Encyclopedia of Food Security and Sustainability 0128126884, 9780128126882

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ENCYCLOPEDIA OF FOOD SECURITY AND SUSTAINABILITY

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ENCYCLOPEDIA OF FOOD SECURITY AND SUSTAINABILITY EDITORS IN CHIEF

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

VOLUME 1

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

xix

Editor Biographies

xxv

Preface

xxix

VOLUME 1 Defining the Concept of Food Value Chain Pasquale Ferranti

1

The United Nations Sustainable Development Goals Pasquale Ferranti

6

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

9

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

17

Population Density and Redistribution of Food Resources Russell Hopfenberg

26

Implications of Structural Transformation for Food and Nutrition Security Sunniva Bloem

31

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

36

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

44

Codex Alimentarius Commission Cindy Cheng

50

The Concept of Planetary Boundaries Helena Kahiluoto

56

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

61

v

vi

Contents of All Volumes

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

64

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

74

Food Trade and Global Value Chain Fabio Bartolini

82

Greenhouse Gas, Livestock and Trade Dario Caro

88

Global Seafood Trade Jessica A Gephart

93

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

98

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

105

Feeding Urban Areas: Challenges and Opportunities Roberta Sonnino

110

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

114

Food Aid Kristine Caiafa and Maria Wrabel

122

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

128

Food Emergency Operations After Natural Disasters Maria Wrabel and Kristine Caiafa

135

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

142

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

149

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

165

Changing Dietary Patterns as Drivers of Changing Environmental Impacts Michael Clark

172

The Food Wastage Challenge Nadia El-Hage Scialabba

178

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

187

Greenhouse Gas Emissions Due to Agriculture Francesco Nicola Tubiello

196

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

206

Contents of All Volumes

vii

Overuse of Nitrogen Resources Albert Bleeker

212

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

218

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

223

Greenhouse Gas and Livestock Emissions and Climate Change Dario Caro

228

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

233

Food Fraud Delia Grace

238

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

249

ICT Applications in Agriculture Thomas Daum

255

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

261

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

271

New Protein Sources: Novel Foods Di Stasio Luigia

276

Novel Foods: Artificial Meat Fabio Alfieri

280

Synthetic Meat: Acceptance Adriana Basile and Pasquale Ferranti

285

Novel Foods: Insects - Technology Monica Gallo

289

Novel Foods: Insects - Safety Issues Monica Gallo

294

Novel Foods: Algae Monica Gallo

300

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

307

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

316

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

323

Food Taboos Victor Benno Meyer-Rochow

332

viii

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

336

351

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

360

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

364

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

369

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

376

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

379

Novel Foods: Allergens Luigia Di Stasio

393

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

399

Challenges of Food Security for Orphan Crops Zerihun Tadele

403

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

409

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

416

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

422

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

429

Food Process Modeling Olivier Vitrac and Maxime Touffet

434

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

455

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

465

Non-thermal and Innovative Processing Technologies Anet Rezek Jambrak

477

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

484

Contents of All Volumes

ix

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

492

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

501

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

510

Strategies for Prolonging Fresh Food Shelf-Life Susan Lurie

515

Food Rescue in Developed Countries Tamara Y Mousa

521

Food Retail in Developing Countries Matthew Kelly

530

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

534

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

540

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

546

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

550

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

556

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

1

Concepts of Stability in Food Security Jock R Anderson

8

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

16

25

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

43

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

49

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

75

Nutrition in the Elderly Yitshal N Berner

82

x

Contents of All Volumes

Nutritional Therapeutics: Neurological Disorders Rosa Burgos and Irene Bretón

90

Nutritional Therapeutics: Bone Diseases Takako Hirota and Kenji Hirota

97

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

103

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

109

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

113

Diets and Diet Therapy: Enteral Nutrition Ricardo Schilling Rosenfeld

119

Diets and Diet Therapy: Parenteral Nutrition Stefan Mühlebach

131

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

143

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

161

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

171

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

176

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

181

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

189

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

197

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

206

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

214

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

223

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

236

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

243

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

250

Contents of All Volumes

xi

Nutrigenomics Dolores Corella, Jose V Sorlí, and Oscar Coltell

256

The Role of Food Industry in Improving Health Kom Kamonpatana

267

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

275

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

283

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

292

Fats: Nutritional and Physiological Importance Lucia De Luca

302

Food Culture: Anthropology of Food and Nutrition F Xavier Medina

307

Bioactive Peptides in the Gut–Brain Axis Nicolina Virgilio

311

Hunger and Malnutrition Joy Ngo and Lluis Serra-Majem

315

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

336

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

344

Growth and Nutrition Yeray Nóvoa Medina and Luis Quintana Peña

353

Maillard Reaction and Food Safety Antonio Dario Troise

364

Sustainable Diets: A Historical Perspective Sandro Dernini

370

Energy Balance and Body Weight Control Ilario Mennella

374

Nutrition Education Suzanne Piscopo

378

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

385

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

393

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

400

School Nutrition Education Suzanne Piscopo

406

xii

Contents of All Volumes

Food Supplements: Botanicals Patrizia Restani

414

Advertising and Marketing to Children Bridget Kelly

418

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

424

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

433

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

444

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

449

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

457

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

464

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

473

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

481

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

493

Freezing of Bread  Nikolina Cukelj and Dubravka Novotni

498

Preservation of Berries Erica Feliziani and Gianfranco Romanazzi

503

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

506

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

511

Sources of Contamination in Food Samantha Radford

518

Preservation of Micronutrients in Biofortified Foods Vinoth Alphonse and Ravindhran Ramalingam

523

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

530

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

538

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

545

Contents of All Volumes

xiii

Food Consumption Patterns in Developing Countries Matin Qaim

556

Modification of Pectin Jiankang Cao and Qianqian Li

561

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

567

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

575

Digitization and Big Data in Food Security and Sustainability Kelly Bronson

582

Sustainability and Plastic Waste Travis P Wagner

588

Bread Storage and Preservation Victoria A Jideani

593

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

605

The Storage and Preservation of Seafood Luxin Wang

619

VOLUME 3 Concepts of Food Sustainability Jock R Anderson

1

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

9

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

14

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

21

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

27

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

32

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

39

Planning Sustainable Food Supply Chains to Meet Growing Demands Riccardo Accorsi

45

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

54

xiv

Contents of All Volumes

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

64

Concept and Classifications of Farming Systems John Dixon

71

Farming Systems in North America Keith Fuglie and Claudia Hitaj

81

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

95

Temperate Agricultural Production Regions: Japan Kentaro Kawasaki

101

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

107

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

114

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

121

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

126

Food Security Factors and Trends in Central Asia Elena Lioubimtseva

134

The Role of Irrigation for Food Security and Sustainability Sushil Pandey

142

Green Revolution Göran Djurfeldt

147

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

152

Genetically Modified Crops Matin Qaim

159

The Potential for Genome Editing in Plant Breeding Stuart J Smyth

165

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

171

Food Sovereignty Michel P Pimbert

181

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

190

Comparing Yields: Organic Versus Conventional Agriculture Verena Seufert

196

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

209

Contents of All Volumes

xv

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

217

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

226

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

231

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

257

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

264

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

270

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

278

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

292

Smallholder Pork: Contributions to Food and Nutrition Security Kristina Roesel

299

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

310

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

317

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

322

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

326

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

340

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

347

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

354

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

361

371

xvi

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

381

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

385

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

390

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

396

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

401

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

411

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

418

Leveraging Gender for Food and Nutrition Security Through Agriculture Alessandra Galiè

426

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

432

Infectious Diseases and Agriculture Delia Grace

439

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

448

Endemic Diseases and Agriculture Kristina Roesel

454

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

463

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

469

Antimicrobial Resistance and Agriculture Barbara Wieland

477

Gender and Livestock Juliet Kariuki

481

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

488

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

497

Carbon Neutral Food Value Chains Athena Birkenberg

503

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

xvii

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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

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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

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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

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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

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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].

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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

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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

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Ozone depletors (Mt CFC11-equivalent per year)

A

Freshwater resources per capita (1000 m3)

B

Reconstructed marine catch (Mt per year)

C

1.5

130 12

1.2

110 10

0.9

90

8

0.6

70

6

0.3 Dead zones (number of affected regions)

D

50 Total forest (billion ha)

E

Vertebrate species abundance (% of 1970)

F

100 600 4.10 80

400 4.05

60

200 4.00 CO2 emissions (Gt CO2 per year)

G

40 Temperature change (°C)

H

Population (billion individuals)

I

1.00 7 30

0.75

6

0.50

5

0.25

4

Humans

20

3

Ruminant livestock

0.00

10 1960

Figure 1

1992

2016

1960

1992 Year

2016

1960

1992

2016

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

Preface

A

B

1200

0.47

1000

DALYs due to PEM

0.48

GNI

0.46 0.45 0.44 0.43

800 600 400 200

0.42

0 1995

2000

2005

2010

2015

Year

C

16 14 12 10 8 6 1995

2000

2005 Year

1995

2010

2015

2000

2005

2010

2015

2010

2015

Year

D

18

1990

1990

DALYs due to micronutrient deficiency

1990

% of female obesity

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1400 1200 1000 800 600 400 200 1990

1995

2000

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

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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

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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

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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

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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

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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

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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).

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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.

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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.

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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.

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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

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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.

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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

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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).

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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.

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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.

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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

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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).

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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.

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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

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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

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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

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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

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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.

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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

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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).

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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

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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.

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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).

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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

Feature

Values/Comments

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).

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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).

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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).

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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

Intervention

Strategy

References

Preharvest

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 Wyszy
nska 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

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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

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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).

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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 ( Siki
c 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 ( Siki
c 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).

344

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

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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

346

Antibacterial activity of lactic acid treatments against Campylobacter

Campylobacter strain

Reduction

Concentration

Treated sample

Application

Exposure time

Reference

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

347

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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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

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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).

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ANIMAL STUDIES

BIOACTIVE COMPOUNDS

Bioactivity

Toxicity

Bioavailability

NOVEL INGREDIENTS

Biodistribution

Antioxidant Dietary Fiber Phytochemicals

HUMAN INTERVENTION

Zn Mg Cl Ca Proteins

Cu Fe

Na K

P

Mn Biomarkers

Vitamins and Minerals

Sensory Analysis

Rice wastes

TOXICS and HEALTH

PRELIMINARY STUDIES

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

In vivo

FUNCTIONAL FOOD

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

Husking

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

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Hulls

Pericarp Tegmen Aleurone layerr

Bran

Starchy endosperm

Embryo

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

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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.

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“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).

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Anoxidants

Bioacve properes

Free radicals

RICE BRAN

Diabetes

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).

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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

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(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

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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

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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).

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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

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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).

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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)

No

Type organism

Authorized novel food

Specified food category

1

Microalgae

Algal oil from the microalgae Ulkenia sp.

2

Fungus

Arachidonic acid-rich oil from the fungus Mortierella alpina

3

Microalgae

4

Seaweed

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

5

Seaweed

Fucoidan extract from the seaweed Undaria pinnatifida

6

Microalgae

Odontella aurita microalgae

7 8

– –

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

9

–

Rapeseed Protein

10

Microalgae

Schizochytrium sp. oil rich in DHA and EPA

11

Microalgae

Schizochytrium sp. (ATCC PTA-9695) oil

12

Microalgae

Dried Tetraselmis chuii microalgae

13

Yeast

Yeast beta-glucans

a

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).

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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

a

FASFC (2014).

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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

Organism

Origin

Organism

Origin

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

a

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

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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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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.

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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

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Extrusion:

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).

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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

pump

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

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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

T1

T2

T3

T4

T5

T6

(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

References

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

Twin-screw

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

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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

Binder

Mixing

Mixing Powder addition

Powder Water excess Wet Agglomerates air Binder

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

Drying

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,

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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

386

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

A

Figure 7

B

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

A

ΔpH, Δμ, + electrolyte, etc.

B

ΔpH, Δμ, + electrolyte, etc.

C

-

+

- ++ + - +

+ +-+ +- -

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.

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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.

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Solvent evaporation

Emulsification diffusion

Mutual saturation Diffusion emulsion

Nanoemulsion

Solvent displacement

Turbulent diffusion

Double emulsion

1st emulsion

2nd emulsion

Salting-out

Salting-out emulsion

Figure 10

Diffusion

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

A

389

B

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

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External Factors

Edible Coating Active compound

Internal Factors

Temperature Relative humidity Ethylen Other Volatile compound

H2O

CH2=CH2 Volatile compounds

Thinkness of coating(Barrier)

Polyphenols

Edible coating

Water

Food surface

Adhesion forces

O2

CO2

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

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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,

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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

Allergen

Protein family

P.I.

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

395

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).

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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

Neogen

Morinaga

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

397

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

Allergen

Position sequence

Raw peanut extract

Mild roasted peanut extract

Strong roasted peanut extract

NNPFYFPSR GTGNLELVAVR RQQWELQGDR NLPQQCGLR QIVQNLR SPDIYNPQAGSLK

ARA H 1

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

ARA H 2 ARA H 3

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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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

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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

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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

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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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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

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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).

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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

Africa

Asia

Africa

Asia

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).

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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.

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Constraint Biotic stresses

Abiotic stresses

Immediate effect • • • • • • • • •

Impact

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

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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.

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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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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

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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)

Seeds

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.

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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

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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;

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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.

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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

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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

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(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

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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

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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.

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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

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Figure 1

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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.

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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.

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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

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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

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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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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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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

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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

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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.

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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

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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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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.

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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

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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.

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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

(3)

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

(4)

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.

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Figure 4

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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

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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

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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).

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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

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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

.

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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

Meshless

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

Movable

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

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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

ðtÞ

ðtÞ

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.

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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.

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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

(7)

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

(8)

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 ‘

l

‘

x;y;z

‘

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

R1

R2

R3

R4

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).

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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.

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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.

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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

(11)

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

(12)

(13)

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

0

QðsÞ ¼ Pm

d3 ðs; z ¼ LÞ 2 groil 3hoil

(15)

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,

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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

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Figure 16

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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).

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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.

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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.

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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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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

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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.

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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.

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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

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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

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Energy cost Water cost Agriculture operations cost

Fruit yield

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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

(1)

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

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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,

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Figure 4

Technology selection example with materials flows.

Figure 5

Logistics network of possible routes.

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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.

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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.

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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

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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 L
1) were obtained from a feed solution with a low polyphenol content of about 725 mg L
1. 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

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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 L
1; 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 L
1; 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 L
1) 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 L
1) 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 L
1 from an initial extracts containing 0.173 mg L
1. 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 mL
1), epigallocatechin gallate (882 mg mL
1) and gallic acid (15.7 mg mL
1) 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 L
1 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

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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 g
1, 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 L
1, 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 L
1 chlorogenic acid and 0.3 g L
1 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 L
1 from an initial phenolic content of 1190 mg L
1. 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

References

Phenolic compounds

Olive mill wastewaters Winery effluents Winery effluents Orange press liquor

UF MF MF UF

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

p-cumaric

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

(Continued)

469

Main high-added value compounds recovered from agro-food by-products using membrane-based technologiesdcont'd

470

Table 1

Agro-food by-product

Membrane-based technology MWCO/Material/Configuration

References

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

UF

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 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

Peptides

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).

UF

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

Pectin

Fish fillet processing byproduct Olive mill wastewater

471

472

Separation, Fractionation and Concentration of High-Added-Value Compounds From Agro-Food By-Products

MF

Agro-food by-products

100-0.2 μm UF

50-300 kDa Retentates

Permeates

Anthocyanins High molecular weight polyphenols:

Retentates

UF

Retentates

UF 4-30 kDa

3,4-DHPEA, p-HPEA, 3,4-DHPEA-EDA

1-2 kDa

Permeates

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

473

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.

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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

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Possible application of non-thermal and advanced thermal technologies and their consideration in terms of “green technologies”.

engineering, food processing, interdisciplinary (engineering, physics and chemistry) etc. Researchers in food engineering and technology started to investigate how non-thermal techniques could and should replace pasteurization and sterilisation processes. Afterward, all part of food processing were covered and tackled by research activities. Application of non-thermal technique were researched in milk, juice processing, protein, carbohydrates, fats processing, investigation on enzymes, pigments, rheological and physical properties of food, colour, sensory properties of liquid foods etc. Mechanism of action by means of physics, chemistry, and engineering were observed. Also, impact of non-thermal processing on nutrients and negative aspects, formation of radicals, flavour, aromas etc. were investigated. Non-thermal and innovative processing technologies were used alone or in combination with increased temperature and/or pressure. However, there is huge lack of knowledge for combination of these technique on order to use positive aspects and contribution of each technique (Fig. 2). Electrotechnologies uses electric current with formation of electric field and high intensity electric pulses in achieving specific changes in matrix. Pulsed electric fields (PEFs) and ohmic heating (OH) have been investigated by majority of researches and topics (Raso et al., 2016; Mahnic-Kalamiza et al., 2014). Ohmic heating is one of the earliest forms of electricity applied to food pasteurization. It was shown and approved that these techniques have application in food industry (cooking, fruit juice preservation etc.). Inactivation of microorganisms and enzymes contained in food products by electric discharge began in the 1920s with the Electropure process for milk. Electroporation effect of PEF on cell membrane is the basic mechanism of action of the external electric field application. Pore formation increases the membrane permeability which results in the loss of cell content as well as loss of cell vitality used for the inactivation of microbial cells. There are many producers of food processing equipment based on PEF in the world. Cold atmospheric plasma (CAP) is technique that has major application in sterilisation of food surfaces (Misra, 2015; Djukic-Vukovic et al., 2017). Gas plasma is a neutral ionized gas containing charged particles, free electrons and ions, and on the other hand neutral reactive species such as atoms and molecules. When such ionized gas is submitted to an electric field, charged particles are accelerated producing collisions with the atoms and molecules. Besides these applications, plasma has been applied in liquids (submerged liquid plasma) in terms of extractions and preservations of juices and waste water treatment. High voltage electrical discharges (HVEDs) have been researched in extraction processes, waste and by-product treatments and many other (Parniakov et al., 2015; Barba et al., 2015). Electrical discharges are plasmas and they are chemically reactive. Plasmas contain fast-moving ions and discharges produce a significant amount of ultraviolet (UV) light. On the other hand, oscillating magnetic fields (OMFs) was least researched technique, probably because of its huge dimensions (Tesla generator) and potential operating hazard for people (Guan et al., 2017). OMF can cause changes in conformations of macromolecules and their conformations. The electrical conductivity of magnetized water is higher due to the greater population of charged particles (Hþ, or H3Oþ and OH). Electrohydrodynamic (EHD) processing in technique that has application in encapsulation processes (Gómez-Estaca et al., 2017; Echegoyen et al., 2017). In EHD processing high voltage is applied to an electrode of small radius of curvature and corona wind is generated. This corona wind disturbs the boundary layer developed over the sample surface hence enhancing the mass transfer between the treated surface and the ambient air. One of the oldest non-thermal technique is UV light processing. UV light is the most researched and used technique in food industry and lab scale (Condón et al., 2014; Cebrián et al., 2016). High intensity UV-C lamps have become available and have a potential of destroying surface bacteria on foods The main application is inactivation of microorganisms by formation of free radicals that impairs DNA replication. Pulsed light is also another greatly researched area in food

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preservation (Ferrario and Guerrero, 2017; Pinela and Ferreira, 2017) as well as ionising radiation (Szczawinska, 2017). Pulsed light is a non-thermal method for food preservation that involves the use of intense, short duration pulses of a broad spectrum. It assures microbial decontamination on the surface or packaging materials of foods. One modern technique is electron beam processing that has industrial application and attracts great potential (Bolumar et al., 2015; Yang et al., 2016). The radiation processing is a chemical reaction caused in a material by radiation irradiation. Electron beam and gamma rays (g-rays) are mainly used in the radiation processing. The electron beam is a flow of electrons with energy. When the electron beam or the g-ray collides with a material, ionising and excitation occur (interaction between the material and the beam or the ray). After-ward, there are chemical reaction that occurs consequentially. Pressure based technologies includes application of cold pressure (high pressure processing; high pressure homogenisation etc.) and it is the most researched technique in non-thermal processing (Pinela and Ferreira, 2017). High pressure processing technology has been adopted worldwide at the industrial level to preserve a wide variety of food products without using heat or chemical preservatives. The principle is Le Châtelier principle and the transmittance of pressure is uniform and instantaneous (independent of size and geometry of food). Also, for extraction processing we have supercritical (Murias et al., 2017) and subcritical (Filly et al., 2016) fluid processing that are the most researched technique. The advantages are high yields, great quality of extracts and possibilities of “green” principles. “Green principles for green extraction” - Principle 1: Innovation by selection of varieties and use of renewable plant resources; Principle 2: Use of alternative solvents and principally water or agro-solvents.; Principle 3: Reduce energy consumption by energy recovery and using innovative technologies.; Principle 4: Production of co-products instead of waste to include the bio-and agro-refining industry; Principle 5: Reduce unit operations and favour safe, robust and controlled processes; Principle 6: Aim for a non-denatured and biodegradable extract without contaminants (Chemat et al., 2017). Mechanical technologies includes low and high power ultrasound. Low power ultrasound uses intensities below 1 Wcm2, which can be utilized for non-invasive analysis and monitoring of various food materials and foreign “bodies”. High power ultrasound, on the other hand uses high intensities and low frequency (20–100 kHz with 10–1000 Wcm2). Power ultrasound is used in investigation of proteins, carbohydrates, inactivation of microorganisms, fruit juice processing etc (Jambrak et al., 2016; Rezek Jambrak et al., 2017b). Ultrasound is alternative food processing technology applicable to large-scale commercial applications such as emulsification, homogenisation, extraction, crystallization, drying, preservation (low-temperature pasteurization), degassing, defoaming etc. The main effect is cavitation. Ultrasonic generation of cavitation is very effective, but only in small volumes of liquid. There is great potential in using hydrodynamic cavitation in large scale in industry for extraction, waste water treatments etc (Cravotto et al., 2015; Albanese et al., 2016). Cavitation can be induced by fast moving liquid stream, ultrasonic waves, focused laser beam or electrical spark. Therefore, there are great connecting points of electrotechnologies (shock waves, luminescence, free radicals, cavitation, microstreaming etc.) and acoustical methods. It is necessary to observe combinations of usage of these techniques. Non electro-technologies: gamma radiation (Harder et al., 2017; Akram et al., 2012), ozonation (Segat et al., 2014; Ben Hamida et al., 2017), photodynamic (Duco et al., 2016), membrane processing (Ioannou-Ttofa et al., 2017). Gamma irradiation technology was patented more than a century ago (in 1906) and has been one of the first non-thermal technologies thoroughly tested, validated, and adopted by medical field. Ozone has been used mostly in water applications for many years. After it gained GRAS

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(generally recognized as safe) status in 1997, its use in foods has been approved in Europe and in US. Processes involved in photosensitization phenomenon are classified as photo–chemical reactions, when adsorption of a quantum of light by a photosensitizer (PS) molecule results in the formation of a singlet excited state (1 PS*), which further can undergo several possible transformations (Glueck et al., 2017).

Implementation of Non-thermal and Innovative Technologies The application of non-thermal processing originates back in 50thies years of 20 century. The application of ultrasound (homogenisation, emulgation etc.), electric fields (poration of membranes), high pressure, hydrodynamics etc. The main research applications in the last 15 years is to observe preservation effect of these techniques (Pinela and Ferreira, 2017; Blahovec et al., 2017). The FDA (Food and drug administration) requests that process must assure 5 log reduction in number of microorganism. Non-thermal techniques can assure 1–6 log reduction, but also there should be monitoring of shelf life afterward. This include to follow viability and detection of recovery (revitalisation) of target microorganisms. Non-thermal food processing techniques that were conducted so far with the scope of observation microbiological stress, injury and survivor are high pressure processing, high power ultrasound processing, cold plasma, pulsed electric fields and UV light. The increased sensitivity of bacterial cells to manosonication, pulsed electric fields and high pressure processing when treated at sublethal temperatures is probably due to certain temperatureinduced, mechanical and chemical changes within the cell envelopes which make them more vulnerable to mechanical stress. Microbial homeostasis and sublethal injury are two aspects of crucial importance in food preservation by combined processes. In order to survive extreme environmental stresses, microorganisms have developed several different mechanisms to overcome unfavourable conditions. Stressors (and stress factors), may be of chemical, physical, or biological nature. The production of high levels of shock proteins is typical of gene-controlled resistance to stress and may contribute to the bacterial stress hardening effect. Stress-adapted cells are particularly challenging to the food industry because they may survive processes combing several preservation factors (i.e. hurdle technology, combination of non-thermal processing etc). These mechanisms involve modifications of gene expression and protein activities aiming at preventing or reducing injures to cellular structures and components. Scientist should monitor dormitory state, viable but not culturable state (VBNC) and find actual reduction of microorganisms. There is also possibility to include mathematical methods like predictive microbiology. Valorisation of agri-food wastes by non-thermal technologies is great research area nowadays. There is large discard of food byproducts in food industry that can be used as energy or raw-material for other purposes. The definition of food waste is, different in different countries or even cities. In the European Union, food waste is defined as “any food substance, raw or cooked, which is discarded, or intended or required to be discarded.” The future of non-thermal processing lies in the path of assuring preservation effect, and on the other hand to satisfy environmental, ecological and economical requests in order to obtain “zero-waste” (Notarnicola et al., 2017). Pulsed electric field (PEF) has been used in processing of tomato waste (Luengo et al., 2014), cold pressure and other non-thermal techniques (González-Rivera et al., 2016). The principle is that non-thermal and innovative techniques could follow “green principles” (mentioned in second paragraph) and have lower carbon footprint. There is joint effort on this between academia and industry to have life cycle assessment (LCA) from raw material to final product. There is necessity for this procedure because of the large amount of resources required for the food production and formation of the food waste in the whole life cycle. Also, the consumers’ awareness for high-quality food products produced in environmentally friendly way forced companies and retailers to develop strategic approaches for sustainable food production and consumption across the whole supply chain. Algae and microalgae processing is attracting huge interest (Galanakis et al., 2015; Kurokawa et al., 2016). Non-thermal and innovative processing techniques can serve for extraction in order to extract bioactive compounds and functional components. Microalgae and seaweeds are sources of commercially and industrially valuable, health-promoting and biologically active compounds (carotenoids). There is also large area in development of novel food and functional food products for specific needs (allergies, medical conditions, fortification of food etc.). There are also EU regulations about Novel food, which must be obeyed (https://ec.europa.eu/food/safety/novel_food/legislation_en). In order to think eco, eco (economic, ecologic and environmental) we must think about having non-thermal processing in the way of less processing time, less energy consumption, less CO2 production and energy efficient processing (Stasiulaitiene et al., 2016; Pereira and Vicente, 2010). Sustainability of non-thermal processing is now “hot” topic. Food scientists need to think to connect all processing variables and to have “green” strategy (Segat et al., 2015; Zhu et al., 2016). There are methods of life cycle assessment (LCA) (Notarnicola et al., 2017; Stasiulaitiene et al., 2016; Pardo and Zufía, 2012); Quality function deployment (Rezek Jambrak et al., 2017a) etc. that can combine parameters and give results about improvement of processing, consumers preferences and impact on the environment (Fig. 3). Non-thermal and innovative food processing can and must be optimised, and results should be transformed from lab scale to large scale (industry). This is not an easy task and it is usually not complimentary.

Positive and Negative Aspects of Implementation of Non-thermal and Innovative Technologies Consumer acceptability of non-thermal technologies is very important question (Rezek Jambrak et al., 2017a). Researchers and food technologists should monitor consumer expectations and ask for feedback in evaluation of food quality that were treated

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by non-thermal processing (Fig. 4). Quality Function Deployment (QFD) can be used as a method for developing a design quality. Output can be translated by the customer’s demands into design targets and major quality assurance points to be used throughout the production phase (Cappa et al., 2016; Sharma et al., 2017). In processing by non-thermal and innovative techniques positive and negative aspects should be monitored. In order to have efficient process scientists usually do preliminary analysis and experiments. After-ward there is experimental design of process by

Figure 4

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which one can set variables and outputs, and determine optimal processing parameters. Also, by several type of design like Central composite design, Full factorial design etc. researchers can observe valuable data about interaction between variables. Besides mathematical evaluation of successful process, scientists should monitor chemical, physical, rheological, sensorial and other changes in evaluated matrix. There are many papers that are emphasising advantages of non-thermal processing (ScienceDirect: more than 320 000 papers- November 2017); and around 92 000 papers that are mentioning disadvantages of non-thermal processing. With respect to processing, technologists and scientists always look for a way to make better product. In some cases, some techniques cause some unwanted changes on our matrix. Negative changes include oxidation of compounds, undesired changes in flavour, aroma, texture, colour, rancidity, changes in physical properties etc. In some, cases like in processing of waste waters, destroying of colour (in textile industries), and this changes are positive. So, we must think about output product and find a way to use non-thermal processing as tool to achieve target outcome. There is also question about inactivation of microorganisms, are they really inactivated? Or they are just in dormitory or VBNC (viable but not culturable state), or they are just under stress upon pressure, radical (oxidative) or some other kind of nonthermal stress. Therefore there is concern to monitor shelf life to observe if there is revitalisation of target microorganisms. On the other hand there is production of free radical upon non-thermal processing. High power ultrasound, cold plasma processing, advanced oxidative processes are highly oxidative processes with the production of highly reactive ROSs (reactive oxygen species) and RNSs (reactive nitrogen species) that can enter in chain reactions with some compounds in our matrix. Therefore there is need to monitor quality of output products with chemical analysis in order to avoid deteriorating effect on sensitive compound presents in treated foods. Interdisciplinary of non-thermal processing is in the field of physics, chemistry, mathematics, biology, medicine, engineering etc. There should be different observation in order to have “the whole picture”. Non-thermal processing could be and are applied in acoustics engineering, medical, dental medicine etc. (Ali et al., 2014; Norberg et al., 2015)

Conclusion and Future Potential Non-thermal and innovative technologies present great field for research in food processing as well as interdisciplinary scientists. Food scientists, physicist, chemists, pharmacists, medical doctors, veterinary doctors, biotechnologists, microbiologists, mathematicians have specific perspective on the same problem. Therefore it is necessary to develop, conduct and discuss non-thermal processes and technologies in terms of interdisciplinary research. Main mechanisms needs to be elucidated, most important issues of toxicological and oxidative means need to be investigated, negative and positive influences on specific matrix need to be elucidated and emphasized. 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.

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Relevant Website European commission EU regulations. https://ec.europa.eu/food/safety/novel_food/legislation_en.

Novel Packaging Systems in Food Lin Lina, Mohamed Abdel-Shafi Abdel-Samiea,b, and Haiying Cuia, a Faculty of Food and Biological Engineering, Jiangsu University, Zhenjiang, Jiangsu, China; and b Faculty of Environmental Agricultural Sciences, Department of Food and Dairy Sciences and Technology, Arish University, El-Arish, North Sinai, Egypt © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Active, Antioxidant, Intelligent and Smart Packaging Natural BACs Based Packaging Polymers Based Packaging Starch Based Packaging Modified Atmosphere Synergistic of More than a Strategy Packaging Conclusion References

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List of Abbreviations AmAP Antimicrobial AP AO Antioxidant BACs Bioactive Compounds CRR Controlled Release Rate MAP Modified AP

Abstract Fresh and mildly-processed food loss during storage and transportation from origins to world-wide markets created a need for new packaging technologies that can protect food from quality deterioration. The food quality deterioration involves microbial spoilage, oxidation, moisture changes and aroma related factors. Hence, “Novel” food packaging was employed to maintain food quality. Unlike traditional food packaging, novel food packaging not only prevents the interaction between food and its surroundings, but also protects the valuable bioactive compounds (BACs) in food during storage and transportation. In this review, recently advances in research of food packaging technologies including active, smart and intelligent packaging, antimicrobial and antioxidant packaging, natural BACs packaging and protection technologies, starch and polymers based packaging, modified atmosphere packaging and synergistic packaging are discussed.

Introduction One-third of the produced food get lost yearly due to food waste especially during transport and storage because of the microbial spoilage, oxidation, moisture changes and other factors (FAO, 2011; Hannon et al., 2017). Food spoilage causes a loss and deterioration in sensorial and nutritional quality and cause a serious of illnesses and may even lead to toxicity (Gómez-Estaca et al., 2014; Hadian et al., 2017). Food might be contaminated microbiologically during slaughtering, processing, packaging and shipping (Sung et al., 2013). Lipid oxidation is one of the main prospective food quality deterioration factors that should be also taken care through packaging (Tian et al., 2013). Resistance against conventional antibiotics has been dramatically increased because of the extensive use of antibiotics. That is a serious health threat, making finding new antibiotic agents preferably from natural resources of high importance (Ahmad et al., 2017; MacGowan and Macnaughton, 2017; Nordstrom and Malmsten, 2017; Ribeiro-Santos et al., 2017b). Antioxidants have been acquired to inhibit lipid oxidation by playing role of free radical scavengers, metal chelators, ultraviolet absorbers, oxygen scavengers, and singlet oxygen quenchers which are all considered as quality deterioration factors (Tian et al., 2013). On one side, drying, thermal processing, freezing, fermentation and salting as classical food preservation methods could extend shelf-life, but on the other, it does not eliminate nor inhibit the growth of some pathogenic microorganisms (Sung et al., 2013). Thermal processing, which is enough to kill or stop pathogenic bacterial growth cause food nutritional and sensorial characteristics deterioration. So, non-thermal processing with other techniques to maintain food quality characteristics including

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macro nutrients and high added value biological compounds during food processing is challenging (Chemat et al., 2017; Hadian et al., 2017; Vincekovic et al., 2017). Functional food, prepared with the addition of BACs is targeted by consumers and food producers as well, to develop techniques to deliver BACs and treat its undesired characteristics such as instability during production and storage until consumption (Dias et al., 2017). BACs suffers a low physical and chemical stability, some have low solubility in water, and is heat and light sensitive, which limits its application in food production. Micro and macro encapsulation as a packaging technique was used as a BACs protection method to deliver its functionality along with processing and through storage period (Vincekovic et al., 2017). Food market has become infinite after globalization as food from any part of the world could be found in the local market. This made food preservation and packaging in purpose of saving its original sensory characteristics and nutritional value to reach the end user at this state a must (Majid et al., 2015). Classically, food packaging materials had to have a passive role as it was created to not to interact with food, so it was chosen to be as inert as possible. It was based on non-solid food packing materials in mechanical supporting materials to protect food from external hazards including microorganisms, oxidation and off-odors (Dainelli et al., 2008). On the other hand, “Novel” packaging technologies have more important functions, preventing food quality deterioration, improving its distribution, sales, consumption in an efficient way, delivering enough information about food and facilitating the handling (Han, 2014). They should protect food from external spoilage factors including temperature, light and humidity and environmental factors such as: odors, microorganisms, shocks, dust, vibrations and compressive forces (Carocho et al., 2015; Thøgersen, 1996). In other words, novel food packaging do the following roles: inhibit oxidation, control respiration rate, control microbiological growth and contamination, control moisture changes, CO2 scavengers/emitters use, ethylene scavengers, aroma emitters, time–temperature sensors, ripeness indicators, biosensors and sustained release of antioxidants during storage (Majid et al., 2015). Perfect choose of packing material and technology, eases maintaining food quality and saves freshness for a prolonged shelf-life period (Sorrentino et al., 2007). The substances responsible for the active function of packaging may be in a separate container or directly incorporated into the packaging material (Ribeiro-Santos et al., 2017a).

Active, Antioxidant, Intelligent and Smart Packaging Novel Active packaging technologies (AP) were designed to preserve mildly processed food, meant to be marketed overseas or taking much time to reach end consumers’ hands and further preserve food for longer time at home until use (Dainelli et al., 2008). AP technologies offer opportunities and challenges to food manufacturers and scientists, in order to find ways to reduce hazards and improve food overall quality and safety by delaying or stopping microbial, chemical, oxidative and enzymatic spoilage. The swing toward the use of plant extracts, edible/biodegradable materials and nano-particles seem very promising for postharvest preservation purposes (Ahmed et al., 2017a). “Novel” AP techniques include antimicrobial and antioxidant packaging. Antimicrobial packaging (AmP) which is defined as the incorporation of antimicrobial agent into a film to form a shield against contamination or microbiological growth (Sung et al., 2013). AP inhibits lipid oxidation as well, by using antioxidants which follow different mechanisms of action (free radical scavengers, metal chelators, ultraviolet absorbers, oxygen scavengers, and singlet oxygen quenchers) and used in food in different ways (independent sachet packages, adhesive-bonded labels, physical adsorption/coating on packaging material surface, being incorporated into packaging polymer matrix, multilayer films, and covalent immobilization onto the food contact packaging surface) (Tian et al., 2013). “Novelty” in antioxidant AP is to ensure that, antioxidant BACs could provide sustained release of antioxidants during storage and/or reducing the presence of reactive oxygen species which act as initiators of oxidation processes (Gómez-Estaca et al., 2014). Novel smart packaging technologies is the of use some materials which could tell the consumer about the product’s quality easily by showing some signs such as color changes (Kerry, 2014). Active and smart biodegradable thermoplastic films from green tea and basil extracts in Cassava starch and glycerol were used to detect pH values (a main quality describing parameter) changes by the change of color of chlorophyll and carotenoids in green tea and basil extracts. Films are also AP because it have high antioxidant activity specially polyphenolics (Medina-Jaramillo et al., 2017). Novel intelligent packaging systems (IP) are systems that inform and advertise the consumers by giving information about food quality during the whole transportation and storage process, not only its origin and components. Those packaging techniques are considered as bio-sourced packaging (Alix et al., 2013). AIP could enhance meat products market by increasing the safety, quality and decreasing retailer numbers and as a result increase the consumers satisfactory (Fang et al., 2017). IP involves an interactions between packaging materials and food or it’s surroundings which might enhance the consumer’s health (Majid et al., 2015). Extending shelf life as well as maintain food safety could be accomplished by applying AIP which was developed to modify the package conditions, show clear information and show the product supply chain (Fang et al., 2017). A Time–Temperature Indicator based on PVA/Chitosan polymeric doped with anthocyanins in order to indirectly indicate food quality changes through the detection of the packed food pH changes when subjected to improper storage temperatures. It was tested on pasteurized milk after supporting by an activation test, with evident changes in the colouration of the film (Pereira et al., 2015). An intelligent film formulated of curcumin incorporated into a tara gum and polyvinyl alcohol blended matrix that shows a color change when NH3 is detected within 1–3 minutes. High humidity condition is favorable to detect the color change. Formulated films were used to detect the spoilage in shrimp with an obvious color changes (Ma et al., 2017). An intelligent/antimicrobial film formed of starch/poly-vinyl alcohol anthocyanins, and limonene, was capable of monitoring pH changes and protect food against microbial spoilage. Anthocyanins (ANT) and limonene (LIM) were used to achieve two purposes; anthocyanins show color

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changes with pH values change and limonene have an antimicrobial activity. Formed films was used in pasteurized milk and was successful (Liu et al., 2017). Intelligent film based on poly (vinyl alcohol), chitosan nanoparticles and mulberry extracts was engineered. Films showed visible color responses to the change in pH and it was used to detect fish spoilage. The color of the film changed from red to green as the fish spoiled (Ma et al., 2018). Chitosan intelligent films with the addition of anthocyanin showed a good characteristic color with different pH values. Dried chitosan films showed to be dark violet. Films showed different colors in different pH, as it showed to be; pink in acid pH, bluish-green in neutral pH and violet in basic pH. The manufacturing processes of this formulated film were simple and it is biodegradable and uses natural and safe compounds (Yoshida et al., 2014).

Natural BACs Based Packaging Novel AP always rely on the use of natural originated antimicrobial and antioxidants agents in food packaging to protect food surfaces against microbial contamination or growth and oxidative stress (Irkin and Esmer, 2015). BACs was incorporated to formulate edible or biodegradable materials and nanomaterials and it is expected to substitute synthetic food preservatives due to their good packaging properties and being environmentally friendly and economically cheaper expenditure (Ahmed et al., 2017a). Novel methods were developed to overcome the volatility, low solubility in water, and easy susceptibility for oxidization of EOs as BACs extracted from medicinal and aromatic plants. Encapsulation in many materials including polymers, liposomes and techniques including micro and nan encapsulation and electrospin are the main advances in EOs protection against processing conditions (Ribeiro-Santos et al., 2017b). EOs contains volatile compounds responsible for their biological activities against microorganisms and oxidation of food (Ribeiro-Santos et al., 2017a). Cinnamon essential oil/b-cyclodextrin proteoliposomes into poly ethylene oxide nanofibers was engineered as food packaging material, by an electrospinning technique and showed satisfactory antibacterial efficiency against Bacillus cereus in beef with an extended shelf life (Lin et al., 2017). An anti-Escherichia coli (E. coli) O157:H7 biofilms formulated of Artemisia annua oil with chitosan and liposomes were successfully applied to the cherry tomatoes (Cui et al., 2017d). Papaya puree was used as an antimicrobial, combined with gelatin and defatted soy protein in purpose of improving the mechanical, barrier, optical properties along with structural properties which confirmed the possibility of using the prepared edible films as packaging material (Tulamandi et al., 2016). Propolis extract (PE) was used with chitosan to form antimicrobial films against Staphylococcus aureus (S. aureus), Salmonella Enteritidis (Salmonella enteritidis), E. coli and Pseudomonas aeruginosa and had high antioxidant activity (Siripatrawan and Vitchayakitti, 2016). A glycolic extract of propolis was combined with chitosan to prepare natural antioxidant and antimicrobial bio-based food AP system (Rollini et al., 2017). Encapsulation appropriate method should take the nature and properties of the encapsulated material and the encapsulant (matrix where it will be applied) in consideration, so as to get an effective encapsulation process, that is able to work as a BACs protectant (Dias et al., 2017). Protein and carbohydrate polymers are commonly used as an encapsulant materials which characterize and define the final product properties including; size, shape, and structure of the capsule particles and those properties determines the capsules stability during production, storage, and consumption against the external environment, and control the release of the core material when required (Rodríguez et al., 2016). Novel carboxymethyl cellulose-chitosan microand macroparticles were successfully prepared to encapsulate probiotic bacteria and scored acceptable viability count (Singh et al., 2017). Microencapsulation of marine, vegetable, and EOs has been conducted and commercialized by employing different methods including emulsification, spray-drying, coaxial electrospray system, freeze-drying, coacervation, in situ polymerization, melt-extrusion, supercritical fluid technology, and fluidized-bed-coating (Bakry et al., 2016). Encapsulation disadvantages includes the probably instability of the capsule polymer matrix and the challenge of scaling up the encapsulation process (Miñarro et al., 2012). Antioxidant, antibacterial properties of EOs from guava leaves was prolonged when encapsulated in hydroxypropyl-b-cyclodextrin (Rakmai et al., 2018). Tannins from Acacia mearnsii were encapsulated and showed higher antimicrobial properties (dos Santos et al., 2017a,b). Encapsulation of clove oil into a proteoliposomes managed to overcome volatility, which increased release time. Proteoliposomes was active against S. aureus when applied to dried soybean curd (Cui et al., 2016a). Thymol/b-Cyclodextrin inclusion complex encapsulated electrospun zein nanofibrous webs were fabricated as food packaging material to inhibit the growth of bacteria on meat samples (Aytac et al., 2017). Liposomes were used to encapsulate thyme EO to enhance its chemical stability and offered a controlled release which was considered as sustained antimicrobial activity against S. enteritidis (Cui et al., 2017f). A Novel method to prolong the presence of BACs on food surfaces is its controlled release packaging which is defined as a method to let BACs slowly released over time as renewable source of BACs to replace those consumed in protecting food. Classically BACs are added to food formulation and consumed through initial storage period without an ongoing support of BACs to protect food, then food start going on quality deterioration processes in the absence of the protectant BACs, in the same time too much BACs are added to fulfill all food matrix, while the food surface is the most important targeted area that go through quality deterioration including oxidation and contamination, so BACs should be added extensively to the food surface not mixed with the formula. To overcome this, controlled release packaging is applied. It continuously replenishing active compounds to the food surface, compensating for the consumption or degradation of active compounds (Mastromatteo et al., 2010). Lysozyme was used to extend the release time of the antimicrobial BACs of the formulated (Poly ethylene terephthalate, prepared by sol–gel route AP (Corradini et al., 2013). Poly (butylene succinate)/zinc oxide composite films were successfully prepared by using a blown film

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extruder, with a release rate with Zn2þ migrated over 15 days while a maximum migration period was observed when acetic acid was used as a food simulant (Petchwattana et al., 2016). A Novel recent AP technique is the use of phages as antimicrobial agents against pathogenic bacteria including E. coli O175:H7, but its bioavailability is low because it is sensitive to acidic compounds, enzymes and evaporite. It was encapsulating in chitosan to formulate an edible biofilm with good physical properties and sensory characteristics for beef preservation (Cui et al., 2017e). Bacteriophages was incorporated into acetate films but it changed the tensile properties, thickness, elongation and puncture resistance (Gouvêa et al., 2015). Bacterial cellulose films were used as edible antimicrobial packaging in direct contact with fresh sausage against E. coli and S. aureus (Padrão et al., 2016). Micro-emulsion is a Novel good strategy used to extend the release time of BACs. Micro-emulsion extend the release time for longer time because it covers the BACs by the micro-emulsion material which contains micro-pores and micro-channels that release the BACs slowly from the center of the emulsions to the surface of films. Antimicrobial edible coatings and films was prepared using corn-Bio-fiber gum as an emulsifier with chitosan and allyl isothiocyanate and lauric arginate ester as antimicrobial agents. Formulated coatings and films managed to reduce E. coli O157:H7 and Salmonella spp. population in ready-to-eat meat, strawberries, or other food (Guo et al., 2017). Novel method to use the BACs is the use of its nanoparticles in a minor amounts comparing to the use of much amounts when it is used in its original particle size, that gives it an advantage of not affecting the packed food materials (Fang et al., 2017). Nanoparticles of clove oil-loaded chitosan and of its gelatin electrospun nanofibers showed to be highly antimicrobial against E. coli O157:H7 biofilms on cucumber with an acceptable sensory results including color and flavor (Cui et al., 2018). Nanoparticles of non-organic materials such as silver, zinc and other substances were proven to have an antimicrobial activity as packaging materials. Silver nanoparticles have an antimicrobial efficacy against both gram negative and gram positive bacteria, yeast and mould (Hannon et al., 2017). Nano-silver-including containers were used as AP to prolong the fresh foods shelf-life and quality such as, meat fruit and dairy products significantly. It could inhibit the contamination and growth of E. coli, Salmonella, Listeria monocytogenes and S. aureus, Pseudomonas spp. (Carbone et al., 2016). The presence of minerals in a mineralized, agar-based nanocomposite films, significantly influenced the morphology, properties and functionality of the obtained nanocomposites. Reinforcement with the Zn-mineral phase improved the mechanical properties of the carbonate-mineralized films. Nanocomposites showed improved optical and thermal properties, better Zn(II) release potential in a slightly acidic environment and exhibited antimicrobial activity against S. aureus (Malagurski et al., 2017).

Polymers Based Packaging Novel use of polymers such as polyvinyl chloride, polyethylene terephthalate, polypropylene, and polyethylene as packaging materials has substituted the conventional materials (metal, glass, paper) which was traditionally used as food packaging materials, because those polymers are transparent, flexible, cheap, easy to process, heat seal ability and light weight. But they have some disadvantages comparing to conventional materials, hinder their use in packaging as they have relatively low-barrier properties that reduces packaged food protection (Avella et al., 2007; Huang et al., 2017; Mangaraj et al., 2009). Chitosan-carboxymethyl cellulose-oleic acid was combined with zinc oxide nano particles as a packaging material to increase the shelf life (microbial and staling) of sliced wheat bread through the control of water vapor and microbial growth (including yeasts and molds) during storage of 15 days (Noshirvani et al., 2017). Cyclodextrins have a hydrophobic inner cavity forms which could formulate inclusion complexes with many molecules (guest material including BACs) while its hydrophilic outer layers validate its solubility in water, that will modify guest materials properties. Stability and solubility could be modified using cyclodextrins and as a result release rate and time could be prolonged which could be a promising innovative strategy in the food industry (dos Santos et al., 2017a,b). Polyvinyl alcohol was used to encapsulate oregano essential oil as an AP against Salmonella enterica, molds and yeasts, and mesophilic aerobic bacteria growth on cherry tomatoes (Kwon et al., 2017). Formulated Nisin-loaded poly-g-glutamic acid/chitosan (NGC) nanoparticles and NGC nanoparticles-embedded polyethylene oxide nanofibers was active to inhibit L. monocytogenes on cheese without affecting its sensory characteristics (Cui et al., 2017b). An antimicrobial coating of Poly ethylene terephthalate anchored to a layered double hydroxide was a salicylate anion used to prolong the release time of active materials that extended the shelf life of fresh mozzarella for 72 h (Gorrasi et al., 2016). The poly(ε-caprolactone) as biodegradable polymer together with vitamin E a-tocopherol, a plant-based phenolic antioxidant formulated a functionalized coating system using electrospinning process that allows high surface area materials production with higher antioxidant activity in purpose of extending shelf life (Dumitriu et al., 2017). Ethylene–vinyl alcohol copolymer was used to protect some natural antioxidants (green tea extract and quercetin) to prepare antioxidant active films without affecting the polymer properties and with lower permeability. Active films reduced lipid oxidation of brined sardine during storage as it reduced the peroxide values, and the malondialdehyde concentration (López-DeDicastillo et al., 2012). Electrospun technique was used to enhance the poly (ethylene oxide) (PEO) nanofibers antibacterial activity by the cold nitrogen plasma treatment of the beta-cyclodextrin and tea tree oil which were used as a host-guest to form water-soluble inclusion complex. Inclusion complex, encapsulated into PEO matrix by electrospun technique, treated with plasma showed a better release efficiency of antibacterial agent from PEO nanofibers. Antibacterial activity of PEO nanofibers against E. coli O157:H7 enhanced and the beef shelf-life was extended (Cui et al., 2017a).

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Starch Based Packaging One Novel promising bio polymer used in food packaging for their good properties, biodegradability, cheap prices and world widely availability is Starches (Reis et al., 2015). Starch was used to prepare a matrix to include polycaprolactones in purpose of improving suitability for contact with food (Alix et al., 2013). Poly-electrolyte structured were prepared using starch, cationic starch and sodium alginate and showed good antimicrobial properties and good thermal and surface properties, and they can be used as food packaging materials (S¸en et al., 2017). Mango pulp and yerba mate extract were incorporated into a cassava starch matrix to improve palm oil stability against oxidation with a modified mechanical, physical and barrier properties (Reis et al., 2015). Novel films were formulated using starch as lignin-starch system to improve barrier and mechanical properties. Sago palm (Metroxylon sagu), starch with the addition of lignin improved the thermo-mechanical and barrier properties with significant reduction in water vapor permeability, and improved water resistance and seal strength (Bhat et al., 2013). Thermoplastic corn starch and chitosan oligomer (CO), a prototype packaging material that have an antimicrobial and antioxidant activity without negative effects on CO diffusion, which validate its use against molds and yeasts even more than the use of the CO alone (Castillo et al., 2017). An active Oregano essential oil combined with rice starch/fish protein (1:1) packaging material with low solubility, low water vapor permeability, intermediate mechanical properties and homogeneous matrix showed high antioxidant activity as peroxidase inhibition which recommend its use as anti-browning packaging in fruits and vegetables packaging (Romani et al., 2017). Cassava starch and free lycopene and lycopene nanocapsules was combined to form an antioxidant active package against the oxidation of sunflower oil (Assis et al., 2017).

Modified Atmosphere In the modified atmosphere packaging (MAP); Respiration as one of the main metabolic phenomena that offers energy for the plant biochemical processes happening in the tissues, after a while creates a modified package atmosphere that prolong the fresh fruits and vegetables shelf life. Main factors affecting the respiration rate and respiratory quotient are temperature, O2 and CO2 concentrations, and storage time (Fonseca et al., 2002). But respiration and water transpiration cause a bad effect on the product weight and quality because of the oxidative breakdown of substrate molecules such as starch, sugars, and organic acids to simpler molecules such as CO2 and H2O (Jalali et al., 2017), that is why this process should be modeled. Modified atmosphere and humidity packaging (MAHP) is used to extend shelf life and maintaining the quality of fresh fruits and vegetables by modifying desired gas concentration and relative humidity inside fresh produce package. Several factors affect the optimum design of MAHP, most of which are time and or temperature dependent (Jalali et al., 2017). Addition of argon (Ar) gas to a Carbon dioxide and nitrogen MAP maintained the safety and quality of ready-to-eat meat products because it inhibited the growth of L. monocytogenes and E. coli as well as extended shelf life (Heinrich et al., 2016). MAP of gluten-free fresh filled pasta in of N2/CO2 showed longer mold-free shelf life (42 days comparing to 13 days for those packaged in normal atmosphere “air”) (Sanguinetti et al., 2016). Humidity-regulating and control-polypropylene trays maintained a stable RH (93%) inside the package and better maintained the quality of mushrooms (Rux et al., 2015). CO2 emitter pad was used as MAP of cod loins with a prolonged shelf life, freshness and quality for 13 days comparing to 7days when vacuum packaging was applied without the application of CO2 emitters (Hansen et al., 2016). Although CO2 is useful for the MAP of foods, excess CO2 accumulation in a package may be detrimental to the quality of the product and/or the integrity of the package, particularly in the case of CO2-producing foods. In those cases, including CO2 scavengers in food packages is beneficial for preserving the food quality and package integrity (Lee, 2016).

