, protocatechuic acid and oleuropein, were found in the fraction. Furthermore, large quantities of some other low molecular phenolic derivatives were recovered. Typically, when the high-added-value components are diluted in large volumes of aqueous streams (e.g. fractions coming from large pore size UF membranes), other membrane-based technologies can be used for their concentration, e.g. osmotic distillation. (OD). Garcia-Castello et al. (2010) achieved a phenolic concentration of 985 ppm through using OD. Additionally, reverse osmosis (RO) has also been used to concentrate total phenolic components, such as 3,4-dihydroxyphenolethanol (3,4-DHPEA), p-hydroxyphenolethanol (p-HPEA), oleuropeinaglycone dialdehyde (3,4-DHPEA-EDA) and verbascoside, as well as some volatile components (aldehydes, alcohols and esters). However, in this scenario, MF and UF technologies are needed to remove other undesirable components from OMWs (Servili et al., 2011a). Conversely, when the concentration of phenolics is not required, the diluted components can be used as feedstock for the production of other valuable components; for example, Conidi et al. (2014a) catalyzed oleuropein (544 mg L1) obtained from MF and UF processes to produce phytotherapeutics. So far, the most widely studied agro-food by-product is OMW (Cassano et al., 2016), but other by-products have been also investigated. For example, phenolic compounds were extracted from grape seeds using ethanol-water extraction (Nawaz et al., 2006). The ethanol solution rich in phenolics was processed by UF prior to valuable compounds being concentrated and recovered in the retentate stream. Nawaz et al. concluded that the solubility of bioactive compounds is enhanced in ethanol (organic solvent) mixed with water rather than in just pure water. Furthermore, they corroborated that UF membranes can reject solutes with a MW of around 1000 Da. This supports Galanakis’s (2015) idea that it is the asymmetry of the membrane’s pores that enable it to reject components under this MW. Also, hydrophobic membranes can interact during the processing of aqueous and hydro-alcoholic streams containing phenolic compounds that exhibit hydrophilic behavior (Crespo and Brazinha, 2010). The winemaking is another food processing industry that produce large amounts of various by-products, such as grape seeds, fermented grape pomaces, lees and liquors. Díaz-Reinoso et al. (2009) developed a membrane system to recover the antioxidants (phenols) from liquors. They used UF and NF membranes with narrow pores size to concentrate the phenolic fractions, recovering fractions with phenolic concentrations of 0.615 to 1.09 mg L1 from an initial extracts containing 0.173 mg L1. In fact, using such technologies, phenolic compounds can be concentrated three-to six-fold. Polymeric resins can purify such retentates in order to slightly increase the phenolic concentration (Díaz-Reinoso et al., 2010). Another derivative by-product of the winemaking industry is winery sludge, which is generated during wine decanting. Using UF membranes, Galanakis et al. (2013) were able to separate phenolic fractions from pectins contained in the by-product. Up to 99% retention of the phenolics was achieved for the most polar phenolics, such as o-diphenols and hydroxycinnamic acids. These interesting results show that the polarity of the solutes plays an important role in their separation; namely, o-diphenols are more polar (negative) molecules than the other polyphenols due to the presence of more hydroxyl groups (Galanakis, 2015). Several phenolic compounds have also been recovered from different types of agro-food by-products (Castro-Muñoz et al., 2016a, 2017b). Using NF membranes, Aguiar et al. (2012) recovered chlorogenic acid (101 mg mL1), epigallocatechin gallate (882 mg mL1) and gallic acid (15.7 mg mL1) from extracts of bark of the mate tree. Conidi et al. (2012) used nanofiltration for their recovery and concentration of anthocyanins and flavonoids from orange press liquor (OPL), a by-product of the citrus processing industry; the fractions contained 4395 and 465 ppm flavonoids and anthocyanins, respectively. Anthocyanins have a positive polarity that is associated with their high number of aromatic rings and hydroxyl groups (Sikorski, 2002), although the most common monomer (malvidin 3-glucoside) is weakly positive (Giusti et al., 1999). However, the partial polymerization of anthocyanins, coupled with their hydrophobic nature, influences the process of their separation (Galanakis, 2015). Moreover, RubyFigueroa et al. (2011 and 2012) demonstrated that UF membranes could also be used to recover nutraceutical compounds; they showed that a rejection of up to 57% of the initial content of the components could be reached. Nevertheless, because the performance of these membranes is not the best, it is usually applied as a pre-treatment for solutions with a high content of low molecular weight polyphenols. For example, Cassano et al. (2014) used NF membranes as a pre-concentration step for OPL, obtaining 15.42 and 62.16 g L1 anthocyanins and flavanones, respectively. Specific solutes, such as cyanidin-3-glucoside chloride, myrtillin chloride and peonidin-3-glucoside chloride, were identified in the anthocyanin fraction. Prior to this study, proanthocyanidins and isoflavones had been recovered by other researchers. For instance, Proanthocyanidins were obtained from grape seeds using a UF


Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products

membrane (Santamaría et al., 2002). On the other hand, Xu et al. (2004) separated isoflavones from a new agro-food waste, wastewater from the processing of soy. Isoflavone glucoside and isoflavone aglycone were identified and recovered in concentrations of 0.0680 and 0.0168 mmol g1, respectively. Other agro-food by-products have been explored aiming the separation of phenolic fractions. For example, Artichoke wastewaters (AWs) were also fractionated using an integrated membrane process (Conidi et al., 2014b). Three valuable streams were produced, in one of which cynarin, chlorogenic acid and apigenin-7-O-glucoside were obtained at high concentrations of 412, 612 and 400 mg L1, respectively. Moreover, this fraction presented high antioxidant activity (almost 40 mM Trolox), which, as a nutraceutical component, the author suggested may be of interest to the cosmetics and food industries. The permeate stream from the final separation step did not contain any phenolic and sugar components, the authors proposed potentially the stream for reuse during artichoke processing or membrane cleaning. While chlorogenic acid and apigenin-7-O-glucoside can be purified by specific methodologies, such as the use of polymeric resins, prior treatment is needed. Conidi et al. (2014b) processed the AWs using UF and the permeate samples concentrated by NF membrane. High amounts of these valuable compounds were recovered: 1.6 g L1 chlorogenic acid and 0.3 g L1 apigenin-7-O-glucoside. In a following study, Conidi et al. (2015) processed the NF retentate to an adsorption/desorption system in order to obtain purified fractions; these fractions displayed similar antioxidant activity (43 mM Trolox) to that reported in their 2014b study. A similar permeate was obtained to that from the NF step, but without the presence of phenolics. Thus, NF membranes are suitable for the recovery and fractionation of specific polyphenols from other high-added-value compounds. For instance, phenolics (such as apigenin, cynarin, chlorogenic acid) were separated from sugars (sucrose, fructose, glucose) from AWs using a two-step NF process (Cassano et al., 2015). The first NF step showed high selectivity towards phenols (rejection >85%), with final concentrations of 814, 898 and 1224 ppm obtained for apigenin, cynarin and chlorogenic acid, respectively. In this study, the molecular weight cut-off (MWCO) between the used membranes was too close; the first NF membrane had a MWCO of 400 Da while the second of 150–300 Da. These types of membranes are capable of separating specific micro-solutes. In the case of the 400 Da NF membrane, the hydrophobicity of the material used (polyethersulphone) was capable to efficiently reject the polyphenols (Susanto and Ulbricht, 2009). The high efficient selectivity of such membrane can be attributed to an interaction between phenolic compounds and the polyethersulphone material, as well as adsorption fouling (Galanakis, 2015; Susanto et al., 2009). More recently, an integrated membrane process was applied to recover high-added-value compounds from a typical by-product of the food processing industry. In America, large amounts of Nixtamalization wastewaters (NWs), known as ‘Nejayote’, are produced (Castro-Muñoz et al., 2017c). This agro-food by-product was processed by three steps: (i) an MF step to remove the suspended solids and reduce the organic load (Castro-Muñoz et al., 2015b), (ii) a UF step to recover the carbohydrates (Castro-Muñoz et al., 2015c), and (iii) a final narrow UF step to separate the calcium components (Castro-Muñoz and Yáñez-Fernández, 2015). The final permeate from this integrated membrane system had a high total phenolic content of 951 mg L1 from an initial phenolic content of 1190 mg L1. Correspondingly, this final permeate can be fractionated by NF membranes and concentrated by other membrane-based technologies, such as RO. This chapter has shown that UF and NF technologies have been successfully applied to recover phenolic compounds from various sources, particularly from agro-food by-products. UF and NF operations have become established technologies for the separation, fractionation and concentration of high-added-value components from agro-food wastes (Galanakis, 2012). Particularly, NF operations seem to be the most viable technology for application in the food processing industry in the coming future. Recent studies have reported several potential applications for nanofiltration, such as in water softening, vegetable oil processing, the beverage industry, the dairy industry (whey processing, lactose recovery, lactic acid separation), the sugar industry (sugar beet press water, oligosaccharide filtration) and wastewater treatment (Salehi, 2014). The latter will continue to represent a difficult challenge for industry because, as production demands increase, so too will wastewater production. Clearly, the implementation of membrane-based technologies is coming, at least for the treatment of food processing by-products. Moreover, the recovery of different high-added-value compounds will strongly support the application of membrane processes (Rahmanian et al., 2014; Galanakis, 2015). Table 1 summarizes the main high-added-value compounds recovered from agro-food by-products using the membrane-based technologies reviewed in this chapter; it also shows some specifications of the process type (single or integrated membrane process), and membranes used for such recovery. In the future, it is likely that the membrane-based technologies, such as pressure-driven membrane operations, will be focused on the separation, fractionation and concentration of high-added-value compounds. They provide more advantages for separation than typical methods, such as thermal processes and chromatographic applications, which give low yields at high operational costs. The environment will also support the continuing application and exploration of target solutes by UF and NF. It just remains to optimize and reduce the energy consumption of filtration systems, an area both researchers and manufacturers have been focusing on in recent years (Bennett, 2015). Despite this energy consumption issue, membrane-based technologies such as NF have been named as emerging technologies for the production of nutraceuticals from agro-food by-products (Galanakis, 2013, 2015). In the case of phenolic compounds, it seems more economically beneficial for industry to focus on processing by-products that represent mainly valueless garbage (Galanakis and Schieber, 2014; Castro-Muñoz et al., 2016a), the disposal of which can be avoided by the agro-food industries through the recovery of high-added-value compounds. Finally, for food-processing companies aiming to implement an integrated membrane system in order to fractionate their agro-food wastewaters, Fig. 1 provides a clear overview of how to recover specific valuable compound according to the highlighted studies reported in this review. Basically, this scheme meets the first four stages needed to achieve the “Universal Recovery Process” described by Galanakis (2015): (i) macroscopic pre-treatment, (ii) the separation of macro- and micromolecules, (iii) extraction, and (iv)