Synergistic of More than a Strategy Packaging A Novel idea of a recent interest is the use of a combination of more than one packaging strategy, as they give synergistic effect which is usually higher than the effect of every strategy used alone. MAP (formulated of O2, CO2, and N2) combined with dipping in sodium hypochlorite showed higher antimicrobial effects when compared to using only one of them individually (Waghmare and Annapure, 2015). Dielectric barrier discharge atmospheric cold plasma (DACP) reduced the count of E. coli O157:H7 in a commercial plastic clamshell container thus it holds promise as a post-packaging process for fresh and fresh-cut fruits and vegetables (Min et al., 2017). Synergistic action of varied BACs is promising because the resultant active values are higher than the original materials individually (Romani et al., 2017). Carvacrol and thymol EOs mixtures synergistically, trapped in halloysite nanotubes to minimize the loss of the highly volatile EOs during the high-temperature processing, enabling melt compounding and subsequent films production that inhibited the growth of E. coli. by seven orders (Krepker et al., 2017). Antimicrobial effects of Chitosan nanoparticles was empowered by clove oil against E. coli O157:H7 biofilm on lettuce and showed that combination of them both showed greater antimicrobial effects comparing to the use of only one of them (Cui et al., 2016c). D-amino acid and nutmeg essential oil together encapsulated in Chitosan nanoparticles was immobilised in soya bean products using electrospun nanofibrous membranes, that offered the formulation of an antimicrobial biofilms with an effective antimicrobial activity against S. aureus biofilms (Cui et al.,

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2017c). Thyme oil with cold nitrogen plasma (CNP) combined was used to eliminate or inhibit Salmonella growth on eggshells while the use of thyme oil or CNP individually did not show good antimicrobial activities (Cui et al., 2016b). Rosemary essential oil with its proven antioxidants and antimicrobials properties as an AP was empowered by MAP conditions such as aerobic, vacuum or high O2 conditions, to protect beef slices against Psychrotrophics, Brochothrix thermosphacta, P. spp., and Enterobacteriaceae (Sirocchi et al., 2017). High-pressure (HP) synergistically with AP using polylactide, polyethylene glycol and cinnamon oil against L. monocytogenes and Salmonella Typhimurium in chicken samples under refrigerator storing conditions showed higher efficiency when compared to any of them used individually. Lower concentration of each antimicrobial agent could as a result be decreased to a minimum, so that the process becomes more economically viable (Ahmed et al., 2017b).

Conclusion Novel packaging technologies was under focus because of the consumers’ preferability and need for mildly processed food and fresh food that could survive its quality and freshness which forced food technology developers to find more Novel active technologies to do these targets. Those recent trends of food packaging are all about prevent its spoilage factors including microbiological, oxidation, and environmental external related factors by the incorporation of antimicrobial and antioxidant agents and their protection to increase their stability and prolonging of its release time to the food surfaces through the micro and nano-encapsulation. In addition, Novel food packaging should increase barriers, decrease water vapor permeability, respiration and transpiration rate as they all lead to food quality deterioration or spoilage. Active packaging, intelligent and smart packaging and many other packaging technologies in purpose of protecting foods and their nutritional value from passing through those quality deterioration processes were discussed.

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Green Production Strategies Vineet Kaswana, Mukesh Choudharyb, Pardeep Kumarb, Sandeep Kaswanc, and Pooja Bajyad, a College of Basic Science and Humanities, Sardarkrushinagar Dantiwada Agricultural University, Gujarat India; b ICAR-Indian Institute of Maize Research, Ludhiana, Punjab, India; c Department of Livestock Production Management, College of Veterinary Science, Guru Angad Dev Veterinary & Animal Sciences University (GADVASU), Ludhiana, Punjab, India; and d L.B.S. Girls College, University of Rajasthan, Jaipur, Rajasthan, India © 2019 Elsevier Inc. All rights reserved.

Abstract Environmental Sustainability Enhanced Yield Potential Increasing Nutrient- and Water-Use Efficiency Maintaining and Restoring Soil Fertility Disease and Pest Control Sustainable Livestock Production Implementing Sustainable Practices Environmentally Sustainable Agriculture Promoting Technologies Smart Breeding Technology Plant Gene Technology Genome-Editing Technology Manuring Technology Biomass Technology Cultivation Technology Robotics and GPS Technology Economic Sustainability Food Security Securing Food Availability Securing Food Accessibility Securing Food Absorption and Use Securing Food Stability Food Quality, Hygiene and Safety Strategies for the Success of Green Agri-Food Value Chain Interventions Consumer Awareness-Biggest Driver to Green Agri-Food Value Chain Process Nutritional Education and Awareness Quality Mark Signals Availability and Affordability Acceptance Capturing Value Market Competitiveness References

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Abstract Growing human population and climate change phenomenon have substantial impact on global food systems. Food systems are integral to human health as well as sustainability of the planet. Increasing food demand often involves destruction or overexploitation of non-renewable resources such as land and water. Extra burden on these resources results into environmental degradation and increased threat on survival of all life forms. In such an alarming situation, green production strategies can play a pivotal role to meet the global food demand without compromising environmental integrity and human health. The enormously rising population is expected to cross 9 billion by 2050 as per the projections of the United Nations (UN, 2010). Accordingly as per FAO estimate, one billion tonne of cereals and 200 million tonnes of meat would be required annually to achieve global average food consumption of 3130 calories per person per day by 2050. These targets can be achieved by accumulative efforts of enhancing yields, higher cropping intensity, better resource use efficiency, expansion of agricultural and irrigated land and reduction in food losses. What needs our considerable attention at the moment is that any effort to increase food production should not affect the bio-diversity or deplete the natural resources like water, soil etc in an uncontrolled manner (Bruinsma, 2009). The pressure to feed the rising population should be met with the implementation of green production strategies so that the basic principle of

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sustainable consumption as well as sustainable production can be put into practice. Sustainability can be best defined as pooling up of all aspirations within the limitations of currently available resources in the best possible manner. The green production strategy is reflected by a green agri-food value chain that can be defined as simultaneous improvement in agri-food production and environmental protection by analysing critical points of production from growing to consumption, lowering the risks and liabilities on the environment and increasing productivity at each stage of the process. Green production strategy envisions enhanced food production through harnessing the complementarities of economic, social and environmental aspects of sustainable agriculture. The main components of this strategy include environmentally and economically sustainable agriculture, food security and food quality, hygiene and safety. These principles inhabit various elements that can address the problems en route to sustainable agriculture (Fig. 1).

Environmental Sustainability Environmental sustainability defines a boundary for us to satisfy our current needs without anyway compromising the quality of environment/ecosystem so that it remains equally capable of supporting the future generations too. This can be attained by coordinated efforts for achieving higher nutrient and water use efficiency along with pest control through integrated approaches. It is herculean task to accomplish the targets of complete environmentally sustainable agriculture due to overlapping or conflicting balances among profitable and environmental goals however even a partial transition towards the environmental sustainability can prove to be vital in making green production strategy a huge success. The various targets to be followed in order to achieve environmental sustainability include:

Enhanced Yield Potential The target of environmental sustainability can be achieved by enhancing the yield within the domain of available arable land without eyeing to disturb the low yielding irrigation scarce marginal lands (Ruttan, 1999; Young, 1999). Many major production areas of rice in east and southeast Asia which are mostly the early adopters of green-revolution technologies tend to show stagnant yield due to routine or less diverse cereal production systems and possess high threat of disease and pest susceptibility (Cassman and Dobermann, 2001). This problem of stagnant yield potential or yield gap among the highly exploited and less exploited areas of rice production signifies the need to adopt innovative technologies to bridge the yield gap. In order to make sustainable

Figure 1

Components of green agri-food value chain.

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agriculture a success, the yield potential of various staple crops need to be boosted like the wheat by the deployment of appropriate breeding techniques and technological interventions (Reynolds et al., 1999).

Increasing Nutrient- and Water-Use Efficiency Leaching of nutrients in the soil is something that needs to be addressed by enhancing the nutrient use efficiency in crops that can give us good dividends in future. Nutrient use efficiency refers to the high grain or biomass production per unit of added specific nutrients. Development of better nutrient-use cultivars and implementation of soil testing and timely fertilizer application practices has the potential to enhance the nutrient use efficiency as evident from the 36% rise in fertilizer use efficiency of maize in the United States within a span of 21 years (Frink et al., 1999). Agronomic interventions such as use of cover crops, application of organic nutrients and minimal disturbance to soil surface through zero tillage can help in enhancing the nitrogen use efficiency. Buffer strips consisting of trees and shrubs should be promoted around the cultivated fields to prevent the nutrient losses, better insect pest management through promotion of parasitoids and effective weed control. The promotion of neem (Azadirachta indica)-coated urea in India is a good example of sustainable use of fertilizers as it releases nitrogen slowly and hence reduces the leaching losses. Similarly the use of eco-friendly fertilizer derived from neem and moringa (Moringa oleifera) has gained the momentum in Nigeria. The spatial and temporal application of fertilizers known as precision farming too has emerged as a promising technology for maintaining crop yields without any side effects on growing environment (Peng et al., 1996). Irrigation played an important role in achieving the green revolution. According to the estimates of United Nations Conference on Trade and Development (UNCTAD), agriculture uses around 70% of global fresh water (Kay, 2011) whereas around 16% irrigated land provides 40% crop production (Postel et al., 1996). The challenge to produce sufficient food on limited irrigated land and depleting water table can be addressed through multipronged approach such as use of cost effective lightweight drills that can help to detect and use shallow ground water, energy efficient solar based irrigation pumps, water desalination technologies for re-use of saline water, rainfall storage and conservation systems, and use of efficient water saving technologies like drip irrigation, pivot irrigation etc (Buluswar et al., 2015). Additionally, the water retention capacity of the soil can be enhanced through enhancing soil organic matter by manure addition and minimum tillage practices. There is also need to focus on development of water-use efficient cultivars by exploiting the root traits that can enhance water uptake of crops in drought prone ecologies.

Maintaining and Restoring Soil Fertility Fertile soil acts as the main substrate for bumper crop production provided other practices are timely followed. There has been severe degradation of soil fertility due to urbanization, mono-cropping, excessive use of chemicals, gaseous emissions and water and soil erosion (Greenland and Szabolcs, 1994). The low productivity of the crops in less fertile soil is tried to be compensated by excess use of fertilizers or chemicals which in turn increases the production costs and hence reducing the profitability of farmers (Naylor, 1996). Their unregulated application by farmers further deteriorates the soil health and environment. This can be overcome by the sustainable use of fertilizers in the form of organic nutrients. Nanofertilizers which are nano-scale formulations of the nutrients are a new area of study focussing on precise application of nutrients on crops and minimising their leaching effect. They can be used for foliar application or can be encapsulated for slow-release over a longer period of time. The research projects on novel techniques for nitrogen fixation such as “N2Africa” should be encouraged to sustainably supplement the nutrients to legumes. The novel techniques for making cost effective bio-fertilizers can be integrated with the existing technology of precision agriculture for attaining high yields along with maintenance of soil health (Buluswar et al., 2015).

Disease and Pest Control Rice, wheat and maize are major crops that fulfil more than half of the total calorific requirements of global population. The large acreage covered by these major staple crops are vulnerable to the insects and pest outbreak and hence threatening the global food security. However the plant breeders have taken utmost care of this fact by developing the resistant cultivars in these staple cereals. The crop yield has been maintained by the spatial and temporal deployment of resistant cultivars. The biggest challenge in breeding for insect pest resistance is related to the ability of insect pest to evolve its defence mechanism with time and hence break the durability of resistance. The resistance durability of maize hybrids in US which was 8 years around 30 years back has come down to 4 years. The bacterial strains and insects are reported to develop resistance to any antibiotic or chemical within a period of three years and decade, respectively. Hence an integrated approach for insect pest management known as Integrated Disease management and Integrated Pest Management needs to be strictly followed with major emphasis on controlling the insect pest through biological and cultural control with least use of synthetic chemicals (Ortiz, 1998; DeVries and Toenniessen, 2001). The problem of breaking defence of resistant cultivars can be addressed through the deployment of multiple resistance genes in multiple lines to develop multi lines possessing resistance to different strains of pathogens or insects. In addition crop rotation practices harnessing enormous crop diversity can be adopted for disease and pest control as cited from control of rice pathogen in China by use of interchanging rows of two rice varieties (Zhu et al., 2000).

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Sustainable Livestock Production There has been a gradual shift in the food habits with growing economy and the consumption of meat has increased at a rapid pace in the last two decades. The meat production has further put pressure to produce more grains as there is need of 3–10 kg of grain to produce one kg meat. Livestock production has become a great source of income as there is need of limited facility to generate huge profits. This resulted in enhanced livestock population over the years on one hand but generating the risk of animal health and environment on the other hand (UN, 2010). Livestock sector is prone to various risks such as disease outbreaks, untreated animal wastes led air and water pollution etc. In highly intensive farming conditions the chances of occurrence of mass catastrophes are high as cited from the killing of 1.2 million birds due to spread of influenza A virus (H5N1) in Hong Kong in 1997. There is example of spread of strains that are pathogenic to humans such as Salmonella, Campylobacter and Escherichia coli strains to the poultry (Smith et al., 1999). There is also the problem of disposal of huge waste generated from large production facilities and thereby contributing to gaseous emissions. Livestock farms in vicinity of crop production units can prove to be vital as the wastes can be used to produce compost which in turn can be utilized for crop production. Improved pastoral livestock production is a better alternative to restricted and confined livestock production as it helps in maintaining the cycle of dispose of waste and feeding in ecosystem. Hence the environmentally sustainable agriculture can be achieved through efficient management of grassland-ruminant ecosystems.

Implementing Sustainable Practices Farmer’s profitability is the point of concern that needs to be addressed while targeting the goal of sustainable agriculture. Farmer can restrict the use of synthetic fertilizers or chemicals only with the surety of fetching good prices out of its produce. The currently adopted incentives of higher profitability need to be shifted towards the adoption of environment friendly technologies such as precision agriculture. This would help in maintaining the profitability along with minimal damage to the environment (Matson et al., 1998), but governments should promote the early adoption of such technologies through partial subsidies. There is need to encourage the government policies that provide incentives for adoption of sustainable practices viz. ‘green payments’ provided by Japan, Norway, Switzerland and US to farmers adopting sustainable farming practices (OECD, 2001). Other international policies that support environmental protection such as increased tax or removal of subsidies on use of synthetic chemicals need to be formulated. The consumers should be made aware about the impact their food choices have on the environment. It is a well known fact that eating plant based diets and reducing animal-sourced food, reduces environmental impacts. The goal of sustainable agriculture can be addressed through coordinated approach of public private partnership, higher investments for providing the rewards of green production strategies, harnessing the knowledge of experts in ecosystem services, extension of emerging sustainable practices and convincing farmers for its adoption through demonstrations.

Environmentally Sustainable Agriculture Promoting Technologies Several technologies that can play a vital role in promoting the environmentally sustainable agriculture have been developed and are likely to evolve in near future at a very fast pace. Some of these are discussed below in brief.

Smart Breeding Technology The higher yields in crops can be achieved through targeted breeding for yield together with resistance against biotic and abiotic stresses. Conventional breeding that deals with the transfer of traits within the same family has led to significant improvement in yields but at a slow pace (Buluswar et al., 2015). Molecular breeding or Marker assisted breeding can supplement the conventional breeding to achieve rapid genetic gains. It is a promising technology that can help in improvement or introgression of various traits of economic importance in natural manner without any external genetic alteration. Hence this technology omits chance of disturbing the genetic integrity of the crop thereby safeguard the principles of organic plant breeding. Improved Pusa Basmati-1 that was evolved through molecular breeding by incorporating blight-resistance carrying genes Xa13 and Xa21 into the Pusa Basmati was one of the first products of molecular breeding in basmati rice that conferred resistance against bacterial blight and had relatively higher yield potential (Gopalakrishnan et al., 2008).

Plant Gene Technology Plant gene technology (also known as Transgenic Technology) is considered to be the crucial technology that can safeguard the concerns of environment. This technology can ensure sustainable development of valuable end products for farmers, retention of essential nutrients in a natural form for its better availability and development of disease and pest resistant crops. Gene technology gives us the potential to transfer specific characteristics, even across species. Bollworm resistant Bt-cotton and virusresistant Hawaiian papaya can be cited as successful examples of this technology for improving farmer’s income by reducing crop losses. Similarly transgenics in maize and soybean for herbicide resistance have also contributed significantly in yield improvement and reduction of herbicides use. Transgenic Eucalyptus is the only genetically modified (GM) crop that has been designed for

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higher yield and is commercially approved as well. It was developed by transferring a gene from Arabidopsis thaliana into eucalyptus that led to reducing the time to maturity from 7 to 5.5 years. GM crops have contributed to an estimated increase of 22% in agricultural yield and nearly 65% increased profit to the farmers globally on an average. The possibilities of developing climate resilient cultivars through transgenic technology need to be exploited. In order to make transgenic technology a great success there is need to take policy measures for easy access of technology, greater benefits to marginal farmers and risk mitigation (World Bank, 2008; Marden et al., 2016). There is also need to frame regulatory policies for uplifting the innovations along with strict monitoring of biosafety regulations to reap the fruits of transgenic technology for human benefits.

Genome-Editing Technology CRISPR (Clustered Regularly Interspaced Short Palindromic Repeats) is a gene editing technology that is gaining huge attention in the scientific community these days and is currently being used for crop improvement, biofortification and stress-tolerance in plants. It is in fact referred as the new tool box for development of better crops. The best part is that the CRISPR-edited foods are considered as safe as those developed by conventional breeding by the USDA and this technology has no apprehensions attached to it very unlike the GM crops. The anti-browning mushroom was the first CRISPR edited food which was considered to be not requiring any regulation status by USDA and soon there will be CRISPR edited corn coming up in the market too. There is lot more that is going on at this front and the future seems very promising.

Manuring Technology Manure is a kind of soil amendment material that can be used to enhance soil fertility and quality for long term. To have a well integrated application of such natural organic sources in agriculture a systematic approach needs to be developed for assessing the available nutrients in manure, propotionating the ratio of various nutrients in it and enhancing nutrient availability before its application. The large amounts of ammonia, phosphorous and greenhouse gases produced by the animal manure need to be effectively managed for better utilization of natural resources. Improved manuring technology can help in better utilization of animal produce through its use as organic fertilizer thereby reducing environmental load.

Biomass Technology Biomass technology deals with the utilization of waste farm residues for converting it into bioenergy and valuable by-products. This technology provides an opportunity to place the agricultural sector on top for providing an alternative to non-renewable resources of energy. This will help in cutting the need for the non-renewable sources of energy such as fossil fuel and hence safeguarding the environment from greenhouse gas emission. Biomass technology will prove to be crucial element in promoting sustainable agriculture as there has been a continuous decline in the non-renewable sources of energy. It needs to be further boosted by the policy support as various governments are emphasizing on utilizing the agricultural residues for meeting the future energy requirements and hence reducing the dependency on non-renewable sources of energy. In the recent past, Indian government has set the targets to significantly increase the use of renewable sources through proportional cut in share of nonrenewable sources of energy. National policy on Biofuels in India have proposed 20% blending of bioethanol by 2017 (mnre.gov.in).

Cultivation Technology The smart use of ecological and agricultural knowledge with an integration of best management practices can help in sustainable agricultural development. This technology focuses on preservation of ecological integrity through reduced use of machineries for tillage practices, adoption of better crop rotation practices and precise use of fertilizers. These technologies can be fully exploited at their best by carrying out advanced research related to diverse cultivation practices.

Robotics and GPS Technology The world has made tremendous progress in the field of information technology and its use can be seen in all major sectors and agriculture is not an exception to this. The sensors can be used for stage specific and precise application of fertilizers according to the need of the crop. Sensors along with GPS are actually aiding farmers in collecting data in real time from vast areas of farming. MEMS and 3D LIDAR sensors are reported to have great applications in detection and segmentation of plants with high accuracy (Weiss and Biber, 2011). Robotics is another such technology that is strengthening the base for automated agriculture. There are companies like HETO Agrotechnics that are working extensively in the area of automated seed sowing and potting. Tule technologies is another promising start-up to look for. It estimates the water losses in the field and measures actual evapo-transpiration from plants. A highly compact robot “Eddy” developed by Flux lo T can monitor temperature, pH levels and humidity besides some other variables and was included in the list of top 25 innovations by NASA in 2017. Crop monitoring, weeding and pesticide spraying are some other fields where robotics can have huge applications.

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Economic Sustainability Sustainable farming is actually an amalgamation of ecological, social and economic sustenance. Economic sustainability is a part of green agri-food chain and can be defined in terms of achieving higher profitable returns over a period of time by managing the ecological or natural resources sustainably. The economic sustainability supports the fact that the farmer should be able to earn the profit continuously by management of all the adverse situations of unpredictable weather and pest outbreak. The basic philosophy behind the economically sustainable agriculture includes better viability and pliability of farm economy in a long run, farm management skills, better resource utilization and conservation of the natural resources. Farm and labour productivity are the key input systems of farming that need to be boosted with efficient management skills in order to open the avenues for higher monetary returns. The economic efficiency focuses on efficient resource utilization, enhanced productivity and high profitable returns in a highly competitive farming sector (Winiewska, 2011). The studies indicate that efficiency of a farm does not depend largely upon the size of farm. In 1997, Peterson conducted the experiment in US Corn Belt and revealed that as the size of the farm increases the economic efficiency of farm decreases because it becomes difficult to manage the large farms. This may also affected by several other factors such as the fertility status of farm, resource management skills and opportunities of off-farm employment. Economic sustainability can be achieved by employing crop diversification, livestock-crop integration, critical analysis of market trends, harnessing the government subsidies on fertilizers and engaging the family members in off-farm activities for side income etc. To have a proper economic sustainable model in our agriculture system, collaboration should be ensured at all the levels of hierarchy, ranging from farmers to processors, distributors to consumers. The farmers can tackle the risks of monsoon and other natural calamities through insuring the crop. There is need to take a serious call over the adoption of disease and pest resistant GM crops as it has a huge potential to attain the goals of both economic and environmental sustainability. In short, the sustainable farms must be resistant to unexpected shocks, resilient to economic setbacks and redundant in a way that they must have a fall back strategy or what we call as plan B to sustain. The government policy initiatives that have the priority of supporting the domestic food demand rather than the export trades need to be taken for strengthening the food security of the nation. Few other factors that need to be taken care of include stabilization of volatile market rates, stopping import of cheaper products on large scale and providing good minimum support prices to farmers. Farming community needs to be equipped and well trained with advanced mechanization techniques to increase the work efficiency on the farm. The rate of unemployment created because of mechanization should be compensated by providing alternative employment opportunities.

Food Security Food security is defined by the availability and accessibility of ample amount of nutritious food to live a healthy life (FAO, 2016). It is usually framed in four dimensions: food availability, food accessibility, food utilization/absorption and food stability.

Securing Food Availability The challenge for adequate amount of food production can be achieved through integrated approaches of developing high yielding climate resilient cultivars, enhancing livestock productivity, maintenance of soil fertility and judicious use of water table as discussed earlier.

Securing Food Accessibility Food accessibility means access to the food in temporal and spatial manner. The dimensions of food accessibility can be addressed by improved facilities for storage, refrigeration, transport and agro-processing. The lack of storage facilities has been a great concern of the several nations particularly developing nations and results in severe food losses. The post-harvest handling technologies can help in addressing this challenge as cited from successful example in development of rice-based products in Uganda. Similarly mobile processing units have emerged as a viable solution for post-harvest processing of cassava in Nigeria. Breeding for varieties with better shelf life like Flavr Savr (GM tomato) should be targeted for avoiding the post-harvest losses in perishable commodities. Emerging technologies like nanotechnology can be explored for finding a viable solution for preservation of fruits and vegetables.

Securing Food Absorption and Use The dimension of food absorption addresses the availability of essential nutrients to the human through nutritious food. The food should be nutritious enough to provide sufficient calories and nutrients to human body. This can be achieved by supplementation, commercial fortification and biofortification. Biofortification that deals with breeding of crops for enhanced nutrient density is the most viable and sustainable approach. International Food Policy Research Institute initiated the Harvest Plus project in 2004 for the biofortification of several crops and resulted in the development of vitamin A-enriched maize, orange fleshed sweet potato, iron and zinc fortified rice and pearl millet. In maize, Vivek QPM-9 was the first MAS based product that resulted in enhancement of lysine

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and tryptophan in maize (Gupta et al., 2013). Similarly Vivek QPM-9 was further fortified with vitamin-A through introgression of crtRB1 gene and thereby resulting in multi-nutrient maize (Muthusamy et al., 2014). The world food prize for the year 2016 was conferred to Drs Maria Andrade, Robert Mwanga, Jan Low and Howarth Bouis for significantly contributing to the field of biofortification.

Securing Food Stability Food stability can be secured by mitigating the challenges of climate change by taking advance preventive measures via accurate weather forecasting, index-based crop insurance and adoption of technologies like precision agriculture. Big data analytics is the emerging field for information generation and has enormous application in farmer decision support system, precision farming and crop insurance. The information of big data on weather can be integrated with crop information to forecast prior warnings for taking mitigation measures. Hence the initiatives on open data access like Global Open Data for Agriculture and Nutrition initiative should be promoted at global level for exploiting the big data analytics in the field of agriculture. This would help in building an accurate and reliable weather forecasting system. The successful examples of such systems on early warning in agriculture are Global Information and Early Warning System on Food and Agriculture, and Rice Market Monitor by FAO and the cloud-based global cropmonitoring system called Crop Watch by Chinese Academy of Sciences. The need of the hour for strengthening the food security is to design agri-innovation systems that can help in prioritisation of research areas, human capacity building, and improved dissemination of knowledge to farmers and gender sensitisation for women labour force. Such systems should support and promote the participation of marginal farmers in generating higher incomes and harness the traditional knowledge possessed by the local communities for improving their livelihoods.

Food Quality, Hygiene and Safety The vulnerable sections of the society should be provided with the quality food for improving the nutritional profile. In order to entertain the interests of big food industries, the agri-food policies in the present context are not encouraging the health and nutritional concerns of vulnerable sections. The studies on the food chains indicate the varying effects exerted by the changing policies on creation of healthier food environments for weaker sections of the society (Gomez and Ricketts, 2013). Hence advanced levels of studies need to be carried out for pinpointing the effect of food chain shifts on health and nutrition (Popkin, 2014). In addition the policy makers should include the processing, marketing and consumption criteria for better promotion of biofortified end products (Hawkes et al., 2012). The flexible regulatory measures for promoting public private partnership can significantly enhance the nutritional benefits of the society provided optimum profitability of private sectors is taken care of (Ruel et al., 2013; IFPRI, 2015). The target of providing the healthy and nutritious food can be achieved only by the coordinated efforts of government and private sector.

Strategies for the Success of Green Agri-Food Value Chain Interventions The concept of agri-food value chain intervention deals with strategies that can be adopted for the critical analysis of biofortified products and utilizing these products for gaining monetary benefits in food markets along with providing the nutritional benefits to the society. There are different pathways that serve the purpose of fulfilling the nutrition needs of the vulnerable sections of the society. The first pathway deals with easy access of the weaker sections of the society to diverse natural food-choices through traditional value chains (Gomez and Ricketts, 2013; Guarin, 2013). Education and extension policies on the nutritional importance needs to be promoted for altering the consumption and behaviour habits of the vulnerable sections of the society as in the example of adoption of orange fleshed sweet potato in Mozambique (Jenkins et al., 2015). The second strategy of promoting agri-food value chain interventions emphasises on the enhanced production of diversified and specific nutritious products and their improved delivery to the target consumers (undernourished infants or pregnant women) through awareness campaigns or promotional events (Chen et al., 2013). The third strategy deals with the refinement of the technologies and policy matters. The coordinated contribution of public and private sector for delivery of nutritious end products can be enhanced by targeted investment in infrastructure facilities, relaxation in tariff barriers and improved market linkages. The last strategy deals with the establishment of efficient food distribution systems for supplying the nutritious food to the targeted vulnerable and needy section of the society. Such types of systems are already in run in India to provide the fortified products at subsidised government prices such as mid-day meal programme to feed the children of the weaker sections of the society.

Consumer Awareness-Biggest Driver to Green Agri-Food Value Chain Process The government, private sector and farmers are the primary stakeholders for production, management and supply of nutritious foods but the success of these products depends upon the ultimate stakeholder i.e. consumer. The association for consumers seems a good initiative to aware and share the knowledge on use of sustainable food products and getting the feedback (Notarnicola et al., 2015). Consumer choice for nutritious food takes the following requirements into consideration:

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Nutritional Education and Awareness The ultimate stakeholder should be well aware about the benefits of consumption of nutritious foods in terms of quality and quantity. This could be achieved through promoting the nutrition education starting with the schools and awareness campaigns.

Quality Mark Signals The main concern about the food quality is the authenticity. The quality of food should be indicated by the mark signals or certification labels along with regular monitoring of markets so that standards are maintained. This will put a check on the fraud products in the market chain and also help in securing the belief of customers for the branded quality products (Poole et al., 2007).

Availability and Affordability The food producers must be able to supply produced food to the markets in a continuous manner. The markets should be located within the reach of the weaker sections of the society. The food should be made readily and abundantly available as per the demand of particular food among the consumers. The prices of nutrient dense foods should be such that the large mass of the society can willingly purchase it. Seasonal food products, storage, better processing facilities and subsidies to weaker sections enhances the affordability (Miller and Coble, 2007; Hawkes et al., 2012).

Acceptance The social studies indicate that the appearance of food products is crucial for its acceptance by the various sections of the society. For example the masses in tribal areas have a traditional preference to white maize and refuse to eat nutritious yellow maize. These social and cultural preferences become an obstacle in the acceptance of physically altered nutritious food products. The consumers need to be made aware about the nutritional benefits of altered appearance so that they can break the shackles of predefined norms.

Capturing Value It is very difficult to capture the value of nutrient rich foods as its effect is not evident immediately as in the case of intake of therapeutic foods. This complexity need to be resolved by the adoption of tools that can help to measure a relative amount of value provided to the food products through processing and fortification. This helps in convincing the ultimate consumers for higher adoption of nutritious products.

Market Competitiveness The healthy competitiveness of the supermarkets ensures the better quality of the food products. This helps to overcome the drawbacks of traditional markets where there was not a proper check on the quality standards of food products (Memedovic and Shepherd, 2008). But this competitiveness give rise to biased higher income groups and the risks of harming the benefits of small stake holders should be critically assessed (Van Beuningen and Knorringa, 2009). The farmers would get higher returns through monitoring the elimination of middlemen and complex safety regulations (Cervantes-Godoy et al., 2007). The stabilisation of markets is also an important criterion for sustainable economic returns for the stakeholders. The producers and retailers are the key components of agri-food chain system that help to maintain the quality and safety of the food products, respectively. The processors have an edge over producers to get higher benefits as the processed products have higher end value. There has been a great evolution in the modern markets over the traditional markets as cited from highly processed products of coffee, cocoa and tomatoes available in the markets. As the global food system is very complex and variable system, ensuring food security and sustainability is a hard and enduring task. There are enormous issues associated with implementation of green production strategies for sustainable food production and it is impossible to resolve all of them in the next decade. The aim to meet global food demand without compromising environmental integrity can be achieved by continuous planning, effective governmental policies, efforts of the enterprises and public participation.

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Life Cycle Assessment in the agri-food sector: an overview of its key aspects, international initiatives, certification, labelling schemes and methodological issues. In: Life Cycle Assessment in the Agri-food Sector. Springer, Cham, pp. 1–56. OECD, 2001. Agricultural Policies in OECD Countries. Monitoring and Evaluation. Ortiz, R., 1998. Critical role of plant biotechnology for the genetic improvement of food crops: perspectives for the next millennium. J. Biotechnol. 1, 1–8. Peng, S., Garcia, F.V., Laza, R.C., et al., 1996. Increased N-use efficiency using a chlorophyll meter on high-yielding irrigated rice. Field Crops Res. 47, 243–252. Peterson, W.L., 1997. Are Large Farms More Efficient? (No. 13411). University of Minnesota, Department of Applied Economics. Poole, N.D., Martínez-Carrasco Martínez, L., Vidal Giménez, F., 2007. Quality perceptions under evolving information conditions: implications for diet. Health and consumer satisfaction. Food Policy 32 (2), 175–188. 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Conversion of Food Waste to Fermentation Products Muhammad Waqasa, Mohammad Rehana, Muhammad Daud Khanb, and Abdul-Sattar Nizamia, a Center of Excellence in Environmental Studies (CEES), King Abdulaziz University, Jeddah, Saudi Arabia; and b Department of Environmental Sciences, Kohat University of Science and Technology (KUST), Kohat, Pakistan © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Food Waste to Fermentation Products Lactic Acid Ethanol Biohydrogen (H2) Biogas Volatile Fatty Acids (VFAs) Techno-Economical Approaches and Prospective Technical Challenges and Solutions Economics Towards Commercialization of Food Waste Fermentation Future Research and Conclusions References

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Abstract The landfill disposal of the massive amount of food waste without treatment and resource recovery is resulting in several public and environmental health concerns. Several technologies have emerged for the conversion of food waste to lactic acid, ethanol, biogas, biohydrogen and volatile fatty acids (VFAs) as value-added products. Food waste is a rich source of essential components such as protein, carbohydrate, oil, mineral, and fat that can be converted to many value-added products as mentioned above. The conversion of food waste to fermentation products such as organic acids, gases, and alcohols requires precise control and optimization of operational conditions, including pretreatment, pH, temperature, and microbes. Therefore, the fermentation technologies for food waste are still developing to solve the technical challenges of pretreatment such as the process economics, reactor design and infrastructure cost and lack of homogeneity in the results of laboratory and large-scale plants. A potential way forward is to optimize the fermentation process conditions along with implementing the strategies to integrate different waste treatment technologies to produce high-quality and cost-effective value-added products at commercial scale.

Introduction Food waste, from kitchen, canteen, food-processing and restaurant waste, is an essential component of municipal solid waste (MSW) and its production has become a global concern (Ren et al., 2017). According to FAO (2012), about 1.3 billion tons of food in the form of fruits, bakery, bread, vegetables, dairy products, and meat are lost every year through food supply chain worldwide. With increasing population, economic growth and living standards, the food waste is projected to further increase in next 25 years (Kiran et al., 2014). In the United States (US), about 38 million tons of food waste is produced every year that is 50% increase as compared to 1947 (USEPA, 2016; Posmanik et al., 2017). In the European Union (EU), the food waste generation is up to 98 million tons per year and projected to reach around 139 million tons by 2020 (European Communities, 2010). In Asian countries, China is the largest waste producing country with the production of more than 90 million tons of food waste, which is about 37%–62% of the total MSW of China (Zhang et al., 2014). In developing countries, most of the food waste is disposed to landfills as an easy option due to a limited budget, infrastructure, and resources. However, such landfill disposal of food waste, containing high organic contents, result in serious public and environmental health issues such as air, soil and groundwater contamination, disease-causing vectors, greenhouse gas (GHG) emissions, waterborne pollutants, waste leachate and odors (Waqas et al., 2018). The conventional methods of waste treatment like composting, incineration, animal feed production and anaerobic digestion (AD) are used to manage food waste (Thi et al., 2015). Food waste is a rich source of various vital components such as protein, carbohydrate (hemicellulose, cellulose, starch, and sugar like sucrose, fructose, and glucose), oil, mineral, and fat that can be used in a wide range of enzymatic and microbial processes (Pham et al., 2015). The total protein and sugar contents in food waste are around 22%–60% respectively (Table 1). Hydrolysis of carbohydrates present in the food waste results in the bond breakage of glycoside with the release of monosaccharides and oligosaccharides which are much acquiescent to the fermentation process. Food

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Table 1

Percentage composition of FW

Study

MC

OM

Starch

Sugars

Lipid

Cellulose

Protein

Ohkouchi and Inoue, 2006 Tang et al., 2008 Wang et al., 2008 He et al., 2012 Vavouraki et al., 2013

75.9 80.3 75.5 81.7 81.5

– 95.4 – 87.5 94.1

29.3 – 46.1 – 24

42.3 59.8 50.2 35.5 55

– 15.7 18.1 24.1 14

– 1.6 – 3.9 16.9

3.9 21.8 15.6 14.4 16.9

waste is also rich in moisture content, and organic matter with high biodegradability rates which make it a promising feedstock for biogas production using AD process (Ren et al., 2017). Food waste has also been used as a sole microbial feedstock to produce various bioproducts such as ethanol, methane (CH4), biohydrogen (H2), organic acids, enzymes and biopolymers (Kiran et al., 2014). Intensive research work has been carried out on the biochemical conversion of food waste to biofuels, chemicals, biodegradable polymers and chemical intermediates (Ren et al., 2017; Kiran et al., 2014). Lactic acid, succinic acid, butanol, and 3-hydroxybutyrate have been successfully produced by fermentation of food waste (Maina et al., 2017). Recently, the waste valorization for the extraction of different marketable components has gained significant interest in both public and scientific community. Therefore, this chapter is especially designed to review the conversion of food waste to various fermentation products. A techno-economic analysis and future perspective of food waste to fermentation products is also provided.

Food Waste to Fermentation Products Lactic Acid Lactic acid is a naturally occurring organic material in the form of hydroxycarboxylic acid. In 1780, it was first defined by a Swedish chemist Scheele from sour milk (Wang et al., 2015). Due to its wide range of applications as a flavor enhancer, acidulant, and preservative, it has occupied a critical position in the pharmaceutical, food, chemical and cosmetic industries. Lactic acid is a chiral compound consist of two optical isomers, L-(þ)-LA and D-()-LA. The pure form of lactic acid is highly preferred for its specific applications. For instance, L-(þ)-LA is easily assimilated by the human body. It is the preferred isomer in the drug and food industries (Abdel-Rahman et al., 2011). Moreover, lactic acid can be commercially prepared using the chemical or biotechnological processes through lactic acid fermentation (Wang et al., 2015). About 90% of lactic acid is prepared using microbial fermentation and 10% by chemical synthesis. Due to low environmental concerns, energy requirements, and production temperature with high purity, the microbial fermentation has become the primary method to produce lactic acid (Wee et al., 2006). The cost of raw materials used for lactic acid fermentation is more than 34% of the total production cost (Åkerberg and Zacchi, 2000). Therefore, to overcome the challenge of high production cost, different organic waste sources like organic fraction of municipal solid waste (OFMSW), potato peel, fruit and vegetable wastes and food waste as substrate have been successfully examined for lactic acid fermentation (Tang et al., 2017). It has been observed that the microbial fermentation of organic waste results in higher lactic acid yield (Tang et al., 2016). However, the major challenge of utilizing such renewable materials for lactic acid production is the cost of pretreatment. Without pretreatment, such renewable materials are not readily available for fermentation due to the presence of impurities, their close association with lignin and lack of production of a hydrolytic enzyme by lactic acid producing strains (Abdel-Rahman et al., 2011). In order to overcome the limitation of pretreatment, many studies have been conducted to produce lactic acid from acidogenic fermentation during the AD. The process of the AD is comprised of four steps such as hydrolysis, acidogenesis, acetogenesis, and methanogenesis. During the first two steps, lactic acid is produced (Tang et al., 2017). Optimizing the operating conditions like inoculum pH, temperature, and C/N ratio is crucial in obtaining high yield lactic acid during the AD process (Tang et al., 2016). The pH has a critical influence on hydrolysis, acidogenesis and microbial communities during anaerobic lactic acid fermentation. Using food waste as a substrate, the pH increase from 4 to 5 promotes the hydrolysis rate and acidification process (Wu et al., 2015). However, pH rise above 6 further converts the produced lactic acid to biogas and volatile fatty acids (VFAs) (Probst et al., 2015). The reason behind the pH effect is the metabolic pathways that play a vital role in dominating specific microbial communities for the production of various intermediates (Wu et al., 2015). Inoculum is also an essential factor that affects fermentative pathways (Liang et al., 2016). For instance, inoculation of axenic microbial cultures like Lactococcus and Lactobacillus gives a high yield, and optically pure lactic acid can be generated using food waste, starch, green biomass, lignocellulosic and refined sugars as feedstocks (Wakai et al., 2014; Tashiro et al., 2016). Similarly, among the operational parameters temperature is another critical factor that influences substrate conversion rate, microbial activity and the economic ratio (Tang et al., 2017). Kim et al. (2012) have found optimum lactic acid yield (23 g COD/L) at 50–55  C. Higher temperature promotes the hydrolysis rate. Conversely, Liang et al. (2014) have studied the effect of different temperature on lactic acid fermentation and found that the lactic acid yield was decreased from 0.22 g/g-TS at 37  C to 0.088 g/g-TS lactic acid at 55  C. The possible reason for a lower yield of lactic acid at 55  C could be the unsuitability of high temperature for the growth of lactic acid bacteria (Zhang et al., 2007a,b,c).

Conversion of Food Waste to Fermentation Products

503

Ethanol Ethanol is one of the most promising product obtained from fermentation of renewable materials. In addition to its applications as a fuel, it is widely used as a feedstock to produce different industrial materials such as ethylene which has the annual market demand of above 140 million tons. Ethylene is further used in the manufacturing of polyethylene and other polymers. Ethanol is mainly produced by microbial catalyzed fermentation using yeast. The most common feedstock for ethanol fermentation is starchy raw materials such as sorghum corn, potato and wheat (Pietrzak and Kawa-Rygielska, 2014). Recently, food waste in the form of wheat-rye bread, kitchen waste, mixed food waste, potato and banana peel has been successfully examined as feedstocks for bioethanol production (Table 2). However, the complex lignocellulosic nature of food waste requires pretreatment including enzymatic and thermal process, and alkali and acid treatment with an ambition to enhance the digestibility of cellulose and starch (Pham et al., 2015). Among the pretreatment methods, enzymatic hydrolysis is the standard technique. It is a two-step process in which the liquefaction of starch is first carried out by a-amylase (EC 3.2.1.1) to produce short-chained dextrins. During this step, the breakage of a1,4-glycosidic bond occurs at amylopectin and amylose chains. In the second step, glucoamylase (EC 3.2.1.3) saccharifies the dextrins to produce monomeric sugars (glucose). However, to produce free amino nitrogen and fermentable sugars, different enzymes like pullulnases, cellulases and proteases are added as a nutrient source for microbes (yeast) (Sapi nska et al., 2013). After hydrolysis, the obtained mash is subjected to ethanol fermentation through inoculation with yeast. Distillation is carried out after fermentation to obtain pure ethanol. This process of ethanol production is known as separate hydrolysis and fermentation (SHF). Ethanol yields of 29.1 and 32.2 g/L from food waste treated with amylases were reported by Moon et al. (2009) and Uncu and Cekmecelioglu (2011) respectively. The recent development in this technology of making ethanol from starchy feedstock is the direct conversion of starch by granular starch hydrolyzing enzymes (GSHE). These enzymes are obtained from genetically modified Trichoderma reesei and show the activity of glucoamylase and a-amylase. Pietrzak and Kawa-Rygielska (2014) have compared the waste bread fermentation with different pretreatment methods and without pretreatment. They proved that fermentation with pretreatment techniques such as sonification, microwave irradiation, and enzymatic pre-hydrolysis increased the ethanol yields to about 12–35 g/kg in comparison to fermentation without pretreatment. However, high yield of ethanol (354 g/kg of raw material) was observed in the direct conversion of waste bread to ethanol using GSHE.

Biohydrogen (H2) Food waste can be converted to biohydrogen (H2) through a number of biotechnological processes. These processes include onestage H2 fermentation, two-stage H2þCH4 fermentation, and photo and dark fermentation coupled with the AD (Alibardi and Cossu, 2016). In the biorefinery concept, the central role for H2 production from food waste is being favored by dark fermentation due to its low energy requirements (Tawfik et al., 2011; Alibardi et al., 2014). In comparison to photo-fermentation, dark fermentation has a faster H2 production. Likewise, utilizing cheaply available feedstock such as food waste could further enhance the economic benefit of the process. Therefore, food waste utilization for H2 production is simultaneously solving waste problem and producing renewable energy (Table 3). However, food waste to H2 fermentation is limited by various factors such as the requirement of pretreatment processes, substrate type, origin and type of inoculum, reactor configuration, temperature, and availability of micro-nutrients. Considerable variation and gaps in the scientific data have been reported because of the influence of these factors on H2 production using organic waste (De Gioannis et al., 2013). Table 2

Ethanol production from FW

Study

Reactor type

Capacity (mL)

Mic: Inoculum

Time (hours)

Yield (g/g FW)

Tang et al., 2008

Separate Continuous Simultaneous batch Separate vessel Separate fermenter Simultaneous

450

Saccharomyces cerevisiae

15

0.03

250 500 250 250

Zymomonas mobilis S. cerevisiae S. cerevisiae S. cerevisiae

14 16 96 48

0.07 0.49 0.20 0.22

Ma et al., 2008 Kim et al., 2008 Uncu and Cekmecelioglu, 2011 Hong and Yoon, 2011

Table 3

Biohydrogen production from FW

Study

Reactor type

pH

Temp ( C)

Yield (mL/gVS)

Boni et al. (2013) Favaro et al. (2013) Redondas et al. (2012) Shin et al. (2004) Han and Shin (2004)

Batch Batch Continuous Batch Continuous

5.5 7.0 5.5 6.5 –

36 35 34 50 34

70.34 16–70 13.1–20.5 91.5 155

504

Conversion of Food Waste to Fermentation Products

The composition of waste is another important characteristic that affects H2 yield in the fermentation process (Alibardi and Cossu, 2016). It has been reported that the substrates rich in carbohydrates result in high H2 yield in comparison to protein and lipid-rich substrates (De Gioannis et al., 2013). However, the stored nutrients in the form of macromolecules need to be broken down into accessible forms like free amino nitrogen and glucose before microbial utilization for fermentative H2 production (Han et al., 2015). Therefore, various pretreatments techniques have been developed for the conversion of macromolecules into essential components (De Gioannis et al., 2013). A promising technique is an enzymatic hydrolysis that in addition to nutrient release could also speed up the hydrolysis of food waste. Other pretreatment techniques include sonification and heat treatment. Several research studies have found that in comparison to untreated food waste, heat treatment results in high H2 production without harming H2 consuming bacteria. Elbeshbishy et al. (2011) have applied sonification of food waste without inoculum addition for enhanced H2 production. Their results showed that pretreatment is an essential parameter to enhance H2 production from food waste. There are several other factors such as moisture content, organic matter, nutrient concentration, particle size, chemical oxygen demand (COD) and biodegradability that also influence the yields of H2 (Zhang et al., 2007a,b,c). The research study of Ismail et al. (2009) has reported the optimum H2 yield and production of 120 mL/g carbohydrate and 35.69 mL/h respectively at controlled COD of 200 g/L food waste. Similarly, Han and Shin (2004) have obtained high H2 yield at a controlled moisture content of food waste. The required C:N ratio for optimal yield is up to 20. The high carbon content and presence of indigenous microbial consortium of food waste solely make it a suitable feedstock for H2 production. Numerous studies have reported higher H2 yields using food waste as feedstock without adding the inoculum (Kim et al., 2011). The H2-consuming bacteria is one of the critical yield-limiting factors that needs to be controlled to favor the growth of H2 producing bacteria (Yasin et al., 2013). Food waste contains a mixture of different microbial consortiums like H2 producing bacteria, and acid, and CH4 producing bacteria. Therefore, the mixed microbial culture needs to be pretreated by chemical, heat, or pH shock to eliminate H2 consuming bacteria and promote the germination of H2 producing bacteria (Kim and Shin, 2008). H2 producing bacteria is resistant to high heat and pH shock. Kim et al. (2011, 2009) have treated food waste at 90  C for 20 min for promoting the germination of H2 producing bacteria. They have found optimum H2 yield and production (1.98 mol H2/mol hexoseconsumed and 148.7 mL H2/g VSadded) by increasing the pretreatment temperature to 90  C. In another study, Kim et al. (2010) have applied potassium hydroxide (alkali treatment with pH 12.5) to increase H2-production with the seeded culture of heat treated sewage sludge.

Biogas Biogas production is one of the most promising solutions for organic waste management due to a renewable energy source, less production cost and low production of residual waste (Kiran et al., 2014). In addition, the digestate produced by the AD is a nutrient-rich product that could be used as a soil conditioner and organic fertilizer. Various research studies conducted on food waste to biogas production are summarized in Table 4. Among the feedstocks for biogas production, food waste is most promising due to its wide availability and heterogeneous composition with high energy content (Paritosh et al., 2017). Forster-Carneiro et al. (2008a) have studied the process yield of the AD using food waste and a shredded OFMSW. They have found the CH4 yield of 0.18 m3/kg volatile solid added (VSadded) for food waste. During the 1950s, the successful design of pilot and commercial AD plants received substantial attention worldwide (Karagiannidis and Perkoulidis, 2009). Several research studies have shown that 1 m3 of biogas produced via AD is equivalent to about 21 MJ energy, which can generate around 2.04 kWh of electricity at 35% process efficiency (Murphy et al., 2004). However, the one drawback of biogas production through the AD is its long operation period that ranges from 20 to 40 days. Zhang et al. (2007a,b,c) have conducted a batch study on methanization of food waste for 10 and 28 days. They observed the optimum CH4 yield (0.435 m3/kg VS) after 28 days of digestion with VS removal of 81% followed by 0.348 m3/kg VS after 10 days of digestion. Food waste, being a rich source of organic components, is an excellent choice for the AD, but the presence of high salt concentrations and cations such as potassium, sodium, magnesium, and calcium could inhibit the digestion process (Chen et al., 2008). In addition, the organic and nitrogen (N) rich feedstocks produce a high concentration of free ammonia (NH3) that could be toxic to methanogenic bacteria (Chen et al., 2008). Co-digestion with wastes containing lower lipid and nitrogen contents are preferably used to control such issues. Co-digestion generally neutralizes the substrates and decreases N concentration, thus reduces the Table 4

Biogas production from FW

Study

Pretreatment

Reactor type

Time (days)

Yield (mL/g VS)

Efficiency (VS %)

Heo et al., 2004 Trzcinski and Stuckey, 2011 Latif et al., 2012

Freeze drying Enzymatic pretreatment Blending

2 stage vessel with 8 L capacity 2 stage vessel with 2.7 L capacity

120 75

Up to 482 –

90 61

19

357

81

Zhang and Jahng, 2012 Dai et al., 2013

Adding trace element No

Two-stage Hydrolytic (10 L) and methanogenic (3 L) reactor Single stage vessel with 150 mL capacity Single stage vessel with 3 L capacity

368 72

Up to 450 455

– 92.2

Conversion of Food Waste to Fermentation Products

505

accumulation of intermediate products such as NH3 and volatile compounds (Castillo et al., 2006). Different research studies related to the AD have proved that co-digestion of food waste with MSW have enhanced biogas yield by 40%–50% in comparison to food waste as a mono-feedstock. Parawira et al. (2004) have carried out co-digestion batch tests with different combinations of sugar beet leaves and potato waste. They observed that high CH4 yield was 0.68 m3/kg VSadded for mixing at 16:24% total solid. The observed CH4 yield from potato waste alone was 0.42 m3/kg VS. Alvarez and Lidén (2008) have examined various combinations of food waste, animal manure and slaughterhouse waste under mesophilic anaerobic conditions. Their results demonstrated that higher CH4 yields (0.3–1.3 m3/kg VSadded) were recorded for anaerobic co-digestion. They have further concluded that anaerobic co-digestion process facilitates the degradation of wastes that cannot be efficiently treated alone. To further optimize the biological process yield, quality of the substrate and pretreatments such as thermal, chemical, physical and biological techniques play a fundamental role in the mass transformation of the substrate during each phase of the AD process (Pham et al., 2015). In addition to pretreatment techniques, various types of reactors have been designed and used for the AD process. There are three reactor systems commonly used for the AD, including continuous one stage, continuous two stage and batch scale reactors. ForsterCarneiro et al. (2008b) have optimized the AD process of food waste at two different inoculums ratios (20%–30% of mesophilic sludge) using 6 reactors with different total solid (TS) concentrations of 20%, 25%, and 30%. They have found that the best performance in terms of higher CH4 production (0.49 m3 kg1 VSadded) and food waste digestion was observed for 30% of inoculums and 20% TS during 20 and 60 days of operation respectively.

Volatile Fatty Acids (VFAs) VFAs are among the essential intermediates produced when organic waste is treated in the AD process. They are produced during acidogenesis and acetogenesis stages of the AD. Being a potential renewable carbon source, VFAs have various applications including biodiesel production, polymers synthesis and N removal (Chen et al., 2013; Zhou et al., 2018). The storage of VFAs is much safer and easier than biogas. Moreover, VFAs have a higher economic value of up to 130 $/ton (Fei et al., 2015) than biogas (0.72 $/m3) (Oleskowicz-Popiel et al., 2012). Therefore, VFAs are considered as a more attractive product from food waste fermentation. During the AD process, the hydrolysate monomers are first converted to propionate, acetate, alcohols, butyrate, CO2 and H2 by acidogenic bacteria. Afterward, propionate, acetate, alcohols, and butyrate are further converted to acetate through acetogenic pathways. The main VFAs products of acidogenic fermentation are butyrate, acetate, and propionate (Jiang et al., 2013). The strategies for increasing the production of VFAs during the AD process include 1) improving the process of acidogenesis, 2) eliminating the inhibiting factors and 3) improving the hydrolysis rate to produce soluble substrates. Improving the hydrolysis rate is targeted to increase the availability of carbon for its conversion to VFAs. Therefore, during acidogenic fermentation, hydrolysis is considered as a rate-limiting step (Kim et al., 2005). However, the optimization of hydrolysis rate is directly related to operational parameters such as pretreatment, pH, and temperature of food waste before fermentation. Pretreatment of food waste during anaerobic fermentation enhances the production of soluble COD that is an essential intermediate in linking the hydrolysis and acidogenesis (Fdez-Güelfo et al., 2011). Therefore, pretreatment of food waste for the acidogenic fermentation is a promising technique to increase the production of VFAs. There are several methods used for pretreatment of food waste such as biological (enzymes), physical (microwave, thermal and ultrasound) and chemical (alkaline and acid) methods. Kim et al. (2005) have studied the acidogenic fermentation of food waste under the effect of enzymatic, thermal and the combined thermal-enzymatic pretreatment. They have found that all the tested pretreatment techniques have increased the production of sCOD generation and VFAs production. However, the optimum production of VFAs was observed for the combined thermal-enzymatic treatment. The food waste degradation also requires high efficient microbial communities. Therefore the critical drivers for process speed up are specific functioning inoculums. The activities of methanogens must be inhibited in order to reduce the consumption but improve the yield of VFAs. Several techniques have been successfully applied for inhibiting the activities of methanogens. These include pH control, thermal pretreatment, and the addition of the inhibitor. It has also been reported that extremely high or low pH also inhibits the activities of methanogens. The favorable pH for the activities of methanogens ranges from 7.8 to 8.2, hence pH of the digester needs to be adjusted to inhibit methanogenesis and favor VFAs production (Chaganti et al., 2011; Wang et al., 2014). Temperature, as like pH, also affects microbial biomass, enzymatic activities, and hydrolysis of the substrate (Kim et al., 2003). Many research studies have been conducted to improve VFAs production by heating the inoculum to 100  C or above before fermentation to inactivate the non-pore forming (Yan et al., 2014). Usually, mesophilic range (35  C) is considered as economical and efficient to produce VFAs (Jiang et al., 2013). However, the optimal temperature varies by examining the composition of VFAs. For instance, propionate and acetate are generated at 45 and 35  C during food waste fermentation whereas butyrate is produced above 55  C, followed by propionate and acetate (Jiang et al., 2013).

Techno-Economical Approaches and Prospective Technical Challenges and Solutions Food waste is a potential and cost-effective feedstock to produce fermentation products, but several challenges need to be addressed appropriately to achieve high product quality and yield. Food waste to various fermentation products is an emerging area of research, and therefore an in-depth understanding of all the aspects of food waste could help to overcome these challenges. For

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instance, a collection of segregated food waste is a major challenge as food waste is thrown and mixed with all other waste. In order to overcome this limitation, a proper campaign highlighting the importance of food waste segregation at sources such as housing, urban planning departments, and food industries is highly required (Karmee, 2016). In addition, policies to transport food waste to collection facilities with proper sorting and preparation methods of food waste from non-biological wastes should be designed to further facilitate the processing and utilization of the collected food waste. Starting large industries for food waste recycling would need a continuous supply of food waste. However, it should be kept under consideration that sorting and separation would vary from region to region depending on types of food waste. In this context, a large industry of sustaining food waste couldn't be practically implemented. Therefore, small processing plants could be attached to various food waste producers such as parks and restaurants. Such formulation would also reduce transportation cost. The composition of food waste depends upon the local eating habits, area, and eating periods. Thus, the chemical composition needs to be determined before utilizing it as a resource to produce fermented products (Karmee, 2016). In comparison to other feedstocks like corn, plant oils, and lignocellulosic materials, food waste is more complex as it contains carbohydrates, amino acids, lipid, vitamins, phosphates, and nutrients. Thus, proper characterization should be carried out for various types of food waste. The separation and purification cost of carbohydrates, lipids and other organic materials from food waste alone is high enough in addition to the further requirement of volatile organic solvents which may cause environmental and public health issues. Instead, single reaction system for simultaneous production of bioethanol, bio-oil and biodiesel should be developed without any isolation and purification of carbohydrates, lipids and organic matter. Such approaches would reduce the operational cost and make the process simpler (Karmee, 2016). There are technical challenges for each technology converting food waste to fermentation products. The primary technical challenge is the difficult control of process conditions that result in the production of harmful intermediate compounds causing low products yield and reducing the system stability. The high lipids and protein contents in food waste lead to the production of hydrogen sulfide, NH3, and long chain fatty acids during fermentation (Xu et al., 2018). The other technical challenges are scaling up of the technology, purification of end products and estimation of biomass that encourage the researchers to brainstorm to find the possible solutions (Singhania et al., 2009). For example, scaling up has been a major challenge for solid state fermentation (SSF) for a long time. However, the recent advent of biochemical engineering resulted in the designing of a number of bioreactors with large-scale waste treatment capacity along with on-line monitoring of different process parameters including heat and mass transfer. Even though, product recovery and, purification is still much expensive (Couto and Sanromán, 2005). Therefore, a detailed economic and technical feasibility study must be conducted before process scale up.

Economics On the basis of biofuel-based energy demand many developed countries in Europe, Asia and US have designed different economic policies. In the near future, waste to biofuel market would be a major driving force for the economic growth. The availability of a wide range of biomass, its collection, and conversion to value-added products would employ more people in the near future as compared to conventional fossil fuel-based technologies (Kartha and Larson, 2000). Moreover, growing biofuel production would reduce the cost of conventional fuels by reducing the dependency on petroleum fuel. In addition, the bioethanol and biodiesel, from food waste and other renewable sources, as a transportation fuel could replace gasoline and diesel. However, the cost and availability of feedstock significantly affect the price of biofuels. For instance, food waste is discarded and mixed with other waste hence the main cost is the collection, sorting, transportation, and pretreatment. The techno-economic analysis would provide sufficient information on methodology development, estimation cost of biofuel plant, cost of the production facility and real market data and cost of biofuel (Karmee, 2016). Currently, there are limited detailed techno-economic reports been published on small or medium scale bioethanol and biodiesel production from food waste. In addition to economics, there are also environmental benefits of using biomass-based energy as transportation fuels, electricity and heat which are carbon dioxide neutral by recycling same carbon atoms (Demirbas, 2008). Research investigation proved lower greenhouse gas (GHG) emissions from biofuels in comparison to conventional fossil fuels (Huang et al., 2013). Several factors need to be considered for biomass to biofuels technologies by both industrialized and developing nations. In addition, strong public support system would also benefit biofuels production through indicative national targets. Such supports include the encouragement of the feedstocks supply, i.e., cultivation of raw materials for biofuels production. Similarly, a significant role could also be played by designing and encouraging the demand for biofuels. Approaches to such support are tax reductions and biofuel obligations. With a significant amount of available biomass, it has been projected that by 2050 about one-half of total energy demand would be fulfilled by biomass energy in the developing countries. In the future energy system, various estimations have been put forward for biomass biofuel. For instance, the primary and essential energy source from biomass is methanol, hence up to some extent the fuel choice for each sector is either transportation. The biomass availability determines electricity and heat. In addition, the production cost also influences each biofuel conversion technology e.g. the conversion of biomass to H2 is cheaper and more energy efficient technology as compared to methanol (Azar et al., 2003).

Towards Commercialization of Food Waste Fermentation Development of sustainable waste fermentation industry requires an extensive supply chain (Hoekman, 2009). The first primary element in this supply chain is the development of large industries for sufficient feedstock production around the year for

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fermentation plants. The organic waste could contribute significantly to meet this increasing demand of the feedstock. However, bioengineering tools are required to be developed for selecting suitable technology and understanding the composition of feedstock for fermentation. The development of cost-effective methods for sorting food waste, and its collection, transportation, storage and pre-processing are highly needed. In addition, the continuous and reliable feedstock supply is also required for commercial-scale biofuel production. For biofuel production, it is necessary to improve the process for cost-effective operation. In this regard, integrated biorefineries should be developed and deployed in addition to the effective utilization of coproducts (heat and electricity) for economic operation. The distribution of biofuel is the next step after the biofuel production. The most important factor is the compatibility with existing infrastructure components such as storage, transportation, and dispensing in addition to quality control to ensure that the produced biofuel meet all the standards and product specifications. The final stage is the consumption of biofuel in the form of fuel, energy and other applications. For the consumer satisfaction towards biofuel consumption, it is highly required to implement biofuels compatible equipment along with the performance equivalent to conventionally used equipment. The final major deliberation in the entire supply chain is the process economics. The commercial success of each point along the chain for waste to value-added products require favorable economics (Hoekman, 2009).

Future Research and Conclusions The major challenges in the valorization of food waste to fermentation products are high construction cost of the digester, control of the process conditions, and low-quality end products (Xu et al., 2018). The novel approaches to integrate food processing facilities under a biorefinery concept could be developed to produce economical value-added products from food waste along with the generation of heat and power to support the biorefinery. Such approaches would enhance the food waste valorization with better economics and lower environmental impacts. For instance, the hydrothermal liquefaction of food waste to oil followed by a carbon-rich feed of hydrothermal extract to produce biogas using the AD process (Posmanik et al., 2017). The key advantage of this integration is to increase the energy recovery from food waste and easy handling of the end products. Similarly, the available knowledge of enzymes and microbes in the fermentation of food waste is not enough to provide an effective control system. For instance, how micronutrients and their concentrations affect the activities of microbes and enzymes (Romero-Güiza et al., 2016). Therefore, the industrial scale digesters are still performing a trial and error approach for the supplementing micronutrients. Further research is required to achieve homogeneous results at both lab and large-scale applications. For example, in a laboratory scale fermenter, homogeneity for sufficient agitation and precise pH control could be guaranteed. However, the large-scale practical implementation is still uncertain whether the pH would be precise and uniform throughout the fermenter, as insufficient agitation may lead to dead zone resulting in the disturbance of the accuracy of pH control (Amanullah et al., 2001). The scale-up challenges and the technological gaps might lead to lower process control and product quality (Moon et al., 2009). The existing infrastructure of biogas facilities for treating on-farm manure and sewage sludge is also desirable for treating food waste to save the additional labor and infrastructure cost. Xu et al. (2018) have suggested to add food waste to the existing biogas plants to achieve higher electricity and heat production. The food waste composition dictates the choice of each fermentation technology. For example, food waste rich in carbohydrates is suitable to be treated in a two-stage fermentation process for co-production of CH4 and H2. In addition, carbohydrate-rich food waste could also be converted to heat. Whereas, food waste rich in protein, COD and total solid could be directly converted to biogas via single stage fermentation. The food waste could also be directly hydrolyzed to form hydrolysate using proteases enzyme. The produced hydrolysate comprised of phosphates, amino acids, carbohydrates and nutrients that could be used as growth medium for microbial growth (Pleissner et al., 2014). For instance, microalgae that is rich in lipid biomass could be grown on hydrolysate. The extracted lipids from microalgae could be converted to epoxides, surfactants, and biodiesel (Gude et al., 2013). The hydrolysate is also rich in carbohydrate and hence could be used for bioethanol production. However, based on this concept more research is needed in addition to cross public-private and industrial collaborations for designing such sustainable systems.

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Consumers’ Behavior Regarding Food Waste Prevention Konstadinos Abeliotis, Christina Chroni, and Katia Lasaridi, School of Environment, Geography and Applied Economics, Harokopio University, Athens, Greece © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction The Implications of Food Waste Generation for Consumers The Effect of Sociodemographic Characteristics of Consumers on Food Waste Generation Consumers Focus on Prevention Conclusions References Further Reading

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Glossary Food loss a decrease in mass (dry matter) or nutritional value (quality) of food that was originally intended but is no more suitable for human consumption (FAO, 2013). Food waste composed of raw or cooked food materials and includes food loss, before, during or after meal preparation in the household, as well as food discarded in the process of manufacturing, distribution, retail and food service activities (EC, 2011). Avoidable losses food and drink thrown away that was, at some point prior to disposal, edible (e.g. slice of bread, apples, meat). Possible avoidable losses food and drink that some people eat and others do not (e.g. bread crusts), or that can be eaten when a food is prepared in one way but not in another (e.g. potato skins). Unavoidable losses waste arising from food or drink preparation that is not, and has not been, edible under normal circumstances (e.g. meat bones, egg shells, pineapple skin, tea leafs).

Abstract Food wastage is a societal, environmental and financial problem that takes places along the entire food supply chain. Therefore, prevention of the food wasted is a key goal towards sustainable development. Consumers, as a very active stakeholder of the food supply chain, affect food waste generation directly and indirectly via a multitude of behaviors. This chapter reviews consumer behavior characteristics aiming towards the prevention of food waste generation.

Introduction The generation of food waste is a global environmental, financial and social challenge. In the early 2010s the Food and Agricultural Organization of the United Nations estimated that approximately one-third of food produced for human consumption is either lost or wasted through the food supply chain (FSC), from agricultural production and post-harvest handling and storage to processing, transportation, distribution and consumption (Gustavsson et al., 2011). Food wastage is generated in every sector of the FSC, namely agriculture, processing, wholesales-retails, households and food services. However, the contribution of each FSC sector to food wastage differs substantially due to a range of reasons dependent on the socio-economic conditions of each country (European Commission, 2010; FAO, 2013). Food wastage is defined as the sum of food losses (wastage that is generated in the harvest and immediate post-harvest stages of the FSC) plus food waste (wastage that is generated in the retail and consumer stages of the FSC). Moreover, the distinction between food losses and food waste has a clear geographical distribution: food losses are higher in the developing countries, while food waste of perishable foods is dominant in the industrialised and developed economies (Parfitt et al., 2010). Food waste generation in the consumers’ households is the result of the dynamic interaction among retail, food services and the consumers. Food wastage places a heavy economic burden on all the players in the FSC. Food waste is definitely a financial loss for consumers; it is also a loss for retailers, when it takes place within the boundaries of their operation; and finally, food waste is a loss for the waste management system, which has to manage food waste, safely and effectively. Food waste generation causes also a heavy environmental burden for the whole planet. When edible food is wasted all the resources and energy required, in addition to the emissions of all kinds of pollutants generated, for its production, processing,

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transportation, cooking and delivery are ending up as waste. It is estimated that the global food sector accounts for around 30% of the world’s total energy consumption and around 22% of total Greenhouse Gas emissions (United Nations Sustainable Development Goals). And finally, food wastage is a global social problem. The United Nations estimate that 1.3 billion tonnes of edible food is wasted every year while in the same time almost 1 billion people go undernourished and another 1 billion hungry (United Nations Sustainable Development Goals). For all the aforementioned reasons, United Nations included food waste prevention among the sustainable development Goal 12 (“Ensure sustainable consumption and production patterns”) targets aiming at halving by 2030, the per capita global food waste at the retail and consumer levels and reduce food losses along production and supply chains, including post-harvest losses (United Nations Sustainable Development Goals).

The Implications of Food Waste Generation for Consumers Food waste at the consumer level is characterised as either avoidable, unavoidable or possibly avoidable. Avoidable food waste includes food and drink thrown away that was edible, at some point prior to disposal (e.g. slice of cake, oranges, milk) while unavoidable food waste includes waste arising from food or drink preparation that is not edible under normal circumstances (e.g. fish bones, egg shells, tea leafs). Possibly avoidable is food waste that is generated from the difference arising between the preferences of the consumer and the way of cooking or serving (e.g. baked potatoes vs. boiled potatoes) which derives from different consumption and cultural patterns. The focus of all initiatives is in the prevention of the avoidable fraction of food waste. There is growing evidence that the contribution of the households to the food waste problem is particularly significant (Sharp et al., 2010; European Commission, 2010). For instance, in EU-27, households are responsible for 42% of the total amount of food waste generated (European Commission, 2010). Therefore, consumers are in the centre of food waste prevention initiatives. Food waste prevention, via a multitude of consumer behaviors, relates to food provisioning. More specifically, consumers may enhance or may prevent food waste generation via their planning routines, their shopping habits, their cooking skills and via their overall food management behavior. The study of consumer behavior that yields food waste, via the engagement of behavioral models, is well documented (Stancu et al., 2016). Consumers feel bad about wasting food and are very concerned when they throw food away. They are concerned about food waste generation mainly because it is a waste of money and secondly because it is a waste of edible food (Graham-Rowe et al., 2014; Lyndhurst, 2007). Complementary to this argument, financial concerns proved to be the strongest factor that motivates consumers to reduce food waste (Quested et al., 2013). On the other hand, consumers like their convenience; they prefer to buy larger quantities of food in order to avoid extra trips to the shops (Graham-Rowe et al., 2014). However, larger quantities of food, if not used in time, end up as waste. Therefore, proper food management and planning are required. There are more consumer behaviors related directly to planning that reduce food waste generation: consumers should make a list when going for shopping, because the more often consumers make unplanned purchases, the higher the levels of waste; consumers should avoid cooking more than they need; and finally, consumers should avoid serving more food than it is needed. However, note that despite a perfect shopping and cooking plan, change of plans (e.g. an unexpected visit by friends) and accidents (e.g. fall and breakage of a milk carton) also happen in the households that yield to food spoilage. Consumers don’t like to generate food waste. One of the strongest drivers for consumers to generate food waste is because they want to provide fresh and nutritious food to their loved ones. The wish to be a “good provider” in terms of providing healthy and/or abundant food for family and guests is a strong barrier to food waste prevention (Evans, 2012; Graham-Rowe et al., 2014). Therefore, consumers want to buy only the best products; the retailers, trying to provide the best for their customers, generate more food waste. Consumers relate freshness with the external appearance of food products, especially fruits and vegetables. This leads to the generation of more food loss along the supply chain, prior to the consumption. There are already marketing related efforts to increase the acceptance of visually impaired food products by attracting consumer attention by means of packaging design and better product and price presentation (Helmert et al., 2017). The influence of food labeling on food waste generation by consumers has been greatly investigated. Various date labels exist throughout the world that aim to inform the consumers on the quality characteristics of food items. However, it seems that all these labels are rather confusing and are clearly not observed or even known by the consumers. Research evidence shows that consumers can better follow and comprehend the “expiration” date label compared to the “best used before” date label (Abeliotis et al., 2014). The “expiration” date indicates the date after which eating the food may be unsafe. Whereas, the “best used before” date indicates the date until when the food is expected to retain its optimal conditions. Thus, when the “best used before” expires, the consumer does not need to throw the food away. In any case, confusion about the correct meaning of the date labels of food items yields to higher levels of food waste generation. Consumers need education and training in order to comprehend correctly the content of food date labels. Consumers should know which is the best way to store a food product. Proper food storing at home is a crucial factor for extending the life span of food items. Among food storage alternatives, the role of refrigeration is critical for the preservation of cooked or uncooked food items. Refrigeration is important for products such as dairy, meat and vegetables. Storing food products at a temperature of 4  C extends or maintains their storage life. Moreover, freezing is a storage alternative that will keep products safe for a very

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Refrigeration/freezing

Food reaching home

Avoidable food waste Preparation for cooking

Cooking/ serving Unavoidable food waste

Ambient air storage Figure 1

The possible routes of consumer food management that relate to food waste generation.

long time. Foods suitable for freezing are bread, leftovers and meat. It is even suggested that it is possible to reduce food waste at the household level by encouraging consumers to use certain foods more frequently in a frozen form (Janssen et al., 2017). Proper cooking skills of consumers yield to food waste prevention due to the use of well preserved leftovers. Consumers who had cooking skills and food storage knowledge reported lower levels of food waste (Graham-Rowe et al., 2014; Lyndhurst, 2007). A reasonable explanation for this finding is that the wish to protect human health combined with lack of proper cooking skills and storage knowledge, leads consumers to fear of food poisoning. Therefore, in order to risk illness from food poisoning, they prefer to throw food away (Visschers et al., 2016). In order to visualize the aforementioned consumer behaviors, Fig. 1 presents a simplified diagram of the fate of food reaching home. Solid black lines denote the normal flow of food, while dotted red lines denote food diverted to avoidable waste. More specifically, food reaching at home can be directed directly to preparation for cooking (e.g. meat or fish), or to the refrigerator (e.g. meat, fish and dairy products), or to ambient air storage (e.g. pasta, rice, potatoes). Food from the refrigerator can be either directed to preparation for cooking or to cooking directly; vice-versa, excess cooked food or food that has been served can be directed to the refrigerator for preservation or deep freezing. Similarly, food from open air storage can be directed to the preparation for cooking (e.g. potatoes) or cooking directly (e.g. pasta). Preparation for cooking, cooking and serving, normally, generate unavoidable food waste (e.g. meat and fish bones, leftovers from vegetables, carrots and potato skins). Cooked food can take the road to avoidable waste if it is served in large quantities, or from other situational factors such as the presence of young kids in the household that don’t like the served food or people that are ill. Food stored in ambient air can take the road to avoidable waste if it is rotten due to poor management. Food from the refrigerator can end up in the waste bin if it is refrigerated for a very long time; or if it past its “expiration” date; or if it past its “best use before” date. Consumer behavior is also in the epicenter of the food saving actions of the other actors of the food supply chain, e.g. supermarkets and retailers. For instance, supermarkets, in order to reduce food waste, offer food items at reduced price, when these food items are close to the expiration date or are perceived as suboptimal (Aschemann-Witzel et al., 2016).

The Effect of Sociodemographic Characteristics of Consumers on Food Waste Generation Food waste generation by households is strongly associated with certain socio-economic characteristics of the consumers. Starting from income, food waste generation is definitely associated with financially affluent consumers, probably because the associated to food waste monetary losses are not considerable portions of their income (Thyberg and Tonjes, 2016). Lower amounts of food waste generated are associated with lower income (Abeliotis et al., 2016; Stancu et al., 2016). It is reported that among the various food items, vegetables and fruits have the highest wastage rates as they are often over-purchased because they are generally cheaper compared to other food groups like meat and fish. The overstocking by consumers of vegetables and fruits, combined with their shorter shelf life, yields to increased food waste generation rates. Then, focusing on the number of the members of the household, larger households generate more food waste, as expected. However, the per capita generation of food waste is lower in households with more members: people in four-person households generated approximately half the amount of food waste per capita compared to single-occupancy homes (WRAP, 2009). Moreover,

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Higher income

More food waste

Young children Lack of cooking skills

Smaller households Less food waste

Figure 2

Older people Food management skills

Key consumer characteristics related to food waste generation.

households with young children generate more food waste; on the contrary, older consumers generate lower quantities of food waste (Visschers et al., 2016). Fig. 2 summarizes the effect of key consumer characteristics on the generation of food waste.

Consumers Focus on Prevention Consumers should always focus on the prevention of food waste generation along the entire food supply chain. Therefore, in order to prevent food waste generation by retailers, prevention must incorporate consumer practices to expand the accessibility of people on still edible foods that are older, less aesthetically pleasing, and those close to their expiration dates (Neff et al., 2015). Moreover, since the main purpose of food provision is human intake, the donation of food to people in need is a sustainable act par excellence (Schneider, 2013) and must always be the first choice of consumers that have excess food to provide.

Conclusions Food wastage is a global problem that takes place all over the globe along the various stages of the food supply chain. Focusing on the households in the developed part of the world, food waste generation causes severe financial, environmental and social concerns. Everyday consumer decisions and behaviors generate, directly or indirectly, unnecessary quantities of food waste. Therefore, consumer behavior is in the center of the efforts for the prevention of edible food waste. A review of the main drivers and obstacles that consumers phase towards the prevention of food waste generation has been presented. The generation of food waste by consumers is the final outcome of a complex mix of everyday behaviors. Via proper education and training, aiming at behavioral change, consumers are also drivers for change towards the reduction of food waste generation.

References Abeliotis, K., Lasaridi, K., Chroni, C., 2016. Food waste prevention in Athens, Greece: the effect of family characteristics. Waste Manag. Res. 34, 1210–1216. Abeliotis, K., Lasaridi, K., Chroni, C., 2014. Attitudes and behavior of Greek households regarding food waste prevention. Waste Manag. Res. 32, 237–240. Aschemann-Witzel, J., de Hooge, I., Normann, A., 2016. Consumer-related food waste: role of food marketing and retailers and potential for action. J. Int. Food Agribus. Mark. 28, 271–285. European Commission, 2010. Preparatory Study on Food Waste across EU-27. Technical Report -2010-054. European Communities, ISBN 978-92-79-22138-5. https://doi.org/ 10.2779/85947. Evans, D., 2012. Beyond the throwaway society: ordinary domestic practice and a sociological approach to household food waste. Sociology 46, 41–56. FAO, 2013. Food Wastage Footprint, Impacts on Natural Resources. Summary Report. FAO. www.fao.org/docrep/018/i3347e/i3347e.pdf. Graham-Rowe, E., Jessop, D.C., Sparks, P., 2014. Identifying motivations and barriers to minimising household food waste. Resour. Conservation Recycl. 84, 15–23. Gustavsson, J., Cederberg, C., Sonesson, U., et al., 2011. Global Food Losses and Waste. Extent, Causes and Prevention. FAO, Rome. http://www.fao.org/docrep/014/mb060e/ mb060e00.pdf. Helmert, J.R., Symmank, C., Pannasch, S., Rohm, H., 2017. Have an eye on the buckled cucumber: an eye tracking study on visually suboptimal foods. Food Qual. Prefer. 60, 40–47. Janssen, A.M., Nijenhuis-de Vries, M.A., Boer, E.P.J., Kremer, S., 2017. Fresh, frozen, or ambient food equivalents and their impact on food waste generation in Dutch households. Waste Manag. 67, 298–307. Lyndhurst, B., 2007. Food Behaviour Consumer ResearchdFindings from the Quantitative Survey. Briefing Paper. WRAP, UK. Neff, R.A., Spiker, M.L., Truant, P.L., 2015. Wasted food: U.S. Consumers’ reported awareness, attitudes, and behaviors. PLoS One 10, e0127881. https://doi.org/10.1371/journal. pone.0127881.

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Parfitt, J., Barthel, M., Macnaughton, S., 2010. Food waste within food supply chains: quantification and potential for change to 2050. Philosophical Trans. R. Soc. 365, 3065–3081. Quested, T.E., Marsh, E., Stunell, D., et al., 2013. Spaghetti soup: the complex world of food waste behaviors. Resour. Conserv. Recycl. 79, 43–51. Schneider, F., 2013. The evolution of food donation with respect to waste prevention. Waste Manag. 33, 755–763. Sharp, V., Giorgi, S., Wilson, D.C., 2010. Methods to monitor and evaluate household waste prevention. Waste Manag. Res. 28, 269–280. Stancu, V., Haugaard, P., Lahteenmaki, L., 2016. Determinants of consumer food waste behaviour: two routes to food waste. Appetite 96, 7–17. Thyberg, K.L., Tonjes, D.J., 2016. Drivers of food waste and their implications for sustainable policy development. Resour. Conservation Recycl. 106, 110–123. United Nations Sustainable Development Goals, Goal 12: Ensure sustainable consumption and production patterns. https://www.un.org/sustainabledevelopment/sustainableconsumption-production/. Visschers, V.H., Wickli, N., Siegrist, M., 2016. Sorting out food waste behavior: a survey on the motivations and barriers of self-reported amounts of food waste in households. J. Environ. Psychol. 45, 66–78. WRAP, 2009. Household Food and Drink Waste in the UK. http://www.wrap.org.uk/sites/files/wrap/Household_food_and_drink_waste_in_the_UK_-_report.pdf.

Further Reading European Commission, 2010. Preparatory Study on Food Waste across EU-27. Technical Report -2010-054. European Communities, ISBN 978-92-79-22138-5. https://doi.org/ 10.2779/85947. FAO, 2013. Food Wastage Footprint, Impacts on Natural Resources. Summary Report. FAO. www.fao.org/docrep/018/i3347e/i3347e.pdf. Gustavsson, J., Cederberg, C., Sonesson, U., et al., 2011. Global Food Losses and Waste. Extent, Causes and Prevention. FAO, Rome. http://www.fao.org/docrep/014/mb060e/ mb060e00.pdf.

Strategies for Prolonging Fresh Food Shelf-Life Susan Lurie, Department of Postharvest Science, Agricultural Research Organization, Rishon Le Zion, Israel © 2019 Elsevier Inc. All rights reserved.

Abstract Classifications of Fruits and Vegetables Harvesting Storage Temperature Relative Humidity Controlled and Modified Atmosphere Decay Control Marketing Innovations References Relevant Websites

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Abstract Up to one-third of fresh produce harvested world-wide is lost at various points in the distribution system between production and consumption. While it may be impossible and uneconomical to completely eliminate these losses, it is possible and desirable to reduce them as much as possible. Minimizing postharvest losses of food that has already been produced is more sustainable and environmentally sound than increasing production areas to compensate for losses. In recognizing the problem, the United Nations set up in September 2015 an ambitious goal to halve per capita global food waste by 2030, and this decision was adapted by the US Federal Government, the EU Parliament, and many other countries (Porat et al., 2018). This article will cover the current knowledge of procedures to maintain quality of harvested fruit and vegetables along the supply chain. The sections will deal with harvesting at optimal maturity and with longer postharvest life, handling and packaging after harvest to prevent damage and loss of quality, storage methods to extend postharvest life. It will also include recent innovations such as smart packaging, nondestructive measurements for quality, sensors in storage rooms and improved logistics for marketing.

Classifications of Fruits and Vegetables Fresh fruit and vegetables consist of a large and varied group of horticultural products and include all parts of the plant. Fruits are fleshy organs from trees, bushes or vines. Vegetables, however, can be fruit-type such as tomatoes and cucumbers, root and bulb such as potatoes and onions, stem and flower such as asparagus and cauliflower, and leafy such as cabbage and lettuce. As would be expected, these different categories require different methods regarding harvest and prolonging postharvest life. The fruits, some fruit vegetables, and root vegetables are harvested when they are fully developed, while other fruit vegetables, such as cucumbers, okra, beans, are harvested while they are still developing. Stem, leaf and inflorescence vegetables are also harvested during the development stage before they reach full maturity. If harvested at a too ripe or too developed stage the commodity will have a very short postharvest life. An additional categorization of fruits and fruit-vegetables which has ramification with regard to their postharvest life, is that of climacteric and non-climacteric fruit. Climacteric fruits show a large increase in respiration and ethylene production coincident with ripening, while non-climactic fruits show little change in their generally low production rates of carbon dioxide and ethylene during ripening. Table 1 lists the fruits classified as climacteric and non-climacteric. Climacteric fruits will continue to ripen after harvest and are harvested in a just-beginning-to-ripen stage. For example, tomatoes harvested at the beginning of color change from green to red will ripen during transportation and marketing. Apples harvested at a pre-climacteric stage can be stored for many months, while if harvested when their respiration has begun to increase, they will ripen and soften in storage. On the other hand, grapes or oranges must be harvested when they are fully ripe since they will not continue to ripen after harvest.

Harvesting Harvesting is best done in the morning before commodities warm, since the first item in the chain of maintaining postharvest quality is to remove field heat, and this is easiest done with a cool commodity. The goal is to harvest at the proper level of maturity with minimum damage and loss, as rapidly as possible, and at a minimum cost. To date, much of harvesting is performed manually.

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Strategies for Prolonging Fresh Food Shelf-Life Table 1

Climacteric and non-climacteric fruits Climacteric fruits

Apple Apricot Avocado Banana Blueberry Breadfruit Cherimoya Durian Feijoa Fig Guava Jackfruit Kiwifruit Mango Mangosteen Muskmelon

Non-climacteric fruits Nectarine Papaya Passion fruit Peach Pear Persimmon Plantain Plum Quince Rambutan Sapodilla Sapote Soursop Sweetsop Tomato

Blackberry Cacao Carambola Cashew apple Cherry Cranberry Cucumber Date Eggplant Grape Grapefruit Jujube Lemon Lime Longan Loquat

Lychee Mandarin Okra Olive Orange Pea Pepper Pineapple Pomegranate Prickly pear Raspberry Squash Strawberry Tamarillo Watermelon

Harvesters must be trained to harvest the product at the required quality. Maintaining product sanitation requires that workers be supplied with regularly cleaned picking baskets, bags or bins. The workers also need potable water and toilet facilities and must be trained in hygiene procedures to prevent bacterial contamination of commodities. Machines are used to aid hand-harvest in some commodities. Belt conveyors are used in vegetable crops such as lettuce and melons to move them to a central in-field handling station. Mechanical harvesting is used for root vegetables. Below ground crops such as radishes, potatoes, garlic, carrots, beets, etc, are harvested only once and the soil helps to cushion and protect from mechanical injury. Other crops that are designed for processing such as tomatoes or wine grapes can be machine harvested because mechanical injury is not an issue. It is important that commodities be harvested into suitable containers. Some products can be placed, never thrown, into large bins which can hold up to 0.5 ton of produce. Others need to be harvested into field boxes which generally will hold between 5 and 18 kilo of produce. Fragile products, such as berries, are usually placed directly into plastic punnets of up to 0.5 kilo. The size of the containers are chosen so as to minimize bruising and deformation of the commodity.

Storage Temperature Temperature management is the most effective tool for extending the shelf life of horticultural commodities. In the packing and storage facility it begins with the rapid removal of field heat from the product. Lowering the temperature decreases respiratory and metabolic activity in the commodity thus slowing ripening and senescence. It also decreases the rate of water loss, which is a major cause of deterioration because it results in direct quantitative losses (loss of saleable weight) but also in losses in appearance (wilting and shriveling), and textural changes (softening, limpness). There are a number of methods in use for cooling including: hydrocooling, in-package icing, evaporative cooling, room cooling, forced-air cooling, and vacuum cooling. If a product is not going to be stored but transferred to market it may first go through a sorting line. This can be a simple shaded structure with hand sorting and packing, or it may be an elaborate line with many stations along it and packing at the end. The end temperature which should be reached depends on what product is being stored. Most fruits and vegetables which originate in temperate zones can be cooled and held close to 0  C, while those originating in subtropical zones must be stored at higher temperatures – from 7 to 13  C – depending on the commodity and its stage of ripeness. If stored below the permissible temperature these commodities will develop chilling injury. The symptoms of chilling injury include surface and internal discoloration, pitting, failure to ripen and enhanced decay. Table 2 shows the fruit and vegetables that can be stored near 0  C and those sensitive to chilling injury.

Relative Humidity One property of air in a storage room which is often neglected is the relative humidity, or the amount of water vapor in the air. Fruit and vegetables are very sensitive to water loss, and low relative humidity will hasten this process because the gradient of relative humidity inside the commodity is 100% and the air outside is usually less. It is best to maintain 95% or higher relative humidity in storage facilities. This is often done by covering the commodity with plastic, or having water on the floor of the storage facility. Modern storage rooms have systems which monitor and add humidity as needed to the atmosphere. The water is sprayed as small

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Fruits and vegetables that can be stored close to 0  C and those sensitive to chilling injury which should be stored between 6 and 13  C depending on the commodity

Table 2

Not sensitive to low temperature

Sensitive to low temperature

Fruits

Vegetables

Fruits

Vegetables

Apple Apricot Blackberry Blueberry Cherry Currant Date Fig Grape Kiwifruit Loquat Nectarine Peach Pear Persimmon Plum Raspberry Strawberry

Artichoke Asparagus Beet Brocoli Brussels sprouts Cabbage Carrot Cauliflower Celery Corn Endive Garlic Lettuce Lima beans Mushrooms Onion Parsley Parsnip Peas Radish Spinach Turnip

Avocado Banana Carambola Cherimoya Citrus Cranberry Durian Feijoa Guava Jackfruit Jujube Longan Lychee Mano Mangosteen Olive Papaya Passion fruit Pepino Pineapple Plantain Pomegranate Rambutan Sapodilla Sapote Tamarillo

Cassava Cucumber Eggplant Ginger Green beans Muskmelon Okra Peppers Potato Pumpkin Squach Sweet potato Taro Tomato Yam

charged droplets so that they do not condense and form drops on the produce. Wetting the produce will encourage germination of fungal spores and increase decay.

Controlled and Modified Atmosphere In addition to low temperature which decreases product respiration and so slows physiological processes such as ripening and senescence, additional reduction in respiration can be achieved by controlled atmosphere and modified atmosphere. Normal room air has an O2 concentration of about 21% and CO2 levels near 0.04%. Low O2 and high CO2 levels slow respiration and increase storage life of fresh produce compared with refrigerated air storage. Most controlled atmosphere conditions are combinations of 1%–2% O2 and 2%–6% CO2, although some commodities, such as berries, do better in 10% to 15% CO2. Controlled atmosphere is produced in an air tight storage room, or in an air tight plastic tent inside a conventional storage room. Nitrogen is added to the atmosphere in the room until the required O2 level is reached. Product respiration often raises the CO2 to the proper concentration and steps must be taken to ensure that it does not rise too high. An innovation to controlled atmosphere which has been commercially adopted in the past 10 to 15 years is dynamic controlled atmosphere. This is in use for apples and pears and enables storage for a year or more. Concentrations of oxygen below 1% will cause anaerobic respiration which leads to ethanol production as an end product of respiration rather than CO2 and the accumulation of off-flavors in the commodity. Sensors in the storage room can detect the ethanol and raise the oxygen level until the production stops, then lower it again. An alternative sensor is a measurement of fluorescence from chloroplasts in the fruit peel. Fluorescence changes as the fruit respiration enters anaerobic respiration and this can be a signal to raise the oxygen level above that which causes anaerobic respiration. Modified atmosphere is when a commodity is closed in a semipermeable bag and the respiration of the commodity elevates the CO2 and decreases the O2. Active modified atmosphere is when the desired atmosphere is added to the filled bag by flushing and then it is sealed. This method has advantages over controlled atmosphere in that transfer to market can be done with the product in the closed bag. However, there are also shipping containers with controlled atmosphere capability, so this method is also used for transfer to market. One disadvantage of modified atmosphere packaging is the sensitivity to temperature fluctuations. If the commodity warms during marketing its respiration will increase and with it CO2 production and loss of O2. Therefore, these packages are opened once the commodity reaches market. They may be repackaged in containers which are suitable for commodity respiration at a higher temperature. It is important to choose the proper packaging material for the commodity. Table 3 shows the

518 Table 3

Strategies for Prolonging Fresh Food Shelf-Life Permeabilities of plastic films for packaging fresh produce Permeabilities cc/m2/mil/day

Film

CO2

O2

CO2/O2 ratio

Polyester Low density polyester (LDPE) Polypropylene Polystyrene Polyvinyl chloride Saran

180–390 7700–77000 7700–21000 10000–26000 4263–8138 52–150

52–130 3900–13000 1300–6400 2600–7700 620–2248 8–26

3.0–3.5 2.0–5.9 3.3–5.9 3.4–3.8 3.6–6.9 5.8–6.5

permeability for several different types of plastic film. Additionally, some packages use microperforation produced by laser punctures to increase permeability of gases, and then the type of plastic is less important (Brandenburg and Zagory, 2009). When used properly, controlled and modified atmosphere can supplement temperature management and result in a number of benefits which extend postharvest storage and shelf life of many commodities. These include 1) retardation of senescence and ripening, slowing respiration and ethylene production, softening, and compositional changes; 2) reduction of commodity sensitivity to ethylene when O2 is below 8% or CO2 above 1%; 3) alleviation of some storage disorders such as russet spotting in lettuce, scald in apples; 4) inhibition of development of pathogens and consequently decay incidence and severity.

Decay Control Any postharvest decay management program needs to begin with preharvest practices that promote a healthy crop and reduce the amount of pathogen that may infect or contaminate the crop before harvest. Stringent rules for most fungicides and insecticides require that sprays cease a number of days before a crop is harvested. In addition, many postharvest chemicals are no longer allowed, and often a combination of treatments is used to limit decay. Postharvest decay control practices are part of the integrated pest management strategy to control decay from harvest, packaging, storage, transportation and marketing. The flow chart for postharvest handling and treatments emphasizes this type of integrated treatment (Table 4). It begins with sanitation to remove contaminants from the surface of the commodity, may include biological controls or growth regulators to improve resistance to fungal invasion of the commodity or/and synthetic fungicides, then wax to add an additional barrier to pathogens (the wax may include anti-fungal components), then low temperature perhaps combined with controlled atmosphere to inhibit fungal development. There are also physical treatments such as hot air or hot water which will kill fungi without damaging the crop (Lurie, 1998), as well as other unconventional treatments.

Marketing The distance from the field or the packing or storage facility to the consumer can be as close as a farm stand or farmers market, or as far as transfer from one continent to another (Fig. 1). The final market must be taken into account when deciding when to harvest. For a close-by market the product can be in a more advanced stage of ripeness than when it needs to be transported for a month or more. Transportation should be done in refrigerated containers, trucks or ships. Temperature control in these facilities is not as accurate as in cold rooms, and the transfer from cold storage to transportation facilities usually involves breaking the cold chain of the product. This will lessen the time of shelf life at the final destination, but generally cannot be prevented, although it can be minimized. Wholesale distribution centers should try to receive product that will be distributed the following day, with the exception of long shelf life commodities such as potato, onion and garlic, or commodities that should be ripened before distribution such as green banana, avocado, and some stone fruits. Many green vegetables as well as many fruits are susceptible to ethylene damage and storage rooms should have the rooms ventilated often to prevent buildup of ethylene. Rooms where ethylene is used to ripen should be located away from other storage rooms, or precautions should be taken to vent the air to the outside. Much of today’s fruits and vegetables are purchased in supermarkets. They generally have cold storage rooms as well, and one should be held near 0  C and the other at 7 to 10  C. Here too the rooms should be vented to prevent high concentrations of ethylene. Fresh produce is displayed in both refrigerated shelves and non-refrigerated areas. In some cases the refrigerated area also has misting systems to prevent wilting to leafy vegetables, and it is important not to put produce where water drops will cause damage. This includes mushrooms and many fruits. The display and storage areas must be kept clean and sanitized on a regular basis. Waste and trimmings are sources of decay and of ethylene.

Innovations Keeping produce at their optimal storage temperature and maintaining the cold chain from harvest through sale has been and remains the core postharvest technology (Kader, 2013). However, in real life situations, deviation from optimal conditions occurs

Strategies for Prolonging Fresh Food Shelf-Life Table 4

519

Composite flow chart for treatments of fruits and vegetables after harvest

Harvested commodity Commercially mature with minimal injuries or contamination

Transport to packinghouse

Primary sanitation treatment

Temperature management

Bin washing with biocide (e.g. chlorine treatment)

Forced air cooling, hydrocooling, cold storage Storage in controlled or modified atmosphere

Bulk movement, primary sorting Bin dumping with roller or brush beds to minimize injury Mechanical sizing Debris removal (manual or with forced air or water)

Cleaning and secondary sanitation Washing with detergents and chlorine Water rinses

Fungal decay, appearance enhancement (sprays – low or high volume – over brushes or rollers) Synthetic fungicides Biological control or growth regulators or ethylene inhibitors Waxing

Secondary sizing, sorting and packing

Temperature management

Hand sorting for size, color, decay Mechanical sorting for size/color imaging and weight) Packing

Forced air cooling Cold storage, controlled or modified atmosphere

Storage and transportation Equipment to minimize bruising and maintain temperature

Marketing and shelf life

Temperature management

Attractive displays, ripening/storage information Refrigerated display shelves

Cold stores in retail store

and therefore proper monitoring of storage and transportation conditions becomes an essential component of advanced logistics. Currently, distributers and retailers work on the principle of first in first out, but with the development of sensors, in the future it will be possible to determine the shelf-life of products when they arrive. Currently, the label on boxes contains only basic information such as the grower’s identification, country of origin, time of harvest and product variety and size. However, there are sensors being developed that will be able to follow in real time the shipment with details such as location, temperature, humidity, respiration and ethylene emission. These will enable growers and retails to record and access data based on radio-frequency identification (RFID), satellite communication, and cloud-based data. There are also sensors that can both monitor and adjust temperature and humidity during transport (Jedermann et al., 2014). Arrival at the retail logistics center is when the data obtained from the grower and data collected along the way can be matched against the actual appearance of the produce. Advanced monitoring systems involving near infra-red (NIR) sensors and other nondestructive sampling can be used to determine ripeness and quality and decide the distribution logistics. Modeling is being employed to reduce waste in the retail logistics center using combinatorial optimization modeling (Hertog et al., 2014). Robotic order-picking systems are now able to organize batches of fruits and vegetable destined for various end customers.

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Figure 1

Strategies for Prolonging Fresh Food Shelf-Life

Marketing chain for fruits and vegetables.

Packaging plays a vital role in protecting food as it moves along the supply chain and in preventing losses and waste. The main advances and innovations in packaging are in the development of new active and intelligent packages. These active packages may release anti-microbial agents into the package unit, or absorb oxygen, ethylene, excess moisture and off-odors. Intelligent packages can use thermal sensors for food safety means or use ripening-indicator sensors to tell when the produce is ripe. Some retail packages are zip-lock or re-sealable so that produce retains freshness after being opened by the consumer (Lee et al., 2015; Mane, 2016).

References Brandenburg, J.S., Zagory, D., 2009. Modified and controlled atmosphere packaging technology and applications. In: Yahia, E.M. (Ed.), Modified and Controlled Atmosphere Atmospheres for the Storage, Transportation and Packaging of Horticultural Commodities. CRC Press, Baton Rouge, FL, USA, pp. 79–94 (accessible in Google Books). Hertog, M.L., Uysal, I., McCarthy, U., Verlinden, B.M., Nicolaï, B.M., 2014. Shelf life modelling for first-expired-first-out warehouse management. Philosophical Trans. R. Soc. A 372, 20130306. Jedermann, R., Pötsch, T., Lloyd, C., 2014. Communication techniques and challenges for wireless food quality monitoring. Philosophical Trans. R. Soc. A 372, 20130304. Kader, A.A., 2013. Postharvest technology of horticultural crops – an overview from farm to fork. Ethiop. J. Appl. Sci. Technol. 1, 1–8. Lee, S.Y., Lee, S.J., Choi, D.S., Hur, S.J., 2015. Current topics in active and intelligent food packaging for preservation of fresh foods. J. Sci. Food Agric. 95, 2799–8210. Lurie, S., 1998. Postharvest heat treatments of horticultural crops. In: Janeck, J. (Ed.), Horticultural Reviews, vol. 22. John Wiley and Sons, pp. 91–110 (accessible in Google Books). Mane, K.A., 2016. A review on active packaging: an innovation in food packaging. Int. J. Environ. Agric. Biotechnol. 1, 544–549. Porat, R., Lichter, A., Terry, L.A., Harker, R., Buzby, J., 2018. Postharvest losses of fruit and vegetables during retail and in consumers’ homes: quantifications, causes, and means of prevention. Postharvest Biol. Technol. 139, 135–149.

Relevant Websites http://www.fao.org/in-action/inpho/en/. General site of UN Food and Agriculture Organization. If searched for postharvest will find a training manual to mitigate losses. Other good articles as well. http://postharvest.ucdavis.edu/Commodity_Resources/Fact_Sheets/. Easy to use site to see basic information on almost all fresh fruits and vegetables. Includes harvest and storage information and possible problems for each item. There is also an App for smartphones which will connect to these fact sheets. http://www.postharvest.org/home0.aspx. Has training courses in postharvest management including a free e-manual.

Food Rescue in Developed Countries Tamara Y Mousa, The University of Texas at Austin, Austin, TX, United States © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Food Rescue Food Rescue in Developed Countries Europe Australia and New Zealand The Americas Asia Middle East Food Rescue in Technology Conclusions References

521 521 522 522 522 524 525 525 526 526 526 527

Abstract The proportion of food that is wasted is relatively high. This is alarming due to the large number of food insecure individuals present in the world. A solution to this issue was food rescue; the process of collection of surplus food form food outlets and its redistribution to those in need. In response, a number of individuals and non-profit organizations participated in food rescue. Furthermore, governments set laws that encourage food businesses to donate their surplus food. Electronic networks and Apps also were developed to connect food donors with food assistance agencies. All these initiatives combined redirected the salvaged food to nourish the most vulnerable individuals of the communities. Yet, future research should explore the global effect of food rescue on food waste, food security, and the health of food recipients.

Introduction Worldwide, the amount of food that ends up in landfills each year approximates 60,328 million tonnes (FAO, 2017a). Nonetheless, saving one-quarter of this wasted food may help in abolishing world hunger, by nourishing the 870 million food insecure individuals (FAO, 2017b). Food waste is the proportion of food that can be eaten by humans, but has been lost throughout any stage of food supply chain (Vandermeerscha et al., 2014). For instance, during food production and distribution (Bilska et al., 2016), foods are discarded because of overproduction or shape deformities, despite being good/safe to consume (Schneider and Lebersorger, 2012). However, a number of volunteers responded to food loss by recycling disposed foods. These Samaritans collected fruits, vegetables and tubers from trash, washed them, and removed the rotten and slimy parts. Then, a stew was prepared and served to the poor (Fessenden, 2014). Other food waste reduction methods include buying small amounts of food, consuming leftovers (Fig. 1) (Schmidt, 2016), and donating overproduced unsold foods (Fig. 2) (EPA, 2016). These food rescue approaches are believed to minimize food loss and feed those in need.

Household Food Waste-Prevention

Planning a Checking food food stocks Buying what is needed shopping list at home

Figure 1

Testing expired food Keeping Purchasing food in good (by smelling small storage or tasting) portions before conditions discarding it

Using appropriate amounts of food during meal preparation

Consuming leftovers (freezing and reheating cooked food)

Household food waste-prevention approach (Schmidt, 2016).

Encyclopedia of Food Security and Sustainability, Volume 1

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Food Source (Reducing Production)

Feed the Hungry (Surplus Food)

Animal Food

Industrial Uses (Bio-fuel)

Compost Manufacture

Landfill

Figure 2 Food Recovery Hierarchy is a management strategy to reduce food waste. Adapted from The U.S. Environmental Protection Agency, 2016 with permission. https://www.epa.gov/sustainable-management-food/food-recovery-hierarchy

Food rescue is the process of recovering unsold edible foods from restaurants, grocery stores, and social events such as exhibitions and conferences (EPA, 2016). The salvaged food then is redirected to partner organizations, including food banks and soup kitchens, to be provided to underprivileged individuals. For example, internationally, Carrefour donated 142 million meals in 2016 to the food insecure via charitable agencies (ECPAFF, 2016). Thus, food redistribution to the low-income is considered an inexpensive procedure that may reduce food insecurity and food waste (Mousa and Freeland-Graves, 2017). Therefore this chapter aims at raising awareness about food rescue mission in developed countries.