Table 1

Main high-added value compounds recovered from agro-food by-products using membrane-based technologies Agro-food by-product

Membrane-based technology MWCO/Material/Configuration


Phenolic compounds

Olive mill wastewaters Winery effluents Winery effluents Orange press liquor


Nixtamalization wastewaters

Integrated membrane process: MF UF UF NF UF UF UF NF NF NF MF UF UF UF UF UF UF UF Integrated membrane process: MF UF Integrated membrane process: MF UF Integrated membrane process: UF NF NF NF NF

Garcia-Ivars et al., 2015 Giacobbo et al., 2015 Giacobbo et al., 2016 Ruby-Figueroa et al., 2011; Ruby-Figueroa et al., 2012 Castro-Muñoz and Yáñez-Fernández, 2015; Castro-Muñoz et al., 2016b

Olive mill wastewaters Grape seeds Fermented grape pomace

Hydroxytyrosol, protocatechuic acid, caffeic acid, tyrosol and p-cumaric acid

Olive mill wastewaters

Hydroxycinnamic acids, o-diphenols

Winery sludge from red grapes

3,4-DHPEA, p-HPEA, 3,4-DHPEA-EDA, verbascoside, and total phenols

Olive mill wastewater


Olive mill wastewaters

Chlorogenic acid, Cynarin, Apigenin-7-O-glucoside

Gallic acid, chlorogenic acid and epigallocatechin gallate

Artichoke wastewaters

Artichoke wastewaters Residues from mate tree

30 kDa/Polyethersulfone/Flat sheet 0.5 mm/PVDF/Flat sheet 0.2 mm/PVDF/Hollow fiber 100 kDa/Polysulphone/Hollow fiber