Food Rescue Food Rescue in Developed Countries Europe In Europe, strategies were developed to reduce food loss by encouraging surplus food rescue and redistribution by connecting food donors (supermarkets and restaurants) with recipients (shelters and food banks/pantries), and facilitating food donation and transportation (Buksti et al., 2015). In 2016, the European Federation of Food Banks reported that about 1 billion meals were donated to >6 million low-income Europeans; thus saving 318,000 tonnes of food (FEBA, 2017). In 2012, over 250 European food banks rescued 388,000 tonnes of food from supermarkets and food outlets, and were given away to the disadvantaged (Lithuanian Food Bank, 2017). Kellogg’s also started “Breakfasts for Better Days” in 2013. This campaign provided 4140 tonnes of surplus products to 4 million individuals (ECPAFF, 2016). Another food depot that is involved in food redistribution is Tesco. In 2016/2017, Tesco stores in Czech Republic, Slovakia, Hungary and Poland recovered more than 8000 tonnes of food, and was served to the food insecure (Refresh, 2017). Over the past 4 years, Tesco also has salvaged 400 tonnes of food in the Czech Republic (Tesco Czech, 2017). In Poland, every year the Federation of Polish Food Banks receives donations of surplus food from Tesco, and feeds over 1 million individuals (Tesco Poland, 2017). Moreover in 2016, Tesco of Hungary donated its extra unsold food to the Hungarian Food Bank Association, which was used to prepare
400,000 meals (Tesco Hungary, 2017). In the past decade, this food bank also saved over 42,000 tonnes of food, and nourished about 340,000 Hungarians (Hungarian Food Bank Association, 2017). Recently, Tesco of Hungary has started “Perfectly Imperfect” movement that rescued 286 tonnes of blemished edible fruits and vegetables, which were offered to the low-income (Refresh, 2017). Furthermore, each year Tesco and (Buksti et al., 2015) iki grocery stores in Lithuania recover >2000 tonnes of food. These foods then are provided to those in need via the Lithuanian Food Bank (Lithuanian Food Bank, 2017) (Human Rights Monitoring Institute, 2014). Thus food businesses and stores have an essential role in reducing food loss and maintaining the stability of the operations of food rescue and redistribution. In Ireland, every day 100 Tesco stores donate 2 tonnes of their unsold foods to welfares via foodcloud (Buksti et al., 2015). Similarly in the United Kingdom (UK), more than 200 Tesco branches partnered with FoodCloud and FareShare to redirect surplus products to charitable agencies; restoring
0.5 million meals (ECPAFF, 2016). In 2017, FoodCloud salvaged over 9 tonnes of food, and served 20.3 million meals to the underprivileged (Food Cloud, 2017). Moreover in 2016, FareShare rescued 13,552 tonnes of surplus food from food outlets. The recovered foods were redistributed to charities and converted into 28.6 million meals

Food Rescue in Developed Countries

523

(FareShare, 2017). In 2015, FareShare also received about 1 million meals from Nestlé, saving >400 tonnes of food (ECPAFF, 2016). Trussell Trust is another agency that partnered with 400 food banks. Between April 1st, 2016 and March 31st, 2017, this foundation donated 11,175 tonnes of saved foods to 1.18 million clients (Trust, 2017). Other national food rescue programs include: UK Harvest (2017), City Harvest London (City Harvest London, 2017), the Big Food Rescue (Tatum, 2016), Food Save London, Love Food Hate Waste, Feedback, Food Cycle (Alternet, 2016), and Planzheroes (Buksti et al., 2015). In London, a novel method to rescue food was establishing a pop-up shop. This store sells sandwiches prepared from salvaged foods in affordable prices (£ 5 ¼ $ 6.7) (MacCarthy, 2017). In a similar manner, Transition Bro Gwan collects an annual amount of 11 tonnes of edible food, which then are converted into meals and jams that are sold in the market (Transition Bro Gwaun, 2017). Furtermore, Feeding the 5000 campaign started in London in 2009 to feed 5000 individuals by cooking meals from restored foods. Today, this scheme has spread to several cities including Manchester, Amsterdam, Brussels, Dublin, Paris, Milano, Athens, Sydney, and New York (Feedback Global, 2017). It is concluded that food rescue provides food to the low-income; but reaching the poor would not be achieved without the volunteers, who are the backbone of food assistance organizations. France was the first country that banned food outlets from disposing food (Bryant, 2016). For instance, in February 2016 a law stated (Bryant, 2016) that the stores which dispose their unsold products instead of giving it away will be fined (V 75,000) (EEB, 2017). In response, supermarkets have recovered 35,000 tonnes of surplus food that were redistributed to food banks (Chrisafis, 2016). Carrefour also rescues 320,000 meals a year and offers them to the impoverished through food pantries (Bryant, 2016). In addition, Angel.co/phenix connected about 40 food stores with 80 charitable agencies. In 2015, this network provided 680,000 meals to the food insecure, saving 500 tonnes of food (Buksti et al., 2015). Over the past 4 years Comerso also has restored 7.4 million kg of unsold foods from retailers, which were donated to the underprivileged (Comerso, 2017). Other French programs include Les Retoqués (Les Retoqués, 2017) and Green G (Green, 2017) that frequently buy deformed fruits and vegetables, which fail market standards, at a low cost. Then, these products are used to prepare meals (Les Retoqués, 2017) and waffles (Green, 2017) that are sold in affordable prices. Hence, recovered foods are given a second chance and used to feed the most vulnerable of the communities. In Switzerland, Aess-Bar association regularly saves unsold foods from restaurants, cafes and bakeries and sells it in cheap prices (Anaturk, 2016). Also annually, Partage collects 900 tonnes of surplus food and gives it away to 400,000 individuals via 51 charities (Partage, 2017). Furthermore in Austria, Wiener Tafel rescued and donated 500 tonnes of food to food banks and shelters in 2016 (Schneider, 2013) (Wiener Tafel, 2017). In the same year, the Belgium Federation of Food Banks restored
15 tonnes of food and nourished 143,287 Belgians (Federation Belge des Banques Alimentaires, 2017). Other Belgian food rescue agencies include: Bourse aux Dons (2017) and foodwe (Buksti et al., 2015), which connect food businesses with charitable networks. In 2015, foodwe assisted in recovering 18 tonnes of good-to-eat foods (Buksti et al., 2015). Interestingly, Second Life (Second Life, 2017) and Wonky (Wonky, 2017) are associations that collect surplus yogurt, fruits and vegetables from the market. Rescued foods then are boiled, and converted into smoothies, soups (Second Life, 2017), dips and vegetable crackers (Wonky, 2017) and sold in local markets to the low-income. All these food collection and redistribution schemes are efficient in minimizing food insecurity. Similarly, De Verspillingsfabriek (The Waste Factory) (De Verspillingsfabriek, 2017) and Instock (Instock, 2017) in Netherlands collect deformed edible foods from grocery stores and supermarkets. Subsequently, the salvaged foods are cooked to make soups, sauces (De Verspillingsfabriek, 2017) and meals (Instock, 2017), and served to the poor. In addition, Unilever saved over 2 million food products in 2014. The recovered foods were used to prepare 35,000 meals, which were offered to the Dutch via nongovernment organizations (NGOs) (ECPAFF, 2016). Redistribution of surplus food therefore has a vital role in reducing hunger. Food stores in Germany such as LIDL (Buksti et al., 2015) and REWE (ECPAFF, 2016) also joined food rescue campaign. In 2015, the latter supermarket provided >1200 tonnes of food to Tafel food pantry (ECPAFF, 2016). CulinARy MiSfiTS is another agency that routinely collects misshaped and ugly foods from retailers before being discarded, and give them away to those in need (Bendix, 2014) (Alternet, 2016). Moreover in 2017, Foodsharing charity recovered 12,265 tonnes of food that were provided to the poor (Foodsharing, 2017). Similarly in Portugal, Zero Desperdicio (zero waste) foundation usually restores surplus food from 116 markets, and redirects it to 53 NGOs (Buksti et al., 2015). In 2015, Sonae store also donated about 1 million meals to over 500 organizations that help the Portuguese (ECPAFF, 2016). Thus, all these programs assist in decreasing food loss and feeding the food insecure. In Spain, Comida Basura: Tu basura es mi tesoro (Waste Food: Your Trash, My Treasure) movement encouraged restaurants and grocery stores to donate their unsold products (Benítez, 2012). In response, Nestlé provides an annual amount of (surplus) food to the Spanish Federation of Food Banks and Red Cross (ECPAFF, 2016). In 2016, the Food Bank of Madrid also collected 20,599 tonnes of food that nourished over 190 thousand clients (Banco de Alimentos de Madrid, 2017). Furthermore in 2012, 55 food rescue initiatives restored more than 1 million kg of food from retailers and supermarkets (Gonzalez-Torre and Coque, 2016). In 2011, Bancosol Alimentos also saved 5000 tonnes of surplus food (Benítez, 2012). Similarly, each year La Villana de Vallekas restores about 37 tonnes of unsold foods from food outlets (La Villana de Vallekas, 2017). Other food rescue schemes include: gathering imperfect crops from the fields and donating them to food banks. This activism is called Espigoladors in which the salvaged produce is used to prepare jams and soups (Guelph Food Waste Research Project, 2016). Moreover, Samaritans positioned a refrigerator in a public street in Galdakao, Spain. In the Frigorífico Solidario (solidarity fridge), individuals place their extra food to be consumed by anyone in need (Martinko, 2015). The previous procedures are suggested to help in rescuing food from disposal and providing it to the poor. In Italy, Last Minute Market promotes food rescue by connecting food businesses with food assistance agencies (Alternet, 2016). Furthermore, the government encouraged food producers, retailers, and outlets to participate in food redistribution by incentivizing

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these that give away their “extra/unsold” foods (EEB, 2017). For instance, a new law stated that food donors can receive a tax waiver that is based on the amount of salvaged food. This law helped in saving an annual amount of 550 million tonnes of food (ABC News, 2016). Thus annually, Nestlé donates an average of 1200 tonnes of food to Fondazione Banco Alimentare Onlus (ECPAFF, 2016). In 2014, retailers also gave away 350,000 tonnes of surplus foods to NGOs (Garrone et al., 2014). In 2015, several food banks restored 50 tonnes of extra meals that were present at Milan Expo and provided them to 14 charitable networks (ECPAFF, 2016). A recent research also found that the 900 operations of food salvage in Italy have redistributed 634 tonnes of surplus food to the impoverished (Vittuari et al., 2017). Hence, recovering unsold foods helps in minimizing food shortage and nourishing the low-income. A law similar to that in Italy (a reduction in taxes) is also present in Croatia. This act encourages food industries to donate their surplus food instead of dumping it (Pavlic, 2015). As a result, the number of stores that restore foods from retailers, supermarkets and restaurants has increased to sixteen in 2016 (Begic, 2016). MoST Association also established Solidarity Social Market in 2015 that rescues and sells healthy, imperfect and/or close to expire foods in affordable prices (Pavlic, 2015). Furthermore in Greece, a digital marketplace called Boroume (Boroume, 2017) links food donors with recipients such as food banks and shelters (Buksti et al., 2015). This network helps in saving
20,000 portions of food per day (Boroume, 2017). Desmos follows a similar approach by connecting food industries with food assistance organizations. Yet, this agency is not digital but dependent on volunteers who collect and donate the surplus food to the food insecure (Desmos, 2017). Numerous Samaritans also recover extra foods from social events and restaurants, and provide them to the Food Bank of Greece. Over the last 2 decades, these activists have rescued 16,000 tonnes of food, feeding 23,000 clients (Fotiadi, 2015). Noteworthy, food rescue provides food to the needy, yet it is dependent primarily on volunteers. Food rescue also is observed in the Nordic region (Hanssen et al., 2014). In Denmark, this strategy has minimized food waste by 25% in the past 5 years (EEB, 2017). This is probably due to that hundreds of stores including COOP, REMA 1000 and Dansk Supermarked have reallocated their surplus foods to food banks to be served to the poor (Buksti et al., 2015). For example in 2013, the Food Bank of Copenhagen provided 426 tonnes of restored foods to about a million individuals (Hanssen et al., 2014). In Copenhagen, employees and volunteers of WeFood supermarket recover edible unsold, dented, mislabeled and/or expired foods from grocery stores. Saved foods then are sold in affordable prices to the underprivileged (Dan Church Aid, 2017) (Dure, 2016) (Matharu, 2016); thus reducing the probability of food insecurity. Interestingly, Selina Juul is a Russian Freegan who lives in Denmark (Rodionova, 2017). Freeganism is a term that describes individuals who salvage the discarded foods (Pietrzyk, 2017). In 2017, Miss Juul started collecting edible products from food outlets and providing them to the impoverished (Rodionova, 2017). Another Freegan is Johanna Kohvakka, a Finnish woman, who rescues and prepares meals from disposed foods, and offers them to the needy (Good News from Finland, 2016). In addition, every year several supermarkets in Finland donate 7 million kg of surplus food to NGOs such as the Red Cross and Salvation Army. Charitable networks then redistribute this food to the low-income (Hanssen et al., 2014). Similarly in Norway, the number of food outlets involved in food rescue has increased by
10 times in the past year, reaching 1300 stores. Furthermore, between April 2016 and October 2017, the amount of salvaged food has more than doubled (2303 vs. 5700 tonnes) (Capodistrias, 2017). In Oslo, Mastentralen foundation also recovered 173 tonnes of food in the last 4 months of 2013, which are served to the low-income (Hanssen et al., 2014). Noteworthy, Foodlist agency connects food retailers with food assistance programs or individuals who can buy the surplus food. Yet data are not available regarding the amount of saved or donated foods (Foodlist, 2017). Moreover in Sweden, Nestlé donates an annual amount of its unsold food to Stadsmissionen (ECPAFF, 2016) and Rude Food (Rude Food, 2017) organizations. In Gothenburg, Allwin charity also collected 300 tonnes of surplus foods in 2013, which were offered to 0.5 million individuals (Hanssen et al., 2014). Furthermore, student associations in the University of Gothenburg and Chalmers University of Technology decided to reduce food waste and hunger. These activists routinely restore surplus food from grocery stores, food outlets and campus cafeterias, and provide it to the food insecure (University of Gothenburg, 2015). Hence, these economical techniques are useful in redirecting unsold food items to the underprivileged. In addition, recovering and redistributing surplus products have been reported in other European countries. For instance, the Food Bank of Bucharest receives surplus food from restaurants and supermarkets, which then is offered to the Romanians (Marica, 2016). For the Fed Latvia Food Bank also saved about 500 tonnes of unsold foods, nourishing 62,150 Latvians in 2010 (The Samaritan Association of Latvia, 2017) (Ziedot, 2011). In Slovakia, several volunteers regularly collect the extra foods from food outlets. In one day, these Samaritans salvaged
0.5 ton of food that is provided to NGOs (The Slovak Spectator, 2016). Finally, the Food Bank of Estonia frequently restores surplus food from stores and restaurants (Eesti Toidupank, 2017), serving 7200 families (Casi, 2017). In all, procedures of food rescue are believed to minimize the gap between food loss and food insecurity.

Australia and New Zealand In Australia, a number of programs redistribute surplus food to those in need (Lindberg et al., 2015). Nair et al. reported that restaurants and cafes donate pre-prepared meals, sandwiches, desserts and dairy products; whereas the main source of fresh produce, meat and bread was grocery stores (Nair et al., 2017). Moreover, SecondBite is a national program that collects fresh and packaged foods from 380 producers and retail stores. Subsequently, this food is offered to the food insecure in the form of meals (
16 million) via 1200 partner-agencies (Lindberg et al., 2014) (SecondBite, 2017). In Sydney, OzHarvest recovers 400 tonnes of food per month from at least 3000 food outlets and provides it to >1000 charities (OzHarvest, 2017). In 2008, several volunteers saved about 18 million kg of food that worth
$ 108,000. This surplus food then was redistributed to low-income Australians through NGOs (Reynolds et al., 2015).

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Similarly in New Zealand, Countdown store salvaged a large amount of unsold food ($ 3.5 million value) in 2016 (Countdown Superstore, 2017) (Edmunds, 2016). Recently, this superstore has donated >600 trolleys of food to the Salvation Army, and nourished 17,000 individuals (Countdown Superstore, 2017). Another agency is Kaibosh, which saves a monthly amount of
20 tonnes of food that is used to prepare over 50,000 meals (Kaibosh, 2017). Moreover, Good Neighbor Food Rescue is a charity which collects surplus food from grocery stores and restaurants. Recovered foods then are presented to those in need via partner agencies (Good Neighbor Food Rescue Program, 2017). Thus food redistribution is a low-cost approach to combat the lack of food security.

The Americas In Canada, over 500 NGOs habitually donate rescued foods to the low-income (Tarasuk et al., 2014). For example, the national program Second Harvest restores surplus food on daily basis, serving about 30,000 meals (Second Harvest Food Rescue, 2017). The food bank of Alameda County also reallocates
1.5 million meals every month, to feed clients of 240 charities and shelters (Knoblock-Hahn et al., 2017). In 2017, Leftover Rescue Food saved and delivered 94.3 tonnes of food to the less fortunate (Leftovers Rescue Food, 2017). In addition, The Garden of Eating program regularly collects the extra produce of fruits and vegetables from the abandoned trees. Consequently, the recovered food is provided to food assistance organizations, which in turn offer this food to the needy (Alternet, 2016). Furthermore in the United States (U.S.), two laws were founded to encourage individuals and food businesses to donate food: the Good Faith Donor Act (Texas Constitution and Statutes, 2015), and Bill Emerson Good Samaritan Food Donation Act (Office of the Chief Economist, 2017). Another policy was passed; “Internal Revenue Code 170(e) (3)," that offered food donors a reduction in taxes (Texas Constitution and Statutes, 2015). As a result, over 200 agencies participated in food rescue (Mousa and FreelandGraves, 2017) including: 412 Food Rescue (PA); Boston Area gleaners, Island Grown Gleaning, Lovin’ Spoonfuls, and Food Cowboy (MA); Boulder Food rescue (CO); Hungry Harvest, Community food Rescue, and Center for a Livable Future (MD); Excess NYC and City Harvest (NY); Community Plates and Food Share (CT); ExtraFood, Imperfect Produce, Food Forward, and Food Shift (CA); Food Policy Action, and DC Central Kitchen (DC); Food Rescue (IN); Food Recovery Project (AR); Forgotten Harvest (MI); Society of Saint Andrew (VA); Leah Path (OR); Salvation Farms (VT); Zero Percent (IL) (Alternet, 2016); and Keep Austin Fed (TX) (Keep Austin Fed, 2017). There are also national programs involved in food redistribution such as Feeding America (Feeding America, 2017) and Food Recovery Network (Food Recovery Network, 2017). In 2009, Handforth et al. reported that 20 food banks received salvaged foods from Feeding America (Handforth et al., 2013). Currently, Feeding America is the biggest national food aid program in the US. In 2017, this charity recovered
181 million tonnes of surplus food from restaurants, grocery stores, and college cafeterias. Consequently, the restored food is delivered to 60,000 pantries, serving 46 million individuals (Feeding America, 2017). In the same year, Food Recovery Network saved over 907 tonnes of food, nourishing 1.8 million Americans (Food Recovery Network, 2017). Moreover, Rock and Wrap it Up frequently cooperates with hundreds colleges, schools and musical bands. This program collects surplus food from social gatherings (conferences, concerts, sports and political events) and redistributes it to the poor (EPA, 2014a). In 2011, the Food Waste Reduction Alliance also restored 335,000 tonnes of food from supermarkets and food industries, which were donated to food banks and shelters (EPA, 2014b). In addition, all branches of Albertsons in the US usually give away their unsold products to food assistance agencies, to be offered to those in need (EPA, 2014a). A recent cross-sectional study also found that in the Southwestern states of the US, 100 organizations provided 2.13 million kg of food per month that supplied 41,734 food recipients. But only 18% of the goods were surplus food (Mousa and Freeland-Graves, 2017). However, in Santa Clara, each food business gives away >16–166 tonnes of food each year (Food Shift, 2015). In New York, Rescuing Leftover Cuisine also saved about 0.5 tonnes of edible food in 2017, which was used to prepare 407,395 meals (Rescuing Leftover Cuisine, 2017). Furthermore in 2014, food banks in Chicago and New Jersey offered >31,750 tonnes of rescued foods to over 1,700,000 individuals (Knoblock-Hahn et al., 2017). In Massachusetts, Boston Public Market also regularly donates its unsold foods to NGOs, including the New England Center for Homeless Veterans and Boston Rescue Mission (Platanitis, 2015). Similarly in Pennsylvania, Springboard Kitchens annually restores an average of 3850 kg of surplus food; providing
4000 meals to the underprivileged (Food Tank, 2017). Moreover in Philadelphia, each month Philabundance salvages
10,886 tonnes of foods, serving 360,000 clients (Philabundance, 2017). Thus the majority of the states are dedicated to rescue food and feed the low-income. In Argentina, every day the Banco de Alimentos de Buenos Aires also recovers and reallocates surplus foods to 94,000 individuals (Banco de Alimentos de Buenos Aires, 2017). Interestingly in 2016, MUÑA MUÑA owners placed a communal refrigerator near their restaurant in Tucumán. In this fridge, the vendors put the meals that were not served to be consumed by the poor (for free). This charitable act is called Heladora Social which expanded to the neighborhood. For instance, individuals started filling up this fridge with their extra unconsumed food (Pondal, 2016). It is concluded that redistribution of surplus food is an easy and inexpensive procedure, and assists in making food available to those who live on the breadline.

Asia In Hong Kong, a number of volunteers established the Food Angel program to collect unsold foods from grocery stores and/or supermarkets. Each day, this agency saves 4 tonnes of fresh, frozen, canned and cooked foods. Then, the salvaged foods are used to prepare meals to nourish those in need (Food Angel Rescue and Assistance Program, 2017) (Chan, 2015). Feeding Hong Kong also rescues about 1300 tonnes of food and serves >3 million clients a year (Feeding Hong Kong, 2017). Other food assistance

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programs in China include: Foodlink (Foodlink, 2017), Food Aid Food Recycling (Food Aid Food Recycling, 2017), and Food Friend Action (Food Friend Action, 2017), Food Resources Recycling Center (2017), Food Donation Program (Food Donation Project, 2017), Agape Community Care Center (Agape Community Care Center, 2017) and Po Leung Kuk Blue Sky Food Assistance Service Project (2017). Despite these efforts, a number of retailers and food outlets end up disposing >1000 tonnes of food every year. In 2014, only 5.7% and 1.8% of unsold foods were offered to employees and NGOs, respectively. Most of the food industries attributed their inability to donate their extra food to “product liability” (Oxfam, 2014). Thus the government should encourage food businesses to participate in food redistribution, probably by setting laws that protect and/or incentivize donors. In Singapore, the national food bank partnered with numerous hotels in order to rescue their surplus food. For example, each day the Marina Bay Sands hotel restores 65 trays of excess food and provides it to the impoverished (Wong, 2016a,b). Another foundation is Food from the Heart that collects unsold bakery products (Phua, 2015). In 2017, this agency recovered 16,800 trays of baked products that were offered to 33,000 individuals (Food from the Heart, 2017). Similarly, Second Harvest Japan salvages surplus foods from supermarkets. In 2016, this food bank saved 99 tonnes of food; serving 4.7 million meals to the low-income (Second Harvest Japan, 2016). In addition, Mottainai Action routinely rescues and cooks the ugly and blemished foods, then donates the prepared meals to the Japanese (Goldberg, 2016). These food rescue organizations therefore assist in the reduction of hunger and food loss in Asia.

Middle East

In Israel, restoring half of the 2.4 million tonnes of the supposed to be disposed-food can be used to feed
1.5 million Israelis (Leket Israel, 2016). In response, every year the United Children’s Food Bank of Israel saves and redistributes thousands tonnes of food to the food insecure (United Children’s Food Bank of Israel, 2017). In 2015, the Israeli food bank Leket also donated 15.2 million tonnes of recovered foods to at least 170,000 individuals via 180 charitable agencies (Philip et al., 2017). Thus, rescuing and reallocating surplus foods would help in minimizing food insecurity. Food rescue also is observed in some developed Arab countries including: the United Arab Emirates (UAE), Qatar and Saudi Arabia. In Dubai (a city in the UAE), there are two organizations that collect surplus food from banquets, wedding parties and supermarkets, and offer it to the underprivileged. These networks are the UAE Food Bank (Saseendran, 2017) and Ro’yati (my vision) Family Society (Dhal, 2013). In 2012, the latter program provided the saved food to about 70,000 individuals (Dhal, 2013). In Qatar, Wa’hab (giving) program restores unsold food from restaurants and supermarkets, and redistributes it to those in need (Wahab, 2017). For instance, during the 11 days of Qatar International Food Festival, this charity has rescued 1000 meals (Khatri, 2017). Finally in Saudi Arabia, Ita’am (feeding) association salvages the excess food from hotel buffets, restaurants and social gatherings, and serves it to the low-income (AlFozan Social Foundation, 2017). All these efforts therefore are beneficial in redirecting surplus food to the poor.

Food Rescue in Technology Currently, there are phone/iPad Applications (Apps) that assist in rescuing surplus food, via connecting food retailers with charitable organizations such as food banks and shelters. These Apps include: Too Good To Go in Europe, FoodCloud in Ireland (Wong, 2016a,b), Global 3000 (Bryant, 2016), OLIO (OLIO, 2017) and FoodCloud in the UK (Wong, 2016a,b), Yo No Despperdicio in Spain (Wong, 2016a,b), Sharecy (Sharecy, 2017), FoodLoop (Alternet, 2016) and MealSaver in Germany (MealSaver, 2017), Karma in Sweden (Karma, 2017), No Food Wasted (afgeprijsd) and ResQ Club in Netherlands (Scully, 2017), Netto in Denmark (Netto, 2017), Froodly and ResQ Club in Finland (Good News from Finland, 2016), Redinner in Hungary (Redinner, 2017), Uber in Slovakia (The Slovak Spectator, 2016), Copia and Zero Percent in the US (Alternet, 2016), and 11th hour in Singapore (Wong, 2016a,b). FoodKeeper is another App that is developed by the USDA to help customers reduce food loss at household level by providing: information about food shelf life, and ideas to prepare meals from leftovers (USDA, 2015).

Conclusions To date, the amount of food that is disposed is alarming; particularly, because the number of individuals who do not have access to food is relatively high. Therefore it is better to recover surplus misshaped/bruised food and donate it to those in need, than dumping it. In response, food rescue was initiated; promoting governments, food producers and outlets, non-profitable organizations, and volunteers to participate in surplus food redistribution. Furthermore, laws that encourage food donation have been passed, and electronic networks and Apps have been developed to connect food donors with NGOs. This helped in providing the saved food to the most vulnerable individuals of the communities. Nonetheless, there are still food industries that dispose their unsold food. Thus governments and Samaritans should double their efforts and support these businesses to participate in food rescue. Finally, the global effect of food rescue on food waste/loss reduction worth further investigation. In addition, it is essential to explore the role of food rescue organizations in restoring surplus food, and its effect on food security and the health of food recipients.

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A technical and policy case study of large-scale rescue and redistribution of perishable foods by the "Leket Israel" food bank. Food Nutr. Bull. 38, 226–239. Phua, Z., 2015. Government, NGOs & Businesses. https://blogs.ntu.edu.sg/hp331-2015-31/government-ngos-businesses/. Pietrzyk, K., 2017. Freeganism: Food for Mind, Body and Soul. https://www.academia.edu/1137026/Freeganism_food_for_mind_body_and_soul. Platanitis, S., July 21, 2015. Boston Public Market Will Donate Leftover Food to Community Partners, Compost Food Scraps. http://www.masslive.com/food/2015/07/boston_ public_market_donations_composting.html. Po Leung Kuk Blue Sky Food Assistance Service Project. (2017). http://family.poleungkuk.org.hk/en/page.aspx?pageid¼1647#. Pondal, L., May 27, 2016. Fighting Hunger, Food Waste in Argentina with Free-service Fridges. http://observers.france24.com/en/20160527-argentina-hunger-food-waste-freeservice-fridges. Redinner. (2017). www.redinner.com. Refresh, 2017. 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Explaining and promoting household food waste-prevention by an environmental psychological based intervention study. Resour. Conserv. Recy 111, 53–66. Schneider, F., 2013. The evolution of food donation with respect to waste prevention. Waste Manage 33, 755–763. Schneider, F., Lebersorger, S., May 2 – 4, 2012. The challenges of food wastage to European society. 15th Eur. Roundtable Sustain. Consum. Prod. (15th ERSCP) 1–8 (Bregenz, Austria). Scully, K., January 5, 2017. 5 Dutch Initiatives to Help You Save Food and Money. https://www.iamexpat.nl/lifestyle/lifestyle-news/5-dutch-initiatives-help-you-save-food-andmoney. Second Harvest Food Rescue. (2017). http://secondharvest.ca/. Second Harvest Japan. (December 31, 2016). http://2hj.org/about/pdf/2HJ_AR2016.pdf.

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Second Life. (2017). http://eu-refresh.org/second-life-0. SecondBite, 2017. Food for People in Need. Melbourne. https://www.secondbite.org. Sharecy. (2017). www.sharecy.org. Tarasuk, V., Dachner,.N, Hamelin, A., Ostry, A., Williams, P., Bosckei, E., Poland, B., Raine, K., 2014. A survey of food bank operations in five Canadian Cities. BMC Public Health 14, 1234–1244. Tatum, M., November 25, 2016. The Grocer. https://www.thegrocer.co.uk/home/topics/waste-not-want-not/the-big-food-rescue-bbc-series-to-follow-food-waste-charity/545375. article. Tesco Czech. (2017). http://www.tescocr.cz/en/tesco-and-society/food-waste. Tesco Hungary. (2017). http://www.tescomagyarorszag.hu/en/tesco-and-society/community/food-collection. Tesco Poland, 2017. Reducng Food Waste. http://www.tesco-polska.pl/en/tesco-and-society/reducing-food-waste/reducing-food-waste. Texas Constitution and Statutes, June 16, 2015. Civil Practice and Remedies Code. Title 4. Liability in Tort. Chapter 76. Food Donors. http://www.statutes.legis.state.tx.us/Docs/CP/ htm/CP.76.htm. The Samaritan Association of Latvia. (2017). http://www.ngolatvia.lv/en/organizacijas-3/238?view¼organizcija&tmpl¼component. The Salvation Army USA, 2017. "Hungry" Is No Way to Spend Childhood. http://www.salvationarmyusa.org/usn/cure-hunger/. The Slovak Spectator, January 12, 2016. Bratislavans Donated Food to the Poor. https://spectator.sme.sk/c/20071674/bratislavans-donated-food-to-the-poor.html. Transition Bro Gwaun. (2017). http://transitionbrogwaun.org.uk/surplus-food-project/. T. Trust. (2017). https://www.trusselltrust.org/news-and-blog/latest-stats/end-year-stats/. UK Harvest. (2017). https://www.ukharvest.org.uk/what-we-do/food-rescue. United Children’s Food Bank of Israel. (2017). http://www.israelfoodbank.org/operation/. University of Gothenburg, October 1, 2015. Center for Environment and Sustainability. http://gmv.chalmers.gu.se/english/news-and-events/news-details/students-rescuing-food. cid1325230. (USDA), The United States Department of Agriculture, April 2, 2015. New USDA ’FoodKeeper’ App: Your New Tool for Smart Food Storage. https://www.usda.gov/media/blog/2015/ 04/2/new-usda-foodkeeper-app-your-new-tool-smart-food-storage. Vandermeerscha, T., Alvarengaa, R., Ragaertb, P., Dewulfa, J., 2014. Environmental sustainability assessment of food waste valorization options. Resour. Conserv. Recy 87, 57–64. Vittuari, M., De Menna, F., Gaiani, S., Falasconi, L., Politano, A., Dietershagen, J., Segrè, A., 2017. The second life of food: an assessment of the social impact of food redistribution activities in Emilia Romagna, Italy. Sustainability 2017 (9), 1817–1830. Wahab. (2017). https://www.wahab.qa/. Wiener Tafel. (2017). https://wienertafel.at/index.php?id¼399&neues-kampagnentool-849. Wong, C., 2016a. Today Online. http://www.todayonline.com/singapore/non-profit-groups-step-efforts-bring-restaurant-excess-needy. Wong, K., 2016b. Tackling Food Waste Around the World: Our Top 10 Apps. https://www.theguardian.com/sustainable-business/2017/feb/06/food-waste-apps-global-technologyleftovers-landfill. Wonky. (2017). http://www.wonkyfood.be/. Ziedot, January 9, 2011. Bored Latvia 2010. https://www.ziedot.lv/realizetie-projekti/paedusai-latvijai-2010-870/atskaite/.

Food Retail in Developing Countries Matthew Kelly, Research School of Population Health, Australian National University, Canberra, ACT, Australia © 2019 Elsevier Inc. All rights reserved.

Abstract Waves of Modern Retail Diffusion Drivers of Modern Retail Expansion The Impacts of Food Retail Change Food Retail in Thailand: A Case Study Conclusions References

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Abstract Over the last 3 decades enormous change has occurred in the ways in which food is produced, distributed and consumed in the developing world. One manifestation of this change is the rapid growth of supermarkets and other modern food retail formats. The growth in modern retail began in Latin America in the early 1990s, followed by East Asia (except China) and then Southeast Asia. Now China and India are the latest settings to experience supermarket growth. Supermarkets in developing countries are now spreading beyond their initial target markets in high income urban communities to cover consumers at all socio-economic levels and are also expanding to more regional and rural areas. This expansion of modern food retailers has several major implications for developing countries. Firstly, for consumers supermarkets growth has been accompanied by an increase in the availability and affordability of processed, packaged foods. Increases in the consumption of these products has been associated with a nutrition transition in developing countries and a resulting rapid increase in obesity and diet related diseases. The replacement of traditional fresh markets by supermarkets has compounded this problem by reducing access to affordable, culturally acceptable fresh food products, with the impact most substantial for poor consumers. The growth of supermarkets also has implications for farmers and traditional food distribution chains with supermarkets setting up their own contract farming relationships with farmers and bypassing middlemen with their own procurement chains. As this growth has been recent and rapid the impact of supermarkets merits more attention from governments in developing countries and food researchers.

Waves of Modern Retail Diffusion Although supermarkets have dominated the retail environments of western developed countries for at least the last 50 years, they have only relatively recently begun to provide competition to the traditional small scale retailers and fresh markets which have been the basis of trade in the developing world. In recent decades however there has been what is referred to as a “supermarket revolution” in the Pacific Rim countries, especially since the mid to late 90s. Reardon et al. describe supermarkets spreading in 3 waves; the first affected South America and East Asia (except China) where the jump came in the mid-1990s; the second wave came to Southeast Asia and Central America with growth in the late 90s and early 2000s; a third wave spread to later developing countries included Vietnam, China and India (Reardon and Berdegue, 2006). Modern food retail, defined as supermarkets, hypermarkets and convenience stores, now control around 60% of food sales in South America and East Asia (except for China) and are approaching 50% of food sales in much of Southeast Asia (Minten et al., 2010). This spread of supermarkets has been slower in Africa, with South Africa being the exception. In Kenya for example the share of modern retail is still only around 10% (Kimenju et al., 2015). In most low and middle income settings, incoming modern retail formats have established themselves first in the major urban areas and have catered primarily for high income consumers and expatriate communities. The general argument is that as the penetration of modern retail in countries increases and as countries experience greater economic development modern retail outlets cease to be places where only the rich shop and corporations begin to aim at middle and then lower class segments of the population (Traill, 2006). As they become more established, modern retailers also begin to diversify in geographic terms, opening outlets in regional centers and eventually rural areas. The early product ranges tend to concentrate on processed packaged foods where modern food retail enjoys the biggest competitive advantage and then as they set up their own procurement chains they begin to compete with fresh markets for fruit and vegetable sales as well (Kelly et al., 2014a,b). There are several reasons for the progression in market sector targets described above. Firstly, the initial concentration on processed packaged foods, as well as comparative pricing advantage, is due to the larger potential to change cultural preferences towards these ‘convenience’ foods. Supermarkets often face greater challenges in entering fresh produce sectors, partly due to cultural preferences for traditional markets and partly because traditional markets are now starting to react and modernize themselves to compete (Goldman et al., 2002; Reardon and Berdegue, 2006). There is some evidence that the survival of fresh

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and traditional markets in the fresh food sector in the Asia-Pacific may be a temporary though persistent phenomenon. Fresh markets in many developing countries continue to provide produce at lower prices and fresher and better quality than supermarkets for some time after modern retail comes to dominate other food retail product markets. Eventually though supermarkets improve their supply chains and consumers preferences change to favour one-stop-shopping (Coyle, 2006). As waves of retail diffusion have proceeded their speed seems to be increasing. In the latest manifestation in India, this is particularly prominent with modern retail experiencing 50% growth annually. As well modern retail in India appears to be skipping the intermediate stages described here and proceeding directly to targeting high and low income groups and fresh food sectors (Minten et al., 2010).

Drivers of Modern Retail Expansion The factors driving a change in retail structure are both supply and demand oriented. Over the first decades of the establishment of modern food retailing there was great scope for expansion across high income countries. By the 1990s however western markets had largely become saturated with a small number of established companies controlling most of the market (Coyle, 2006). Modern food retailers, often as part of larger transnational food companies, began looking for new markets, firstly in South America and East Asia, and then to Southeast Asia as described above. At that same time the expansion of modern retail was enabled by the proliferation of free trade agreements and particularly their associated relaxed Foreign Direct Investment regulations which allowed European and American food retailers to invest in local markets (Hawkes, 2005). This process was particularly important following the Asian Financial Crisis in the late 1990s. In terms of demand, rising incomes, urbanization and increasing female participation in the workforce mean there is demand for convenient shopping and modern diverse products. For existing national retailers this influx of modern rivals has also forced them to rapidly modernize (Coe and Wrigley, 2007). Apart from allowing more foreign investment there are other domestic policies which favor modern over traditional retail. Governments typically encourage modernization per se and often invest directly in promoting modern retail for example in China tax incentives for modern retail outlets to open in certain areas; and regulations on traditional markets which hinder their development such as hygiene and city planning regulations. This is assisted by the fact that wetmarkets especially are usually informal, unregulated and untaxed (Reardon and Berdegue, 2006). This internationalization of modern retail is relatively understudied considering the part it plays in an issue of fundamental importance to people’s lives, how they buy their food, as well as the livelihoods of millions around the world who work in supermarkets, farm for supermarkets or work in food processing and distribution for supermarkets. Outside of Western Europe, the USA and Japan the bulk of modern retail growth has taken place in only the last 20 or so years since the mid-90s. The spread is unprecedented in its speed and scale and warrants further detailed research of impacts on host economies, nutrition and welfare (Coe, 2004).

The Impacts of Food Retail Change As supermarkets and other modern retail outlets increase their share of food sectors they have a fundamental impact on the availability and affordability of foods. This impact can be positive and negative. A growth in variety of food retail can increase the diversity of foods available to the population and thus can thus be positive overall for food and nutrition security. However, as discussed above the main profit advantage for modern retail in most settings is in the provision of processed, packaged foods, particularly where the local food sector has already established marketplaces for fresh, local foods. Technological advantages in food packaging and distribution mean that these processed food categories will be favored by supermarkets when entering new markets. As well, these processed foods are made much more affordable by economies of scales available to supermarkets, relative to fresh produce (Gómez and Ricketts, 2013). This impact can have negative impacts on nutrition and health in developing countries. Increases in the consumption of processed foods, which are generally energy dense and high in added sugars, fats and salts, are considered to be one of the primary global drivers of increases in obesity and related chronic diseases (Popkin, 2017). Studies addressing these links between changing food retail and dietary outcomes are relatively rate in low and middle income countries, although recent research has indicated in Thailand, Guatemala and Kenya that more frequent supermarket shopping is associated with increases in processed food consumption and higher BMI (Asfaw, 2008; Kelly et al., 2014a,b; Kimenju et al., 2015). A related impact of modern retail is their effect on the decline of traditional food retailing and the livelihoods of market sellers often based on low socio-economic status family units. These market sellers losing their livelihoods will have significant impacts on food security for poor communities who rely on food sales and who may not be able to then obtain jobs in the modern retail sector. Studies have shown that generally fresh markets will sell produce at lower prices than modern retail, and they also cater to poorer consumers in terms of flexibility in size of purchases and credit schemes. The decline of fresh markets and their replacement by supermarkets is thus likely to have an effect on health equity in terms of food access. The location of supermarkets outside of local neighborhoods will have a further impact on access as the poorest consumers often have limited transport options. As modern food retailers become more established in local markets they often seek to establish their own supply chains and procurement systems for fresh produce to expand from their processed food base, and to improve efficiencies through avoiding traditional food wholesale operations (Reardon and Timmer, 2014). This can lead to a system of contract farming where farmers

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make agreements to supply certain volumes and quality of produce to the food company. These types of arrangements have been observed to have mixed impacts on the farmers involved. Contract farming often leads to lower, but more stable prices being offered to farmers when compared to their reliance on selling through wholesale markets. It has also been observed however that contract farming arrangements tend to be more favorable to already more well-resourced farmers, meaning poorer farmers do not benefit as much (Michelson et al., 2012).

Food Retail in Thailand: A Case Study Here changes in food retailing in Thailand are provided as an example to illustrate the overview given above. Thailand is an example of a second wave country in food retail diffusion, with supermarket expansion beginning in earnest in the mid-1990s. This makes an interesting case study where we can observe change over several decades. The dominant food retail formats in Thailand until the modern retail revolution were fresh markets and small family run general stores. The economic boom experienced by Thailand in the 1980s led to rising incomes, particularly in Bangkok, and a growth in western expatriate communities. This led to growth in demand for more international and prestige foods, and more convenient shopping formats. The first supermarket and department stores began to appear in Bangkok around this time, followed by substantial growth in convenience stores led by the 7–11 chain (Tokrisna, 2007). This initial change in the food retail sector was mostly led by domestic firms and domestic-foreign partnerships, partly due to Thai regulations on foreign business ownership. This situation changed dramatically with the Asian Financial Crisis of 1997. This crisis led to many large Thai firms, including in the food sector, encountering substantial financial challenges and many facing liquidation. One response of the Thai government was to relax Foreign Direct Investment laws allowing transnational food companies to invest heavily in the Thai retail sector. This expansion was led by European firms including Tesco (UK), Carrefour and Big C (French) (Schaffner et al., 2005). This expansion then proceeded to expand from the existing supermarkets and convenience stores mainly based in Bangkok. In particular large format hypermarkets and small format convenience stores spread rapidly into regional areas and even into more rural areas. In the decade from 1997 to 2007 the number of supermarkets in Thailand grew from 50 to 166, and the number of hypermarkets from 60 to 225. By 2011, the number of convenience stores across the nation was over 12,000 (Shannon, 2009; Kelly et al., 2010). In this same period the share of food sales from modern retail outlets grew to more than 50% (Kuipers, 2007; Tokrisna, 2007). In terms of the diffusion models discussed at the start of this chapter we can see then that the Thai food retail sector has moved through the stages of socio-economic and geographic diffusion quite rapidly. Diffusion in terms of product category change however is not so clear. Recent research has shown that the move of Thai food retail into dominating the fresh food sector is not inevitable and faces significant barriers. Several studies have observed that in relative pricing terms, fresh markets are still significantly cheaper than supermarkets or hypermarkets for core items (Schaffner et al., 2005; Tokrisna, 2007). As well, the strong local food culture and importance of local cuisine specific fruits, vegetables and herbs, which supermarkets so far are not stocking, means that despite more than 20 years of exposure to supermarkets a substantial number of Thai consumers are not moving their shopping preferences for fresh foods (Kelly et al., 2014a,b). Another potentially relevant factor is that fresh markets themselves are adapting to meet the challenge of modern retail and modern consumer lifestyles in terms of opening hours, diversity of foods offered, hygiene standards and improvement of infrastructure. At the same time as Thailand has experienced this change in its food retail sector the country has also experienced a significant transition in the diets of its population and an associated rapid growth in chronic non-communicable diseases, particularly diabetes. There is some indication that the growth in modern food retailing has had some part to play in terms of making the processed, energy dense, foods which are contributing to this transition more available. Recent research has shown that Thais who shop more at supermarkets are more likely to be regular consumers of these ‘problem foods’ (Kelly et al., 2014a,b).

Conclusions In most developing countries the last 3 decades have seen significant changes in the way people shop and the food retail formats available to them. In many countries in Latin America and East and Southeast Asia more than half of all food purchases are made in modern food retail formats: convenience stores, supermarkets and hypermarkets. This change has increased food availability for these populations but has also had a potential role in the increases in consumption of processed energy dense foods which are associated with a nutrition transition and the rise of chronic disease. Supermarket growth has also had an impact on the livelihoods of many low income market sellers and on those farmers who are now enmeshed in supermarket procurement systems.

References Asfaw, A., 2008. Does supermarket purchase affect the dietary practices of households? Some empirical evidence from Guatemala. Dev. Policy Rev. 26 (2), 227–243. Coe, N., 2004. The internationalisation/globalisation of retailing: towards an economic - geographical research agenda. Environ. Plan. A36, 1571–1594. Coe, N.M., Wrigley, N., 2007. Host economy impacts of transnational retail: the research agenda. J. Econ. Geogr. 7 (4), 341–371.

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Coyle, W., 2006. A revolution in food retailing in the Asia-Pacific Region. Amber Waves 3 (4). Goldman, A., Ramaswami, S., Krider, R.E., 2002. Barriers to the advancement of modern food retail formats: theory and measurement. J. Retail. 78 (4), 281–295. Gómez, M.I., Ricketts, K.D., 2013. Food value chain transformations in developing countries: selected hypotheses on nutritional implications. Food Policy 42 (C), 139–150. Hawkes, C., 2005. The role of foreign direct investment in the nutrition transition. Public Health Nutr. 8 (04), 357–365. Kelly, M., Banwell, C., Dixon, J., Seubsman, S., Yiengprugsawan, V., Sleigh, A., 2010. Nutrition transition, food retailing and health equity in Thailand. Australas. Epidemiol. 17 (3), 4–7. Kelly, M., Seubsman, S.-A., Banwell, C., Dixon, J., Sleigh, A., 2014a. Thailand’s food retail transition: supermarket and fresh market effects on diet quality and health. Br. Food J. 116 (7), 1180–1193. Kelly, M., Seubsman, S.-A., Banwell, C., Dixon, J., Sleigh, A., 2014b. Traditional, modern or mixed? Perspectives on social, economic, and health impacts of evolving food retail in Thailand. Agric. Hum. Values 1–16. Kimenju, S., Rischke, R., Klasen, S., Qaim, M., 2015. Do supermarkets contribute to the obesity pandemic in developing countries? Public Health Nutr. 18 (17), 3224–3233. Kuipers, P., 2007. Thailand after the coup: struggle between modern and traditional. Elsevier Food Int. 10 (1). Michelson, H., Reardon, T., Perez, F., 2012. Small farmers and Big retail: trade-offs of supplying supermarkets in Nicaragua. World Dev. 40 (2), 342–354. Minten, B., Reardon, T., Sutradhar, R., 2010. Food prices and modern retail: the case of Delhi. World Dev. 38 (12), 1775–1787. Popkin, B.M., 2017. Relationship between shifts in food system dynamics and acceleration of the global nutrition transition. Nutr. Rev. 75 (2), 73–82. Reardon, T., Berdegue, J., 2006. The Retail-led Transformation of Agri-food Systems and its Implications for Development Policies. Agriculture for development, Rimisp-Latin American Centre for Rural Development. Reardon, T., Timmer, C.P., 2014. Five inter-linked transformations in the Asian agrifood economy: food security implications. Glob. Food Secur. 3 (2), 108–117. Schaffner, D., Bokal, B., Fink, S., Rawls, K., Schweiger, J., 2005. Food retail-price comparison in Thailand. J. Food Distribution Res. 36 (1), 167–171. Shannon, R., 2009. The transformation of food retailing in Thailand 1997–2007. Asia Pac. Bus. Rev. 15 (1), 79–92. Tokrisna, R., 2007. Thailand’s changing retail food sector: consequences for consumers, producers, and trade. In: PECC - PacificFood System Outlook Meeting. Pacific Economic Cooperation Council, Kunming China. Traill, W.B., 2006. The rapid rise of supermarkets? Dev. Policy Rev. 24 (2), 163–174.

Income, Time and Labor Nexus Household Food Security in Burundi Sanctus Niragiraa, Jean Ndimubandia, and Jos Van Orshovenb, a University of Burundi, Bujumbura, Burundi; and b KU Leuven (University of Leuven), Leuven, Belgium © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction The Study Background The Concept of Food Security Overview of the Study Area Study Methodology Results and Discussion General Characteristics of the Sample Households Food Security Situation in the Study Area Human Capital, Assets Endowment and Household Food Security Agricultural Investments and Household Food Security Household Income and Food Security Conclusion and Policy Implications References

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Abstract This paper analyzed the major determinants of food security in the rural area of Burundi. The analysis focused on farm household characteristics, agricultural investment and income. Results show that land resource has declined due to the demographic pressure. Therefore, most household diversify income sources in order to cope with risk and complement the decreasing agricultural income. Landless and nearly landless households have no more alternatives rather than to rely on labor income for survival. Yet, the rural wages depend on agricultural production and its patterns. Rural wages are set by farmers with considerations of agricultural income. The seasonality in agriculture affects food consumption and income. During the harvest periods, the food availability is very high and prices are very low. However, due to lack of storage systems for perishable products, farmers have little choice than to accept the market prices. Moreover, underemployment is very common especially during the dry season. Any effort to overcome food insecurity would need to promote agricultural growth through improved irrigation and storage systems. The irrigation systems would contribute on employment by extending agricultural activities in dry season while storage systems would allow household consumption smoothing and increased income.

Introduction There is an increasing concern on how a global population of 9 billion by 2050 will be fed which requires an estimated increase of 70% to 100% in food production (Tscharntke et al., 2012; Tomlinson, 2013). While the world population increases continuously, the resource bases are decreasing. This has caused an unbalance between food demand and production leading to high rate of rural poverty and food insecurity. More than one out of seven people do not have access to sufficient food and suffer from malnutrition (Godfray et al., 2012). The food insecurity and malnutrition is particularly high in sub-Saharan Africa, and paradoxically in rural areas where food is produced (FAO et al., 2014). The low productivity of land and labor is often pointed out as the main cause of the persistent food insecurity. This situation is attributed to several factors such as land scarcity, poor state of infrastructure and irrigation systems, limited access to rural credit (Christiaensen and Demery, 2007), the high risk and variability in climate patterns (Pender et al., 2001). In addition, smallholders of poor African agriculture-based communities, operate in an environment of incomplete and poorly functioning markets for everything from labor, land, credit, commodities, risk and information (Timmer, 1997) while support policies are limited (Adesina, 2010). Subsequently, many rural households depend on subsistence agriculture where families often provide most of the labor while much of the produce is consumed within the household where it is produced. This has greatly affected the farmers’ willingness and ability to invest in agriculture (Ruben and Pender, 2004) and might explain the low productivity (Nkala et al., 2011). While the farm size continues to decline steadily, leading to growing rates of unemployment and underemployment in rural areas, the ability of most households to achieve a sustainable living from their farms is shrinking. In addition, the seasonality feature of agricultural production systems affects food availability, labor use and rural income. Labor use in traditional

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agriculture varies seasonally along with agricultural cycles. During slack periods, immediately following planting or preceding harvest period, labor is often abundant and underemployed. However, during peak agricultural seasons, especially during ploughing, weeding or harvest, a shortage of labor is observed (Norton et al., 2010) in big farms. Yet, rural labor activities are poorly paid and only accepted by poor households. Moreover, the seasonal nature of agricultural production causes variations in food availability. It is common to find ‘‘lean periods,” when consumption is low and short-run food insecurity and malnutrition before and after the harvest period. Finally, the development of non-agricultural activities which could fill in labor troughs in the agricultural calendar is very slow. The non-farm sector is very limited and only accessible by the higher remunerated segments of the labor market (Ruben and Pender, 2004). Therefore, since options for rural employment are scarce, highly seasonal and limited to informal labor exchange amongst households during critical periods, richer farmers decide on the labor wages considering the low productivity and uncertainty of their production settings (Niragira et al., 2015). However, engagement in off-farm employment is still an attractive alternative for poor families (Reardon et al., 2001; Barrett et al., 2001). Despite the low level of payment, labor income is considered “safe” for landless households, since it does not involve any prior risky investments (Bundervoet, 2010). Nevertheless, unable to cover even the households’ basic needs, the wage does not allow households to invest in more remunerative activities. Against this background, this study analyses the link between time, labor and income to food security in an agriculture based community of Burundi. With little industry, the majority of the population in the study area is rural depending on agriculture for both labor and income. The demographic pressure has caused shortages in agricultural landholdings with a family depending on less than 1 ha. Therefore, households diversify their income sources through both on farm and non-farm activities. Wealthier households engage more in growing cash crops and in non-farm self-employment and less in low-paid unskilled agricultural wage labor. The latter is mainly left to nearly landless farmers with little choice than relying on labor for survival. Yet, 67% of them live under the national poverty line (MINAGRIE, 2013) and suffer from food insecurity and malnutrition.