0.2 mm/Polysulfone/Hollow fiber 100 kDa/Polysulfone/Hollow fiber 1 kDa/Polysulfone/Hollow fiber 200 Da/Polymeric/Spiral wound 0.22 mm/Cellulose acetate/Flat sheet 1000 Da/Thin-film/Spiral wound 1000 Da/Ceramic (titania)/Tubular 250 Da/Polyamide-polysulfone/Spiral wound 350 Da/Polyamide-polysulfone/Spiral wound 150–300 Da/Thin-film/Spiral wound 0.2 mm/Polypropylene/Tubular 4 kDa/polyethersulphone/Flat sheet 5 kDa/Regenerated cellulose/Flat sheet 10 kDa/Regenerated cellulose/Flat sheet 10 kDa/Polyethersulphone/Flat sheet 100 kDa/Polysulfone/Flat sheet 20 kDa/Polysulfone/Flat sheet 1 kDa/Composite fluoropolymer/Flat sheet 0.3 mm/Polypropylene/Tubular 7 kDa/Polyamide-polysulfone/Spiral wound 0.2 mm/Polyvinylidenefluoride/Flat sheet 30 kDa/Polysulphone/Hollow fiber 50 kDa/Polysulfone/Hollow fiber 400 Da/Polyethersulfone/Spiral wound 150–300 Da/Polyamide/Spiral wound 400 Da/Polyethersulphone/Spiral wound 150–300 Da/Thin-film/Spiral wound

Paraskeva et al., 2007 Nawaz et al., 2006 Díaz-Reinoso et al., 2009; Díaz-Reinoso et al., 2010

Cassano et al., 2011

Galanakis et al., 2013 Servili et al., 2011a,b

Conidi et al., 2014a

Conidi et al., 2014b

Cassano et al., 2015 Aguiar et al., 2012

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products

Recovered compound



Main high-added value compounds recovered from agro-food by-products using membrane-based technologiesdcont'd


Table 1

Agro-food by-product

Membrane-based technology MWCO/Material/Configuration


Free low MW polyphenols, hydroxytyrosol, procatechuic acid, tyrosol, oleuropein, tyrosol and caffeic acid, Proanthocyanidins Hydroxytyrosol, procatechin acid, catechol, tyrosol, caffeic acid, p-cumaric acid and rutin.

Olive mill wastewaters


1 kDa/Polyethersulphone/Spiral wound

Russo, 2007

Defatted milled grape seeds Olive mill wastewaters

UF Integrated membrane process: UF UF NF UF Integrated membrane process: UF NF UF UF UF UF NF NF NF

200 kDa/Polyvinylidenefluoride/Tubular

Santamaría et al., 2002 Cassano et al., 2013

Isoflavones (aglycone and glucoside) Hydroxytyrosol, procatechin acid, tyrosol, caffeic acid, p-cumaric acid, oleuropein and some other low MW polyphenols.

Soy processing waste Olive mill wastewaters

Hydroxycinnamic acids and flavonols.

Olive mill wastewaters

Anthocyanins, flavonoids

Orange press liquor

Anthocyanins (cyanidin-3-glucoside chloride, myrtillin chloride and peonidin-3-glucoside chloride), flavanones Chlorogenic acid, Apigenin-7-O-glucoside Oligosaccharides Carbohydrates Proteins

Caseinomacropeptide Alpha-lactalbumin

Orange press liquor Artichoke wastewaters Enzymatic by-product


NF NF NF NF Nixtamalization wastewaters UF Brewer’s spent grain UF UF Whey from cheese processing NF Whey from cheese processing UF Whey from cheese processing UF Halloumi chesse whey UF Corn cooking wastewater UF Cuttlefish by-product UF Soy processing waste UF Caprine whey UF Whey protein UF UF