The Study Background The Concept of Food Security The widely accepted definition considers that food security exists when all people, at all times, have physical and economic access to sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life (FAO, 2006). This definition emphasizes the availability of food, its accessibility and utilization. While food availability refers to food production in sufficient quantities and global food supplies (Maxwell and Smith, 1992), a household is considered food secure if it has the ability to acquire the food needed by its members (Pinstrup-Andersen, 2009). Adequate food availability does not necessarily translate into food security at household and individual level due to failure in entitlements to food (Maxwell and Smith, 1992). Food utilization implies the capability of the human body to ingest and metabolize food in order to meet all the physiological human body’s needs. Finally, the terms safe and nutritious in the definition of food security highlight the nutritional composition while food preferences imply access to food that is socially and culturally acceptable (Pinstrup-Andersen, 2009). The current interpretation of household food and nutritional security emphasizes the multidimensional nature which enabled the design of policy responses based on livelihood options (FAO, 2006) leading to the development of the concept of household livelihood security in search of strategies and actions to end hunger and malnutrition. The livelihood security framework includes all means that can provide adequate and sustainable access to income and resources necessary to meet household’s basic needs (Frankenberger and McCaston, 2000). This is translated into mechanisms able to raise food production and employment creation, as well as the provision of an institutional and policy framework for agricultural growth (Heidhues et al., 2002). The focus of programs on African rural development is focused on increased productivity as resources have become gradually more scarce (Jayne et al., 2003; Headey and Jayne, 2014; Nin-Pratt and McBride, 2014).

Overview of the Study Area This study was conducted in the republic of Burundi, a landlocked country in the central-eastern Africa. With 27 834 km2, the population of 11.17 million inhabitants and the 378 inhabitants per square kilometer rank Burundi among the highly populated countries in Africa. As a resource-poor country with an underdeveloped industrial sector, the country‘s economy relies on agricultural sector. Almost 90% of the labor force is involved in the rain fed agriculture on increasingly declining lands and degraded soils. The agricultural sector contributes about 95% to the food supply while providing more than 80% of the countries revenue from exports (MINAGRIE, 2011). Industry is limited to the processing of agricultural exports, mainly coffee and tea. The lack of adequate infrastructure and energy provision puts limit on industrial development and hinders farmers’ access to lucrative markets, leading to high post-harvest losses (Baramburiye et al., 2013). Rural livelihoods are closely tied to agriculture as a source of food and income earnings (WFP, 2004). The main source of household income has traditionally been sales of crop and livestock products. Yet, overtime, farmers have devised methods to reduce income fluctuations from both farm and non-farm income sources (Niragira et al., 2015). Income sources diversification has

536

Income, Time and Labor Nexus Household Food Security in Burundi

increased in importance during the last two decades (MINAGRIE, 2013). That is because in case of a crop failure, the family’s income can be sustained in the short-run through having diverse incomes (Bundervoet, 2010).

Study Methodology This study uses data from a recent survey conducted in the north of Burundi on a sample of 330 farm households, by a team of researchers and enumerators from the University of Burundi. The survey included many sections with questions related to household characteristics, farm production, livestock keeping, income earnings and household food consumption, access to the market and food security. The data analysis was conducted using two variant methodologies. The Households Food Insecurity Access Scale (HFIAS) was used to evaluate the food security situation among sample households. This indicator uses farmers’ perception about food insecurity considering a range of indicators such as anxiety about food supply, limited dietary variety and quality, and insufficient food availability (Coates et al., 2007). The method assumes that food insecurity causes predictable reactions that are the same across countries and can be captured and quantified through a survey. It uses a scale of nine questions covering a broad spectrum of experiences related to food security. The households are classified at increasing levels of food insecurity when they respond in the affirmative to more severe conditions and/or more frequently experience such conditions (Desiere et al., 2015). Therefore, the higher the HFIAS, the more food insecure the household is. However, the average HFIAS score is a continuous variable and more sensitive to smaller increments of changes. We derived a final indicator of food insecurity status. The Household Food Insecurity Access Prevalence (HFIAP) categorizes households into four levels of food insecurity: food secure, mild food secure, moderately and severely food insecure. Next, the Household Food Insecurity Access Prevalence was applied to assess the link between the household food security and its major determinants including the household characteristics, agricultural investments and income. The one way ANOVA was used to capture the mean differences between farm categories with regard to variables retained in the analysis. Rather than applying the regression analysis, we used the Fisher test in order to keep some variables of interest in the analysis which are often omitted in regression analysis due to the problem of endogeneity and multicollinearity.

Results and Discussion General Characteristics of the Sample Households The agricultural sector of Burundi is dominated by poor farmers using very few inputs and producing for subsistence on highly fragmented lands. On average, the farm size of 1 ha has to sustain the living of 6 people. Per capita land availability, including also marginal lands and steeper lands, is of 0.19 ha. Over time, farmers have adopted strategies to overcome land scarcity through agricultural intensification (shortening fall periods) and spreading agricultural activities over marginal land previously used for pastures and reforestation, and over fragile ecosystems such as marshlands. Cash investment in agriculture is very low. In general, 30% of income is reinvested in agricultural activities. The households adopt livelihood strategies to suit their asset endowments taking into account the constraints of market failures, the exposure to uninsured risks and the seasonality. The agricultural calendar follows three cropping seasons per year; mainly two rainy seasons often complemented by an irrigated cropping season in the marshland. The first season (A) occurs between October and January and, according to the survey results, provides an average of 25% on the annual farm production. The second (B) occurs between February and June. It is the main cropping season with almost 55% of annual farm production. Finally, the third cropping season (C), occurs between June and September. It is dry and only farmers who have access to marshlands and irrigated river valleys can grow vegetables, beans, maize, potatoes and off-season crops such as rice. This season can supply only 20% of the yearly farm produce.

Food Security Situation in the Study Area Most of the crops grown in Burundi are very rich in starches. High value nutritious food crops are scarce and often substituted, in both diets and farming systems, with less demanding crops but with low quality. Less demanding – but also less nutritious crops are grown at the expense of highly nutritious crops. Proteins requirements are met at a relatively low rate while poor households are still deprived in term of meeting energy requirements by own production. The consumption of animal based products is very limited in Burundi. In 2003, meat consumption was estimated at 3 kg per person per year (Speedy, 2003) while consumption of milk and eggs and other animal-based products is still minor. The results of HFIAS show a score of 10.77 with 51% of the households above this average. Yet, the HFIAS as indicator of food insecurity provides little information on the prevalence of food insecurity in the study area. We therefore applied the Household Food Insecurity Access Prevalence (HFIAP) index which highlights four distinct groups of households with regards to the food security status (Fig. 1).

Income, Time and Labor Nexus Household Food Security in Burundi

Food secure households

23%

Mild food secure

46% 11%

Moderatly food insecure households Severely food insecure households

20% Figure 1

537

Household food security categories.

In general, 66% of the population lives in food insecurity situation. Among them, 46% are gripped in severe food insecurity while 20% of the households are moderately food insecure. These results corroborate with the previous reports published by the National Bureau of Statistics that 67% of the country’s population is poor and food insecure.

Human Capital, Assets Endowment and Household Food Security To distinguish the four household categories based on the food security situation, we consider the household characteristics mainly the age of the head, the household’s size, education, livestock keeping and the available labor considering the number of active people converted into number of hours.1 We applied the comparison of means with the aim to capture the main differences between household categories. This gives an indication on what really matters among food insecure households (Table 1). The household structure defines the availability of labor and households’ basic needs. While farmers with more land can fully use the labor available at the farm, overemployment on own farms is very common in households without sufficient amount of land. The situation of underemployment is mainly observed in dry season (June–August) due to the lack of irrigation system. In this period, only wetland and some irrigated river valley can be cultivated. Food secure households are mainly better off in terms of asset endowment such as land, livestock and education. The availability of labor per unit of land does not favor the household food security. It is commonly observed in landless farms.

Agricultural Investments and Household Food Security The basic input for agricultural production is land of which the size is limited due to an ever-increasing population. Moreover, farmers face many constraints which result into low investment preventing them from increasing productivity with subsequent impact on household food security and welfare. The overall investment in agricultural production remains very low. External input use in agriculture is limited due to their high costs and poor purchasing power of the population. These inputs include expenditures for seeds and chemicals. The seeds and seedlings used in agricultural production are mostly local varieties taken from previous harvests. However, farmers can complement the seed stock with purchases or simply can choose to buy improved seeds in order to boost productivity. They buy also fertilizers and pesticides even though at less extent. In addition, an extra labor is sometimes hired, but paid very low wages. Table 2 highlights that the more farmer can invest in agriculture; the better is the household food security situation. Yet the labor productivity is very low in

Table 1

Farm households’ characteristics and food security Household food categories

Age of the household head Household size Number of persons with at least primary education Per capita land available Livestock Labor available/hectare a

Unit

Food security

Mild food security

Moderate food insecurity

Severe food insecurity

P-value

years Adult equivalent. scalar

46.66 5.55 1.69

45.26 4.51 1.26

47.47 4.99 1.48

45.07 4.61 1.14

0.477 0.074 0.001

acre TLUa hours

25.73 1.01 7454

25.70 0.55 14 200

16.71 0.57 12 934

16.11 0.29 19 198

0.040 0.000 0.057

TLU: tropical livestock unit. It is used to standardize the livestock keeping of different species.

538 Table 2

Income, Time and Labor Nexus Household Food Security in Burundi Investment in agriculture and household food security Household food categories

Total investment in agriculture Investment in cash crops Use of chemical fertilizers Household savings External labor use Labor productivity

Table 3

Unit

Food security

Mild food security

Moderate food insecurity

Severe food insecurity

P-value

$ coffee trees kgs $ yes (%) $/hour

129.62 319 28.62 119.57 75.30 0.490

70.29 291 19.46 27.91 68.60 0.343

42.28 278 12.67 35.25 65.20 0.340

33.70 157 11.88 10.11 3.60 0.227

0.000 0.002 0.000 0.018 0.000 0.000

Income and household food security Household food categories

Annual household income Share non/off farm income Annual income per adult equivalent Daily income per adult equivalent

Unit

Food security

Mild food security

Moderate food insecurity

Severe food insecurity

P-value

$ % $ $

2426 0.30 437 1.21

1596 0.38 410 1.13

1674 0.41 364 1.01

1093 0.46 257 0.73

0.000 0.120 0.000 0.000

severely food insecure households. They have more labor available per unit of land. But, since options for rural employment are limited, they are underused and therefore less productive. The modern input use which could contribute to increased production is generally low. Despite the current subsidy program aiming at greater input utilization to increase productivity, only wealthier households can afford to buy fertilizers and or to take out loans to pay for chemical fertilizers. Moreover, due to the higher risk in agricultural sector, the poorly functioning markets and limited policy support, farmers have low willingness to invest in agriculture. Burundi is among countries with the lowest levels of fertilizer use in Africa (Worldbank, 2013).2

Household Income and Food Security Livelihoods of the rural population combine a range of on farm and off/non-farm activities. Off-farm activities are most often jobs on the neighboring farms. Thus, in this agricultural based economy, non-farm (off-farm) income is highly dependent on agricultural production. First, they are, to some extent, limited by the size of the farm. Second, wages are very low (almost 1$) because they are set by producers taking into account the higher risk prevalence. Besides the seasonal nature of agricultural production, the lack of storage infrastructure undermines both the household consumption smoothing and income. During the harvest periods, the prices of commodities are very low affecting the farmer’s income. But, since most of the produces are perishable and therefore difficult to save for future uses, farmers have little choice than to accept the low market prices (Table 3). In general, the household annual income is very low. On average, an adult person depends on 0.82 dollar daily for living which is small compared to the World Bank threshold (2 dollars). Off-farm and non-farm income share is very high especially in food insecure households. It has increased in importance due to the gradually decreasing rural landholdings. Almost every household diversify income sources either out of choice or necessity. Agricultural households depend on non-farm earnings to diversify risk and moderate seasonal income fluctuation. But, the nearly landless farms rely heavily on off-farm income for their survival. Yet, the more diversified households are poor and food insecure. They engage in off-farm income because there are less alternatives for survival. Unfortunately, the low income is not reinvested into the farm production. It is often a way to access to food, to build family houses and nothing beyond simple household survival.

Conclusion and Policy Implications While most of the rural population relies on agriculture for food and income, the demographic pressure has greatly impacted on land resource base. As a consequence, food insecurity is alarming among households despite the increased livelihood diversification. All households diversify income sources either out of choice or necessity. Income sources diversification has gained momentum since the last decades in order to cope with risk and complement the decreasing agricultural income. The food secure households have great asset endowment such as land, livestock and education. They have also a high willingness to invest in agriculture. The more farmers can invest, the better his household living standards is. But, household with more labor per unit of land (mainly, landless and near-landless) have no more alternatives rather than to depend on labor

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539

for survival. Yet, in agriculture based economies, the rural wages depend on agriculture production and its patterns. Wages are very low because they are set by producers taking into account the low productivity and higher risk prevalence in agriculture. In addition, the seasonal nature in agricultural production affects both household food consumption and income. During the harvest periods, the food availability is very high while prices are very low. Due to lack of storage systems, farmers have little choice than to accept the low market prices. Moreover, underemployment is very high particularly in nearly landless farms while this is very common during the dry season. Any effort to overcome food insecurity would need to promote agricultural growth through improved farmer’s access to irrigation and storage systems. The improved irrigation systems contribute on employment by extending agricultural activities on dry season. The improved storage systems could offer opportunities to both food consumption smoothing and increased household income. By selling crops at premium prices when demand is higher, later in the post-harvest period, farmers get high income implying the increased land and labor productivity.

References Adesina, A.A., 2010. Conditioning trends shaping the agricultural and rural landscape in Africa. Agric. Econ. 41, 73–82. Barrett, C., Reardon, T., Webb, P., 2001. Nonfarm Income Diversification and Livelihoods in Rural Africa: Concepts, Dynamics and Policy Implication. Food Policy 26 (4), 315–331. Baramburiye, J., Kyotalimye, M., Thomas, T.S., Waithaka, M., 2013. Burundi. In: Waithaka, M., Nelson, G.C., Thomas, T.S., Kyotalimye, M. (Eds.), East African Agriculture and Climate Change: A Comprehensive Analysis. International Food Policy Research Institute, Washington, DC. Bundervoet, T., 2010. Assets, activity choices, and civil war: evidence from Burundi. World Dev. 38, 955–965. Christiaensen, L., Demery, L., 2007. Down to Earth Agriculture and Poverty Reduction in Africa. Directions in Development and Poverty. The World Bank, Washington DC. Coates, J., Swindale, A., Bilinsky, P., 2007. Household Food Insecurity Access Scale (HFIAS) for Measurement of Household Food Access: Indicator Guide (V. 3). Food and Nutrition Technical Assistance Project, Washington, DC. Desiere, S., D’Haese, M., Niragira, S., 2015. Assessing the cross-sectional and inter-temporal validity of the household food insecurity access scale (HFIAS) in Burundi. Public Health Nutr. 18 (15), 2775–2785. FAO, 1998. Les exploitations agricoles dans le lancement mondial de l’agriculture, analyse statistique. Rome. FAO, 2006. Food Security. Policy Brief. FAO-ESA, Rome. FAO, IFAD, WFP, 2014. The State of Food Insecurity in the World: Strengthening the Enabling Environment for Food Security and Nutrition. FAO, Rome. Frankenberger, T.R., McCaston, M., 2000. The Household Livelihood Security Concept. FAO Corporate Document. Godfray, H.C.J., Beddington, J.R., Crute, I.R., Haddad, L., Lawrence, D., Muir, J.F., Pretty, J., Robinson, S., Thomas, S.M., Toulmin, C., 2012. Food security: the challenge of feeding 9 Billion People. Science 327. Headey, D.D., Jayne, T.S., 2014. Adaptation to land constraints: is Africa different? Food Policy 48, 18–33. Heidhues, F., Atsain, A., Nyangito, H., Padilla, M., Ghersi, G., Vallée, J.C.L., 2002. Development Strategies and Food and Nutrition Security in Africa. Discussion Paper 38. IFPRI, Washington, DC. Jayne, T.S., Yamano, T., Weber, M.T., Tschirley, D., Benfica, R., Chapoto, A., Zulu, B., 2003. Smallholder income and land distribution in Africa: implications for poverty reduction strategies. Food Policy 28, 253–275. Maxwell, S., Smith, M., 1992. Household Food Security: A Conceptual Review. Household Food Security: Concepts, Indicators, Measurements: Technical Review. UNICEFIFAD, Rome. MINAGRIE, 2011. Plan Nationale D’Investissement Agricole. République du Burundi, Bujumbura. MINAGRIE, 2013. Enquête nationale agricole du Burundi (ENAB) 2011–2012. République du Burundi, Bujumbura. Nin-Pratt, A., McBride, L., 2014. Agricultural intensification in Ghana: evaluating the optimist’s case for a Green Revolution. Food Policy 48, 153–167. Niragira, S., D’Haese, M., D’Haese, L., Ndimubandi, J., Desiere, S., Buysse, J., 2015. Food for survival: diagnosing crop patterns to secure lower threshold food security levels in farm households of Burundi. Food Nutr. Bull. 36, 196–210. Nkala, P., Mango, N., Corbeels, M., Velduisch, G.J., Huising, J., 2011. The conundrum of conservation agriculture and livelihoods in Southern Africa. Afr. J. Agric. Res. 6, 5520–5528. Norton, W.G., Alwang, J., Masters, W., 2010. Economics of Agricultural Development. World Food System and Resource Use, Routledge, second ed. Pender, J., Gebremedhin, B., Benin, S., Ehui, S., 2001. Strategies For Sustainable Development in the Ethiopian Highlands. American Journal of Agricultural Economics 83 (5), 1231–1240. Pinstrup-Andersen, P., 2009. Food security: definition and measurement. Food Secur. 1, 5–7. Reardon, T., Berdegue, J., Escobar, G., 2001. Rural Nonfarm Employment and Incomes in Latin America. Special Issue World Development 29 (3), 395–409. Ruben, R., Pender, J., 2004. Rural diversity and heterogeneity in less favourable areas: the quest for policy targeting. Food Policy 29, 303–320. Speedy, A.W., 2003. Animal source foods to improve micronutrient nutrition in developing countries. J. Nutr. 133 (11), 048S–4053S. Timmer, P.C., 1997. Farmers and markets: the political economy of new paradigms. Am. J. Agric. Econ. 79, 621–627. WFP, Food Security and Vulnerability Analysis in Burundi, 2004, World Food Program report, Roma, Italy. Tomlinson, I., 2013. Doubling food production to feed the 9 billion: a critical perspective on a key discourse of food security in the UK. J. Rural Stud. 29, 81–90. Worldbank, Fertlizer Consumption Per Hectare of Arable Land, All Countries and Economies, 2013, The World Bank Data. Tscharntke, T., Clough, Y., Wanger, T.C., Jackson, L., Motzke, I., Perfecto, I., Vandermeer, J., Whitbread, A., 2012. Global food security, biodiversity conservation and the future of agricultural intensification. Biol. Conserv. 151, 53–59.

1 The calculation of the labor availability considers 8 hours that an active people can provide on the farm daily. This was multiplied by 260 working days according to the FAO (1998). 2 http://data.worldbank.org/indicator/AG.CON.FERT.ZS.

Gastronomy as an Aid to Increasing people’s Food Intake at Healthcare Institutions Agne`s Giboreau and Anestis Dougkas, Institut Paul Bocuse Research Center, Ecully, France © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Eating in Heathcare Institutions Understanding the Eating Out of Home System The Food The ‘Taste’ of the Meal The Shape of the Food The Dietary and Sensory Variety Improving the Presentation of the Plate The Physical and Social Environment/Eating Context Ambience Service Interactions Personalization Culinary Cultures Specific Disorders Conclusion References

540 540 540 541 541 541 542 542 542 543 543 543 543 543 544 544 544

Abstract While attention is paid on the role of diet to provide nutritional requirements in order to avoid nutrient deficiencies, the prevalence of undernourishment in the care health sector remains high. Dietary food intake among elderly and vulnerable populations is an important modifiable factor contributing to overall health and wellbeing. Thus, a better understanding of the strategies aiming to increase or maintain elderly or patients’ interest in food and to aid them in meeting their nutritional requirements is needed. This chapter aims to address the various strategies employed to improve the quality and quantity of food intake in healthcare institutions by looking at an important challenge, that of meal’s hedonic value and the pleasure of eating. Results: Among the different factors that influence the meal experience through the key points of the restaurant or institutional catering systems, are the chef, the waiter and the guest/patient, which could be reflected in three levers of intervention; the food, the context and the eater. Strengthening the expertise of chefs working in healthcare institutions in terms of menus development, recipe adaptations, plate presentation, is essential to meet the preferences and sensory abilities of people reside in such establishments. The role of meal’s context in healthcare institutions regarding the physical environment (ambience) and service interactions (communication and nonverbal interactions) is also discussed. Finally, personalization via integrating the socio-cultural variety and particular pathologies of the eater seems an interesting lever to consider increasing meal pleasure and thus food intake. The pleasure of a meal is based on physiological, cognitive, socio-cultural processes. The catering professionals can rely on a variety of factors to make the dishes more attractive, the environment more pleasant and accompany the residents/patients so that each meal is a moment of pleasure contributing to their wellbeing and improved nutritional status.

Introduction Eating in Heathcare Institutions While attention is paid on the role of diet to provide nutritional requirements in order to avoid nutrient deficiencies, the prevalence of undernourishment in the care health sector in Europe remains high (Council of Europe, 2003; Ljungqvist et al., 2010). This is particularly worrisome given the aging of the European population and the increased percentage of elderly people residing in nursing homes or other establishments (Długosz, 2011). In France, 10% of people over the age of 75% and 33% of those over the age of 90 live in retirement homes (
700 000 people), a figure that will continue to rise over the coming years. According to the Public Health Authority Agency in France, 15% to 38% of elderly people living in retirement homes in 2007 suffered from undernutrition compared with 4%–10% of elderly people living at homes (HAS, 2007). Admission to such institutes is often accompanied by inevitable modifications in habits, physical and social environment with regard to food. For instance, in the majority of nursing homes, the residents must adapt to rules such as the composition of the menu, the time and the place of meals,

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set by the establishment. In addition to such changes related to elderly’s admission in a nursing home or patients in a healthcare institution, the presence of a disease could reduce appetite and consequently food intake. Decreased appetite and food intake is a primary cause of undernutrition and a major obstacle to recovery and ability to regain strength. Among the several actions to combat undernutrition is the use of dietary commercial supplements and nutrient enriched industrialised products, with cost, acceptance and compliance being major disadvantages (Cawood et al., 2012; Samadi et al., 2016; Zhong et al., 2017). Their perception could also vary as they are often described as ‘medicinal’ or artificial tasting ‘like vitamin supplements’ (Reilly et al., 2013). Dietary food intake among elderly and vulnerable populations is an important modifiable factor contributing to overall health and wellbeing. Thus, a better understanding of the strategies aiming to increase or maintain elderly or patients’ interest in food and to aid them in meeting their nutritional requirements is needed. This chapter aims to address the various strategies employed to improve the quality and quantity of food intake in healthcare institutions by looking at an important challenge, that of meal’s hedonic value and the pleasure of eating.

Understanding the Eating Out of Home System Considering the pivotal role of meals in the daily activities and wellbeing of individuals, the expertise, knowledge and creativity of catering professionals are key resources. They can act on the culinary development of specific dishes for a given target group, on enhancing their food presentation, and on designing pleasant eating environment. Altogether, those means of actions could be employed by the public health providers or health professionals to restore the desire to eat and consequently increase food intake. Fig. 1 illustrates the different factors that influence the meal experience through the key points of the restaurant and institutional catering systems including the chef, the waiter and the client (Giboreau, 2017). Therefore, the levers to consider increasing pleasure during a meal at a healthcare institution fall within the following fields of action: - The food: Purchase: choice, type, quality of raw material Preparation: choice of dish, recipe development, culinary techniques, meal preparation Plate dressing: presentation, serving sizes and temperature maintenance - The context: Service: label of the dish, dish oral description, communication and nonverbal interactions, attention Ambience: furniture, space, decor, layout, music, light - The eater: Personalization: taking into account the specificities of the individual, of the group

The Food The ‘Taste’ of the Meal In any restaurant and especially in a healthcare institution, it is essential to design a recipe with optimal ‘taste’, taking into account that all five senses are part of the ‘taste’ experience. Given that the sensations before tasting such as the appearance, shape, smell and consistency contribute to the overall judgment as much as the sensations in the mouth, we define ‘taste’ or flavour in its multimodal sense, including all the senses involved in tasting (Giboreau, 2017). One possible strategy to improve the flavour of the meal is to enrich the sensory components during the recipe development. For instance, Pouyet et al. (2015) used a flavour enhancement strategy with Alzheimer patients. The sensory evaluation of eggplant caviar appetizer toasts was tested in 104 residents at four retirement homes. A standard formula was compared with a formula

Figure 1

Elements contributing to the pleasure of eating out of home.

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Gastronomy as an Aid to Increasing people’s Food Intake at Healthcare Institutions

enriched in ‘taste’ (taste, olfaction, trigeminal sensations) by the addition of salt, pepper and garlic. The results showed that the higher the liking score in the proposed meals the higher the quantities consumed, confirming a positive association between food appreciation and food intake. The positive effect of sensory enrichment on quantity of meals consumed was independent of the cognitive status of the subjects (with or without cognitive disorders) (P < 0.001). Such interventions highlight the importance of the meal pleasure as a strategy combating against undernutrition. In addition to strengthening the expertise of chefs working in healthcare institutions, it is essential to better understand the preferences and sensory abilities of people reside in such establishments in order to develop menus and adapt the recipes.

The Shape of the Food In some cases, such as dysphagia, specific shapes can be an aid to patients’ food intake. Dysphagia is defined as the difficulty in swallowing as a result of mechanical obstruction or dysmotility (Kuo et al., 2012). It can be present in patients with degenerative diseases including stroke, dementia, Parkinson’s disease, Alzheimer’s disease, heart disease, multiple sclerosis and AIDS. The prevalence rate is also high in institutionalized elderly leading to undernutrition and dehydration (Germain et al., 2006). The diet therapy for dysphagia includes the development of foods and recipes of prescribed, thickness, texture and consistency to prevent chocking. As a result, purees are the main food form. However, they can be unpalatable, especially when the whole meal is blenderized and served in one large bowl compromising the food experience and pleasure of the meal. Reilly et al., 2013, by utilising molecular gastronomy techniques such as spherification, gelification and emulsification prepared more flavourful, aesthetically pleasant and sensory-appealing foods, which were more appetizing to patients with dysphagia. For instance, pasta of varied texture and colour were prepared using a variety of vegetables and colouring. Although the use of new processes could be demanding and costly, the benefit of encouraging patients to increase food intake and pleasure from eating, and consequently their quality of life and nutritional wellbeing might outweigh any limitations.

The Dietary and Sensory Variety Dietary variety is another key factor in increasing food intake while contributing to nutritional wellbeing particularly in elderly institutionalized population (Garcia et al., 2010). Indeed, the phenomenon of sensory-specific satiety, a sensory hedonic phenomenon, relates to the declining pleasure derived by the consumption of a certain type of food relative to other unconsumed foods of different sensory qualities (Rolls et al., 1981). Sensory-specific satiety whether visual, tactile or even purely olfactory, has been demonstrated not only in the laboratory (Rolls et al., 1981) but also in the meal situation (Fernandez et al., 2013). Increasing the sensory variety during the meal is an interesting way to increase institutional food intake. This hypothesis was tested by diversifying vegetables served in 78 elderly without cognitive impairment at 5 retirement homes during 6 experimental lunches (2 menus in 3 versions) (Grassi et al., 2013). For each menu, the dish was available in three versions: 1) 150 g of vegetable A, 2) 150 g of vegetable B and 3) 75 g of vegetable A and 75 g of vegetable B; such as green beans and butter beans, the rest of the menu remained unaltered. The results showed that a more varied supply of vegetables had little impact on the appreciation of the various elements of the meal. On the other hand, the presence of two vegetables rather than of a single vegetable source (either A or B) significantly increased their consumption (e.g. for Menu 2, on average 70.3% of the vegetable portion was consumed when composed of a single vegetable compared with 84.5% of the vegetable portion for the mixed version 3). Regarding meat, the presence of two vegetables rather than one tended to increase its consumption independent of the menu. Garcia et al. (2010) also showed that resident population enjoyed and benefited from a wider selection of items every day on a la carte menu. Therefore, proposing a variety of foods on the plate or tray seems to be an interesting lever to consider increasing food intake among the elderly in retirement homes.

Improving the Presentation of the Plate Patients often stated that meal appearance was an important component for generating or maintaining appetite. Thus, using the expertise of the Institut Paul Bocuse gastronomy centre the study aimed to improve the presentation of hospital meals, while maintaining the same cost and study food intake modifications in internal medicine departments (Navarro et al., 2016). The study was conducted among 206 newly hospitalized patients, who were divided into two groups: a) Control: receiving the standard meal and b) Experimental: receiving a meal whose presentation was improved by taking inspiration from the practices of gastronomy, without modification of the composition of the meal. The quantities consumed were estimated by visual estimation (the Digital Imaging Method) and the Nutrition Day questionnaire was used to assess other variables related to food intake. Moreover, participants gave their appreciation of the dish on a 5-point hedonic scale. The results showed a significantly higher consumption of food intake, especially starch and protein in the Experimental group (P < 0.05) compared with the Control, despite reported loss in appetite. In addition, more participants in the experimental group enjoyed their meal compared to the Control group (49.5% vs. 33.7% P < 0.005). Finally, the length of stay was not affected, but the readmission rate decreased in the Experimental group from 31.2% to 13.5% (P < 0.02). This study demonstrated that improving the presentation of meals in a hospital environment could increase food intake, reduce waste food and readmission rate to the hospital, thus it could be used as a complementary strategy fighting malnutrition.

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The Physical and Social Environment/Eating Context The act of eating cannot be restricted to nutritional components or sensory traits of the meal, it includes a psycho-affective dimension related to the ‘context’ of the food intake (Rozin and Tuorila, 1993). Rozin and Tuorila, 1993 defined ‘context as the set of events and experiences that are not part of the reference event (i.e. eating a target food) but have some relationship to it’. The role of context on meal acceptance, consumer perception, food intake and overall eating behaviour is well known and has been demonstrated by several authors in the scientific community (Edwards et al., 2003; Stroebele and De Castro, 2004; Weber et al., 2004; Meiselman, 2006). We focus here on studies examining the role of context of meals in healthcare institutions or retirement homes with regard to the physical environment and service interactions. Abbott et al. (2013) reviewed the studies, which quantified the effect of improved context on food intake, body weight, quality of life and overall nutritional status in the elderly at nursing homes. The effectiveness of the mealtime intervention included single small or large-scale changes. For instance, single changes included provision of smaller portions, or replacement of prepared trays to large quantities service, meal sharing with the staff, enhancing the colour contrast of the plate that food was served on, lighting modifications and use of music in the room. In contrast, the majority of studies that examined large-scale changes moved towards a direction of shifting the institutionalised atmosphere to more home-like setting via improving the food service, the dining room decoration, the crockery and the menus proposed (Nijs et al., 2006; Desai et al., 2007; Remsburg et al., 2001; Mathey et al., 2001; Kenkmann et al., 2010). Most of those studies demonstrated that improved context impacted positively the nutritional status of the elderly. However, cost and personnel availability could be plausible constraints for nursing homes to implement such approaches. Considering the budget constraints nursing homes often face, Divert et al., 2015, recently assessed the effect of four contextual factors, considered individually, on food intake and meal pleasure in elderly people living in nursing homes. Those factors were 1) the way the meal was named on the menu, 2) the size and the variety of portions of vegetables served, 3) the presence or not of condiments in the middle of the table and 4) the presence or not of elements to change the ambience including decorative objects on the table or background music. Those experimental conditions (2 for each factor) were tested against a control condition usually found in such establishments as 12 experimental meals served in 42 elderly people. Results showed that increased variety on the plate and use of condiments significantly improved vegetables and meat intake and pleasure of meals, while factors influencing the context of the meal, such as names of the dishes and surrounding décor had no effect.

Ambience Modifying the surrounding and context of the meal in residential homes was tested in a study by comparing three physical environments of dining rooms with regard to residents’ perception (Saulais et al., 2015). Three experimental conditions were created by modifying the tableware and the music to reflect different atmospheres: 1) a ‘flower’ atmosphere, 2) a “home-like” atmosphere and 3) a ‘cosy-comfort’ atmosphere. A questionnaire measured the impact of the mood on the desire to eat and the appreciation of the meal among 156 residents in three institutions. The menus served were the same in the three institutions and the environments, representing the experimental atmospheres were evaluated by altering in each institution. All the materials were successively used in each institutional restaurant. Similar to the study by Divert et al. (2015), there was no significant effect of surrounding context on the quantities consumed, measured by visual estimation. However, the physical parameters, and in particular the dressage of the table, had a significant effect on desire to eat.

Service Interactions In addition to the physical environment, the social environment, including service interactions, contributes to restaurant satisfaction (Hugol-Gential and Fleury, n.d.). It has been shown that the quality of the physical environment of the meal at the hospital affects food intake (Edwards and Hartwell, 2004) but to our knowledge, the question of the social environment, although recognized by professionals, seems to gained little attention in the scientific research. Since 2007, the Institut Paul Bocuse provides training to care assistants of the Hospices Civils de Lyon to fight against undernutrition in the hospital through improving the quality of the meal service in the care units. Observation of meals and focus groups with health care professional have been conducted and have allowed to provide written guidelines for the staff (Hospices Civils de Lyon, 2017). An evaluation was conducted to determine the impact of this training on the practices by caregivers and on elements of culinary preparation on making dishes aesthetically more pleasant by culinary professionals (Ticca 2014, Parise 2015).

Personalization Culinary Cultures In the case of EHPAD (residential care) where residents have little or no opportunity to change the context of meals or the content of their plate, it is important to take into account the expectations of symbolic and socio-cultural dimensions (Guérin, 2016). Eighty individual interviews were conducted in three EHPADs (Pouyet et al., 2015b). Thirty titles of dishes were presented to the residents who ranked them in four categories: I like, I like moderately, I do not like and I do not know; followed by a discussion about the reasons for their choices. The results confirmed that residents enjoyed familiar dishes such as dishes that they used to have before

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Figure 2

Gastronomy as an Aid to Increasing people’s Food Intake at Healthcare Institutions

Main factors for improving the pleasure of eating in an institution.

admitted to an institution. For women, it was also the dishes they have often cooked for themselves and their loved ones. On the contrary, respondents rejected dishes that were unfamiliar to them. For example, people said they preferred zucchini to gratin or mixed with other vegetables rather than sautéed. Thus, residents enjoyed dishes that reflected their belonging to a socio-cultural group. Some appreciated more gratin Dauphinois or sauerkraut because they were typical dishes of a French region in which they were born (respectively, Dauphiné and Alsace) or to which they were attached. In addition to the sociocultural factors, there are generational factors that have to be taken into account. For instance, several generations may reside at the same time in retirement homes, each with different food experiences, such as periods of scarcity or the consumption of dishes by the youngest only. The team needs to integrate this socio-cultural variety when designing the menu.

Specific Disorders Some cases of sensory alterations are related to particular pathologies and/or treatments and although challenging, they could be studied in order to design a specific food supply. One such example is a study aiming to determine the sensory disturbances of cancer patients treated with cisplatin. Results showed that after three cycles of chemotherapy, patients significantly increased the use of salt in their dishes and reduced their consumption of the most acidic condiments (Vella et al., 2015). Moreover, although olfactory abilities seemed to be maintained in terms of detection and identification, a significant decrease in the pleasure of feeling food odours was observed (Joussain et al., 2013). Further research is currently conducted to establish typologies of sensory disturbances under chemotherapy and to formulate personalised recommendations adapted to the institution’s culinary plan.

Conclusion The pleasure of a meal is based on physiological, cognitive, socio-cultural processes. The catering professionals can rely on a variety of factors to make the dishes more attractive, the environment more pleasant, accompany the guests – residents or patients so that each meal is a moment of pleasure contributing to their wellbeing and improved nutritional status (Fig. 2). Given the several potential factors discussed in this chapter, each institution has the potential to utilise several of those approaches, whose regular evaluation and reporting will contribute to its deployment for the wellbeing of all.

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Sensory Evaluation, an Important Tool for Understanding Food and Consumers Henrie¨tta L de Kock, Department of Consumer & Food Sciences, Institute for Food, Nutrition and Wellbeing, University of Pretoria, Pretoria, South Africa © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Sensory Evaluation Answers Three Main Types of Questions Are the Products the Same or Different? What Are the Nature and Size of Differences Between Products? What Are Consumers’ Opinions About Products? Examples of the Use of Sensory Evaluation to Address Food Security Relating Plant Variety Traits to Consumer Liking and Sensory Perception Local to Global Weaning Foods The Sensory Properties of Novel or Unusual Sources of Foods or Ingredients Examples of the Use of Sensory Evaluation to Address Food Sustainability Food Product Date Labelling Upscaling Processing Waste Streams Food Waste Valorization Conclusions References

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Abstract Food should not only be safe and wholesome but should also meet the sensory expectations and preferences of consumers. The assessment of the sensory properties is key to consumer behaviour related to food waste. The valorisation of suboptimal food products into products with highly desirable food properties including sensory properties is an important focus of sustainability. The appropriate use of sensory and consumer science methodologies to optimize products for the poor and food insecure as well as the development of effective test methods for studying food choice and food needs are of much value.

Introduction To be food secure means that individuals have access to enough safe and wholesome food to sustain a dynamic and healthy way of life (Coetzee, 2015). However, it is also important that the food available and accessible should meet the preferences of individuals or groups. A household with enough food is not necessarily food secure if the food supply available is: palatable but do not contribute to a balanced healthy diet; filling but do not supply the right nutrients in adequate amounts; or is not what is known and preferred or culturally and traditionally considered acceptable to consume. Changing food consumption patterns is one of the most urgent matters for sustainable development (Gisslevik et al., 2018). The authors cited Rice who noted that food should be ‘safe and healthy in amount and quality; and it has to be realised through means that are economically, socially, culturally and environmentally sustainable, minimising waste and pollution and not jeopardising the needs of others’. These factors all emphasise the importance of the sensory properties of the foods that are consumed. Sensory properties of food include:

• • • • •

Visual aspects e.g. color, shape and form, visible signs of defects and spoilage or lack of such, integrity of a product, quantities and portion sizes Smell or aroma, an important determinant of whether a product is ‘good enough’ to ingest Taste and flavor. Taste is generally considered as the perceived intensity of sweet, salty, bitter, sour and umami basic tastes. Flavour describes the perception from tastes and food aromas perceived during in mouth manipulation of a food item. The feel and textural properties that are described as soft, hard, sticky, gummy, crunchy, gooey etc. Sounds perceived while handling, biting, chewing and swallowing product.

By definition, Sensory evaluation is “a scientific discipline used to evoke, measure, analyze and interpret those reactions to characteristics of food and materials as they are perceived through the senses of sight, smell, taste, touch and hearing.” From a 1975 meeting of the Sensory Evaluation Division, Institute of Food Technologists, according to (Poste et al., 1991). The aim of Sensory Evaluation is “the characterization of a food product and the understanding of the product in relation to the end-user” (Lavanchy,

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1998). The context of use relating to where and when a product is consumed also plays an important part in the assessment of the subjective perception of the food attributes. Sensory Evaluation is recognized by most food companies as an essential step for ingredient testing, product formulation, quality assessment and measurement of consumer acceptance/preference. If used correctly, sensory evaluation can provide quantitative information about both the sensory properties of food products and consumers opinions of the same food products. Companies use this information, e.g. when deciding about product formulation, equipment or processing parameter changes, when conducting quality control and at all stages of product development. Food choice and preferences differ in various parts of the world. Food preferences are based on many factors including cultural habits and customs, location, climate and season, agricultural practices, economic situation and even genetic differences. Preferences are highly individualistic and hedonic value or pleasure derived from food products vary between individuals, even within the same household or family. This topic has been explored extensively and the reader is encouraged to consult (Ventura and Worobey, 2013) for more.

Sensory Evaluation Answers Three Main Types of Questions Questions related to Sensory Evaluation can be grouped in three main types.

Are the Products the Same or Different?

•

Answers have to determine whether or not differences are detectable between products as the result of a treatment factor e.g. to find out at what level of reduction of a key ingredient a change in the sensory properties of a product will be noticed. The test methods applied are discrimination/difference tests. It might be threshold – absolute or recognition, paired comparison, duotrio, triangle, n-AFC (n-alternative forced choice), etc. tests.

What Are the Nature and Size of Differences Between Products?

•

Answers to such question need to determine the nature and size of differences among sensory properties of a range of products in a food category e.g. bread, frozen vegetables. For such applications, a panel of 8 to 15 individuals are trained to systematically and objectively rate, for each product option, the intensities of preselected sensory attributes using well defined rating scales. The selection of procedure to use and the understanding of the attributes of interest are part of the training process. For descriptive analysis testing, methods such as Flavor ProfileÒ, Texture ProfileÒ, QDAÒ, Spectrum AnalysisÒ, Free Choice Profiling, etc. may be suitable. Human panels are trained to describe the appearance, smell or aroma, texture, taste and sound of food products based on a predefined procedure and lexicon. The extent of training required depends on the method selected. New methods where untrained consumers are used to describe food products are used as well (Varela and Ares, 2012).

What Are Consumers’ Opinions About Products?

•

Answers to this broad question need to determine how acceptable products, product properties or product ideas are, which product options are preferred and what are the drivers of liking or disliking. The traditionally used 9-pt hedonic scale (Lim, 2011), paired comparison test, labelled affective magnitude (LAM) scale, etc. are examples of affective testing tools. Affective sensory methods measure the responses related to the perceptions of consumers when interacting with food products and experiencing (perceiving) the sensory properties. The products may be evaluated individually or in the context of consumption (e.g. as part of a meal), during preparation or during use (e.g. evaluating the ease of opening a container or; a patient evaluating the taste of a meal supplement drink as part of a recovery program in hospital).

Examples of the Use of Sensory Evaluation to Address Food Security While there is a long history of the use of Sensory and Consumer Sciences in the development and optimization of food products for affluent societies, the application directed at foods for vulnerable, food insecure populations has received much less focus (de Kock and Kamdem Mademgne, 2018). All people and especially food insecure individuals, households and societies, at all times desire to eat food and drinks that are safe to consume, that will still hunger and/or thirst and fulfil expectations with regards to sensory properties. Aspiration to consume products that are socially acceptable, that contribute to nutritional and health status and wellbeing are higher order desires. Food perception and motives for food choice of food insecure consumers or those at risk of becoming food insecure are relatively underrepresented in scientific literature (Varela and Ares, 2018). Here are some examples to demonstrate the value of the sensory evaluation as a research tool addressing food security.

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Relating Plant Variety Traits to Consumer Liking and Sensory Perception Plant breeders develop new and improved varieties of staple food crops e.g. cassava (Bechoff et al., 2018), to improve the agronomic traits (e.g. yield, pest resistance) of plants or nutritional content of the food materials. These efforts are aimed at reducing malnutrition or improving livelihoods of vulnerable consumers in developing regions at risk of food insecurity. However, the agronomic improvements may have limited value if the characteristics of the food material derived from the new varieties do not meet the preferences of end-users. Sensory and consumer evaluation of food from plant breeding trials is key to ensuring effective market-driven customer-oriented cooperation between the demand and supply-side ends of food value chains (Bechoff et al., 2018).

Local to Global Sometimes food ingredients that are native to a specific region play a very important role in food security for the local people, but the same material may also be very attractive to other markets for totally different reasons. An example is teff (Eragrostis tef), a cereal native to Ethiopia and Eritrea. This hardy source of food is also becoming very popular globally especially in the health food market, particularly for gluten free food and beverage items (Zhu, 2018). Ensuring quality of teff flour to suit the sensory properties of the various global applications is an essential activity for teff producers, processors and exporters.

Weaning Foods Many studies explore the improvement of the nutritional quality of weaning foods using various strategies and technologies e.g. compositing cereals and legumes (Muoki et al., 2014), fortification (Gabaza et al., 2017), biofortification and extrusion. Infants are innately attracted to sweet taste and dislike bitter tasting foods. Food textural aspects including high viscosity, graininess and stickiness could hamper ease of food manipulation and swallowing and therefore intake. The sensory properties of weaning foods should not be neglected in efforts to improve the diets of weaning age infants.

The Sensory Properties of Novel or Unusual Sources of Foods or Ingredients Achieving food security in an environmentally sustainable manner is a big challenge today (Alemu et al., 2017). Insects as food are promising because extracted insect flours are nutritionally valuable and environmentally friendly sources of food materials. The major stumbling block is consumers’ acceptance of the idea and the novelty of sensory properties. Sensory and consumer evaluation studies in Kenya reported significant and positive acceptance of wheat with cricket-flour bread buns (Alemu et al., 2017). The buns with 5% cricket flour were preferred to no or higher amounts (10%) of cricket flour. The dual requirement of formulation of products with desirable and acceptable sensory properties but considering cost of production and affordability as constraints are major challenges. Optimizing the use of locally relevant food supplies and producing food products within communities, can contribute to the economy and livelihoods of vulnerable societies.

Examples of the Use of Sensory Evaluation to Address Food Sustainability Varela and Ares (2018) mentioned that sensory and consumer scientists should step up to address the burden of food waste considering its connection with undesirable quality of food in the retail environment, portion sizes, products that are good to eat but with blemishes, and for the reliable prediction of sell by and/or best before date labelling. Here are some examples to show the valuable contribution that sensory and consumer sciences could make in this regard.

Food Product Date Labelling There are high levels of milk waste in developed countries. The intention to discard milk was studied using consumers’ judgements of the smell of pasteurized milk and of sell-by date labelling information (Roe et al., 2018). More consumers (40%) intended to discard milk in containers with date labels compared to containers without such labels. The study concluded that innovation in milk labelling supported by sensory testing may support improved sustainability by reducing the rate of discarding milk.

Upscaling Processing Waste Streams Sensory testing and consumer acceptance is key to product innovation technologies for improving industrial sustainability of food production. As an example Fagnani et al. (2018) converted whey into alternative high value-added beverage products. Whey is a byproduct of cheese production, with high pollution potential. Sensory evaluation data indicated that the beverage was acceptable and a promising alternative especially for young people and women.

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Food Waste Valorization A reason for the substantial amount of food that is wasted in developed countries is that consumers often believe that visually suboptimal food is less palatable (Symmank et al., 2018). Consumer decisions to buy, eat or discard apples with quality defect were investigated by (Jaeger et al., 2018) using eye tracking methodology. This method used visual attention to a product as an indirect measurement of desirability. Visual attention was greater for optimal quality apples. Only a small percentage of consumers (15%) selected apples with defects. In the case of suboptimal bananas (Symmank et al., 2018), a positive relationship between the sensory perception, overall liking and purchase intent was found. Education on the differences in quality expectations of fresh produce are needed to effectively reduce waste behaviors by consumers.

Conclusions Sensory and Consumer Sciences provide enterprises with the tools to empower them to understand and meet consumers’ food needs. Food and nutrition security remains a major challenge in the developing world. Sensory Science has an important role to play in the fight against nutrition related diseases. The description of the sensory properties of ingredients, foods, meals and understanding of the social context of food use and consumption provides valuable insights for product development. Optimizing the sensory properties of affordable nutritious foods to ensure appeal is essential. The search for underutilized and sustainable food sources and the prevention of food losses and waste due to undesirable sensory properties, are options to address food security and sustainability. Insight into what is acceptable and preferred ingredients, foods, and meal choices and better understanding of the social and cultural context of food use and ingestion are vital for product development (de Kock and Kamdem Mademgne, 2018). Modifying or optimizing the sensory properties of reasonably priced, nutritious foods will create greater demand. The appropriate use of sensory and consumer science methodologies to optimize products for the poor and food insecure as well as the development of effective test methods for studying food choice and food needs are of much value.

References Alemu, M.H., Olsen, S.B., Vedel, S.E., Kinyuru, J.N., Pambo, K.O., 2017. Can insects increase food security in developing countries? An analysis of Kenyan consumer preferences and demand for cricket flour buns. Food Secur 9 (3), 471–484. https://doi.org/10.1007/s12571-017-0676-0. Springer Neth. Bechoff, A., Tomlins, K., Fliedel, G., Becerra Lopez-lavalle, L.A., Westby, A., Hershey, C., Dufour, D., 2018. Cassava traits and end-user preference: relating traits to consumer liking, sensory perception, and genetics. Crit. Rev. Food Sci. Nutr. 58 (4), 547–567. https://doi.org/10.1080/10408398.2016.1202888. Taylor & Francis. Coetzee, L., 2015. Exploring Household Food Security and the Acceptance of an Amaranth Enriched Food Product. North-West University. Fagnani, R., Puppio, A.A.N., Zanon, E.O., Fagnani, R., Puppio, A.A.N., Zanon, E.O., 2018. Sustainable alternative for the food industry: converting whey and orange juice into a micro-filtered beverage. Sci. Agric. Sci. Agric. 75 (2), 136–143. https://doi.org/10.1590/1678-992x-2016-0360. Gabaza, M., Muchuweti, M., Vandamme, P., Raes, K., 2017. Can fermentation be used as a sustainable strategy to reduce iron and zinc binders in traditional African fermented cereal porridges or gruels? Food Rev. Int. 33 (6), 561–586. https://doi.org/10.1080/87559129.2016.1196491. Gisslevik, E., Wernersson, I., Larsson, C., 2018. Home economics teachers’ perceptions of facilitating and inhibiting factors when teaching sustainable food consumption. Sustainability 10 (5), 1463. https://doi.org/10.3390/su10051463. Multidisciplinary Digital Publishing Institute. Jaeger, S.R., Machín, L., Aschemann-Witzel, J., Antúnez, L., Harker, F.R., Ares, G., 2018. Buy, eat or discard? A case study with apples to explore fruit quality perception and food waste. Food Qual. Prefer. 69, 10–20. https://doi.org/10.1016/J.FOODQUAL.2018.05.004. Elsevier. de Kock, H.L., Kamdem Mademgne, J.D., 2018. Designing consumer research studies for low-income populations. In: Ares, G., Varela, P. (Eds.), Alternative Approaches and Special Applications, Methods in Consumer Research, vol. 2. Woodhead Publishing, Duxford, pp. 373–391. Lavanchy, P., 1998. Sensory evaluation of texture: different approaches. In: Proceedings of IDF Symposium. IDF, Vicenza, Italy. Special Issue No. 9802. Lim, J., 2011. Hedonic scaling: a review of methods and theory. Food Qual. Prefer. 22 (8), 733–747. https://doi.org/10.1016/j.foodqual.2011.05.008. Elsevier Ltd. Muoki, P.N., Kinnear, M., Emmambux, N., De Kock, H.L., 2014. Effect of the addition of soy flour on sensory quality of extrusion and conventionally cooked cassava complementary porridges. J. Sci. Food Agric. https://doi.org/10.1002/jsfa.6820. Poste, L., Mackie, D., Butler, L., Larmond, E., 1991. Laboratory Methods for the Sensory Analysis of Food. Research Branch Agriculture Canada, Ottawa. Available at: http:// publications.gc.ca/collections/collection_2014/aac-aafc/agrhist/A73-1864-1991-eng.pdf. Roe, B.E., Phinney, D.M., Simons, C.T., Badiger, A.S., Bender, K.E., Heldman, D.R., 2018. Discard intentions are lower for milk presented in containers without date labels. Food Qual. Prefer. 66, 13–18. https://doi.org/10.1016/J.FOODQUAL.2017.12.016. Elsevier. Symmank, C., Zahn, S., Rohm, H., 2018. Visually suboptimal bananas: how ripeness affects consumer expectation and perception. Appetite 120, 472–481. https://doi.org/ 10.1016/J.APPET.2017.10.002. Academic Press. Varela, P., Ares, G., 2012. Sensory profiling, the blurred line between sensory and consumer science. A review of novel methods for product characterization. Food Res. Int. 48 (2), 893–908. https://doi.org/10.1016/j.foodres.2012.06.037. Varela, P., Ares, G., 2018. Introduction. In: Ares, G., Varela, P. (Eds.), New Approaches to Classic Methods, Methods in Consumer Research, vol. 1. Woodhead Publishing, Duxford, pp. 4–21. Ventura, A.K., Worobey, J., 2013. Early influences on the development of food preferences. Curr. Biol. 23 (9), R401–R408. https://doi.org/10.1016/J.CUB.2013.02.037. Cell Press. Zhu, F., 2018. Chemical composition and food uses of teff (Eragrostis tef). Food Chem. 239, 402–415. https://doi.org/10.1016/J.FOODCHEM.2017.06.101. Elsevier.

Reducing Inequality as an Opportunity to Improve Food Security Soriano Ba´rbara and Garrido Alberto, CEIGRAM- Research Centre for the Management of Environmental and Agricultural Risks, Universidad Politécnica de Madrid, Madrid, Spain © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction The Impact of Income Inequality on Food Security The Impact of Inequalities of Opportunity on Food Security Conclusions References

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Abstract The number of persons suffering hunger remains at a concerned level, and even more worrying is that it has increased over the last years. Economic growth is a powerful driver for reducing hunger, but its impacts on improving food security depend on the degree to which the most vulnerable people participate in the growth process. The aim of this chapter is to assess the relevance of equitable income distribution and opportunities to improve food security in developing countries. The conclusion is that reducing income inequality is a direct means to improve food security, but also shortening inequalities in opportunities. Bridging the gender gap and enhancing egalitarian access to education should be political priorities to improve food security in developing countries.