0.02 mm/Polyvinylidenefluoride/Hollow fiber 1 kDa/Composite fluoropolymer/Flat sheet Salt rejection >97%/Thin-film/Spiral wound 1 kDa/Regenerated cellulose/Spiral wound 200 nm/Al2O3/Tubular 578 Da/Polyethersulphone/Spiral wound 100 kDa/Polysulfone/Spiral wound 25 kDa/Polysulfone/Spiral wound 10 kDa/Polyethersulfone/Spiral wound 2 kDa/Polyethersulfone/Spiral wound 120 Da/Polypiperazine/Spiral wound 180 Da/Polyamide-polysulfone/Spiral wound 300 Da/Polypiperazine amide thin-film composite/Spiral wound 400 Da/Polyethersulfone/Spiral wound 1000 Da/Polyethersulfone/Spiral wound Na2SO4 rejection > 25–50%/Polyethersulfone/ Spiral wound 200–300 Da/Polyamide/Spiral wound 1000 Da/Polyamide/Spiral wound 400 Da/Polyethersulfone/Spiral wound 1000 Da/Polyethersulfone/Spiral wound 100 kDa/Polysulfone/Hollow fiber 5 kDa/Polysulfone/Cartridge 30 kDa/Polysulfone/Cartridge 200–400 Da/Polysulfone/Cartridge 300 kDa/Ceramic (ZrO2eTiO2)/Tubular 10 kDa/Polyethersulfone/Spiral wound 100 kDa/Polysulfone/Spiral wound 5 kDa/modified polyethersulfone/Cartridge 1–4 kDa/Polyethersulfone/Tubular 5 kDa/Not reported/Not reported 10 kDa/Polyethersulfone/Cartridge 30 kDa/regenerated cellulose/Cartridge 100 kDa/regenerated cellulose/Cartridge

Xu et al., 2004 Garcia-Castello et al., 2010

Galanakis et al., 2010

Conidi et al., 2012

Cassano et al., 2014 Conidi et al., 2015 Córdova et al., 2016 Castro-Muñoz et al., 2015c Tang et al., 2009 Yorgun et al., 2008 Almécija et al., 2007 Baldasso et al., 2011 Galanakis et al., 2014 Leberknight et al., 2011 Soufi-Kechaou et al., 2016 Moure et al., 2006 Sanmartín et al., 2012 Cheang and Zydney, 2004

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products

Recovered compound


Sugars Fiber (b-glucan) Lactose Catechin and its derivatives Oligosaccharides

Kinetin, zeatin

Phenolic compounds

UF UF Pigmented citrus residue UF Oat mill waste UF Whey from cheese processing UF NF Carob by-products NF Coffee by-products NF

Artichoke extract

Coconut by-products

Olive mill wastewaters

Olive mill wastewaters

Grape marc

Catechol, hydroxytyrosol, tyrosol, caffeic acid, and vanillic acid

Adapted from Castro-Muñoz et al. (2016a, 2017b).


Grape marc

Integrated membrane process: MF NF Integrated membrane process: UF NF Integrated membrane process: UF NF Integrated membrane process: UF NF Integrated membrane process: UF NF Integrated membrane process: MF NF

4 kDa/modified polyethersulfone/Tubular

Chabeaud et al., 2009

100 kDa/Polysulfone/Spiral wound 25 kDa/Polysulfone/Spiral wound 10 kDa/Fluoropolymer/Spiral wound 100 kDa/Polysulfone/Spiral wound 150–300 Da/Thin film composite/Spiral wound 400 Da/Polyamide/Spiral wound 150–300 Da/PA-TFC/Flat sheet Na2SO4 rejection > 35–75%/Polyethersulfone/ Spiral wound

Galanakis et al., 2010

0.20 mm/Polyvinylidenefluoride/Flat sheet 150–300 Da/Polyamide/Tubular 10 kDa/Polysulfone/Flat sheet 1000 Da/Polyamide/Flat sheet Pore size 100 nm/ceramic (zirconia)/tubular MgSO4 rejection 95%/Polymeric/Spiral wound Pore size 100 nm/ceramic (zirconia)/tubular MgSO4 rejection 95%/Polymeric/Spiral wound Pore size 100 nm/ceramic (zirconia)/tubular 470 Da/Polyamide/Spiral wound Pore size 140 nm/TiO2/Tubular MgSO4 rejection 96%/Cross-linked polyimide/ Spiral wound

Scordino et al., 2007 Patsioura et al., 2011 Cuartas-Uribe et al., 2009 Atra et al., 2005 Almanasrah et al., 2015 Brazinha et al., 2015 Machado et al., 2016