Introduction According to FAO’s State of Food Insecurity report, 815 million people were estimated to be chronically undernourished in 2016 (FAO et al., 2017). Even more worrying is the fact that the absolute number of people in the world affected by chronic food deprivation rose in 2014 from 775 million people. This increase is attributed to a variety of factors that reduce food availability and increase food prices such as climate impacts – El Niño/La Niña–, the increase in the number of conflicts and the economic slowdowns that reduced the resources available to sustain governments’ subsidies on basic needs social protection programs in developing countries. Global food security is indeed threatened by many interconnected variables and drivers, such as population growth, urbanization, changing food consumption patterns, the need for better management of scarce resources and environmental sustainability concerns. According to the conceptual framework of food security proposed by Pieters et al. (2013), all of these threats are part of the basic causes of food security as shown in Fig. 1. Even if the threats to food security are identified, less straightforward is identifying and understanding the drivers of food insecurity. There are many studies that analyze the relationship between basic and underlying causes (Fig. 1) and food security indicators. For example, the positive and significant impact of income per capita on food security has been widely demonstrated (Gacitua and Bello, 1991; Wimberley and Bello, 1992; Jenkins and Scanlan, 2001; Brady et al., 2007; Austin et al., 2012) as has the negative impact of population growth (Jenkins and Scanlan, 2001; Scanlan, 2003; Brady et al., 2007; Austin et al., 2012). Fewer studies have focused on the impact of inequality on food security indicators. According to FAO, the reason hunger is persistent lies in the distribution of food and the resources required to access it (FAO et al., 2002). Thus, income growth is necessary, but the composition of growth and the instability of the growth rates matter too (Soriano and Garrido, 2016). More equal growth leads to faster improvements in the food security of the poorest (OECD, 2013). USDA (2012) concludes that the decline in the number of food insecure people over the next decade in Latin American Countries has been caused by an improvement in income distribution. The aim of this chapter is to provide insights into the relevance of equitable income distribution and opportunities to improve food security in developing countries.

The Impact of Income Inequality on Food Security The concept of equity has widely different meanings. From an economic perspective, equity relates to how fairly income and opportunities are distributed whether locally in families and communities or globally across nations (WB, 2006). Two aims are considered when inequality is assessed: i) Income inequality defined as the unequal distribution of income across individuals in an economy, often measured as the percentage of income to a percentage of population; and ii) Inequality of opportunity that

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Figure 1

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The conceptual framework of malnutrition. Source: Own elaboration based on UNICEF (1990), Bokelon et al. (2005) and Pieters et al. (2013).

occurs when individuals are denied or have limited access to education, employment, advancement, and other areas that should be freely available to all citizens. Piketty (2014) brought up the debate on the income inequality and its trends in some developed countries. Among his most striking results, he showed that income inequality has increased since the late 1970s, with a rise in the share of total wealth going to the very highest earners. Other authors identify opposite trends (Sala-i-Martin, 2006; Atkinson and Brandolini, 2010; Branko, 2013). Income inequality in OECD countries is at its highest level for the past half century By 2010 the disposable income of the top 10% of earners was on average around 9½ times higher than that of bottom 10% (Keeley, 2005). In developing countries income inequality is also noteworthy. Considering the group of the low income countries (LIC), almost the 50% of income in these countries is held by the 20% richest population (Fig. 2). Hunger and poverty are inextricably linked, but not every poor person is hungry and almost all hungry people are poor. So one of the challenges of eliminating global hunger is raising the incomes of the poor (OECD, 2013). Ecker et al. (2012) find that economic growth is of primary importance in reducing undernourishment. Economic growth and how it trickles down to the poor has been one of the most widely discussed and controversial issues for decades. It is widely believed that economic growth is good for the poor (Dollar and Kraay, 2000; Richard and Adams, 2004; Donaldson, 2008) but a growing of number of authors claim that economic growth is a necessary but not sufficient condition to meet undernourishment goals. Subramanyam et al. (2011) argue that there is a weak association between economic growth and undernourishment because the impact of economic growth on food security and nutritional status depends on an egalitarian participation of poor people in economic growth to see their incomes grow (Foster and Székely, 2001; Ravallion, 2001; Storm and Naastepad, 2007; Wuyts, 2011). The structure of the economic growth also needs to be considered to analyse the impact of economic growth on food security. Long-term economic has a greater positive impact on undernourishment than short-term economic growth (Soriano and Garrido, 2016). Income inequality compounds the problems of food insecurity in developing countries. Income elasticity of food consumption tends to be highest for the segments of the population with the lowest incomes. As a result, increments in income inequality are associated with lower food consumption in those segments of the population which are most food insecure (USDA, 1997).

The Impact of Inequalities of Opportunity on Food Security Some developing countries experiencing economic growth have seen their nutritional status deteriorate. Wolf and Behrman (1983) conclude that income elasticities on nutrition indicators are low, suggesting that income is overrated as a determinant of adequate

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Reducing Inequality as an Opportunity to Improve Food Security Zimbabwe Tanzania Chad Sierra Leone Rwanda Niger Mozambique Madagascar Haiti Gambia, The Ethiopia Comoros Central African Republic Benin Afghanistan 0

Figure 2

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Income share held by highest 20%

Income share held by fourth 20%

Income share held by second 20%

Income share held by lowest 20%

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Income share held by third 20%

Income share held by quintiles in Low-income countries. Source: Own elaboration based on WB (2018).

nutrition. Alderman et al. (2003) find that a combination of growth and specific nutrition programs is needed to achieve the goal of halving the levels of child malnutrition. Subramanyam et al. (2011) and Kumar (2007) conclude that reductions in childhood undernourishment do not only depend on economic growth but also on direct investment in health services. Government interventions in some countries even with relatively low per capita income levels have enhanced the food security situation (Timmer, 2000). To become a driver to reduce food insecurity, economic growth has to be accompanied by increases in households’ income and wealth, health services, education investments and provision of clean drinking water and health care (Anand and Ravallion, 1993; Case et al., 2001; Smith and Haddad, 2000; Suri et al., 2011). Smith and Haddad (2002) found that about half of the effect of economic growth on child malnutrition is through improvements in food availability, access to safe water, female secondary school enrollments, female to male life expectancy ratio and per capita dietary energy supply. Those countries that prioritize public expenditure and investment in health, education and improved access to drinking water might improve their undernourishment rates faster (Soriano and Garrido, 2016). Economic inequalities matter but inequalities in key dimensions of opportunity, such as health, education, and the freedom and capacity of people to participate in and rule society affairs are of great importance when assessing the impact of inequality on food security. Of special importance are the “inequality traps”, those inequalities that tend to perpetuate differences across individuals and groups over time, within and across generations. The inequality traps can be detrimental to the development process and food security (WB, 2006). Fig. 3 shows the differences in the food security status in developing countries according to four breakdown variables that represent income and opportunity inequalities. The Dietary Protein Consumption is the selected food security indicator. The protein consumption is provided by Household surveys -FAOstat and refers to the amount of protein in food, expressed in grams per day, available for each individual in the total population during the reference period. The breakdown variables are: i) income level: households’ protein consumption of the richest income tercile is compared with that of the poorest income tercile; ii) gender composition: households’ protein consumption where there is no adult woman is compared with that of there are both adult males and females and at least 1 adult secondary education woman; iii) the education access: households’ protein consumption where at least one adult held secondary education is comparted with that of no members held secondary education; and iv) rural versus urban residence: the protein consumption of urban households is comparted with that of rural household. The Fig. 3 shows that beyond disposable income, gender and education inequalities contribute to inequalities in food insecurity. The following conclusions can be drawn from the four panels of Fig. 3: a) Households’ disposable income determines to a large extent the amount of consumed proteins in the diet. In all represented countries the bottom income tercile consumes about 40–50 less grams per day than the households in the upper income tercile. b) Income seems to be a much more important separating driver than the urban-rural divide, which does not seem to matter in explaining protein consumption. c) Education levels of the households’ adults, at least at secondary level, are not followed by significant differences in protein consumption, although households with at least one adult with secondary education are more likely to consume more protein than those without any adult with secondary education. Access to better education improves knowledge of food production, household management and nutrition issues (Quisumbing et al., 1995; Smith and Haddad, 2000; Hyder et al., 2005; Bokelon et al., 2005). In some countries households with at least one adult with secondary education may have on average less access to proteins than households without educated adults.

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Figure 3 Protein consumption by income, gender composition, education level and residence. (a) Timor-Leste - 2001, Uganda - 2005–6, Papua New Guinea - 1996, Bangladesh - 2005, Nepal - 1995–6, Mozambique - 2002–3, Kenya - 2005–6, Ghana - 1998–9, Philippines - 2003, Sri Lanka 1999–2000, Viet Nam - 2006, Niger - 2007–8, Haiti - 1999–2000, Pakistan - 2005–6, Cambodia - 2009, Mali – 2001, Bolivia (Plurinational State of) 2003–4, Côte d’Ivoire - 2002, Guatemala - 2006, Togo - 2006, Lao People’s Democratic Republic - 2008, Sudan (former) - 2009, Tajikistan - 2007, Venezuela (Bolivarian Republic of), - 2004–5, Malawi - 2004–5, Iraq - 2007, Zambia - 2002–3, Mexico - 2008, Azerbaijan - 2006, Hungary - 2004, Chad - 2009, Panama - 2008, Paraguay - 1997–8, Egypt - 1997, Lithuania - 2002, Republic of Moldova - 2006, Albania - 2005. (b) Uganda - 2005– 6, Kenya - 2005–6, Ghana - 1998–9, Philippines - 2003, Haiti - 1999–2000, Cambodia - 2009, Bolivia (Plurinational State of) - 2003–4, Côte d’Ivoire - 2002, Guatemala - 2006, Togo - 2006 Sudan (former) - 2009, Venezuela (Bolivarian Republic of) - 2004–5, Malawi - 2004–5, Iraq - 2007, Zambia 2002–3, Mexico - 2008, Azerbaijan - 2006, Panama - 2008, Paraguay - 1997–8, Lithuania - 2002, Republic of Moldova - 2006. (c) Uganda - 2002–3, Kenya - 2005–6, Ghana - 1998–9, Philippines - 2003, Cambodia - 2004, Niger - 2007–8, Bolivia (Plurinational State of) - 2003–4, Côte d’Ivoire 2002, Guatemala - 2006, Lao People’s Democratic Republic - 2008, Sudan (former) - 2009, Tajikistan - 2007, Venezuela (Bolivarian Republic of) 2004–5, Malawi - 2004–5, Iraq - 2007, Zambia - 2002–3, Mexico - 2008, Panama - 2008, Paraguay - 1997–8, Egypt - 1997, Lithuania - 2002. (d) Timor-Leste - 2001, Uganda - 2005–6, Bangladesh - 2005, Nepal - 1995–6, Mozambique - 2002–3, Kenya - 2005–6, Ghana - 1998–9, Sri Lanka 1999–2000, Viet Nam - 2006, Niger - 2007–8, Haiti - 1999–2000, Pakistan - 2005–6, Cambodia - 2009, Mali - 2001, Bolivia (Plurinational State of) 2003–4, Côte d’Ivoire - 2002, Guatemala - 2006, Togo - 2006, Lao People’s Democratic Republic - 2008, Sudan (former) - 2009, Tajikistan - 2007, Malawi - 2004–5, Iraq - 2007, Zambia - 2002–3, Mexico - 2008, Azerbaijan - 2006, Hungary - 2004, Chad - 2009, Panama - 2008, Egypt - 1997, Lithuania - 2002, Republic of Moldova - 2006 Albania - 2005. Source: Own elaboration based on FAO (2018).

d) Protein consumption in households with male and female adults is around the national average showing that women are present in the large majority of households in developing countries. Just in those exceptions where there are no women in households it is possible to see the protein consumption substantially increased. Women and girls face many inequities and constraints, affected through two main channels: i) limits on their access to education and employment opportunities and ii) difficulties to fulfill their vital roles in food production, preparation, processing, and distribution. These limitations curtail their economic autonomy and imply that women are not empowered to take household decisions on food intake and avoid the differential feeding and caregiving practices favoring boys and men that reduce the access to adequate food of girls and women. Greater role for women in decision making at all levels is a priority (FAO and ADB, 2013). These graphs show the importance of ensuring minimum levels of disposable income to the poorest and of means to assist and support women heading their households. Gender issues are thus critical in addressing food insecurity.

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Conclusions At the heart of the inequality debate lies the related question of who benefits from economic growth. The challenge for policy is to combine growth with policies that allow the most vulnerable people to participate fully in income growth and the opportunities it makes possible. Inequality and food insecurity remain at concerned levels in developing countries. The aim of this article is to assess how reducing economic and opportunities inequalities may contribute to improve food security in developing countries. The main conclusions of the chapter is that reducing income inequality is a direct means to improve food security, and for this reason it should be a political priority. But reducing inequalities in opportunities is also important. This includes bridging the gender gap by empowering women and enhancing their bargaining position within the family, and reducing inequalities in education, both of which are shown to be drivers to improving food security. Therefore, to improve food security in developing countries it is important to increase the rate of economic growth in conjunction with investing to promote human development, including investments in education and reducing gender gap.

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Unequal Access to Land: Consequences for the Food Security of Smallholder Farmers in Sub Saharan Africa Mark T van Wijka, James Hammonda, Romain Frelatb, and Simon Fravala, a International Livestock Research Institute, Nairobi, Kenya; and b Institute for Marine Ecosystem and Fisheries Science, University of Hamburg, Hamburg, Germany © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction What Is the Existing Variation in Farm Size in Smallholder Systems? What Are the Consequences of These Differences in Farm Size for Food Security? How Are Farm Productivity and Farm Size Related? What Changes Are Occurring in Smallholder Farm Sizes Over Time? Conclusions References

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Abstract Smallholder and family farms are crucial to feed the planet. Differences in land access of smallholders are large, resulting in large differences in production, wealth and food security. This chapter uses quantitative data on farm sizes in smallholder systems across sub Saharan Africa to quantify existing variation in farm sizes, the consequences of this variation for food security, the relation between productivity and farm size and how smallholder farm sizes change over time. There is a large variation in farm size in each given country and that the distribution of farm sizes differs drastically between countries, with the commonly used threshold of 2 ha thus not being very informative. The relation between food security and farm size in smallholder households is relatively weak. One reason for this relatively weak relationship is the inverse land size productivity relationship: a strong decline in productivity per unit land is observed with increasing farm size, probably caused by lack of productive resources like labour, fertilizer, manure, etc. In a recent panel survey of 4 contrasting sites in East Africa we found significant farm size changes in the site characterized by rapid intensification of vegetable production, increasing the divergence of farm sizes within the population. Across all sites a substantial part of the farm population is buying or selling land, showing a much more dynamic picture of land ownership than commonly assumed in sub Saharan Africa. Most of the analyses presented here indicate that, although unequal access to land translates into unequal food security, this relationship is complicated. Exploring this relationship further is of the utmost importance for the efficient targeting of interventions and monitoring of the effects of adoption of these interventions for the food security of the vulnerable rural populations in sub Saharan Africa.

Introduction Smallholder and family farms are crucial to feed the planet. Recent analyses estimate that worldwide there are more than 475 million farms that are smaller than 2 ha in size, a common threshold used to define smallholder farms. These small farms represent roughly 40% to 50% of global farmland and produce more than half of the world’s food (Samberg et al., 2016). Poverty and food insecurity are prevalent in these farm systems, and investments in small farms have been specifically identified by the United Nations as a way to address Sustainable Development Goals (SDGs) relating to poverty, nutrition, hunger, and environmental sustainability (UNCTAD, 2015). Smallholder farms in sub Saharan Africa are characterized by unequal land access, low productivity per unit of land, high dependence on family labour and high poverty and food insecurity rates (Frelat et al., 2016). Despite agricultural growth between 2000 and 2016 increasing by a 4.6% per year (inflation-adjusted) (World Bank, 2017) a substantial number of countries still record increases in poverty levels and, in one-third of the countries, the population increases more rapidly than the agricultural growth rate (Jayne et al., 2018). Land access of smallholder farmers plays a key role in their attainment of food security. Differences in land access are large (Herrero et al., 2017; Samberg et al., 2016), thereby resulting in large differences in production, wealth and food security. This chapter uses quantitative data on farm size (although we realize that of course does not give the full picture) to analyse four key aspects of land in smallholder systems in sub Saharan Africa: i) ii) iii) iv)

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What is the existing variation in farm size in smallholder systems? What are the consequences of these differences in farm size for food security? How are farm productivity and farm size related? What changes are occurring in smallholder farm sizes over time?

Encyclopedia of Food Security and Sustainability, Volume 1

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What Is the Existing Variation in Farm Size in Smallholder Systems? Based on the database of more than 13,000 household surveys from 17 different countries (Frelat et al., 2016), we produced farm size distributions of the households surveyed following the approach of Hengsdijk et al. (2014) (Fig. 1). Two things stand out: first, there is a large variation in farm sizes in each given country; second, the distribution of farm sizes differs drastically between countries. In each site there is a substantial number of households on small farms, but in some sites, especially in Burundi, Rwanda, DRC and western Kenya, a large number of farms are extremely small. In Burundi and Rwanda, for example, almost 50% of the farms smaller than 0.3 ha. The results show that in this dataset more than 75% of the farms are smaller than 2 ha, but it is also clear that such a number is not very informative given the large regional differences in farm size distributions. In Central Africa a meaningful threshold would be 0.5 ha, in East Africa 1.5 and in dry West Africa 5 ha makes more sense to separate the land scarce households from the relatively better off ones. Work by Harris and Orr (2014), Hengsdijk et al. (2014), Ritzema et al. (2017), and Paul et al. (2018) have shown that the availability of land is one of the most important constraining factors that determine whether crop intensification options can really make a difference for food security and poverty reduction.

What Are the Consequences of These Differences in Farm Size for Food Security? One would expect a strong relation between food security and farm size in smallholder households given their strong reliance on agricultural production. Based on the same dataset of more than 13,000 households across sub Saharan Africa, Frelat et al. (2016) showed that farm size is one of the key determinants of food security in smallholder systems and quantified a farm size threshold above which the likelihood of a farm household being food secure (Fig. 2; bold black line). Based on the resources of the household and its size (crop land, livestock and family size), the model they developed predicted correctly the binary food security status of 72% of the households in their database (i.e. can a household, yes or no, produce and/or purchase enough food to feed the family?). Not surprisingly, taking into account the results of Fig. 1, the frontier curve in Fig. 2 shifts substantially when market and agroenvironmental factors were taken into account. When farmers have good market access (which occurs normally in regions with high population density and good agro-ecological conditions), the size of the farm needed to produce and/or purchase enough food to feed the family sufficiently can be small. With good market access farmers are able to generate cash through the production of high value crops and buy the food they need, alongside cultivation of staple food crops. But a significant proportion of smallholders in SSA face difficulties in achieving food security given their small farm sizes. This is a critically important finding as around 80% of the smallholder farms in SSA are now smaller than 2 ha (Samberg et al., 2016). Increasing market access could potentially increase the ability of these smallholder households to feed the family on relatively small parcels of land through intensification practices, cash crops, and the use of livestock (e.g., Jayne et al., 2003).

How Are Farm Productivity and Farm Size Related? Although Frelat et al. (2016) did show the existence of a relation between farm size and food security, this relation still was surprisingly weak (with farm size only explaining  8% of the variation in food security). Overall access to off farm income was as important in driving the food security status (e.g., see also Waha et al., 2018). More land does not simply lead to more production. Why 1.0

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Figure 2 Farm size thresholds for achieving food security for an average family size. The bold line is the average curve based on analyzing data from more than 13,000 households in sub Saharan Africa, while the other lines represent systems with specific characteristics. Farm resources that are above (or below) the line are predicted to be food secure (or food insecure). Adapted from Frelat et al. (2016).

was this relation between farm size and food security so weak? An important aspect here is whether farmers with more land are actually able to make efficient use of the extra land compared to others with less land. Smallholder farmers face severe constraints in labour availability (e.g. for land preparation, weeding and harvesting) and in essential crop production inputs like mineral fertilizer and manure (Fig. 3). More detailed analyses by Frelat et al. (2016) showed a strong decline in productivity per unit land (expressed in kcal per ha) when land sizes increase in the overall dataset they used. This decline in land productivity with increased land holdings per farm was visible across all agro-ecological regions. This supports the “inverse land size productivity relationship” that has been found in many studies for smallholder farmers (Ali and Deininger, 2014; Larson et al., 2013) even though recent studies qualify this relationship (Muyanga and Jayne, 2014), showing that medium size farms are most efficient per unit area or suggesting even that it is largely caused by measurement error (Desiere and Jolliffe, 2018). However, the consistent relationships across the regions and across a large range of farm sizes make it unlikely that the results of Figure 3 are caused by measurement error. Results in Frelat et al. (2016) also indicated that the inverse land size productivity relation is less severe in land constrained sites with market access, so in regions where farmers are more market oriented and have the ability to buy inputs to maintain good crop production across larger areas. Other results in the Frelat et al. (2016) study showed that the inverse land productivity relationship is severe in sites where there is no land constraint and where there is no market access (e.g. in semi-arid regions with low population densities), resulting in a flat food security to farm size relationship and suggesting that the only (agricultural) way to become food secure in those regions is through livestock.

What Changes Are Occurring in Smallholder Farm Sizes Over Time? Analyses of farm size and food security based on single snapshots in time beg the question of how things are changing. This question is especially relevant in relation to the SDGs, mainly SDG 2 of zero hunger. The dynamics of land size in smallholder systems in SSA is debated: several studies have shown that farm sizes are strongly decreasing in many countries (Jayne et al., 2003), while other more recent work has suggested the rise of the medium sized farm is leading to greater divergence in farm sizes (due to investment in agriculture by emerging urban middle class) (Jayne et al., 2016). If the latter trend would continue at its current speed (between 10%–20% of the total agricultural land area went into this middle-sized category over a time period of roughly 15–20 years), this might drastically change the agricultural sector and the currently important role of smallholders in agricultural production. In a recent panel survey of 4 contrasting sites in East Africa in 2012 and 2016 land sizes were assessed (Hammond et al., 2017). Over this relatively short period significant changes in farm areas were detected in the site of Lushoto, Tanzania (Fig. 4; Fraval et al., 2018). In this region, rapid intensification of vegetable production is taking place in those locations where farmers have access to irrigation water. There are clear indications that this intensification goes hand-in-hand with consolidation of farm land, where the more successful farmers buy land from the households that seem to be exiting farming (Fraval et al., 2018). This process increases the divergence of farm sizes within the population. These results form a counterpoint to the studies showing overall declining farm sizes across sub Saharan Africa, and may indicate a switching point of no longer declining farm sizes as it has happened in other regions of the world. The results of the other sites also showed that a substantial part of the farm population is buying or selling land, often linked to their ability to have access to off farm income, but in these sites (Rakai in Uganda, and Wote and Nyando in Kenya) this did not lead (yet) to significant changes in the overall farm size distribution.

Unequal Access to Land: Consequences for the Food Security of Smallholder Farmers in Sub Saharan Africa

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Conclusions In this chapter we briefly discussed aspects related to inequality of farm size, how it translates into food insecurity, and how it might change within smallholder populations in sub Saharan Africa. Many other aspects related to land access, such as tenure, migration, land grabbing, climate change, and natural resource management are pertinent but could not be explored in this short chapter. Land security is a key determinant for land use strategies by farmers, as well as land size and land productivity. If land security is low, farmers tend to farm in such a way to extract as much production as possible, without investing in the longer term sustainability of that production (e.g. Adjei-Nsiah et al., 2008). Most of the analyses presented here indicate that although unequal access to land translates into unequal food security, this relationship is more complicated than one would think at first glance. The efficiency with which the productive resources (i.e. land) can be used and the value that can be generated through market sales, seem to explain more in terms of the variation in food security than land access alone (e.g. Waha et al., 2018). Exploring this relationship by bringing together large numbers of household surveys and using harmonized approaches to quantify this relationship systematically across systems (e.g. Frelat et al., 2016; Waha et al., 2018; Wichern et al., 2017; Hammond et al., 2017) is of the utmost importance for the efficient targeting of interventions, adoption of these interventions and monitoring of the effects of adoption for the food security of the vulnerable rural population across many countries in sub Saharan Africa.

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ENCYCLOPEDIA OF FOOD SECURITY AND SUSTAINABILITY

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ENCYCLOPEDIA OF FOOD SECURITY AND SUSTAINABILITY EDITORS IN CHIEF

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

VOLUME 2

Food Security, Nutrition and Health 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

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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 2

xix

Editor Biographies

xxv

Preface

xxix

VOLUME 1 Defining the Concept of Food Value Chain Pasquale Ferranti

1

The United Nations Sustainable Development Goals Pasquale Ferranti

6

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

9

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

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Population Density and Redistribution of Food Resources Russell Hopfenberg

26

Implications of Structural Transformation for Food and Nutrition Security Sunniva Bloem

31

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

36

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

44

Codex Alimentarius Commission Cindy Cheng

50

The Concept of Planetary Boundaries Helena Kahiluoto

56

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

61

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Contents of All Volumes

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

64

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

74

Food Trade and Global Value Chain Fabio Bartolini

82

Greenhouse Gas, Livestock and Trade Dario Caro

88

Global Seafood Trade Jessica A Gephart

93

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

98

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

105

Feeding Urban Areas: Challenges and Opportunities Roberta Sonnino

110

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

114

Food Aid Kristine Caiafa and Maria Wrabel

122

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

128

Food Emergency Operations After Natural Disasters Maria Wrabel and Kristine Caiafa

135

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

142

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

149

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

165

Changing Dietary Patterns as Drivers of Changing Environmental Impacts Michael Clark

172

The Food Wastage Challenge Nadia El-Hage Scialabba

178

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

187

Greenhouse Gas Emissions Due to Agriculture Francesco Nicola Tubiello

196

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

206

Contents of All Volumes

vii

Overuse of Nitrogen Resources Albert Bleeker

212

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

218

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

223

Greenhouse Gas and Livestock Emissions and Climate Change Dario Caro

228

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

233

Food Fraud Delia Grace

238

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

249

ICT Applications in Agriculture Thomas Daum

255

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

261

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

271

New Protein Sources: Novel Foods Di Stasio Luigia

276

Novel Foods: Artificial Meat Fabio Alfieri

280

Synthetic Meat: Acceptance Adriana Basile and Pasquale Ferranti

285

Novel Foods: Insects - Technology Monica Gallo

289

Novel Foods: Insects - Safety Issues Monica Gallo

294

Novel Foods: Algae Monica Gallo

300

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

307

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

316

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

323

Food Taboos Victor Benno Meyer-Rochow

332

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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

336

351

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

360

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

364

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

369

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

376

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

379

Novel Foods: Allergens Luigia Di Stasio

393

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

399

Challenges of Food Security for Orphan Crops Zerihun Tadele

403

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

409

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

416

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

422

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

429

Food Process Modeling Olivier Vitrac and Maxime Touffet

434

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

455

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

465

Non-thermal and Innovative Processing Technologies Anet Rezek Jambrak

477

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

484

Contents of All Volumes

ix

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

492

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

501

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

510

Strategies for Prolonging Fresh Food Shelf-Life Susan Lurie

515

Food Rescue in Developed Countries Tamara Y Mousa

521

Food Retail in Developing Countries Matthew Kelly

530

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

534

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

540

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

546

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

550

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

556

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

1

Concepts of Stability in Food Security Jock R Anderson

8

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

16

25

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

43

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

49

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

75

Nutrition in the Elderly Yitshal N Berner

82

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Contents of All Volumes

Nutritional Therapeutics: Neurological Disorders Rosa Burgos and Irene Bretón

90

Nutritional Therapeutics: Bone Diseases Takako Hirota and Kenji Hirota

97

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

103

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

109

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

113

Diets and Diet Therapy: Enteral Nutrition Ricardo Schilling Rosenfeld

119

Diets and Diet Therapy: Parenteral Nutrition Stefan Mühlebach

131

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

143

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

161

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

171

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

176

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

181

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

189

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

197

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

206

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

214

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

223

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

236

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

243

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

250

Contents of All Volumes

xi

Nutrigenomics Dolores Corella, Jose V Sorlí, and Oscar Coltell

256

The Role of Food Industry in Improving Health Kom Kamonpatana

267

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

275

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

283

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

292

Fats: Nutritional and Physiological Importance Lucia De Luca

302

Food Culture: Anthropology of Food and Nutrition F Xavier Medina

307

Bioactive Peptides in the Gut–Brain Axis Nicolina Virgilio

311

Hunger and Malnutrition Joy Ngo and Lluis Serra-Majem

315

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

336

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

344

Growth and Nutrition Yeray Nóvoa Medina and Luis Quintana Peña

353

Maillard Reaction and Food Safety Antonio Dario Troise

364

Sustainable Diets: A Historical Perspective Sandro Dernini

370

Energy Balance and Body Weight Control Ilario Mennella

374

Nutrition Education Suzanne Piscopo

378

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

385

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

393

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

400

School Nutrition Education Suzanne Piscopo

406

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Contents of All Volumes

Food Supplements: Botanicals Patrizia Restani

414

Advertising and Marketing to Children Bridget Kelly

418

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

424

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

433

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

444

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

449

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

457

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

464

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

473

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

481

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

493

Freezing of Bread  Nikolina Cukelj and Dubravka Novotni

498

Preservation of Berries Erica Feliziani and Gianfranco Romanazzi

503

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

506

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

511

Sources of Contamination in Food Samantha Radford

518

Preservation of Micronutrients in Biofortified Foods Vinoth Alphonse and Ravindhran Ramalingam

523

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

530

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

538

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

545

Contents of All Volumes

xiii

Food Consumption Patterns in Developing Countries Matin Qaim

556

Modification of Pectin Jiankang Cao and Qianqian Li

561

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

567

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

575

Digitization and Big Data in Food Security and Sustainability Kelly Bronson

582

Sustainability and Plastic Waste Travis P Wagner

588

Bread Storage and Preservation Victoria A Jideani

593

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

605

The Storage and Preservation of Seafood Luxin Wang

619

VOLUME 3 Concepts of Food Sustainability Jock R Anderson

1

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

9

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

14

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

21

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

27

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

32

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

39

Planning Sustainable Food Supply Chains to Meet Growing Demands Riccardo Accorsi

45

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

54

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Contents of All Volumes

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

64

Concept and Classifications of Farming Systems John Dixon

71

Farming Systems in North America Keith Fuglie and Claudia Hitaj

81

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

95

Temperate Agricultural Production Regions: Japan Kentaro Kawasaki

101

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

107

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

114

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

121

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

126

Food Security Factors and Trends in Central Asia Elena Lioubimtseva

134

The Role of Irrigation for Food Security and Sustainability Sushil Pandey

142

Green Revolution Göran Djurfeldt

147

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

152

Genetically Modified Crops Matin Qaim

159

The Potential for Genome Editing in Plant Breeding Stuart J Smyth

165

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

171

Food Sovereignty Michel P Pimbert

181

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

190

Comparing Yields: Organic Versus Conventional Agriculture Verena Seufert

196

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

209

Contents of All Volumes

xv

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

217

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

226

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

231

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

257

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

264

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

270

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

278

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

292

Smallholder Pork: Contributions to Food and Nutrition Security Kristina Roesel

299

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

310

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

317

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

322

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

326

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

340

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

347

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

354

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

361

371

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

381

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

385

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

390

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

396

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

401

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

411

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

418

Leveraging Gender for Food and Nutrition Security Through Agriculture Alessandra Galiè

426

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

432

Infectious Diseases and Agriculture Delia Grace

439

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

448

Endemic Diseases and Agriculture Kristina Roesel

454

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

463

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

469

Antimicrobial Resistance and Agriculture Barbara Wieland

477

Gender and Livestock Juliet Kariuki

481

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

488

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

497

Carbon Neutral Food Value Chains Athena Birkenberg

503

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 2 Angel Abuelo Michigan State University, East Lansing, MI, United States Oparinde Adewale HarvestPlus/IFPRI, Washington, DC, United States Vinoth Alphonse Department of Botany, St. Xavier’s College (Autonomous), Palayamkottai, Tamil Nadu, India Jock R Anderson University of New England, Armidale, Australia; and Georgetown University, Washington, D.C., United States Ramón Aparicio Instituto de la Grasa (CSIC), Sevilla, Spain Javier Aranceta-Bartrina Department of Food Science and Physiology, University of Navarra, Pamplona, Spain; Department of Physiology, Faculty of Medicine (UPV/EHU) Bo Sarriena, Leioa, Spain; Research Institute in Biomedical and Health Sciences, University of Las Palmas de Gran Canaria (ULPGC), Las Palmas de Gran Canaria Islas Canarias, España; and CiberOBN, Instituto de Salud Carlos III, Madrid, Spain Nurit Argov-Argaman The Department of Animal Science, The Robert H. Smith Faculty of Agriculture, Food and Environment, The Hebrew University of Jerusalem, Rehovot, Israel Vincenzo Armini Department of Agricultural Sciences, University of Naples Federico II, Portici (Napoli), Italy Badrul Azhar Biodiversity Unit, Institute of Bioscience, Universiti Putra Malaysia, Serdang, Selangor, Malaysia; and Faculty of Forestry, Universiti Putra Malaysia, Serdang, Selangor, Malaysia Francisco J Barba Universitat de València, València, Spain

Alberto Barbiroli University of Milan, Milan, Italy Marc Bellés Facultad de Veterinaria, Universidad de Zaragoza, Instituto Agroalimentario de Aragón eIA2, Zaragoza, Aragón, Spain José Antonio Beltrán Facultad de Veterinaria, Universidad de Zaragoza, Instituto Agroalimentario de Aragón eIA2, Zaragoza, Aragón, Spain Estrella Bengio Madrid, Spain Yitshal N Berner Tel Aviv University, Meir Medical Center Kfar Saba, Affiliated to the Sackler School of Medicine, Israel Elliot M Berry Department of Human Nutrition and Metabolism, Braun School of Public Health, Hebrew University Hadassah Medical School, Jerusalem, Israel Ekin Birol HarvestPlus/IFPRI, Washington, DC, United States Francesco Bottalico International Center for Advanced Mediterranean Agronomic Studies (CIHEAM Bari), Valenzano (BA), Italy Howarth E Bouis HarvestPlus/IFPRI, Washington, DC, United States Francesca Bravi Department of Clinical Sciences and Community Health, Università degli Studi di Milano, Milan, Italy Irene Bretón Nutrition Unit. University Hospital Gregorio Marañón, Madrid, Spain Mladen Brncic University of Zagreb, Zagreb, Croatia

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Contributors to Volume 2

Suzana R Brncic University of Zagreb, Zagreb, Croatia

Stefano De Benedetti University of Milan, Milan, Italy

Kelly Bronson University of Ottawa, Ottawa, ON, Canada

Lucia De Luca University of Naples “Federico II”, Portici, Italy

Rosa Burgos Nutritional Support Unit. University Hospital Vall d’Hebron, Barcelona, Spain

Sandro Dernini International Center for Advanced Mediterranean Agronomic Studies (CIHEAM Bari), Valenzano (BA), Italy

María Cristina Cabrera Nutrición y Calidad de Alimentos, Facultad de Agronomía, Universidad de la República, Montevideo, Uruguay; and Fisiología y Nutrición, Facultad de Ciencias, Universidad de la República, Montevideo, Uruguay Jiankang Cao College of Food Science and Nutritional Engineering, China Agricultural University, Beijing, P. R. China Roberto Capone International Center for Advanced Mediterranean Agronomic Studies (CIHEAM Bari), Valenzano (BA), Italy Cristina Castillo Universidade de Santiago de Compostela, Lugo, Spain Antonio Cilla Universitat de València, València, Spain James E Clark Manchester Community College, Manchester, CT, United States Oscar Coltell Unidad de Epidemiología Genética y Molecular, Departamento de Medicina Preventiva y Salud Pública, Ciencias de la Alimentación, Toxicología y Medicina Legal, Universidad de Valencia, Valencia, Spain; and Department of Computer Sciences and Languages, University Jaume I, Castellón, Spain Dolores Corella Unidad de Epidemiología Genética y Molecular, Departamento de Medicina Preventiva y Salud Pública, Ciencias de la Alimentación, Toxicología y Medicina Legal, Universidad de Valencia, Valencia, Spain; and CIBER Fisiopatología de la Obesidad y Nutrición, Instituto de Salud Carlos III, Madrid, Spain

Ligia E Díaz-Prieto Institute of Food Science, Technology and Nutrition (ICTAN)-CSIC, Madrid, Spain Edmond Dounias IRD, UMR 5175 CEFE, Center for Functional and Evolutionary Ecology, Montpellier, France Birol Ekin HarvestPlus/IFPRI, Washington, DC, United States Hamid El Bilali International Center for Advanced Mediterranean Agronomic Studies (CIHEAM Bari), Valenzano (BA), Italy; and Centre for Development Research, University of Natural Resources and Life Sciences (BOKU), Vienna, Austria Erica Feliziani Department of Agricultural, Food and Environmental Sciences, Marche Polytechnic University, Ancona, Italy Nora A Foroud Agriculture and Agri-Food Canada, Lethbridge Research and Development Centre, Lethbridge, AB, Canada Raquel García-Feregrino Center for Evaluation and Surveys Research, National Institute of Public Health, Cuernavaca, Morelos, Mexico Elena García-Fernández University Complutense Madrid (UCM), Madrid, Spain Diego L García-González Instituto de la Grasa (CSIC), Sevilla, Spain J García-Parra CICYTEX (Centro de Investigaciones Científicas y Tecnológicas de Extremadura), Technological Agri-Food Institute (INTAEX), Badajoz, Spain

Lucía Cuevas-Nasu Center for Evaluation and Surveys Research, National Institute of Public Health, Cuernavaca, Morelos, Mexico

Greg S Garrett Director of Food Policy & Financing, Global Alliance for Improved Nutrition (GAIN), Geneva, Switzerland

 Nikolina Cukelj Faculty of Food Technology and Biotechnology, University of Zagreb, Pierottijeva 6, Zagreb, Croatia

Sally Geislar Veritas Research Center, Underwood International College, Yonsei University, Incheon, South Korea

Contributors to Volume 2

Sonia Gomez-Martínez Institute of Food Science, Technology and Nutrition (ICTAN)-CSIC, Madrid, Spain

Qianqian Li College of Food Science and Nutritional Engineering, China Agricultural University, Beijing, P. R. China

Mark A Hanson Institute of Developmental Sciences, University of Southampton, University Hospital Southampton, Southampton, United Kingdom

Yangyang Li Department of Food, Agricultural and Biological Engineering, The Ohio State University/Ohio Agricultural Research and Development Center, Wooster, OH, United States

Joaquín Hernández Universidade de Santiago de Compostela, Lugo, Spain Kenji Hirota Department of Obstetrics & Gynecology, Nanko Hospital, Suminoe-ku, Osaka, Japan Takako Hirota Department of Health and Nutrition, Kyoto Koka Women’s University, Ukyoku, Kyoto, Japan Moshe Hod Rabin Medical Center, Tel Aviv University, Israel and Chairman, FIGO Hyperglycemia in Pregnancy Working Group, Tel Aviv, Israel Baraem Ismail University of Minnesota, Saint Paul, MN, United States Victoria A Jideani Department of Food Science and Technology, Cape Peninsula University of Technology, Symphony Way, Bellville, South Africa Kom Kamonpatana Unilever House, Huai Khwang, Thailand Harold Keener Department of Food, Agricultural and Biological Engineering, The Ohio State University/Ohio Agricultural Research and Development Center, Wooster, OH, United States Bridget Kelly University of Wollongong, Wollongong, NSW, Australia P Lynn Kennedy Louisiana State University, Baton Rouge, LA, United States John D Laurie Agriculture and Agri-Food Canada, Lethbridge Research and Development Centre, Lethbridge, AB, Canada Carlo La Vecchia Department of Clinical Sciences and Community Health, Università degli Studi di Milano, Milan, Italy Miguel Leon-Sanz University Complutense Madrid (UCM), Madrid, Spain

xxi

Yebo Li Department of Food, Agricultural and Biological Engineering, The Ohio State University/Ohio Agricultural Research and Development Center, Wooster, OH, United States Ana Lobo-Prieto Instituto de la Grasa (CSIC), Sevilla, Spain José M Lorenzo Centro Tecnológico de la Carne de Galicia, Ourense, Spain Corey L Luthringer Senior Associate, Food Systems Policy, Global Alliance for Improved Nutrition (GAIN), Washington, DC, United States Ronald C W Ma Dept. of Medicine and Therapeutics, The Chinese University of Hong Kong, Prince of Wales Hospital, Hong Kong, China Chiara Mapelli University of Milan, Milan, Italy Ascensión Marcos Institute of Food Science, Technology and Nutrition (ICTAN)-CSIC, Madrid, Spain Krystian Marsza1ek Institute of Agricultural and Food Biotechnology, Warsaw, Poland Alessandra Marti Università degli Studi di Milano, Milan, Italy Nerea Martín-Calvo Department of Preventive Medicine and Public Health, University of Navarra, Pamplona, Navarra, Spain; IdiSNA, Navarra Institute for Health Research, Pamplona, Navarra, Spain; and CIBER Physiopathology of Obesity and Nutrition (CIBERobn), Carlos III Institute of Health, Madrid, Spain

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Contributors to Volume 2

Miguel Ángel Martínez-González Department of Preventive Medicine and Public Health, University of Navarra, Pamplona, Navarra, Spain; IdiSNA, Navarra Institute for Health Research, Pamplona, Navarra, Spain; CIBER Physiopathology of Obesity and Nutrition (CIBERobn), Carlos III Institute of Health, Madrid, Spain; and Department of Nutrition, Harvard T.H. Chan School of Public Health, Boston, MA, United States Fionnuala M McAuliffe UCD Perinatal Research Centre, UCD School of Medicine, National Maternity Hospital, Dublin, Ireland Ilario Mennella Institut NuMeCan, INRA 1341, INSERM 1241, Université de Rennes 1, Equipe Nutrition Gut BrainDomaine de la Prise 35590 Saint-Gilles, France Ronit Mesilati-Sthay The Department of Animal Science, The Robert H. Smith Faculty of Agriculture, Food and Environment, The Hebrew University of Jerusalem, Rehovot, Israel; and Laboratory of Nutrition and Metabolism Research, Felsenstein Medical Research Center, Sackler Faculty of Medicine, Tel-Aviv University, Rabin Medical CentereBeilinson Campus, Petah Tikva, Israel John M Kearney Dublin Institute of Technology (DIT), Dublin, Ireland Paula Momo-Cabrera Institute of Biomedical and Health Sciences (IUIBS), University of Las Palmas de Gran Canaria (ULPGC), Las Palmas de Gran Canaria, Spain Stefan Mühlebach University of Basel, Basel, Switzerland Alida Musatti University of Milan, Milan, Italy Lynnette M Neufeld Director, Knowledge Leadership, GAIN, Geneva, Switzerland Joy Ngo NGO Nutrition Without Borders, Barcelona, Spain; and Nutrition Research Foundation (FIN), University of Barcelona Science Park, Barcelona, Spain Kristina Norman Charité University Medicine Berlin, Geriatrics Research Group, Berlin, Germany Esther Nova Institute of Food Science, Technology and Nutrition (ICTAN)-CSIC, Madrid, Spain

Yeray Nóvoa Medina Pediatric Endocrinology Unit, Hospital Universitario Insular Materno-Infantil de Las Palmas Dubravka Novotni Faculty of Food Technology and Biotechnology, University of Zagreb, Pierottijeva 6, Zagreb, Croatia Eileen C O’Brien UCD Perinatal Research Centre, UCD School of Medicine, National Maternity Hospital, Dublin, Ireland Adriana Ortiz-Andrellucchi Research Institute of Biomedical and Health Sciences (IUIBS), University of Las Palmas de Gran Canaria (ULPGC), Las Palmas de Gran Canaria, Spain; and CIBER Fisiopatología de la Obesidad y Nutrición (CIBER OBN), Instituto de Salud Carlos III, Madrid, Spain Lindsey Otten Charité University Medicine Berlin, Geriatrics Research Group, Berlin, Germany Giovanni Ottomano Palmisano International Center for Advanced Mediterranean Agronomic Studies (CIHEAM Bari), Valenzano (BA), Italy Wen Peng Department of Public Health Nutrition, School of Medicine, Qinghai University, Xining, China; and Department of Public Health, The Amity Foundation, Nanjing, China Carmen Pérez-Rodrigo Department of Physiology, Faculty of Medicine (UPV/ EHU) Bo Sarriena, Leioa, Spain Suzanne Piscopo Department of Health, Physical Education and Consumer Studies, Faculty of Education, University of Malta, Msida, Malta Margi Prideaux Indo Pacific Governance Research Centre, University of Adelaide, Adelaide, SA, Australia Marta del Puerto Nutrición y Calidad de Alimentos, Facultad de Agronomía, Universidad de la República, Montevideo, Uruguay Matin Qaim Department of Agricultural Economics and Rural Development, University of Goettingen, Goettingen, Germany

Contributors to Volume 2

Luis Quintana Peña Pediatric Gastroenterology and Nutrition Unit, Hospital Universitario Insular Materno-Infantil de Las Palmas, CIBER OBN, University of Las Palmas de Gran Canaria, Canary Islands, Spain Samantha Radford Saint Francis University, Loretto, PA, United States Citra P Rahardjo University of Minnesota, Saint Paul, MN, United States Ravindhran Ramalingam T.A.L. Samy Unit for Plant Tissue Culture and Molecular Biology, Department of Plant Biology and Biotechnology, Loyola College (Autonomous), Chennai, Tamil Nadu, India R Ramírez CICYTEX (Centro de Investigaciones Científicas y Tecnológicas de Extremadura), Technological Agri-Food Institute (INTAEX), Badajoz, Spain Eduardo Rangel-Baltazar Center for Evaluation and Surveys Research, National Institute of Public Health, Cuernavaca, Morelos, Mexico Sornwichate Rattanachaiwong Division of Clinical Nutrition, Department of Medicine, Faculty of Medicine, Khon Kaen University, Khon Kaen, Thailand Norhisham Razi Faculty of Forestry, Universiti Putra Malaysia, Serdang, Selangor, Malaysia Noemi Redondo Institute of Food Science, Technology and Nutrition (ICTAN)-CSIC, Madrid, Spain Patrizia Restani Università degli Studi di Milano, Milano, Italy Manuela Rollini University of Milan, Milan, Italy Blanca Roman-Viñas Nutrition Research Foundation, University of Barcelona Science Park, Barcelona, Spain; and CIBER Fisiopatología de la Obesidad y Nutrición (CIBER OBN), Instituto de Salud Carlos III, Madrid, Spain Gianfranco Romanazzi Department of Agricultural, Food and Environmental Sciences, Marche Polytechnic University, Ancona, Italy Marie-Hélène Ropers INRA Unité BIA, Nantes, France

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Ricardo Schilling Rosenfeld Casa de Saude Sao Jose - ACSC - Rio de Janeiro, Brazil Ali Saadoun Nutrición y Calidad de Alimentos, Facultad de Agronomía, Universidad de la República, Montevideo, Uruguay; and Fisiología y Nutrición, Facultad de Ciencias, Universidad de la República, Montevideo, Uruguay Almudena Sánchez-Villegas Research Institute of Biomedical and Health Sciences (IUIBS), University of Las Palmas de Gran Canaria (ULPGC), Las Palmas de Gran Canaria, Spain; and CIBER Fisiopatología de la Obesidad y Nutrición (CIBER OBN), Instituto de Salud Carlos III, Madrid, Spain Andrew Schmitz University of Florida, Gainesville, FL, United States Lluís Serra-Majem Nutrition Research Foundation, University of Barcelona Science Park, Barcelona, Spain; CIBER Fisiopatología de la Obesidad y Nutrición (CIBER OBN), Instituto de Salud Carlos III, Madrid, Spain; Institute of Biomedical and Health Sciences (IUIBS), University of Las Palmas de Gran Canaria (ULPGC), Las Palmas de Gran Canaria, Spain; and Spanish Academy of Nutrition and Food Sciences (AEN), Barcelona, Spain Teresa Shamah-Levy Center for Evaluation and Surveys Research, National Institute of Public Health, Cuernavaca, Morelos, Mexico Paulo E Sichetti Munekata University of São Paulo, São Paulo, Brazil Joelle Singer Endocrine Institute, Rabin Medical Center, Beilinson Hospital and Clalit Health Services, Petah Tikva, Israel; and Sackler School of Medicine, Tel Aviv University Pierre Singer Department of Intensive Care and Institute for Nutrition Research, Rabin Medical Center, Beilinson Hospital, and Sackler School of Medicine, Tel Aviv University, Petah Tikva, Israel Stacy D Singer Agriculture and Agri-Food Canada, Lethbridge Research and Development Centre, Lethbridge, AB, Canada Sylwia Ska˛pska Institute of Agricultural and Food Biotechnology, Warsaw, Poland

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Contributors to Volume 2

Jose V Sorlí Unidad de Epidemiología Genética y Molecular, Departamento de Medicina Preventiva y Salud Pública, Ciencias de la Alimentación, Toxicología y Medicina Legal, Universidad de Valencia, Valencia, Spain; and CIBER Fisiopatología de la Obesidad y Nutrición, Instituto de Salud Carlos III, Madrid, Spain Justyna Szczepa nska Institute of Agricultural and Food Biotechnology, Warsaw, Poland Noelia Tena Instituto de la Grasa (CSIC), Sevilla, Spain Alejandra Terevinto Nutrición y Calidad de Alimentos, Facultad de Agronomía, Universidad de la República, Montevideo, Uruguay Fidel Toldrá-Reig Instituto de Tecnología Química, Consejo Superior de Investigaciones Científicas (C.S.I.C.) and Universitat Politècnica de València (UPV), Valencia, Spain Fidel Toldrá Instituto de Agroquímica y Tecnología de Alimentos, Consejo Superior de Investigaciones Científicas (C.S.I.C.), Valencia, Spain Antonio Dario Troise Department of Agricultural Sciences, University of Naples “Federico II”, Naples, Italy Kit Ying Tsoi Dept. of Medicine and Therapeutics, The Chinese University of Hong Kong, Prince of Wales Hospital, Hong Kong, China Federica Turati Department of Clinical Sciences and Community Health, Università degli Studi di Milano, Milan, Italy

Travis P Wagner Department of Environmental Science and Policy, University of Southern Maine, Gorham, ME, United States Hidetaka Wakabayashi Yokohama City University Medical Center, Yokohama, Japan Luxin Wang Auburn University, Auburn, AL, United States Mary Wicks Department of Food, Agricultural and Biological Engineering, The Ohio State University/Ohio Agricultural Research and Development Center, Wooster, OH, United States Emilia Witkowska Nery Institute of Physical Chemistry, Polish Academy of Sciences, Warsaw, Poland qukasz Wozniak Institute of Agricultural and Food Biotechnology, Warsaw, Poland F Xavier Medina Universitat Oberta de Catalunya (UOC), Barcelona, Spain Fuqing Xu Department of Food, Agricultural and Biological Engineering, The Ohio State University/Ohio Agricultural Research and Development Center, Wooster, OH, United States Elizabeth A Yetley Retired Senior Nutrition Research Scientist, U.S. National Institutes of Health, Bethesda, MD, United States

G C van Kooten University of Victoria, Victoria, BC, Canada

Fernanda Zaccari Poscosecha de Frutas y Hortalizas, Facultad de Agronomía, Universidad de la República, Montevideo, Uruguay

Nicolina Virgilio University of Naples “Federico II”, Portici, Italy

Yanyun Zhao Oregon State University, Corvallis, OR, United States

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].

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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

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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

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Ozone depletors (Mt CFC11-equivalent per year)

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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

Preface

A

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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

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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

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The Concept of Food Security Wen Penga,b and Elliot M Berryc, a Department of Public Health Nutrition, School of Medicine, Qinghai University, Xining, China; b Department of Public Health, The Amity Foundation, Nanjing, China; and c Department of Human Nutrition and Metabolism, Braun School of Public Health, Hebrew University Hadassah Medical School, Jerusalem, Israel © 2019 Elsevier Inc. All rights reserved.

Abstract Definition of Food Security Evolution of the Concept of Food Security Dimensions of Food Security Understanding of Food Security From Pillars to Pathways Linking Food Security to Sustainability Definition of Food Insecurity Relationships Between Food Security and Food Insecurity Measurement of Food Security Indicators for Global Food Security Indicators for Measuring Food Security at the Household Level Dietary Diversity and Food Frequency Spending on Food Consumption Behaviors Experiential Indicators Self-assessment Measurement Monitoring of Food Security (1990–2015) References

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Abstract 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. Four dimensions of food security have been identified in line with different levels. 1) Availability d National. 2) Accessibility d Household. 3) Utilization d Individual. 4) Stability – may be considered as a time dimension that affects all the levels. All four of these dimensions must be intact for full food security. More recent developments emphasize the importance of sustainability, which may be considered as the long-term time (fifth) dimension to food security. Food security is best considered as a causal, linked pathway from production to consumption, through distribution to processing, recognized in a number of domains, rather than as four “pillars”. Food security and food insecurity are dynamic, reciprocal and time dependent and the resultant status depends on the interaction between the stresses of food insecurity and the coping strategies to deal with them. Universal indicators for measuring food security are challenging. Different indicators may be applied to different levels of food security. Measuring food security at the household level involves five categories of indicatorsddietary diversity and food frequency, spending on food, consumption behaviors, experiential indicators and self-assessment measurements. Food security, nutrition and sustainability are increasingly discussed in the same context. The integration of food security as an explicit part of the sustainability agenda would go a long way towards such a goal. The final common pathway of all these efforts is towards sustainable food security and nutrition for our planet.

Definition of Food Security Food security is a flexible concept as reflected by the many attempts to define it in research and policy usage. The concept of food security originated some 50 years ago, at a time of global food crises in the early 1970s. Even two decades ago, there were about 200 definitions for food security in published writings (Maxwell and Smith, 1992), showing the contextual dependent features of the definition. The current widely accepted definition of food security came from the Food and Agriculture Organization (FAO) annual report on food security “The State of Food Insecurity in the World 2001”: Food security [is] 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, 2002). The last revision to this definition happened at the 2009 World Summit on Food Security which added a fourth dimension – stability – as the short-term time indicator of the ability of food systems to withstand shocks, whether natural or man-made (FAO, 2009).

Encyclopedia of Food Security and Sustainability, Volume 2

https://doi.org/10.1016/B978-0-08-100596-5.22314-7

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The Concept of Food Security

Evolution of the Concept of Food Security In the early 1970s, a time of global food crises, the concept of food security initially focused on ensuring food availability and the price stability of basic foods, which was due to the extreme volatility of agricultural commodity prices and turbulence in the currency and energy markets at that time (Berry et al., 2015). The occurrence of famine, hunger and food crises required a definition of food security which recognized the critical needs and behavior of potentially vulnerable and affected people (Shaw, 2007) The concept of food security was defined then at the World Food Conference in 1974 as “[the] availability at all times of adequate world food supplies of basic foodstuffs to sustain a steady expansion of food consumption and to offset fluctuations in production and prices” (United Nations, 1975). This definition stressed understandably the need for increased production since protein-energy deficiency in 1970 was believed to affect more than 25% of the global population. A better perception of the crises in food security later led to a shift in emphasis from the availability of food to a wider approach. A deeper grasp of the functioning of agricultural markets under stress conditions, and how at-risk populations found themselves unable to access food, led to the expansion of the FAO definition of food security to include securing access by vulnerable people to available supplies. Economic access to foods came into the concept of food security (Berry et al., 2015). Then, a revised definition of food security evolved to “ensuring that all people at all times have both physical and economic access to the basic food that they need” (FAO, 1983). The next development came in 1986 when the World Bank published its seminal report Poverty and Hunger (World Bank, 1986). This introduced a time scale for food security by distinguishing between chronic food insecurity, associated with poverty, and acute, transient food insecurity, caused by natural or man-made disasters. These were reflected in a further extension of the concept of food security to include: “access of all people at all times to enough food for an active, healthy life” (Berry et al., 2015). The next concept evolution happened in 1994 following the UN Development Program’s Human Development Report (UN Development Programme, 1994) considering the requirements for human security. At this time, food security, which was within the larger framework of social security, entered the discussion of human rights. Since the studies on food security are often context specific, depending on which of the many technical perspectives and policy issues, this multidimensional and multifaceted operational construct had no coherent definition then. In an attempt to bring more unity to such complexity, a redefinition of food security was conducted through international consultations in preparation for the World Food Summit held in 1996 (Shaw, 2007), reflecting the complex interaction among, and between, individual, household, even to the global level. Food security, at all different levels, is achieved “when all people, at all times, have physical and economic access to sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life” (FAO, 1996). In the mid-1990s, as the term “food security” evolved, the terms “nutrition security” and “food and nutrition security” also emerged. Food security is then considered as a subset of “food security and nutrition”. The next development of definition of food security was redefined further in the “The State of Food Insecurity in the World 2001” by adding the social emphasis as cited above (FAO, 2002). It was recognized that addressing poverty is necessary but not alone sufficient to achieve this goal (FAO, WFP and IFAD, 2012). Then at the 2009 World Summit on Food Security, the last official revision, which added the fourth dimension of stability to the concept of food security (FAO, 2009). More recently it has been suggested that sustainability be added as a fifth dimension to encompass the long-term time dimension (Berry et al., 2015).

Dimensions of Food Security Four dimensions of food security have been identified according to the definition (FAO, 2008). 1) Availability of food produced locally and imported from abroad. 2) Accessibility. The food can reach the consumer (transportation infrastructure) and the latter has enough money for purchase. To such physical and economic accessibility is added socio-cultural access to ensure that the food is culturally acceptable and that social protection nets exist to help the less fortunate. 3) Utilization. The individual must be able to eat adequate amounts both in quantity and quality in order to live a healthy and full life to realize his or her potential. Food and water must be safe and clean, and thus adequate water and sanitation are also involved at this level. A person must also be physically healthy to be able to digest and utilize the food consumed. The fourth domain of Stability, deals with the ability of the nation/ community/(household) person to withstand shocks to the food chain system whether caused by natural disasters (climate, earthquakes) or those that are man-made (wars, economic crises). Thus, it may be seen that food security exists at a number of levels. Availability - National; Accessibility – Household; Utilization – Individual; Stability – may be considered as a time dimension that affects all the levels. All four of these dimensions must be intact for full food security. More recent developments emphasize the importance of sustainability, which may be considered as the long-term time (fifth) dimension to food security. Sustainability involves indicators at a supra-national/regional level of ecology, biodiversity and climate change, as well as socio-cultural and economic factors (Berry et al., 2015). These will affect the food security of future generations.

Understanding of Food Security From Pillars to Pathways Food security is best considered as a causal, linked pathway from production to consumption, through distribution to processing, recognized in a number of domains, rather than as four “pillars” (Berry et al., 2015).

The Concept of Food Security

3

Level Availability

Loss Accessibility

Waste Utilization FOOD SECURE

Stability

SUSTAINABILITY Environment, Economic, Culture Figure 1

Agricultural Production Imports

National

Physical Economic

Household

Quality / Quantity Health

Individual

“Short term”

Vulnerability GENERATIONS

“Long Term”

The pathway of the dimension of Food Security. After Berry et al., 2015.

In the 2009 World Summit definition on Food Security, the Summit used for the first time the phrase “four pillars of food security”, representing the four dimensions, namely, availability, accessibility, utilization and stability, of food security (FAO, 2009). However, the visualization of pillars gives a rather misleading representation of the concept since the four dimensions are surely interrelated and interdependent, rather than static and separate. Pillars give no illustration of the linkage between the dimensions of food security. The weighting of the four dimensions is another problem faced by the visualization of four pillars, which directs to an impression of average weighting of 25% for each of the four dimensions. However, not all the elements in food security are of equal importance as implied by the pillar analogy. Their weightings are context and country specific (Berry et al., 2015). For example, in many developing countries, accessibility depends on the transport infrastructure which may limit the physical access to food; while in developed countries, economic access is the main barrier for food security. A scenario after a natural disaster, e.g., an earthquake, the availability, accessibility, utilization and stability are all major problems. In these different contexts, the weights of four dimensions should definitely not be equal. Instead of pillars, a better analogy using a pathway to describe the relations among four dimensions of food security. This analog was used by The State of Food Insecurity in the World 2013 (FAO, WFP and IFAD, 2013), to show the links from food production (availability) to household (accessibility) to individual (utilization). Accessibility contains physical (transport, infrastructure) and economic means (food purchasing power). It also involves socio-cultural access and preferences and its health effects and, with them the importance of social protection (HLPE, 2012). Stability thus emphasized the importance of bringing a time dimension, albeit short term, to food security. The topic of stability is taken up in the companion article (Anderson, 2018b). Apart from one-way pathways, the food security may also be considered circular, as there is a feedback loop from utilization to availability since human capital depends on optimal nutritional state for the workforce in agriculture and in all sectors of production (Berry et al., 2015). These concepts are summarized in Fig. 1. An important insight from this figure is the importance of food losses (from agriculture, post-harvest and distribution) and food waste (from processing and consumption in the household and community). Worldwide these may amount to one-third of the food available and is an obvious target for improving food security (HLPE, 2014). Reducing these amounts is a major challenge for securing world food availability in the future. From a systemic view obesity may also be considered a type of food waste.

Linking Food Security to Sustainability The notion of Sustainable diets links sustainability with food security to ensure holistic sustainable food systems, as can be seen from their respective definitions. Sustainable diets are defined as ones that “are protective and respectful of biodiversity and ecosystems, culturally acceptable, accessible, economically fair and affordable; nutritionally adequate, safe and healthy; while optimizing natural and human resources” (FAO, 2012). While “a sustainable food system “is a food system that ensures Food Security and Nutrition (FSN) for all in such a way that the economic, social and environmental bases to generate FSN for future generations are not compromised” (HLPE, 2014, 2017). The topic is taken up at some length in the article on Concepts of Food Sustainability (Anderson, 2018a). It has been internationally agreed that climate change is a threat to the sustainability of food security. However, the activities involved in food systems, account for some 20%–30% of all human-associated greenhouse gas (GHG) emissions, and, as such, contribute to climate change (Garnett et al., 2016a). There might be a trade-off relationship between decreasing humanassociated GHG and guaranteeing food security under current prevailing food system. Therefore, a systematic and integrated approach is needed, to meeting the short- and long-term requirements of FSN, meanwhile, to mitigating the negative environmental

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The Concept of Food Security

impact due to GHG from the activities involved in food system itself. Though what sustainable food systems actually look like is still unclear, our understanding is constantly evolving (Garnett et al., 2016b).

Definition of Food Insecurity Food Insecurity (FINS), on the other hand, will occur when there are problems at any one level in the food production-consumption pathway. The upstream dimension/level of FINS largely affects those downstream. The definition of FINS is “whenever the availability of nutritionally adequate and safe foods, or the ability to acquire acceptable foods in socially acceptable ways, is limited or uncertain” (Expert Panel, 1990). Food insecurity, as practically measured in the United States, is experienced when there is (1) uncertainty about future food availability and access, (2) insufficiency in the amount and kind of food required for a healthy lifestyle, or (3) the need to use socially unacceptable ways to acquire food (National Research Council, 2006). Apart from the most common constraint d lack of economic resources, food insecurity can also be experienced when food is available and accessible but cannot be utilized because of physical or other constraints, such as limited physical functioning of the elderly or disabled (National Research Council, 2006). However, with the emphasis on health equity, focus should be given to the people under the most disadvantaged conditions. They are under various natural and man-made stresses such as floods, droughts, conflicts and wars. They also have urgent demand for better coping strategies for food insecurity. Paradoxically, the groups of subjects most food insecure, such as migrants, displaced persons and homeless, are not usually included in surveys of food security, which consequently underestimate the problem.

Relationships Between Food Security and Food Insecurity Food security and food insecurity are dynamic, reciprocal and time dependent and the resultant status depends on the interaction between the stresses of food insecurity and the coping strategies to deal with them. The stresses of food insecurity may occur at any point along the food security pathway – Availability, Accessibility, Utilization and Stability. The elicited coping responses may take place at the national, household or individual levels. The two processes are inter-related linearly with re-iterative feedback loops such that stress leads to coping responses that may or may not be adequate, thereby requiring modifications in the coping strategies until food security is regained (Peng and Berry, 2018, manuscript under revision).

Measurement of Food Security Universal indicators for measuring food security are challenging. They need to be widely accepted as correct and reasonably objective and to be homogeneous across time and space. Different indicators may be applied to different levels of food security.

Indicators for Global Food Security Suitable indicators for global food security must be reliable, repeatable and available for the majority of countries of the world. There is, however, no accepted agreement as to what are the optimal ones for food security (Berry et al., 2015). The measurement of food security over the years by FAO was mostly based on energy deprivation and protein deficiency. Proposed originally by Sukhatme, FAO used the parametric indicator –prevalence of undernourishment d to monitor the food security in the world. The annual “The State of Food Insecurity in the World” report from FAO is considered the official release of the food insecurity worldwide. As concluded also by the International Scientific Symposium on Measuring Food and Nutrition Security, held in January 2012 at FAO, given the existing data, the prevalence of undernourishment remains one of the few indicators available with wide coverage and comparability across time and space. At the same time, it is well recognized that as a standalone indicator, prevalence of undernourishment is not able to capture the complexity of all the dimensions of food security and that a more comprehensive approach to the measurement is required (Berry et al., 2015). In recent years, FAO, the International Fund for Agricultural Development and the World Food Programme (FAO, WFP and IFAD, 2012, 2013) have proposed a suite of food security indicators, in which each food security dimension is described by a number of indicators. Efforts are also underway to summarize these indicators into aggregated indices. Table 1 summarizes indicators selected by FAO (FAO, WFP and IFAD, 2013) as best representing the dimensions of food security at present at the global level. These were chosen from numerous different indicators on the basis of their relevance, availability and frequency of measurement.

Indicators for Measuring Food Security at the Household Level Maxwell et al. summarized several categories of indicators of household food security (Maxwell et al., 2013), which have shown their cross-contextual application.

The Concept of Food Security Table 1

5

FAO suite of indicators for food security 2013

Food security domain

FAO suite of indicators for food security 2013

Level Availability National

Accessibility Household

Utilization

Stability/Vulnerability

Average dietary energy supply adequacy Average value of food production Share of dietary energy supply derived from cereals, roots and tubers Average protein supply Average supply of protein of animal origin Percentage of paved roads over total roads Road density Rail-lines density Domestic Food Price Level Index Prevalence of undernourishment Share of food expenditure of the poor Depth of the food deficit Prevalence of food inadequacy Access to improved water sources Access to improved sanitation facilities Percentage of children under 5 years of age affected by wasting Percentage of children under 5 years of age who are stunted Percentage of children under 5 years of age who are underweight Percentage of adults underweight Cereal import dependency ratio Percent of arable land equipped for irrigation Value of food imports over total merchandise exports Political stability and absence of violence/terrorism Domestic food price level index volatility Per Capita food production variability Per Capita food supply variability

FAO, WFP and IFAD (2013). The State of Food Insecurity in the World 2013: The Multiple Dimensions of Food Security. Rome: FAO.

Dietary Diversity and Food Frequency This category of indicators usually capture the number of different kinds of foods or food groups that people consume, and the frequency of consuming them. The result is a score, showing the diversity of diets. The Food Consumption Score (FCS) and the Household Dietary Diversity Score (HDDS) are two common indicators measuring dietary diversity (Maxwell et al., 2013; FANTA, 2006; FAO, 2010).

Spending on Food People who spend a greater proportion of expenditure on food, have been considered less secure in household food security (Maxwell et al., 2013; Smith et al., 2006).

Consumption Behaviors This category of indicators measures behaviors related to food consumption, thus capturing food security indirectly. The most widely known indicator in this category is the Coping Strategies Index (CSI), with a shortened version of “reduced CSI” (rCSI) (Maxwell and Caldwell, 2008). Another well know indicator is the Household Hunger Scale, applied in more severe behaviors (Maxwell et al., 2013).

Experiential Indicators Household Food Insecurity Access Scale (HFIAS) and a culturally-invariant subset of HFIASddHousehold Hunger Score (HHS) are capturing household behaviors signifying insufficient quality and quantity. Some international organizations, including USAID and FAO have adopted and promoted the HFIAS and HHS (Maxwell et al., 2013). Recently the Voices of Hunger or Food Insecurity Experience Scale (FIES) has been used in worldwide surveys (FAO, 2018).

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The Concept of Food Security

Self-assessment Measurement Introduced in recent years, and used by Gallup poll (Headey, 2011), these measures are highly subjective in nature and perhaps too easy to manipulate in survey. It is widely accepted that all these indicators represent some aspects of the multidimensional nature of food security. However, no single indicator captures the complete picture of household security. In addition to categorizing the indicators, Maxwell also compared these measurements and specified the dimensions denoted by each indicator (Maxwell et al., 2013).

Monitoring of Food Security (1990–2015) The 1996 World Food Summit assigned FAO the responsibility for monitoring progress towards the objective of the Plan of Actiondreducing by half the number of estimated undernourished people by year 2015. From the data release by the FAO, the overall prevalence of undernourishment has been decreasing from 14.8% in 2000 to 10.7% in 2015 (FAO, 2016), showing the overall improvement in global food security. However, in 2016, the number of chronically undernourished people in the world is estimated to have increased to 815 million, up from less than 800 million in 2015 (FAO, IFAD, UNICEF, WFP and WHO, 2017). This recent increase is a signal of a reversal of trends. The food insecurity has worsened in particular in parts of sub-Saharan Africa, South-Eastern Asia and Western Asia, and these deteriorations have been observed most notably in conflicts and conflict combined with droughts or floods. Climate change may also be implicated. The limitation of the current parameter for monitoring food security – prevalence of undernourishment– is that, it reflects only one of the triple-burden of malnutrition, namely undernourishment, micronutrient deficiency and over-nutrition. To demonstrate and compare the overall nutritional status at the global, regional and national levels, the Global Nutritional Index (GNI) has been developed (Rosenbloom et al., 2008) and updated (Peng and Berry, 2018). The overall trends of the GNI from 1990 to 2015 showed a decreased under-nutrition and increased over-nutrition, which has become a major cause of malnutrition worldwide (Peng and Berry, 2018). This trend poses new challenges to achieve overall food security and nutrition. A sustainable food system (HLPE, 2017) may be the framework to provide a possible solution. Food security, nutrition and sustainability are increasingly discussed in the same context. The integration of food security as an explicit part of the sustainability agenda would go a long way towards such a goal. The final common pathway of all these efforts is towards sustainable food security and nutrition for our planet.

References Anderson, J.R., 2018a. Concepts of food sustainability. In: Ferranti, P., Berry, E., Anderson, J.R. (Eds.), Encyclopedia of Food Security and Sustainability. Elsevier Concepts, Oxford. Anderson, J.R., 2018b. Concepts of food stability in food security. In: Ferranti, P., Berry, E., Anderson, J.R. (Eds.), Encyclopedia of Food Security and Sustainability. Elsevier, Oxford. Berry, E.M., Dernini, S., Burlingame, B., Meybeck, A., Conforti, P., 2015. Food security and sustainability: can one exist without the other? Public Health Nutr. 18, 2293–2302. Expert Panel of the American Institute of Nutrition & Life Science Research Office, 1990. FANTA, 2006. Household Dietary Diversity Score (HDDS) for Measurement of Household Food Access: Indicator Guide (Version 2). Food and Nutrition Technical Assistance Project (FANTA), Washington DC. FAO, 1983. World Food Security: A Reappraisal of the Concepts and Approaches. Director General’s Report. FAO, Rome. FAO, 1996. Rome Declaration on Food Security and World Food Summit Plan of Action. FAO, Rome. FAO, 2002. The State of Food Insecurity in the World 2001. FAO, Rome. FAO, 2008. Food Security Information for Action: Practical Guides. EC - FAO Food Security Programme, Rome. FAO, 2009. Declaration of the World Food Summit on Food Security. FAO, Rome. FAO, 2010. Guidelines for Measuring Household and Individual Dietary Diversity. FAO, Rome. FAO, 2012. Sustainable Diets and Biodiversity. FAO, Rome. Available at: http://www.fao.org/docrep/016/i3004e/i3004e.pdf. FAO, 2016. Prevalence of Undernourishment [Online]. World Bank Database. Available at: https://data.worldbank.org/indicator/SN.ITK.DEFC.ZS. FAO, 2018. The Food Insecurity Experience Scale. Voices of the Hungry [Online]. FAO. Available at: http://www.fao.org/in-action/voices-of-the-hungry/fies/en/. FAO, IFAD and WFP, 2015. The State of Food Insecurity in the World 2015. Meeting the 2015 International Hunger Targets: Taking Stock of Uneven Progress. FAO, Rome. FAO, IFAD, UNICEF, WFP and WHO, 2017. The State of Food Security and Nutrition in the World 2017– Building Resilience for Peace and Food Security. FAO, Rome. FAO, WFP and IFAD, 2012. The State of Food Insecurity in the World 2012: Economic Growth Is Necessary but Not Sufficient to Accelerate Reduction of Hunger and Malnutrition. FAO, Rome. FAO, WFP and IFAD, 2013. The State of Food Insecurity in the World 2013: The Multiple Dimensions of Food Security. FAO, Rome. Garnett, T., Smith, P., Nicholson, W., Finch, J., 2016a. Food Systems and Greenhouse Gas Emissions (Food Source: Chapters). Food Climate Research Network, University of Oxford. Garnett, T., Smith, P., Nicholson, W., Finch, J., 2016b. Overview of Food System Challenges (Foodsource: Chapters). Food Climate Research Network, University of Oxford. Headey, D., 2011. Was the Global Food Crisis Really a Crisis? Simulations versus Self-reporting. IFPRI, Washington DC. HLPE, 2012. Social Protection for Food Security. HLPE Report 4. A report by the High Level Panel of Experts on Food Security and Nutrition of the Committee on World Food Security (HLPE), Rome. HLPE, 2014. Food Losses and Waste in the Context of Sustainable Food Systems. Report 8. A report by the High Level Panel of Experts on Food Security and Nutrtion of the Committee on World Food Security (HLPE), Rome. Available at: http://www.fao.org/3/a-i3901e.pdf. HLPE, 2017. Nutrition and Food Systems. HLPE Report 12. A report by High Level Panel of Experts on Food Security and Nutrtion of the Committee on World Food Security (HLPE), Rome. Maxwell, D., Caldwell, R., 2008. The Coping Strategies IndexdA Tool for Rapid Measurement of Household Food Security and the Impact of Food Aid Programs in Humanitarian Emergencies Field Methods Manual, second ed. USAID, WFP, CARE, Feinstein International Center, TANGO.

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Maxwell, D., Smith, M., 1992. Household food security: a conceptual review. In: Maxwell, S., Frankenberger, T.R. (Eds.), Household Food Security: Concepts, Indicators, Measurements: A Technical Review. UNICEF and IFAD, New York and Rome. Maxwell, D., Caldwell, R., Langworthy, M., 2008. Measuring food insecurity: can an indicator based on localized coping behaviors Be used to compare across contexts? Food Policy 33, 533–540. Maxwell, D., Coates, J., Vaitla, B., 2013. How Do Different Indicators of Household Food Security Compare? Empirical Evidence from Tigray. Feinstein International Center, Tufts University, MA, USA. National Research Council, 2006. Food Insecurity and Hunger in the United States: An Assessment of the Measure. National Research Council, Washington, DC. Peng, W., Berry, E.M., 2018. Global Nutrition 1990–2015: a shrinking hungry, and expanding fat world. PLoS One 13, e0194821. Rosenbloom, J.I., Kaluski, D.N., Berry, E.M., 2008. A global nutritional index. Food Nutr. Bull. 29, 266–277. Shaw, D.J., 2007. World Food Security. A History since 1945. Palmgrave Macmillan, New York. Smith, L., Alderman, H., Aduayom, D., 2006. Food Insecurity in Sub-saharan African: New Estimates from Household Expenditure Surveys. Research Report 146. IFPRI, Washington DC. UN Development Programme, 1994. Human Development Report. Oxford University Press, Oxford and New York. United Nations, 1975. Report of the World Food Conference, Rome, 5–16 November 1974. United Nations, New York. World Bank, 1986. Poverty and Hunger: Issues and Options for Food Security in Developing Countries. World Bank, Washington, DC.

Concepts of Stability in Food Security Jock R Andersona,b, a University of New England, Armidale, Australia; and b Georgetown University, Washington, D.C., United States © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Availability Production Food Prices and Stocks Other Availability Issues Related to Stability Access Dealing With the Downside Risks of Food Instability Utilization Conclusion References Relevant Websites

8 8 9 10 10 12 12 13 13 14 14 15

Abstract Many elements of food systems are inherently unstable, therefore analysts of food security and sustainability should give careful attention to the dimension of stability. Such attention ranges over the many factors that cause variability in the availability of foodstuffs, such as those related to unpredictable variations in weather that influence agricultural productivity, the uncertain incidence of pestilence or the uncertain outcomes of human-determined farming processes. The issue of access involves other uncertainties too, notably instabilities in agricultural markets as reflected in variable food prices. Appropriate monitoring arrangements must be developed to drive effective early warning systems the better to handle emerging food emergencies, which in a warming world are likely to become more frequent in many parts of the world. As the human population of the world continues to grow in coming decades so too will the challenge of improving food security and sustainability. Providing targeted and flexible food safety nets to ensure access to healthy diets and national nutrition security will thus continue to be a vital aspect of policy work, well informed intervention, and cogent investment at multiple levels from local to international.

Introduction There are several reasons why this encyclopedia on Food Security and Sustainability should feature an article on “stability”; one is the high frequency of mentions in discussions of food crises of the need to foster greater “peace and stability”, especially in conflict zones (Barrett, 2013). At another extreme, stability could be a concept to describe how a particular parcel of a foodstuff might fare under stressful environmental conditions such as during transit or storage in a household. But a more compelling and central reason is that one arising from the 1996 World Food Summit. The Committee on World Food Security (CFS) and FAO in many of its publications in the past two decades has noted wide agreement on the importance of the declared four “dimensions” or “pillars” of food security: food availability, economic and physical access to food, food utilization, and stability over time. The availability, access and utilization dimensions are dealt with at length in the article on The Concept of Food Security (Peng and Berry, 2018); the present article focused on stability (or lack of it) is intended to complement that discussion. Aspects of availability, access and utilization are also naturally addressed in many other articles in this Major Reference Work (MRW). As a “dimension”, stability is of a character somewhat different from that of the other three components in that it is conceived as applying to them a time dimension; availability and access from the outset, and also utilization, in the past decade or so, and the ability to withstand future shocks to food security (vulnerability). As with all the so-called dimensions there is considerable challenge in finding widespread agreement on the particulars of how they may be measured and applied in analysis of food security phenomena and policies. Clearly the general notion of stability is important for all parties concerned about food security and sustainability, and the related aspect of resilience (e.g., Barrett and Headey, 2014), even if there may be little consensus on details and data. There are many parallels with reflections on the notion of sustainability in food systems (e.g., Anderson, 2018). This article does not attempt to resolve these disagreements and the many inherent uncertainties surrounding the concepts of stability, a task beyond the scope possible in this MRW. Rather, several of the conceptual and measurement challenges around this broad concept are canvassed by considering the interactions with the other dimensions, and conceptual and empirical issues at various levels, from individual to global perspective.

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Encyclopedia of Food Security and Sustainability, Volume 2

https://doi.org/10.1016/B978-0-08-100596-5.22315-9

Concepts of Stability in Food Security

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Availability The availability of sufficient quantities of food of appropriate quality, supplied through domestic production or imports (see articles on trade), including food aid and post-disaster food interventions, is clearly a fundamental consideration in evaluating food security (e.g., Runge et al., 2003; Barrett, 2013; Anderson, 2016). The environments in which food is produced are naturally variable in their productivity, over time and space, through the many often highly erratic elements of climate such as rainfall, and of biophysical reality such as the incidence of pests and diseases, the incidence of weather extremes such as wind or precipitation, which impinge on producers, large and small, rich and poor, as they strive to implement their typically varying farm management plans (Hardaker et al., 2015). FAO assembles data many and varied sources to inform the world on various aspects of food security, including, since 2017, a collection of indicators recommended by the Committee on World Food Security (CFS, overviewed in Table 1). The diverse indicators are surely less than ideal for coming to grips with the harsh realities of food insecure situations but they are driven importantly by availability of comparable and reasonably reliable data. In this article the focus is only on those directly concerning stability. Space forbids detailed consideration of all the indicators being deployed by FAO. Here the initial attention is given to the indicator (item 1.3.6 in the FAO data reported in 2018 as per the footnote to Table 1): per capita food supply variability as reported nationally and variously aggregated, by way of concrete illustration of the nuts and bolts of such computations, focused as is typically the case on food energy to the neglect of other nutrients such as protein, vitamins and minerals. Pragmatic considerations Table 1

Food security indicators according to FAO

Food security indicators Availability Average dietary energy supply adequacy Average value of food production Share of dietary energy supply derived from cereals, roots and tubers Average protein supply Average supply of protein of animal origin Access Rail lines density Gross domestic product per capita (in purchasing power equivalent) Prevalence of undernourishment Prevalence of severe food insecurity in the total population Depth of the food deficit Stability Cereal import dependency ratio Percent of arable land equipped for irrigation Value of food imports over total merchandise exports Political stability and absence of violence/terrorism Per capita food production variability Per capita food supply variability Utilization Access to improved water sources Access to improved sanitation facilities Percentage of children under 5 years of age affected by wasting Percentage of children under 5 years of age who are stunted Percentage of children under 5 years of age who are overweight Prevalence of obesity in the adult population (18 years and older) Prevalence of anemia among women of reproductive age (15–49 years) Prevalence of exclusive breastfeeding among infants 0–5 months of age Additional useful statistics Total population Number of people undernourished Number of severely food insecure people Minimum Dietary Energy Requirement (MDER) Average Dietary Energy Requirement (ADER) Coefficient of variation of habitual caloric consumption distribution Skewness of habitual caloric consumption distribution Incidence of caloric losses at retail distribution level Dietary Energy Supply (DES) Average fat supply Source: FAO Website http://www.fao.org/economic/ess/ess-fs/ess-fadata/en/#.WslYBijwbDc.

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Concepts of Stability in Food Security

necessitate several simplifying and seemingly rather arbitrary statistical decisions. The intuitively significant per capita food supply variability compares the variations of the food supply across countries and time. Please note that per capita food availability does not indicate what is actually consumed by different sections of the population. According to the conventions developed in Food Balance Sheets: A Handbook (FAO, 2001), supply (Section II.2) is defined as: Production þ imports - exports þ changes in stocks (decrease or - for increase) ¼ supply for domestic utilization. The series once assembled over time is de-trended. The differences between the trend and the actual values are then calculated. Last, the volatility for a specific year is defined as the standard deviation of these differences, taken rather arbitrarily over the previous five years. Some specifics are noted for the 2018 tabulations on the FAO Website http://www.fao.org/economic/ess/ess-fs/ ess-fadata/en/#.WslYBijwbDc. The reported measure of the standard deviation unsurprisingly tends to be lower the greater the level of aggregation. For the 2013 observations, for illustrative instance, the data for three (average consumer) illustrative cases, World, Low-Income Food Deficit Countries and Egypt, are 7, 19, and 30 kcal/cap/d, respectively. Intuitive understanding of this absolute measure of volatility (variation, variability, dispersion, instability) may not come easily so it is often modified to a relative measure by dividing it by a measure of central tendency, usually the mean or average level of supply, whence it becomes a coefficient of variation (CV). The respective means for 2013–15 (from tabulated indicator item A9) are 2889, 2452 and 3524 kcal/cap/d, respectively, and so the CVs are 0.002, 0.008 and 0.009, respectively, which reflect the stabilizing influence of trade and stock management as well as the mentioned spatial pooling through the various levels of aggregation. They may seem remarkably small when compared with CVs of national crop production often around 0.1–0.2 (Anderson and Hazell, 1989) or for a particular farm of around 0.3–0.4 for a dryland wheat crop in Australia (Anderson et al., 1989). As has been well argued by FAO, IFAD and WFP (2013, p 23) there is an important interplay among the elements of Eq. (1), namely production, trade and stocks; each is crucial in food security management. Trade is addressed by Kym Anderson (2013) and in the article by Kym Anderson (2018), and production and stocks are discussed below.

Production The stability of food production has been an issue since the dawn of agriculture. Indeed, the history of agricultural development has largely been with successfully dealing with innovations to reduce the risks and causes of instability, most recently engaging mobile telephony and satellite monitoring. In the past few decades much innovation has been brought to bear through crop and animal genetic improvement as well as better resource management practices, such as of water, soil fertility and dealing with pests, diseases and weeds. In the decades encompassing the Green Revolution, critics of modern varieties (MVs) have suggested that, in developing countries, yields of these varieties vary more from season to season than yields of farmers’ traditional varieties, thereby exposing producers and consumers to greater risk. This idea was explored by Anderson et al. (1987) in brief, and by Anderson and Hazell (1989) at some length across a wide range of countries and major cereal crops including rice, and informatively revisited globally for wheat and maize by Gollin (2006). The studies suggest that, over the past 40 years, the relative variability of grain yieldsdthat is, the absolute magnitude of deviations from the yield trenddhas declined for both wheat and maize in developing countries, and that the reduction is statistically associated with the spread of MVs, even after taking into account expanded use of irrigation and other inputs. Of course, area changes also contribute to the instability of production but these are much less important than variability in yields. In short, largely through successful investment in agricultural research, the stability of staple food crop production has been enhanced greatly over recent decades and it is to be hoped that revived such investment will continue this worthy process, despite the challenges of climate change, and the continuing need to develop cultivars with greater drought, flood and salt tolerance, as well as resistance to evolving pests and diseases. In all of this, continued progress in agricultural research, especially in plant breeding and genetic improvement, will be critical to addressing future needs for yield growth and stability (Alston et al. 2009; Alston and Pardey, 2017). Fischer et al. (2014) have most effectively articulated the disappointing recent progress in yield enhancement, as well as the need to accelerate challenging advances in order to meet future needs in supporting food security (e.g., Anderson et al., 1988).

Food Prices and Stocks Increases during 2007/08 in the prices of many major staple food commodities came as a shock to consumers and governments. Many urban consumers, alarmed by jumps in the cost of their basic foods, participated in protests, often violent, that climaxed at about the time world grain prices peaked, in the middle of 2008. Some demonstrations were serious enough to threaten to destabilize their governments. Millions of the world’s poor were forced to reduce their daily food energy (calorie) consumption. Since then, policy analysis focus has switched from short-term tactics for crisis management to strategies to manage price volatility and assure that consumers worldwide are not denied access to the grain they need through chaos in world grain markets. Suggestions for global grain reserves have figured prominently in international discussions (e.g., Wright, 2011, 2012), including proposals for special emergency reserves, international reserves, and even to “virtual reserves” controlled via commodity futures and options trading (e.g., von Braun and Torero, 2009). Many questions persist about the nature of food-price surges and the underlying causes but many such questions have been well addressed by thoughtful analysts (e.g., those assembled by Chavas et al., 2014). Is there a new regime characterized by more volatile,

Concepts of Stability in Food Security

11

and perhaps higher, commodity prices? A review of grain price histories reveals that the deflated prices of food grains have followed downward long-run trends, interspersed by episodes of steep price increases, followed by even more precipitous falls. Therefore the recent price spikes do not seem exceptionally abnormal. Relative to the other episodes experienced over the past 40 years, the real grain price volatility of the past decade has not been particularly high. And as Baldos and Hertel (2016) have argued, it seems likely that the long-run downward trend will soon resume, notwithstanding likely changes induced by global warming and related pessimism articulated by Rosegrant et al. (2013) and cautiously reflected by IFPRI (2017, 2018). Among the significant changes that led up to the grain price spikes of 2007/08 were sustained rapid increases in income in many economies, including some large ones such as China and India, which increased grain demand, especially for animal feeds. Public support for biofuel production was a large and persistent shifter of demand for maize and oilseeds (de Gorter et al., 2015), whereas funding of production-oriented crops research was neglected (Alston and Pardey, 2017). Their net effect was rather a progressive tightening of the aggregate supply-demand balance for major grains in the preceding years. Unpredictable factors in 2006–8 included the boost in biofuel production beyond anticipated levels, induced by a spike in petroleum prices, the unprecedented extension of the Australian drought over several years, other regional production problems, transport cost increases and exchange rate movements contributed significantly to price rises in global markets made vulnerable by lack of adequate stocks. Finally, the sequence of export controls, taxes and bans adopted by key exporters beginning in the thin global rice market in late 2007, initially in response to consumer concerns about wheat supplies, turned market anxiety into panic (Martin and Anderson, 2012). Accumulation of stocks when price is low can prevent steep price slumps. Disposal of these stocks when price is high can smooth price spikes, but of course only as long as stocks are available. In a competitive market, short hedgers perform these functions, holding carryover stocks when the expected price covers the cost of storage and interest. When stocks run out, aggregate use must adjust to any negative supply disturbances. Less grain then goes to feed animals or produce biofuel, and the poorest consumers must likely reduce their food energy consumption, incurring the discomfort of hunger or even starvation. The demand of wealthier consumers is much less responsive to increased food prices. When stocks are at minimum levels, large price changes are needed to induce aggregate consumption to adjust to even relatively small shocks. There are at least two related problems associated with total reliance on private storage for national food supplies. The first is that only those who have the necessary resources can acquire food via the market. The second is that, in a food emergency (such as the one experienced in many countries in 2008), governments are often pressured by anxious consumers to take actions against “hoarders” that serve to reduce private storage (e.g., Economist, 2015). It is natural to think of storage policies aimed at ensuring a minimum consumption level for all. A large international grain reserve to mitigate global food supply crises could, in principle, economize on stocks and storage costs in providing a globally adequate amount of storage, and help maintain the valuable stabilizing role of free international trade in grains (Anderson, 2018), a role that goes beyond just food energy to other key nutrients (Wood et al., 2018). Unfortunately, in spite of much discussion over the past several decades, such an ambitious scheme appears to be infeasible, and seemingly must await greatly improved agreements for guaranteeing, yet unprecedented, international collaboration during food emergencies. Given the likely infeasibility in our lifetimes of creating and operating such a global grain reserve, importing governments will naturally consider national strategic reserves as part of a policy for domestic food security. If these reserves are designed to meet quantitative targets for distribution of food on the basis of need, such as “food for work” and targeted feeding programs (see Food Emergency Operations after Natural Disasters and other articles in this MRW), and only in severe emergencies, their disincentive effects on private traders and storers will be less severe. Choice of the size of the reserve is quite a challenge that involves a trade-off between the degree of food security created and the cost of storage that includes importantly the considerable interest on the capital tied up in the stock (Williams and Wright, 1991). One class of policies aims to operate by limiting price volatility. Focusing on price, as discussed below, is less effective in ensuring food security for the vulnerable than focusing on their consumption. Use of price-band rules to operate international or domestic market stabilization schemes has the advantage of transparency. But the effects on the behavior of prices and aggregate costs of operation are much less straightforward than often assumed. The price tends to hover at or near the upper or lower bound of the band (the “ceiling” or the “floor” price). The overall effect on volatility, relative to competitive storage, is usually ambiguous (e.g., Anderson et al., 1977). Release of stocks at the ceiling price serves to smooth down price peaks as long as stocks are available, but anticipation of this discourages private storage as price rises to the ceiling, and suppresses the stabilizing production response to anticipated shortages. Theory predicts, and experience with international commodity agreements confirms, that these programs inevitably fail (Townsend, 1977, but see the optimistic more recent and revisionist perspective of Gouel, 2014). The emergence of domestic biofuel demand and the global surge in animal feeding have likely reduced stock levels relative to what may have otherwise prevailed, but also offer novel possible opportunities for stabilization. Wright (2011) has argued that option agreements with domestic biofuel producers and animal feeders could guarantee mutually advantageous diversion of grain from biofuel production to human consumption, in specified severe food crises. If severe crises are relatively infrequent, such options might be more effective than domestic storage. Wright (2012) has also argued that available empirical evidence does not support claims that noncommercial traders have increased the volatility of grain prices. Nor has a cogent rationale been presented for intervention against long-run noncommercial traders, including index traders, in grain futures markets. Better collection and sharing of information on global grain stocks and production prospects could improve the international response to regional or global shortages as they develop, and help prevent the onset of market panic (Wright, 2009), as further noted in the section below on prices. There has been much development in this regard in the recent past, surely facilitated by enhanced ICTs (Anderson, 2018).

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Concepts of Stability in Food Security

Other Availability Issues Related to Stability The above discussion is mostly at a macro level, as is the majority of the literature on this theme (e.g., Anderson and Scandizzo, 1984), and thus does not recognize the more dramatic risks faced at more micro levels such as communities or households or individuals. Food stability refers to the ability to obtain food over time. Food insecurity can be transitory, seasonal, or chronic. In transitory food insecurity, food may be unavailable during certain periods of time. At the food production level, natural disasters, including drought, can result in crop failure and decreased food availability, as exemplified by Anderson and Roumasset (1996). Civil conflicts and geo-political confrontations can also decrease access to food. Instability in markets resulting in food-price spikes can cause transitory food insecurity. Other factors that can temporarily cause food insecurity are loss of employment or productivity, which can be caused by illness or injury. Seasonal food insecurity can result from the regular pattern of growing seasons in food production. Chronic (or permanent) food insecurity is defined as the long-term, persistent lack of adequate food. In this case, households especially the marginalized members of society are constantly at risk of being unable to acquire food to meet the needs of all members. Chronic and transitory food insecurities are linked, since the re-occurrence of transitory food security can make households more vulnerable to chronic food insecurity.

Access There are several aspects of access influenced by stability (or lack of it) as suggested by the indicators (Table 1) but here attention is first given to an information aspect, namely, the prices of foodstuffs, where economic access is the dominant consideration. Food prices do not feature explicitly in the FAO indicators of food security, yet they surely are highly relevant to many of those that are tracked. FAO produces a monthly World Food Situation report, which includes a Food Price Index introduced in 1996, http://www. fao.org/worldfoodsituation/foodpricesindex/en/, as well as other price indices for specific food commodity groups (e.g., Fig. 1). The technicalities of the updated procedures are detailed in FAO (2018). Other concerned international agencies produce similar price tracking data. There are now many. Let this brief overview begin with the IFPRI-managed food security Portal: http://www.foodsecurityportal.org/policy-analysis-tools/excessive-food-pricevariability-early-warning-system. IFPRI’s food security portal notes that the tools presented provide a visual representation of historical periods of excessive global price volatility from 2000-present, as well as a daily volatility status. This status can alert policymakers to when world markets are experiencing a period of excessive food-price volatility; this information can then be used to determine appropriate country-level food security responses, such as the release of physical food stocks or buying new imports. This portal also reports on other important sources of highly relevant information that should be helpful to policy makers:

•

Famine Early Warning System Network (FEWS Net): Established by the United States Agency for International Development (USAID), FEWS Net provides evidence-based early warning information and analysis on acute food insecurity in order to help policymakers and relief agencies plan for and respond to humanitarian crises more effectively. FEWS Net covers more than 36 of the world’s most food-insecure countries and provides a range of publications, including monthly reports on current and

FAO Food Commodity Price Indices 2002–2004=100 320

265 Sugar Dairy 210 Vegetable oils 155 Cereals

Meat

100 M A M J J A S O N D J F M 2017 2018 Figure 1

FAO Food Commodity Indices April 2018. Source: http://www.fao.org/worldfoodsituation/foodpricesindex/en/.

Concepts of Stability in Food Security

• • •

13

projected food insecurity, alerts on emerging crises, and specialized reports on weather and climate, markets and trade, agricultural production, nutrition, and food assistance needs. FAO Global Information and Early Warning System (GIEWS): GIEWS monitors food supply and demand and other key food security indicators at the country level in order to provide early warnings of impending national and regional food crises. GIEWS also builds national capacities to collect and manage food security-related information and to enact evidence-based policy decisions. FAO’s Early Warning - Early Action (EWEA) System: The EWEA system translates early warnings of food security crises into anticipatory action to help reduce the impact of disasters. The system consolidates available data and forecast information in order to help FAO and partnering countries and development agencies prepare a plan of action to respond to impending crises. The EWEA system produces quarterly reports that monitor major global risks to agriculture and food security. Integrated Food Security Phase Classification (IPC): The IPC system provides a standardized scale integrating food security, nutrition, and livelihood information to produce a clear statement regarding the nature and severity of food insecurity, as well as implications for potential strategic responses to periods of food crisis. The IPC is currently used in over 25 countries in Latin America, Africa, and Asia.

A major multi-agency information sharing effort, largely funded by the World Bank, which itself had for several years up to 2015 provided a now discontinued Food Price Crisis Observatory that produced regular Food Price Watch reports, is the:

•

Agricultural Market Information System (AMIS): The AMIS Secretariat is formed by the following international organizations and entities: FAO, GEOGLAM, IFPRI, IFAD, IGC, OECD, UNCTAD, the UN High Level Task Force (UN-HLTF), the World Bank Group, WFP, and WTO. Contributions from the International Organizations to the fulfilment of the functions of the Secretariat reflect those organizations’ comparative advantage and expertise. The Secretariat, housed in FAO headquarters in Rome, supports all functions of the Forum and the Information Group of AMIS. It is governed by a Steering Committee that unites representatives from each of the eleven member organizations.

Finally, in an already considerable list, the Bill and Melinda Gates Foundation (BMGF) and UKaid have supported a UK-based monitoring effort organized through a Global Panel on Agricultural and Food Systems for Nutrition, which produced a 2016 Policy Brief on Managing Food Price Volatility: Policy Options to Support Healthy Diets and Nutrition in the Context of Uncertainty (Global Panel, 2016). Just how well understanding of food instability and insecurity situations has been effectively helped by such information gathering and sharing is yet difficult to judge and there is evidently a strong need for continuing studies such as those of Timmer (2010, 2015), Galtier (2013), and Gouel (2014) and others assembled by Chavas et al. (2014), and, of course, the annual analyses such as FAO, IFAD and WFP (2013, 2014) and FAO, IFAD, UNICF, WFP and WHO (2017), often simply referred to as a SOFI.

Dealing With the Downside Risks of Food Instability The management of households, businesses and economies involves dealing with downside risks (World Bank, 2013), including those challenging ones associated with low supplies of, or high prices of, food (e.g., Global Panel, 2016). Individual food consumers may need some type of community assistance to successfully avoid extreme outcomes such as hunger or even starvation. Societies have evolved many informal mechanisms for providing needed assistance. Here a brief mention is made of formal mechanisms for public provision of assistance such as safety nets of various types, usually alluded to as a form of social protection (SP) system. Arrangements for SP vary widely around the world, as documented by World Bank (2012) in its SP strategy, for instance. In 2012, the World Bank also launched an Atlas of Social Protection with Indicators on Resilience and Equity (ASPIRE) as a first near-global compilation of data from household surveys documenting social protection. It provides a worldwide, although not universal, overview of social protection coverage, targeting, and impacting on well-being by identifying countries’ social protection programs, harmonizing core indicators, and considering people’s well-being. Lowder et al. (2017) more recently quantify the highly limited scope of SP in the low-income countries where it is most needed to deal with poverty related issues (including food insecurities, although such are not explicitly addressed). Tirivayi et al. (2016) note the rather unsatisfactory state of cogent data on SP and call for further study of the issue through targeted data collection. FAO produces many reports (e.g., HLPE, 2012; FAO, 2015) that document the diverse arrangements for delivering SP, such as conditional cash transfers (especially popular in Latin America), public work programs (common in South Asia), school feeding programs, and livelihood-related insurance. Recent years have seen much innovative work on developing index-based weather insurance, an instrument that, for instance, links payouts to a local rainfall index that is closely correlated with local crop yields (e.g., Greatrex et al., 2015; Hess et al., 2016). See also the article on National Policies and Programs for Food Security and Sustainability.

Utilization Explicit analyses of stability aspects per se of utilization are few if any but the case is cryptically included here for completeness of the intersection of the four dimensions of food security. Were they to be done they would explore such matters as the lack of stable access to reliable and safe drinking water and proper sanitation facilities, the uncertain incidence of diseases of the

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Concepts of Stability in Food Security

digestive tract, or the continuity of access to competent health care. Other articles in this MRW address such issues and for brevity they are not taken up here.

Conclusion There are many elements of food systems that are inherently unstable and it is thus crucial that analysts of food security and sustainability should give due attention to the dimension of stability. Such attention ranges over the many factors that cause variability in the availability of foodstuffs, such as those related to unpredictable variations in weather and natural and manmade disasters that influence agricultural productivity, the uncertain incidence of pestilence or uncertain outcomes of human-determined farming processes. Other uncertainties pervade the issue of access, notably instabilities in agricultural markets, for instance, as reflected in variable food prices. Attention thus must also be paid to these through the development of appropriate market monitoring arrangements to drive effective early warning systems the better to handle emerging food emergencies, which in a warming world are likely to become more frequent in many parts of the world, especially in the tropics and sub-tropics. As the human population of the world continues to grow in coming decades, so too will the challenge of improving food security and sustainability. Providing targeted and flexible food safety nets to ensure access to healthy sustainable diets and national nutrition security will thus continue to be a vital aspect of policy work, well informed intervention, and cogent investment at multiple levels from local to international.

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International Food Policy Research Institute (IFPRI), Washington, D.C., pp. 187–194 (Chapter 20). http://ebrary.ifpri.org/cdm/ref/collection/p15738coll2/id/128457 Chavas, J.-P., Hummels, D., Wright, B., 2014. The Economics of Food Price Volatility. University of Chicago Press, Chicago. de Gorter, H., Drabik, D., Just, D.R., 2015. The Economics of Biofuel Policies: Impacts on Price Volatility in Grain and Oilseed Markets. Palgrave Macmillan, New York. Economist, 2015. Rice in Asia: Paddy-whacked: By Meddling in the Market for Rice, Asian Governments Make Their Own Citizens Poorer. The Economist, London. FAO, 2001. Food Balance Sheets: A Handbook. FAO, Rome. FAO, IFAD, WFP, 2014. The state of food insecurity in the world 2014: Strengthening the enabling environment for food security and nutrition. FAO, Rome. FAO, 2015. Nutrition and Social Protection. FAO, Rome. FAO, IFAD, UNICEF, WFP, WHO, 2017. 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Hess, U., Hazell, P., Kuhn, S., 2016. Innovations and Emerging Trends in Agricultural Insurance: How Can We Transfer Natural Risks Out of Rural Livelihoods to Empower and Protect People? GIZ, Eschborn. HLPE, 2012. Social Protection for Food Security. A Report by the High Level Panel of Experts on Food Security and Nutrition of the Committee on World Food Security. FAO, Rome. IFPRI, 2017. Global Food Policy Report 2017. IFPRI, Washington, D.C. IFPRI, 2018. Global Food Policy Report 2018. IFPRI, Washington, D.C. Lowder, S.K., Bertini, R., André, C., 2017. Poverty, social protection and agriculture: levels and trends in data. Glob. Food Secur. 15, 94–107. Martin, W., Anderson, K., 2012. Export restrictions and price insulation during commodity price booms. Am. J. Agric. Econ. 94, 422–427. Peng, W., Berry, E.M., 2018. The concept of food security. In: Ferranti, P., Berry, E., Anderson, J.R. (Eds.), Encyclopedia of Food Security and Sustainability. Elsevier, Oxford. Rosegrant, M.W., Tokgoz, S., Bhandary, P., 2013. The New Normal? a tighter global agricultural supply and demand relation and its implications for food security. Am. J. Agric. Econ. 95 (2), 303–309. https://doi.org/10.1093/ajae/aas041. Runge, C.F., Senauer, B., Pardey, P.G., Rosegrant, M.W., 2003. Ending Hunger in Our Lifetime: Food Security and Globalization. Johns Hopkins University Press, Baltimore. Timmer, C.P., 2010. Reflections on food crises past. Food Policy 35 (1), 1–11. Timmer, C.P., 2015. Food security and scarcity: why ending hunger is so hard. University of Pennsylvania Press, Philadelphia. Tirivayi, N., Knowles, M., Davis, B., 2016. The interaction between social protection and agriculture: a review of evidence. Glob. Food Secur. 10, 52–62. Townsend, R.M., 1977. The eventual failure of price fixing schemes. J. Econ. Theory 14 (1), 190–199. von Braun, J., Torero, M., 2009. Implementing Physical and Virtual Food Reserves to Protect the Poor and Prevent Market Failure. IFPRI Policy Brief No. 10. International Food Policy Research Institute, Washington, D.C. Williams, J.C., Wright, B.D., 1991. Storage and Commodity Markets. Cambridge University Press, Cambridge. World Bank, 2012. Resilience, Equity, and Opportunity: The 2012–2022 Social Protection and Labor Strategy. World Bank, Washington, D.C. World Bank, 2013. Risk and Opportunity: Managing Risk for Development. World Development Report 2014. World Bank, Washington, D.C. Wood, S.A., Smith, M.R., Fanzo, J., Remans, R., DeFries, R.S., 2018. Trade and the equitability of global food nutrient distribution. Nat. Sustain. 34 (1), 34–37. www.nature.com/ natsustain. Wright, B., 2009. International Grain Reserves and Other Instruments to Address Volatility in Grain Markets. Policy Research Working Paper 5028. World Bank, Washington, D.C.. http://documents.worldbank.org/curated/en/375561468336329144/pdf/WPS5028.pdf Wright, B.D., 2011. The economics of grain price volatility. Appl. Econ. Perspect. Policy 33 (1), 32–58. https://doi.org/10.1093/aepp/ppq033. Wright, B.D., 2012. International Grains reserves: and other instruments to address volatility in grain markets. World Bank Res. Observer 27 (2), 222–260. https://doi.org/10.1093/ wbro/lkr016.