Ng et al., 2015

Zagklis and Paraskeva, 2014

Zagklis et al., 2015

Zagklis and Paraskeva, 2015

Bazzarelli et al., 2016

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products


Fish fillet processing byproduct Olive mill wastewater



Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products


Agro-food by-products

100-0.2 μm UF

50-300 kDa Retentates


Anthocyanins High molecular weight polyphenols:




UF 4-30 kDa


1-2 kDa


Proteins Caseinomacropeptides Alpha-lactalbumin Peptides

Macromolecules: -Suspended solids -Carbohydrates (sugars) -Proteins -Pectins -Fibers (β-glucan)

NF 300-400 Da Retentates NF 150-300 Da

Anthocyanins Low molecular weight polyphenols: Derivated hydroxycinnamic acids, hydroxytyrosol, protocatechuic acid, catechol, tyrosol, hydroxyyrosol, caffeic acid, p-cumaric acid, rutin, gallic acid, vanillic acid, catechin and its derivatives

Oligosaccharides Proteins

Water with low organic load

Other compounds Kinetin, zeatin

Figure 1 Integrated membrane system suggested for the fractionation of agro-food by-products. Adapted from Castro-Muñoz et al. (2016a) and Galanakis et al. (2016).

isolation-purification. The fifth stage, product formation, is missing. However, the recovery efficiency of these membrane techniques depends on some other parameters being pre-defined. The use of integrated membrane operations for recovering high-added-value compounds (mainly polyphenols) has been the most applied approach, at least for OMWs (Cassano et al., 2016; Galanakis et al., 2016; Castro-Muñoz et al., 2016a). Typically, this recovery strategy involves fractionation using MF, UF and NF membranes in sequence. The MF processes is used to do the removal of suspended solids that can produce operational issues (early fouling) in the subsequent operations. The application of UF supports the removal of the macromolecules in the retentate stream while conserving the phenolics and their derivatives in the permeate stream. Finally, the NF operation enhances the recovery task by concentrating the solutes in the retentate (Cassano et al., 2016). This approach enables the recovery of at least 70% of the water volume of the starting total volume of OMWs. It is proposed that, following concentration, the permeate from these narrow membranes can be reused in industrial processes; namely, in water processing, membrane cleaning and the processing of olive mill wastewater (see Fig. 1). Additionally, these integrated membrane systems are also capable of recovering other types of high-added-value compounds, such as carbohydrates, proteins, pectins and peptides (Galanakis et al., 2016). Regarding phenolic compounds, they can be separated depending on their molecular weight and the membrane used; low molecular polyphenols are normally recovered from NF retentate, displaying phenolic recovery rates from 65 up to 100% (Castro-Muñoz et al., 2016a).

Current Uses of High-Added-Value Compounds Extracted From Agro-Food By-Products Throughout this chapter, many studies have been reported in which phenolic solutes, their derivatives and some other compounds were recovered successfully using membrane-based technologies. Despite their limited post-recovery application, some studies have proposed particular uses. For instance, Servili et al. (2011b) enriched milk beverages with phenolic compounds recovered from OMWs. The phenolic content of virgin olive oil has also been enhanced (Servili et al., 2011a). And phenolic compounds have been added during the processing of vegetable oils (Esposto et al., 2015). It is important to note that food rich in biologically active compounds has become an important choice for consumers aiming to reduce the risk of contracting specific diseases or to treat certain minor illnesses. Phenolic compounds are also important for improving the utilization of food and agricultural products (El-Shourbagy and El-Zahar, 2014). This emerging approach of re-using of polyphenols can provide a better outlook on the

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products


utilization of valuable solutes in the food industry. Consequently, phenolic extracts have started to be evaluated according to their biological properties; polyphenols recovered from OMWs (Cassano et al., 2013), NWs (Castro-Muñoz et al., 2016b) and AWs (Cassano et al., 2015) have all been tested against oxidative radicals. Thus, polyphenol recovery is of great interest to pharmaceutical companies looking for ways to produce new nutraceuticals, cosmetics and food supplements (Conidi et al., 2014b). In addition, some high-added value compounds that are also attractive for production of foodstuff (Mobhammer et al., 2005); i.e. betalains and anthocyanins, which are considered as potential natural colorants for food and pharmaceutical (cosmetics) uses (He and Giusti, 2010). It is important to note that food companies are currently looking for colorants from natural sources according to the restriction of the use of synthetic colorants, making the anthocyanin’s use even more popular. Their extraction is slight easy due to are water-soluble natural pigments (Wrolstad, 2004), once the compound is in aqueous solution, the membrane-based technologies can carry out the separation from other low molecular solutes. Finally, these high-added value compounds are attempting to be used by food manufacturers i.e. as substitutes of FD&C red #40 (allura red, E129) in foods and beverages (He and Giusti, 2010).

Economic Framework of Membrane-Based Technologies in Agro-Food By-Product Fractionation Pressure-driven technologies use high-energy consumption compared to other separation methods (Strathmann et al., 2006). The membrane as well as energy requirement represents the main cost of these processes. Generally, the high-energy requirement is due to the high-driving force needed to perform the separation. Furthermore, investment and maintenance related costs contribute often significantly to the overall process costs. Nevertheless, the relation “benefit-cost” has to be considered in these processes. The costs of high-added-value solutes such as phenolic compounds and their derivatives, anthocyanins, betalains, sugars are high based on the traditional methods applied for obtaining them; whereas their benefits into human health is highly a priority. Also, the non-use of additional phases and heating source in these membrane technologies can be an advantage for biologically active compounds aimed to human consumption (Cassano et al., 2008; Conidi et al., 2014b). Similarly, the increasing demand for active compounds stems from the growing consumers’ concern with their quality of life (Brazinha and Crespo, 2014). Furthermore, the real impact of agro-food by-products disposition has to be taken into account in order to avoid the water and environmental pollution. On the other hand, these membrane-based techniques can be reused as long as the initial properties of the membranes are kept. For example, many chemical cleaning agents are commercially available to perform efficient cleaning procedures in membranes, e.g. agents, such as alkalis, acids, metal chelating agents, surfactants, oxidation agents, and enzymes, are nowadays used (Al-Amoudi and Lovitt, 2007; Shi et al., 2014). Certainly, the membrane costs to carry out the separation, fractionation and concentration are considered as high but the cost of the recovered product usually tends to be higher. For example, the world market for flavors and nutraceutical ingredients was estimated to be V 13 billion in 2006 and the US market was projected to be V 5.5 billion in 2014 with the markets segments of food 36%, cosmetics and toiletries 27%, beverages 15%, and a forecast to rise 3% per year. In food formulations, the market tends to grow in order to compensate the present reformulation of food products towards reduced sodium, sugar and fat products. Moreover, there is a market trend for more complex, exotic and authentic (natural) flavors and fragrances (Brazinha and Crespo, 2014). The sales of membranes and modules in applications such as Water purification (wastes treatment) and Food processing were about US $ 400 million and US $ 200 million, respectively, and an increase (8%–10% per year) of membrane market is expected (Strathmann, 2001). The membrane-based technologies (UF, NF) seem to be the most profitable technology for membrane industry for their multiple applications as recovery of high-added value compounds from agro-food wastes, even this recovery would allow the industrialist to diminish the by-product treatment cost. Finally, the commercial success is a considerable indicator of the importance of the membrane processes in the industry and its market growth can suggest that membrane cost may be rather low in future providing better membrane availability. Nevertheless, it is a difficult task to provide a cost estimation of the total process due to since reported studies found in the literature are focused on investigating particular recovery stages in laboratory scale experiments.

Chapter Summary Over the course of this chapter, membrane-based technologies have been shown to be able to recover functional compounds, known as nutraceuticals, from new sources; namely, agro-food by-products. Methodologies such as UF and NF can be used to separate, fractionate and concentrate specific phenolic compounds that, according to their biological activity, have potential applications in the food and pharmaceutical industries, but some other high-added-value compounds can be recovered as well. Furthermore, compared with traditional methodologies, these pressure-driven processes are economically viable not only in terms of recovery, but also because they do not require the use of other agents or of destructive components. Thus, the recovery of high-added-value solutes from agro-food by-products is both industrially sustainable and environmentally friendly based on these by-products represent mainly valueless garbage. Additionally, the high costs of by-product disposal make it necessary for industries that use largescale production processes to focus on waste recycling. In the future, it is quite possible that governments will legislate to ensure the use of approaches such as those described herein in order to reduce water and environmental pollution.


Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products

It is likely that research and development will be focused on new implementations of NF technology as the primary tool for the recovery and concentration of phenolic compounds. However, when purification is required, the use of another technology, such as OD, RO or adsorption processes, is also needed. Nowadays, though, market opportunities for the natural extracts obtained from such processes are missing. Thus, it is high time that industry started to address this challenge in order to achieve the fifth stage of the “Universal Recovery Process”.

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Non-thermal and Innovative Processing Technologies Anet Rezek Jambrak, Faculty of Food Technology and Biotechnology, Zagreb, Croatia; and University of Zagreb, Croatia © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Non-thermal and Innovative Processing Technologies Implementation of Non-thermal and Innovative Technologies Positive and Negative Aspects of Implementation of Non-thermal and Innovative Technologies Conclusion and Future Potential References Relevant Website

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Abstract Non-thermal and innovative processing technologies are attracting great attention nowadays. The aim of those technologies is to have faster, better, cheaper, sustainable and optimal process for preservation of foods, modification of food components or to design “novel food”. Non-thermal processing techniques include: electrotechnologies, UV light, cold pressure (high pressure processing), hydrodynamic cavitation, ionising radiation, ozonation, oscillating magnetic fields, pulsed light, supercritical fluid processing, biopreservation, electrohydrodynamic processing and electron beam processing. The whole process for each purpose should be piloted by interdisciplinary approach. Scientists should design, conduct and optimise processes in the way of positive outcomes (inactivation of microorganisms, faster process, lower temperatures, low energy consumption, low carbon footprint, low energy requirements, high quality product, retained sensory properties and satisfy consumer demands). Nevertheless, negative of non-thermal and innovative technologies exists and should be reported (free radicals, abrasion of processing material in small amount, oxidative, toxicological changes etc.). Mathematical modelling, virtualisation and optimisation should be employed in design, control and optimisation purposes. Also, computational fluid dynamics should be used in order to have better insight of each process point. Hazard analysis of critical control points are also necessary tool. Also, the consumers’ awareness should for force companies to develop strategic approaches for sustainable food production and consumption across the whole supply chain. The future potential of non-thermal and innovative techniques is in interdisciplinarity, sustainability, economy and other main issues. In the window of future development, it will be necessary to combine techniques in order to have the most valuable positive effects of each technique. Scientists need to assure e3 (ecologic, economic and environmentally friendly) non-thermal process in order to replace or to improve thermal processes.

Introduction Application of thermal techniques is used for decades and non-thermal techniques are being “considered” in terms of food preservation. Non-thermal processing techniques include: electrotechnologies, UV light, cold pressure (high pressure processing), hydrodynamic cavitation, ionising radiation, ozonation, oscillating magnetic fields, pulsed light, supercritical fluid processing, biopreservation, electrohydrodynamic processing and electron beam processing. Pulsed electric fields, ultrasound, supercritical fluid processing and cold pressure (high pressure processing) have been extensively researched for the last 15 years (Fig. 1). These techniques have been applied in food processing industry in the world. They are used for “cold” preservation of fruit juices, sea foods, meat etc. After-ward in scientific area, these techniques have been extensively investigated in terms of impact on food quality, nutritive quality of food, microbiological safety (Prakash, 2013), pre-treatments before drying, freezing, for faster extraction, enzyme inactivation, sensory properties and other advantages. However, like in any process there are negative aspects that should be examined by positive advantages. There negative aspect of non-thermal and innovative food processes are formation of free radical (pyrolysis of water, electrolysis of water), changes in aroma, texture, colour etc.

Non-thermal and Innovative Processing Technologies Non-thermal and innovative processing technologies includes vast of techniques that have root in middle of 20th century. The mechanism and application in that time was for completely different fields (mechanical engineering, medicine applications, metallurgy, petrol industry etc. The application of ultrasound, UV, application of electrical discharges, were used for homogenisation, emulsification, inactivation of microorganisms, electroporation etc. The research rapidly reached in area related to chemical

Encyclopedia of Food Security and Sustainability, Volume 1




Figure 1

Non-thermal and Innovativ