Relevant Websites http://www.fao.org/worldfoodsituation/foodpricesindex/en/. Various FAO-based perspectives, especially from a nutrition-sensitive angle, are available, e.g., http://www.fao.org/3/a-i5021e.pdf. http://www.fao.org/3/a-i4819e.pdf. http://glopan.org/sites/default/files/document-files/Food%20Price%20Volatility%20Brief.pdf. http://glopan.org/Food-Price-Volatility. http://www.worldbank.org/en/topic/socialprotection/overview#2.

Changing Food Consumption Patterns and Their Drivers John M Kearney, Dublin Institute of Technology (DIT), Dublin, Ireland © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Temporal Changes in Food Consumption Changing Food Consumption Globally and Inlow/Middle-Income Countries Meat and Animal Source Foods Fish Legumes, Pulses, Roots and Tubers Sugar, Sugar Products and Vegetable Oils Converging Diets The Nutrition Transition in Low/Middle Income Countries Changing Food Consumption in High-Income Countries Drivers of Changing Food Consumption Patterns Globalization Urbanization Economics –Income and Food Prices Food Distribution and Retail – Supermarkets Advertising and Mass Media Consumer Attitudes, Preferences and Behaviour Consequences to Health of the Recent Changing Food Consumption Patterns Challenges in Addressing These Recent Changes Infood Consumption Conclusions References Further Reading Relevant Websites

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Abstract Food consumption patterns have changed profoundly over the last 50 years as the world population continues to rise. At the same time, malnutrition still exists in many countries of the world as undernutrition, micronutrient deficiencies and overweight and obesity. In order to improve food and nutrition security in a sustainable manner, it is necessary to have a clear picture of the changing food patterns not just globally but also for different regions and countries of the world. The typical “Western” diet prevalent in high-income countries is characterised by a diet that is relatively high in fat and low in carbohydrates when compared to the typical diet of most low income countries. Diets in low and middle income countries are changing rapidly, driven by urbanisation, income growth, food distribution and retail technology, increased trade and food price policies. This paper will examine recent food consumption patterns as well as the principal drivers of these changes in food consumption. More than ever, the challenge for food production systems is for sustainable food systems that are optimal for health.

Introduction Food consumption patterns have changed profoundly over the last 50 years as the world population continues to rise reaching a projected 9 billion by 2050 (Kearney, 2010). At the same time, malnutrition still exists in many countries of the world as undernutrition, micronutrient deficiencies and overweight and obesity collectively known as the ‘triple burden’ of malnutrition (FAO, 2017). This paper will examine recent food consumption patterns as well as the principal drivers of these changes in food consumption. The changes in food consumption over time and the factors responsible for these patterns will be examined in both low/middle income countries and high income countries as these highlight not only marked differences in food consumption trends but also different underlying drivers and consequences as outlined in Fig. 1.

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Encyclopedia of Food Security and Sustainability, Volume 2

https://doi.org/10.1016/B978-0-08-100596-5.21988-4

Changing Food Consumption Patterns and Their Drivers

Low/Middle Income Countries Hidden Hunger

High Income Countries Obesity/ NRCD

Under nutrition

Obesity

17

Behavioural change pattern – a move towards a diet with reduced fat and increased fruit and vegetables, fiber. Novel and organic foods – NUTRITION TRANSITION stage 3

Triple Burden of Malnutrition A move from a starchy, low fat diet with little variety to energy dense diets high in sugar and fat and with more diversity – NUTRITION TRANSITION stage 2

Drivers Drivers

Increased incomes

Internal Migration Figure 1

Urbanization

Trade

Economic growth Food processing/ technology

Trade

Globalization

Ageing population

Food processing/ technology

Consumer Attitudes/ Behaviour

Schema of the drivers and consequences of the nutrition transition in low/moderate and high income countries.

Temporal Changes in Food Consumption Changing Food Consumption Globally and Inlow/Middle-Income Countries Changing dietary patterns are here examined using food balance sheet (FBS) data published by the Food and Agriculture Organization (FAO) of the United Nations. This data provides figures for production (availability in a country) rather than actual individual consumption (Der Gobbo et al., 2015). In spite of this, such data is most useful when making inter-country comparisons as well as examining temporal patterns due to the fact that the same methodology has been used since 1963 in over 245 countries. Throughout the world, major shifts in dietary patterns are occurring, with the consumption of basic staple foods moving towards more diversified diets. On a global level there has been a rise in energy intakes that have led to a reduction in the prevalence of under-nutrition with a doubling of energy intakes over a 50 year period from the early 1960s going from 1400 kcal/person/day to 2880 kcal/person/day (FAO, 2018). This global rise in energy intakes is reflected in the increased consumption of most food commodities in particular cereals, animal products, vegetable oil and sugar. Cereals continue to remain by far the most important food source in the world contributing up to 50% of calories and as much as 54% in low/middle-income countries. Global wheat consumption has increased at a faster rate than all other cereals. This increase is largely accounted for by the increases in low/middle income countries (particularly in China, India and sub-Saharan Africa) while trends for rice consumption remain largely static (Kearney, 2010). World trends in the supply of vegetables highlight the regional and temporal variations in the per capita availability of vegetables per year over the past few decades. In 2013 the global annual average per capita vegetable supply was 141 kg, with the highest level in Asia (177 kg), and the lowest levels in South America (53 kg) and Africa (68 kg) (FAO, 2018).

Meat and Animal Source Foods Globally, marked increases of 62% have taken place in the consumption of meat with the largest increases occurring in low/middleincome countries where there has been a three-fold increase since 1980. A considerable amount of this rise reflects the increases across Asia generally and China more specifically (Table 1). Much of this increase in meat consumption may be attributed to the increase in poultry consumption world-wide. While a clear shift towards increased consumption of animal-source foods showing major increases in production of beef, pork, dairy products, eggs, and poultry across low-and middle-income countries (Delgado, 2003), on a worldwide basis the consumption of meat, milk, and eggs varies widely among countries, reflecting differences in food production resources, production systems, income, and cultural factors. Per capita consumption is much higher in high-income countries but the current rapid increase in many low/middle income countries is projected to continue (Vasileska and Rechkoska, 2012). For example, India has had a major increase in consumption of dairy products and China in meat (pork, poultry) and eggs (Table 1). Between the mid 1960s and 1999, per capita meat consumption in low/moderate income countries rose by 150% and that of milk and dairy products by 60%. Total meat consumption in low/middle income countries is projected to more than double

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Changing Food Consumption Patterns and Their Drivers Table 1

Per capita consumption of livestock products by world, regions and country (China, Brazil and India) Meat

Milk

Eggs

kg/capita/year

kg/capita/year

kg/capita/year

Region/Country group/Country

1980

2005

1980

2005

1980

2005

WORLD High income countries Low and middle income countries East and Southeast Asia China Latin America and the Caribbean Brazil South Asia India Near East and North Africa Sub-Saharan Africa

30 76.3 14.1 12.8 13.7 41.1 41 4.2 3.7 17.9 14.4

41.2 82.1 30.9 48.2 59.5 61.9 80.8 5.8 5.1 27.3 13.3

75.7 197.6 33.9 4.5 2.3 101.1 85.9 41.5 38.5 86.1 33.6

82.1 207.7 50.5 21 23.2 109.7 120.8 69.5 65.2 81.6 30.1

5.5 14.3 2.5 2.7 2.5 6.2 5.6 0.8 0.7 3.7 1.6

9 13 8 15.4 20.2 8.6 6.8 1.7 1.8 6.3 1.6

Adapted from reference FAO (2009) with the permission of the publisher.

between the years 2000 to 2020 (FAO, 2011). Because most of the world’s population reside in the low/middle income countries and these are the regions that are experiencing the most rapid growth rates, global demand for meat (particularly poultry) is projected to increase by over 50% by 2020.

Fish

Globally, the main changes in fish consumption patterns may be seen for seafood which has increased appreciably since the early 1960s. The highest increases in seafood have occurred in China, with increases over a 40 year period from 1963 of 11 g per capita per day to 95 g per capita per day in 2013 (FAO, 2018). Seafood consumption is set to continue to rise at a faster rate than any other fish category and such a trend is expected in both industrial and developing countries (Kearney, 2010). Recommending an increase in fish consumption is one area where the feasibility of dietary recommendations needs to be balanced against concerns for sustainability of marine stocks (Pauly and Zeller, 2016). This is where the recommendation of increased fish consumption by epidemiologists, clashes with ecologists that see a threat to environmental sustainability with greatly depleted fish stocks sometimes to the point of local extinction.

Legumes, Pulses, Roots and Tubers While increase has been observed for most food commodities, legumes and pulses have declined significantly (Kearney, 2010). This occurred from the 1960s through the 1980s in the United States and more recently across Asia and the rest of the Americas. A decline in the consumption levels of pulses globally and in particular among middle-income countries such as China has seen a 10-fold drop from 30 g in 1963 to 1.8 g in 2013. While meat consumption continues to rise, that of staples, such as cereals, roots and tubers, are declining. However, within a specific food commodity the situation is less clear-cut, for example in the case of tubers, a sharp fall in the consumption of sweet potatoes in many low and moderate-income countries has been accompanied by a parallel marked rise in the consumption of potatoes in a number of low-and moderate-income countries. This is especially apparent in China where consumption levels of sweet potato have dropped sharply from 227 g/capita/day in 1963 to 65 g/capita/day in 2013 while concurrently the consumption of potatoes rose from 25 g/capita/day in 1963 to 111 g/capita/day in 2013.

Sugar, Sugar Products and Vegetable Oils The world’s diet is also getting sweeter. While individual dietary intake data are not available for most low/middle-income countries, national aggregate data on sugar available for consumption (food disappearance or food balance data) suggest that this is a major concern in all regions of the world. For example, Mexico has experienced a doubling of caloric beverage intake to more than 21% of the kilocalories/day for all age groups from 1996 to 2002 (Popkin et al., 2012). There have been significant increases in the consumption of vegetable oils in all regions of the world over the 50 year period between 1963 and 2013 (three-fold in low- and middle-income countries and two-fold in high-income countries). Vegetable oil consumption is projected to increase still further among low and middle-income countries in the coming decades (Kearney, 2010). On a global level, there is an increasing consumption of processed food owing to advances in food processing technology. Moreover, it is increasingly being sold by supermarkets (Reardon et al., 2003) and people are eating more meals out of home. Such changes in eating patterns on a global level has led to an increase in energy intakes as well as increasing diversification of the diet. The consequences to such changes in food consumption has led to a reduction in food insecurity on a global scale along with increases in overweight and obesity observed in all regions of the world. This has also led to increases in the double burden of malnutrition characterized by the coexistence of undernutrition along with obesity.

Changing Food Consumption Patterns and Their Drivers

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Converging Diets Diets in the low/middle income countries have traditionally been very different from those in the high-income countries, although there is recent evidence of some attenuation in these differences (Kearney, 2010). Consumers in low income countries tend to derive nutritional energy mainly from carbohydrates with a negligible contribution from meat and dairy while those in high income countries derive nutritional energy mainly from carbohydrates and fat, with a substantial contribution of meat and dairy. Differences in the energy contribution from macronutrients are converging as the dietary patterns in low/middle income are increasingly becoming more diversified as well as having a higher contribution of animal based foods thereby contributing more protein and fat into the diet (Popkin et al., 2012). Traditionally, the diets of low/middle income countries are characterised by lower total energy intake, more energy from cereals, roots and tubers, and also considerably less diversity in terms of food groups consumed. The traditional diet of low/middle income also tends to have fewer animal sourced foods and less processed foods.

The Nutrition Transition in Low/Middle Income Countries Nutrition transition is defined as the change in dietary consumption and energy expenditure that coincides with economic, demographic, and epidemiological changes. A move from ‘traditional’ diets to ‘Western-style’ diets has been a key contributor to the obesity epidemic in low- and middle-income countries. The nutrition transition has resulted in marked changes to the composition of the diet as observed in many low and middle income countries in the last decade. This transition in diets is happening most rapidly in China, India, Brazil and Mexico (Popkin et al., 2012). The changes in dietary patterns that have taken place over the past several decades have been usefully classified into three different stages by Popkin (2006) as follows: 1. A receding famine pattern characterised by a diet low in fat, high in starchy carbohydrates and fibre; and of low variety. Such a pattern is seen less often now but is still to found in parts of Sub-Saharan Africa and South East Asia. 2. A degenerative disease pattern characterised by increased fat, sugar, processed foods; shift in technology of work and leisure. This is the classic pattern that defines the nutrition transition and is occurring now in many low and moderate-income countries. Good examples of this may be seen in countries such as China and Mexico. 3. A behavioural change pattern characterised by a diet that has reduced fat, increased fruit and vegetables and fibre. This pattern is increasingly observed in high-income countries (e.g. USA, UK and Australia) and is more prevalent among those with higher incomes and educational levels. Increasingly, food consumption patterns in low-income countries have started to resemble those of high-income countries as part of the nutrition transition. Thus, diets among the low- and medium-income countries have been undergoing a considerable transformation to converge on what we often term the “Western diet” observed in high-income countries that is characterized by high intakes of refined carbohydrates, added sugars, fats, and animal-source foods (Kearney, 2010). Thus, consumption patterns especially in urbanized economies are characterized by a move away from cereals, roots, tubers and pulses and towards animal products (meat, dairy products), vegetable oils, fruits and energy-dense processed foods (characteristically high in fat and sugar). While the European nutrition transition took place gradually, in many low and middle-income countries changes in food demand are occurring much more rapidly, especially in Asia. Thus while sugar, salt and fat have levelled off in high income countries, they have been increasing rapidly in low and middle income countries with the increasing consumption of carbonated beverages, baked goods and oils and fats (Baker and Friel, 2014).

Changing Food Consumption in High-Income Countries While diets at the global level are converging and becoming more homogeneous, food consumption in high-income countries reveal clear differences in the intakes of different food commodities as seen in Table 2 (Da Silva et al., 2009). This may also be observed in the wide variation that exists in fruit and vegetable consumption in several European countries. In southern, central and eastern European countries, fruit and vegetable consumption remains well below the WHO recommended levels of 400 g per day. European Food Safety Authority (EFSA) compiled national food consumption data based on individual dietary surveys (IDS) and found that vegetable consumption tends to be higher in Southern Europe than in Northern Europe. Indeed, large inter-country variations were found, with up to a five-fold variation in mean vegetable intakes from 259 g/day in Norway and Iceland to 452 g/day in Italy. Wide inter-country variations also exist for fruit intake. This is also true in other developed and industrial regions such as the USA and Australia. In high-income countries, a lower fruit and vegetable intake is observed among those of lower socio-economic status (SES). Examining intakes by gender, age and socio-economic status can only be picked up from individual dietary surveys (IDS) and not food availability (FBS) data. Having both sources of data is crucial to giving us a more complete picture of food consumption patterns between countries and the subpopulation differences therein. In terms of temporal changes, results from FAO’s Global Perspectives Studies Group, show that the diets of the UK and Sweden were much more similar to the USA in the 1960s, but are now more similar to the EU average. Similarly, the current diet of Mediterranean residents has moved more towards the EU mainstream although some variations in food groups do persist as outlined in Table 2. An examination of inter-country comparisons of food consumption time trends over a 40 year period (1961/1965–2000/ 2004) in 41 countries was conducted for the Third Strategic Report of the Mediterranean Diet Surveillance System; it found that European countries, especially those in the Mediterranean area, between the two time periods have undergone a ‘westernization’

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Changing Food Consumption Patterns and Their Drivers Table 2

Mean availability of food groups (kcal per person per day) during the periods 1961/1965 and 2000/2004 in different regions of Europe Mediterranean Europe

Northern Europe

Central Europe

Food

1961/1965

2000/2004

1961/1965

2000/2004

1961/1965

2000/2004

Cereals Meats Animal Fats Fish and Seafood Fruits Vegetables Olive Oil Pulses Nuts Vegetable Oils Sugar and Sweeteners

1279.1 148.5 95 24.9 120.1 73.3 115.4 72.9 28.3 243.8 225.6

1083.2 354.4 131.9 44.8 135.2 110 127.1 49 34.1 418.5 329.2

811.2 280.7 402.3 41.1 78.7 27.5 1.5 14.6 8.4 173.8 465.8

874.4 420.7 226.3 21.3 104.2 59.2 13 20.3 16.5 330.4 415.6

1278 257.7 263.8 12.5 99.4 50.6 2.29 24.6 15.9 170.2 331.4

1038.5 356.7 230.1 19.1 99.5 74.1 7.58 18.4 21.6 368.3 406.1

Reproduced with permission from Da Silva et al. (2009).

of their food habits and have experienced some convergence in terms of non-Mediterranean food groups (Vareiro et al., 2009). Legumes, in contrast to many other food groups, have seen a marked decline, especially in Mediterranean Europe mirroring the global pattern of decline. An increase in vegetable oil, sugar and sweeteners as well as meat consumption in all study regions has occurred over the past several decades. A regional study in Northern Italy from 2010 to 2016 examining adherence to the Mediterranean dietary pattern (MDP)found increases in nut and poultry consumption while decreases in the consumption of fruit, red meat, sweets and sugar-sweetened beverages were observed (Leone et al., 2016). Northern Europe appears to be adopting a healthier dietary profile with increased fruit and vegetable consumption, fish and seafood as well as reductions in fat consumption (Box 1).

Drivers of Changing Food Consumption Patterns A number of factors have been responsible for the changes in food consumption patterns and specifically the trend toward increased consumption of animal-source foods, oils, and caloric sweeteners and reduced consumption of legumes, coarse grains, and other vegetables including economic (e.g. incomes and food prices) and demographic (e.g. urbanization ageing) factors. These changes in food consumption patterns are linked to two major developments in relation to patterns of diet and health on a global basis. The

Box 1 Example of temporal changes in food consumption in a high-income country – The UK

• • • • • • • •

Consistent individual diet survey data are available only for high-income countries such as the USA and the UK. In the UK, the National Food Survey (NFS) provides 50-year trends in food consumption from 1940 to 1990. The behavioural change stage in the nutrition transition involving increases in fruit or vegetables as well as poultry and a reduction in high fat dairy products can be seen most clearly in the higher socioeconomic groups. Recent changes in the pattern of milk consumption in the UK are reflected in lower consumption levels of full fat milk and considerably more consuming semiskimmed and skimmed milk. In addition, butter has been partly replaced by margarines and low fat spreads. These changes are most evident from the early 1980s when lower fat products became readily available and may have resulted from dietary guidelines recommending a reduction in total fat and more specifically saturated fat intake. The main changes in meat consumption between 1940 and 1990 were the rise in consumption of beef, lamb and pork in the early 1950s and the subsequent decline in lamb consumption. This has been accompanied by a significant rise in the consumption of chicken, which was rarely consumed 50 years ago in the UK but has now become the most common source of dietary protein. Overall, fish consumption trends have shown little change from a low intake level although data from 2006 reveal a modest increase of 9% in the purchase of fish. Similarly, fruit and vegetable consumption did not change appreciably in the last 50 years in the UK, while vegetables declined slightly this was offset by the increase in fruit consumption. Compared to the marked changes in food consumption patterns experienced in low/middle income countries, temporal changes in food intakes in the UK have been very modest. It is important to note however that examining aggregated food commodities does not necessarily reflect the changes that may have taken place within the food commodity itself (e.g. meat and dairy products).

Changing Food Consumption Patterns and Their Drivers Table 3

21

Some of the principal drivers of changing food consumption patterns

Globalization: – Trade policies – Market liberalization – Increased incomes/affordability – Food distribution – Mass media Food Supply: – Changes in retail - Rise in supermarkets – Year round availability of food – Long-product shelf life – Intensive food production methods Socioeconomic/Demographic: – Urbanization – Ageing – Increased incomes/affordability – Women in employment – Consumer attitudes, preferences and behaviour

first of these is the “demographic transition” – a shift from high fertility and high mortality to one of low fertility and low mortality associated with increased industrialization. The second is the “epidemiological transition” reflecting a shift from a pattern of high prevalence of infectious diseases associated with a poor and unreliable food supply and malnutrition to a high prevalence of chronic degenerative diseases associated with urbanization and income. Important drivers of recent changes in food consumption include trade, globalization and changes in retail and distribution (Table 3). While such drivers are applicable to all regions of the world their relative importance is regionally specific. In low/middle income countries diets the principal drivers of changing food consumption patterns are increasing incomes, urbanisation, ageing and economic growth. In high income countries, the principal drivers are globalization, trade, food technology, ageing and consumer attitudes (increasing diet health link).

Globalization Globalization in this context can be seen as an openness to international trade/trade agreements, capital flows, migration, information technology and technology diffusion. Each of these can be linked to changes in food consumption patterns. For example, trade agreements such as NAFTA have resulted in changes in food consumption reflecting the more westernized diet away from the traditional diet in Mexico Indeed, some major global developments have been behind these changes in food consumption due primarily to transformations in technology, trade policies, market liberalization and growth in mass media and food distribution systems.

Urbanization Urbanization is a form of internal migration with people in a country moving from rural (the countryside) to urban (towns and cities) areas and is occurring at most rapidly in low/middle income countries. Accompanying the large-scale increase in urbanization over the past number of decades have been major changes in food consumption patterns. The tendency to consume food away from home increases in urban areas, owing to less time available to prepare food as working hours and commuting times are often longer and consequently is associated with a greater concentration of food vendors and restaurants. Such factors have increased the demand for convenience and fast food outlets. Due to urbanization, diets increasingly include more processed and refined foods due to changes in lifestyle driven by demands on time, increased exposure to advertising, availability of new foods and the emergence of new food retail outlets.

Economics –Income and Food Prices Economic growth is a potent driver of food consumption resulting in increases in fat intakes, meat and dairy and sugar containing foods. As income levels increase, families spend more on food. This level of spending tends to occur within a narrower range in a high income country, such as the UK, where expenditure may range from 15% to 29% between high income and low-income households compared to a low income country where the differences range between 15% and 80% of household expenditure (Gerbens-Leenes et al., 2010). Thus, low income groups are very susceptible to food prices. Food consumption in low/middle income countries has been changing with rising incomes such that as income levels rise, people are increasingly less reliant on cereals and roots/tubers and are increasingly consuming more animal source foods, fruits and vegetables. Thus in low-income countries there is increasing diversification of the diet. In a high-income country such as the UK, more affluent households eat

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Changing Food Consumption Patterns and Their Drivers

more fruit and vegetables, polyunsaturated margarine, low fat products and lean meat. Relative prices globally have reduced the cost of animal source foods, oils, sugar, and related products (Rao et al., 2013). In terms of price per unit energy such foods as grains and sugars are cheaper than fish, vegetables and fruits, thus energy-dense diets tend to cost less resulting in low-income households consuming less fish and fruit and more processed meats such as sausages (Drewnowski, 2010). Financial access and availability to healthy food options must be considered when developing national food policies. One approach would be an intervention to control the price of healthy and unhealthy foods.

Food Distribution and Retail – Supermarkets There have been profound changes in the retail sector from the 1990s most notably in Latin America with supermarkets becoming major players in the agri-food economy (Reardon et al., 2003). This dramatic increase in supermarkets may now be seen in many low/middle-income countries. Supermarkets began to spread through Latin America in the early 1990s followed five to seven years later in Asia, and most recently in Africa. Their share in national retail reached 75% in Brazil in 2000 and 50% in Chile while in urban China and the Philippines the share in sales of packaged and processed foods reached 48% and 57%, respectively. Changes in the retail environment have primarily influenced food consumption through the increase in the range of products sold including packaged and processed foods, fresh and frozen meat as well as fruits and vegetables.

Advertising and Mass Media In high and middle income countries huge amounts of money are spent each year marketing foods. Advertising has a very powerful influence on food consumption, especially for highly processed and packaged foods. The types of foods that are advertised are often high in fat and simple sugars and the increased promotion of these types of foods is in marked contrast to the low level of marketing of fruit and vegetables. In low-income countries it is also the expensive and nutrient-poor foods that tend to be promoted.

Consumer Attitudes, Preferences and Behaviour Health awareness and healthy eating continues to grow with the increasing availability of health information in tandem with the ageing of populations and increased risk for lifestyle diseases. This demand for a healthier diet – most often perceived as one with more fruits and vegetables and lower in fat and sugar is evidenced most commonly among those with higher incomes and education levels in the high-income countries. While the consumption of foods that are acceptable to an individual increasingly takes place in a context where availability is substantially influenced by the food industry and food retailers, nonetheless the consumer also has an important role to play. Food policies intent on improving healthier food consumption patterns must pay attention to the role of consumers as drivers of food production as they have an important influence on the demand for various kinds of food products.

Consequences to Health of the Recent Changing Food Consumption Patterns So what are the main consequences to these changing food consumption patterns in terms of human health? The increase in animalsource food products has had both positive and adverse health effects. For poor individuals in low-income countries an increase in animal-source foods can significantly improve the micronutrient profile of food consumed thereby reducing the level of hidden hunger. However, excessive consumption of animal-source foods is also linked with excessive saturated fat intake and increased mortality. In high income countries, diets in the 1970s began moving towards an increased reliance upon processed foods, increased out-of-home intakes and a greater use of edible oils and sugar-sweetened beverages. These changes began twenty years later in low and middle income countries (Popkin, 2006). Urban and rural areas from sub-Saharan Africa and South Asia’s poorest countries to the higher income ones have all experienced rapid increases in the prevalence of overweight and obesity (ref). The increase in obesity has become a global phenomenon with world-wide figures tripling since 1975. It is important to appreciate that while we have had the nutrition transition taking place in many low and middle income countries in recent years with the consequent reduction in undernutrition in tandem with the rise in obesity rates, there have also been improvements in dietary patterns for example in Eastern Europe that have resulted in the improved health of those populations. One consequence of the nutrition transition is the double burden of malnutrition apparent in low and middle-income countries (Popkin et al., 2012). While more than 800 million people are under-nourished, 500 million people are obese. This double burden can often be seen at household level where the presence of children in a family can often accelerate the incorporation of non-traditional foods and eating patterns (Shrimpton and Rokx, 2012). Furthermore, individuals of different generations often respond differently to economic changes, with the younger generation adopting new dietary patterns more rapidly than the elderly. Accompanying the existence of undernutrition and obesity in many countries is hidden hunger or micronutrient deficiency giving rise to the triple burden of malnutrition (Fig. 1).

Changing Food Consumption Patterns and Their Drivers Table 4

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Key factors and questions for consideration in moving towards the dual goals of improved food security and food system sustainability

Diversification of the diet resulting from an increase in meat and meat products, vegetable oils and energy-dense foods – will this continue to increase at its current rate? Westernisation of the diet – what will be the rate and extent of movement away from traditional diets in many populous low-income countries? Development and growth of food production methods and products (e.g. organic, fair trade, functional foods) and technologies (e.g. GM foods genetically modified foodsa) – will there be a rise in these food products in the low and middle income countries as seen currently in high income countries? Will genetically modified foods become more globally acceptable? Climate change – what will be the extent of global warming and the rate at which it rises? Consumer demand and preferences; Consumer attitudes, acceptance and behaviour towards healthy eating, gene technology, organic food production and the extent of global warming. a

GM foods are foods produced from organisms that have had changes introduced into their DNA using the methods of genetic engineering.

Challenges in Addressing These Recent Changes Infood Consumption In response to changing lifestyle and growing consumer demand (initially among more affluent, more industrialised high-income countries and subsequently the growing middle classes in low/middle-income countries) global food systems have been transformed, through changes in agriculture, food technology and transport over the past fifty years (Gerbens-Leenes and Nonhebel, 2005). Globalization, urbanization and ageing are significant determinants of recent changes in food consumption that need to be considered in the achievement of good nutrition status (Imamura et al., 2015). This is particularly pertinent in terms of the rise in over-nutrition resulting in increases in nutrition-related non-communicable diseases (NCRD) in many low and middleincome countries. There are a number of important key factors that need to be considered in any attempt to achieve global food consumption patterns that meet food and nutrition security goals as well as sustainable food production systems. These key factors and uncertainties around themin terms of how they may change over time are outlined in Table 4. Bringing about changes towards a healthier pattern of food consumption is particularly challenging given the relatively low cost and high availability of energy-dense but low-micronutrient content foods. The importance of consumer education cannot be underestimated. Appropriate food labeling would serve to alter consumer demand with consequent knock-on effects on the food production chain, thereby potentially contributing to the growth of more sustainable food systems.

Conclusions Recent changes in food consumption patterns on a global level raise serious sustainability questions in terms of the food systems that are in place to meet this demand (Finley et al., 2017). New dietary patterns reflecting increased fatty, sweet and salty foods are perceived largely by consumers to be desirable and as having no harmful consequences. Finding ways to return to healthier food consumption patterns, with more nutrient dense, healthier foods is a major challenge. In order to tackle the continuing rise in nutrition-related diseases and to ensure future sustainability in food production for the environment, it is crucial that ways are found to improve food consumption patterns in all areas of the world. In conclusion, it is important when considering future food policy that a sustainable pattern of food consumption be considered, ensuring a sufficient supply of staples and of micronutrient-rich foods without encouraging excessive consumption of energy-dense, nutrient-poor foods. Food systems that diversify beyond subsistence farming and include fruits, vegetables, legumes and animal products will result in improved nutritional status. In view of the emerging patterns of food consumption on a global and regional level and their consequences to human and environmental health, one can only agree with Tilman and Clark (2014) when they suggest that “the implementation of dietary solutions to the tightly linked diet-environment-health trilemma is a global challenge, and opportunity, of great environmental and public health importance”. Going forward, a sustainable food system is required that ensures optimal health with minimal impact on the environment. This poses a considerable challenge and one that has to be tackled in a multidisciplinary approach if it is to have any real prospect of success.

References Baker, P., Friel, S., 2014. Processed foods and the nutrition transition: evidence from Asia. Obes. Rev. 15 (7), 564–577. Delgado, C.L., 2003. Rising consumption of meat and milk in developing countries has created a new food revolution. J. Nutr. 133 (11 Suppl. 2), 3907S–3910S. Drewnowski, A., 2010. The cost of US foods as related to their nutritive value. Am. J. Clin. Nutr. 92 (5), 1181–1188. Da Silva, R., Bach-Faig, A., Raidó Quintana, B., Buckland, G., Vaz de Almeida, M.D., Serra-Majem, L., 2009. .Worldwide variation of adherence to the Mediterranean diet, in 1961– 1965 and 2000–2003. Public Health Nutr. 12 (9A), 1676–1684. Der Gobbo, L.C., Khatibzadeh, S., Imamura, F., Micha, R., Shi, P., Smith, M., Myers, S., Mozaffarian, D., 2015. Assessing global dietary habits: a comparison of national estimates from the FAO and the Global Dietary Database. Am. J. Clin. Nutr. 101 (5), 1038–1046. FAO, 2009. The State of Food and Agriculture: Livestock in the Balance 2009b. Rome. FAO, 2011. Animal Production and Health – Working Paper 2011. Rome.

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FAO, 2017. The Future of Food and Agriculture. Trends and Challenges 2017. Rome. FAO. (2018) http://www.fao.org/faostat/en/#data/FBS. Finley, J.W., Dimick, D., Marshall, E., Nelson, G.C., Mein, J.R., Gustafson, D.I., 2017. Nutritional sustainability: aligning priorities in nutrition and public health with agricultural production. Adv. Nutr. 8 (5), 780–788. Gerbens-Leenes, P.W., Nonhebel, S., 2005. Food and land use. The influence of consumption patterns on the use of agricultural resources. Appetite 45, 21–31. Gerbens-Leenes, P.W., Nonhebel, S., Krol, M.S., 2010. Food consumption patterns and economic growth. Increasing affluence and the use of natural resources. Appetite 50, 1–12. IFPRI, 2015. Global Nutrition Report 2015. Actions and Accountability to Advance Nutrition and Sustainable Development. Washington, DC. Imamura, F., Micha, R., Khatibzadeh, S., Fahimi, S., Shi, P., Powles, J., Mozaffarian, D., 2015. Dietary quality among men and women in 187 countries in 1990 and 2010: a systematic assessment. Lancet Glob. Health 3 (3), e132–e142. Kearney, J., 2010. Food consumption trends and drivers. Philos. Trans. R. Soc. B 365 (1554), 2793–2807. Leone, A., Battezzati, A., De Amicis, R., De Carlo, G., Bertoli, S., 2016. Trends of adherence to the mediterranean dietary pattern in northern Italy from 2010 to 2016. Nutrients 9 (7), E734–E744. Pauly, D., Zeller, D., 2016. Catch reconstructions reveal that global marine fisheries catches are higher than reported and declining. Nat. Commun. 7, 10244. Popkin, B.M., 2006. Global nutrition dynamics: the world is shifting rapidly toward a diet linked with non-communicable diseases. Am. J. Clin. Nutr. 84 (2), 289–298. Popkin, B.M., Adair, L.S., Ng, S.W., 2012. Now and then: the global nutrition transition: the pandemic of obesity in developing countries. Nutr. Rev. 70 (1), 3–21. Reardon, T., Timmer, C.P., Barrett, C.B., Berdegue, J., 2003. The rise of supermarkets in Africa, Asia, and Latin America. Am. J. Agric. Econ. 85, 1140–1146. Rao, M., Afshin, A., Singh, G., Mozaffarian, D., 2013. Do healthier foods and diet patterns cost more than less healthy options? A systematic review and meta-analysis. BMJ 3 (12), e004277. Shrimpton, R., Rokx, C., 2012. The Double Burden of Malnutrition: A Review of Global Evidence. Health, Nutrition and Population (HNP) Discussion Paper. World Bank, Washington DC. Tilman, D., Clark, M., 2014. Global diets link environmental sustainability and human health. Nature 515, 518–522. Vareiro, D., Bach-Faig, A., Raidó Quintana, B., Bertomeu, I., Buckland, G., Vaz de Almeida, M.D., Serra-Majem, L., 2009. Availability of Mediterranean and non-Mediterranean foods during the last four decades: comparison of several geographical areas. Public Health Nutr. 12 (9A), 1667–1675. Vasileska, A., Rechkoska, G., 2012. Global and regional food consumption patterns and trends. Procedia Soc. Behav. Sci. 44, 363–369.

Further Reading McMichael, A.J., 2007. Impact of climatic and other environmental changes on food production and population health in the coming decades. Proc. Nutr. Soc. 60 (02), 195–201. Popkin, B.M., 2002. The shift in stages of the nutrition transition in the developing world differs from past experiences! Public Health Nutr. 5, 205–214. Popkin, B.M., Horton, S., Kim, S., Mahal, A., Shuigao, J., 2001. Trends in diet, nutritional status and diet-related non-communicable diseases in China and India: the economic costs of the nutrition transition. Nutr. Rev. 59, 379–390. Popkin, B.M., Lu, B., Zhai, F., 2002. Understanding the nutrition transition: measuring rapid dietary changes in transitional countries. Public Health Nutr. 5 (6A), 947–953.

Relevant Websites Department for Environment, Food & Rural Affairs (DEFRA), July 24, 2013. Making the Food and Farming Industry More Competitive while Protecting the Environment: Genetic Modification. https://www.gov.uk/government/policies/making-the-food-and-farming-industry-more-competitive-while-protecting-the-environment/supporting-pages/geneticmodification. EUFIC Publications (EUFIC). Available at: http://www.eufic.org/article/en/rid/EUFIC_Publications. European Food Safety Authority (EFSA). 2015. http://www.efsa.europa.eu/en/food-consumption/comprehensive-database. FAO sustainable food and agriculture http://www.fao.org/sustainability/en/. WHO nutrition and diet http://www.who.int/topics/nutrition/en/.

Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production: The Challenge of Food Quality and Sustainability Through the Use of Plant Extracts Cristina Castilloa, Angel Abuelob, and Joaquı´n Herna´ndeza, a Universidade de Santiago de Compostela, Lugo, Spain; and b Michigan State University, East Lansing, MI, United States © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction Meat Meat Characteristics Depending on Species Plant Extracts Supplementation on Meat Characteristics Milk Milk Characteristics Depending on Species The Challenge of Cow’s Milk Allergy Plant Extracts Supplementation on Milk Characteristics Conclusions References

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Abstract Nowadays, there is a social trend that rejects the consumption of meat, milk and its derivatives based on environmental, ethical, or animal welfare criteria or their harmful effect on human health. Aspects connected with human diseases or allergic reactions are currently under consideration by researchers, trying to minimize their negative effects, as happens with bovine milk. However, science has amply demonstrated that several negative beliefs about these products are not supported by evidence, and probably are more linked to the current lifestyle. Meat and milk are the essence of the global livestock production system, a basic step for the maintenance of biodiversity. Each ruminant species should face to different challenges depending on the region, weather, and economic situation. Even so, this sector is key for the empowerment of the rural sector, in clear decline throughout the world. Multidisciplinary research and the use of biotechnological resources can help to maintain this sector and their products. This chapter is focused on the benefits that meat and milk consumption provides to human nutrition, based on their nutritional characteristics, including antioxidant properties. Nevertheless, future research can further improve these products through ruminal biohydrogenation that can modifies final fatty acid (FA) profile of meat and milk through supplementation with natural plant extracts. This last topic is of great interest for consumer’s requirements, because it is possible to provide healthy and safe foods to human being with the highest standards of quality, flavor and safety. Nevertheless, this general approach cannot be applied in a similar fashion to all species, although the main concept could be the same.

Introduction Several researchers claimed to the United Nations a plan of action that serves to strengthen the rural sector, which shows a clear decline worldwide and constitutes a global concern (Liu and Li, 2017). Therefore, the food needs that are foreseen in a near future can only be covered if the agricultural sector is supported by political actions that favor livestock production and farmer’s life quality.

In recent years, there has been a great euphoria about the application of biotechnology to the livestock rearing systems and their potential benefits in search of effective and sustainable farming systems that can meet the challenge of global overpopulation in 2050, according to the Food and Agriculture Organization (FAO) report published in 2009 (How to Feed the World in 2050).

As consumers demand healthy foods with good taste, some functional animal products have been produced by means of enrichment and fortification in recent years. In this manner, several milk and meat derivates have begun to attract new consumer groups because of its pleasant taste and increased health benefits (Ozturkoglu-Budak et al., 2016).

Food fortification is defined as the supplementation of one or more components, regardless of whether it is naturally found in the food, to improve the properties of newly designed functional food products (Swieca et al., 2014). They have the potential to improve human health and to reduce risks of diseases; these characteristics generally stem from some useful components, called bioactive compounds (Biesalski et al., 2009).

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According to the above-mentioned considerations, the encouragement of rural development, including livestock rearing will require the use of biotechnological measures trying to obtain new products (meat or milk and its derivate) for a new era, in consonance with countryside sustainability and regeneration. In a previous review, we described different biotechnological measures to be adopted in sustainable bovine livestock production (Castillo et al., 2017). One of the aspects highlighted alluded to those techniques destined to improve ruminal fermentation processes. The study of the ruminal microbiome, in order to minimize methane emissions, could be also applicable for the improvement of ruminal biohydrogenation (RBH), closely linked to the nutritional characteristics of meat and milk.

Due to the process of biohydrogenation (Fig. 1) of unsaturated fatty acids (UFAs) conducted by ruminal microorganisms, ruminant fats are more saturated than non-ruminants. Rumen microbiota metabolize most dietary poliunsatured fatty acids (PUFAs) by complex processes of enzymatic and chemical isomerizations and reductions leading to intermediates such as conjugated linoleic acids (CLA) and other fatty acids, with stearic acid (18:0) as the final product (Morales and Ungerfeld, 2015).

There is a vast body of literature about how diet can modify rumen populations and their activity. Plants and fruits have been used throughout history for their medicinal properties. All plants produce chemical compounds as part of their normal metabolic activities that can influence biohydrogenation, although the effects vary depending on the compound, the concentration, basal diet, and adaptation period (Lourenço et al., 2010).

Although the impact of human activity on plants and trees is often presented as problematic, especially when seen through the lens of climate change, a recent study suggests that terrestrial plants are much harder than many conservationists believe, and that they manage to live in different climatic conditions across the globe (Atwater et al., 2018). Thus, plant extracts could be available worldwide. It is only necessary to know the type of plant, their properties, and its effects on the desired item (meat or milk).

In this sense, there is much interest in improving the nutritional value of ruminants’ products to human health by increasing n-3 polyunsaturated fatty acids (PUFA), rumenic and vaccenic acids, and decreasing the content of saturated fatty acids and trans fatty acids detrimental to human health (Morales and Ungerfeld, 2015).

Therefore, the aim of this chapter is to offer an overview about the use of natural plant extracts focusing in two main aspects: 1) their effects on RBH dynamics and the final fatty acid (FA) profile of meat and milk, and 2) their antioxidant properties beneficial for both the final product (meat and milk) and derivates. The ultimate goal is to demonstrate that by supplementing the diet with plant extracts, characteristic of each region, farmers can provide healthy and safe foods to human beings. The livestock production sector should direct their research advances towards this line, offering consumers products with the highest standards of quality, flavor, and safety. Nevertheless, this general proposal cannot be applied in a similar fashion to all species, although the main concept remains. α-Linolenic acid cis9, cis-12, cis15- C18:3 Linoleic acid cis9,cis12-C18:2 Rumenelic acid cis9,trans-11,cis 15-C18:3 cis9, trans13 8,10-CLA

10,12-CLA

trans10-C18:1

Rumenic acid cis9, trans11-C18:2

Other 9,11-CLA

Linoleic acid cis9,cis12-C18:2

11,13-CLA trans11, cis 15

cis12-C18:1

trans13+cis14-C18:1 Vaccenic acid trans-11-C18:1

trans4, trans9-C18:1

trans15+ cis15-C18:1

Stearic acid C18:1

Figure 1

Biohydrogenation pathways in the rumen. CLA: conjugated linoleic acid. Adapted from Lourenço et al. (2010).

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Meat Meat is traditionally defined as the product that results from the continuous changes that occur in muscle after the death of the animal. The Royal Spanish Academy (www.rae.es) defines “meat” as food consisting of all or part of the body of land animal or fowl, as opposed to the food from fish and shellfish. Furthermore, meat can be divided in two groups: white meat (edible meat of some young animals or poultry) and red meat (edible meat of bovine, ovine, caprine or equine, and generally from adult animals). Processed meat refers to meat that has been transformed through salting, curing, fermentation, smoking, or other processes to enhance flavor or improve preservation. Most processed meats contain pork or beef, but processed meats may also contain other red meats, poultry, offal, or meat by-products such as blood (IARC International Agency for Research on Cancer, 2015). Examples of processed meat include hot dogs (frankfurters), ham, sausages, corned beef, and biltong or beef jerky as well as canned meat and meat-based preparations and sauces, among others.

The Food and Agriculture Organization (FAO) categorizes processed meat products into six broad groups according to the processing technologies used, treatment of raw materials and the individual processing steps, namely: 1) fresh processed meat products; 2) cured meat pieces; 3) raw-cooked products; 4) precooked-cooked products; 5) raw (dry)-fermented sausages; and 6) and dried meat (Cashman and Hayes, 2017).

Meat also contains a considerable amount of natural antioxidants. Among the most important, dipeptides such as carnosine (b-alanyl-l-histidine) and anserine (N-b-alanyl-1-methyl-l-histidine) were reported as effective hydrophilic antioxidants, carnosine being the main antioxidant in meat. Also found in meat are uric acid, polyamines, ascorbate, a-tocopherol, carotenoids and ubiquinone, antioxidant enzymes such as superoxide dismutase, catalase and glutathione peroxidase, and minerals like selenium and zinc, being higher in raw meat than cooked. Hitherto, however, limited research has been conducted to investigate the antioxidant potential of meat (Carrillo et al., 2017). The role of red meat, particularly lean cuts, in healthy eating guidelines has been highlighted in most developed nations. Despite this, meat has been presented in the media with conflicting messages regarding its health benefits, contributing to major confusion by the public in relation to the role meat plays in a healthy diet. However, in the 2015–2020 Dietary Guidelines for Americans red meat acquires special relevance as source for four out of the seven nutrients necessary for a balanced diet: sodium, potassium, iron, and vitamin D. While beef is a source of vitamin D (Hervé, 2013), other red meats do not. Thus, vitamin D biofortification approaches may have the ability to enhance the vitamin D and/or 25-hydroxyvitamin content of those red meats, facilitating additional nutrient content (Cashman and Hayes, 2017).

Vitamin D (either as D2 or D3) is allowable up to a EU maximum level of 4000 IU/kg diet for both vitamers in bovine and ovine. (European Union Register of Feed Additives, 2018). The study of Duffy et al. (2016) in beef heifers showed that addition of vitamin D3 to feedstuffs at half and full EU maximum allowable level increased the total vitamin D activity of rib steaks by 1.5 and 2.5-fold, respectively, compared to no additional vitamin D.

The principal factors determining the quality of meat are tenderness, color, and flavor, with the latter being composed of the two distinct factors: taste and odor.

Much has been written about what meat quality means. Eating quality comprises palatability, wholesomeness, and being free of pathogens and toxins. Palatability includes tenderness, flavor, residue, and succulence. Each of these criteria is dependent on a long list of other factors which include the animal’s age and gender, the live animal’s physiological state and the biochemistry of the post-mortem muscle, fat and connective tissue, carcass composition and the contribution of the feed to flavor, protein, and fat accretion and the characteristics of each of these, as well as the effect of genetics on the character of tissues and metabolism (Webb et al., 2005).

The color of meat depends on different factors such as heminic pigments (myoglobin), their pH, and the chemical state of the pigments (Castillo et al., 2013). In addition, intramuscular fat level and fatty acid composition, along with the biological value of the protein, trace elements, and vitamins are key factors contributing to nutritional value (Scollan et al., 2014; Cashman and Hayes, 2017).

In the last decades, however, red meat, particularly from ruminant animals, has received a bad reputation due to its high saturated fatty acids (SFAs) content, low ratio of polyunsaturated fatty acid (PUFA) to SFA, and high n-6/n-3 ratio (Abuelfatah et al., 2016). Regular intake of such fat is associated with different human diseases such as atherosclerosis, cardiovascular disease (CVD), and cancer (Simopoulos, 2004). Nevertheless, how much is attributable to read meat intake and how much to the current sedentary lifestyle has not been documented.

In 2015, following a review of the scientific literature, the Working Group of the International Agency for Research on Cancer (IARC), marked processed meat as carcinogenic to humans, based on the limited evidence that excess consumption of red meat causes cancer in humans and strong mechanistic evidence supporting a carcinogenic effect (Cashman and Hayes, 2017).

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Recently, environmental, ethical, and health-concerns have promoted the development of in vitro meat (Castillo et al., 2017) that would unquestionably be hugely disruptive to the traditional livestock sector and that does not represent a worldwide solution. The challenge in this sense is work on live animals, improving the technological procedures to enrich the quality of meat and control the safety and consumption of heavily processed meat foods, such as burgers or sausages. Eisler et al. (2014) focused on eating less but better beef quality. In the author’s opinion, the public-health goal should be to balance nutrition across the world, with a target of weekly average consumption of no more than 300 g of red meat (for example, in India annual meat consumption is just 3.2 kg/ person, compared with 125 kg/person in the US). Other innovations may focus on producing “healthier” meat (lower in fat, chemical and antibiotic free, etc.) that can be achieved by improving breeding for disease resistance, as well as judicial genomic selection for sustainable markets (leaner animals). Likewise, modern breeding programs targeting improvement resilience and productivity in concentrates and fodder varieties have much potential. Indeed, to date there has been very limited systemic investment to exploit the genetic diversity easily accessible in genebanks (Rijsberman, 2017).

The contribution of breeding to improving animal performance has been well recognized across a range of different species. The importance of genetic variations on this matter was highlighted in Merino rams. In recent years, more information has become available for both genetic variation and major gene effects on meat quality traits (Hopkins and Mortimer, 2014). Unlike other strategies focused to increase animal performance (e.g., nutrition, vaccination), the gains achieved through breeding are cumulative and permanent. Genetic and genomic technologies can have beneficial impact outside the farm gate as a tool to segregate carcasses or meat cuts based on expected meat quality features (Berry et al., 2017).

Currently, in response to the concerns of the health organizations and health-conscious consumers, research in meat production is focused on alteration of meat fatty acids (FA) content, which is primarily based on enhancing the concentration of n-3 PUFA (Hocquette et al., 2010), which seems to protect form CVD, inflammatory disease, diabetes, some types of cancer, and behavioral disorders (Benatti et al., 2004).

The review of Scollan et al. (2014) highlights the important relationships between lipids and components of meat quality. For example, increasing beneficial n-3 PUFA and conjugated linoleic acid (CLA) contents while also reducing SFA in beef is accompanied by an improvement in color, shelf life, and sensory attributes. The paper is focused on the nutritional influences on muscle lipids, as the major contributory factor. The authors also reference recent research into the vitamin and antioxidant content of beef.

To facilitate the reading of this review, Fig. 2 shows the classification of the best known fatty acids (Castillo et al., 2014).

Meat Characteristics Depending on Species Beef is a complete and essential food for a healthy and balanced diet, notable for its high protein content. The meat proteins have a high digestibility and great biological value providing essential amino acids for human health. In fact, with only 100 g of beef it is possible to cover 48% of human’s daily protein needs. This kind of meat is rich in vitamins of B-group (thiamine and riboflavin, niacin, B5, B6, and B12). Regarding to mineral content, beef meat is characterized by high phosphorus, magnesium, iron, and potassium contents (Cashman and Hayes, 2017). Bovine meat quality attributes (color, tenderness, flavor, and juiciness) are influenced by muscle characteristics of the animal and post-mortem biochemical reactions. Muscle fiber composition is known to influence color, tenderness, and ultimate pH, whilst intramuscular fat content is believed to influence tenderness and juiciness.

These characteristics depend on the contractile and metabolic properties of the different categories of the myofibers that compose the bovine skeletal muscles (Picard and Cassar-Malek, 2009) and on the attachment of these fibers to the intramuscular connective tissues of which collagen is the major protein component (Dubost et al., 2013).

On the other hand, lamb meat is very similar to beef, but has less total fat. SFAs, PUFAs and MUFAs are similar between lamb and beef. In general, sheep meat, besides being an excellent source of proteins, is characterized by its higher content of minerals (iron and zinc) and antioxidants than beef (Carrillo et al., 2017), and vitamins in highly bioavailable forms, which are essential for human nutrition such as the B and D vitamins (Hervé, 2013). Finally, the nutritional and biological value of goat and kid meat is not inferior to other types of meat (Todaro et al., 2004). On the contrary, goat meat could have a significant role in human nutrition because it contains essential amino acids such as lysine, threonine, and tryptophan. In addition, goat meat contains low amount of SFAs and cholesterol, constituting a healthier alternative compared to other types of red meat. PUFAs are prevalent in meat of goats, and diet rich in PUFAs is correlated with a reduced risk of stroke and coronary heart disease, which indicates the important role of goat’s meat in a healthy human diet (Anaeto et al., 2010; De Palo et al., 2015). These attributes are concordant with present-day consumer demands for leaner and nutritious meat, and hence should be the basis for promoting the consumption of this type of meat.

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One system of fatty acid classification is based on the number of double bonds: No-double bonds: saturated fatty acids (SFA). Usually have between 12 and 24 carbon atoms. Examples of SFA are butyric, butanoic or tetranoic acid (C4:0); caproic or hexanoic acid (C6:0); caprylic or octanoic acid (C8:0); capric or decanoic acid (C10:0); lauric or dodecanoic acid (C12:0); myristic or tetradecanoic acid (C14:0); palmitic or hexadecanoic acid (C16:0); stearic or octadecanoic acid (C18:0); arachidic or eicosanoic acid (C20:0); behenic or docosanoic acid (C22:0). These saturated fats are found mostly in some vegetable oils, such as coconut and palm oils (tropical oils). Other common sources of saturated fat include red meat, whole milk and other whole-milk dairy foods and cheese.

With 1 (monounsaturated, MUFA) or more (polyunsaturated, PUFA) double bond: Unsaturated fatty acids, (UFA) The two carbon atoms in the chain that are bound next to either side of the double bond can occur in a cis or trans configuration. A cis configuration means that adjacent hydrogen atoms are on the same side of the double bond; a trans configuration, by contrast, means that the next two hydrogen atoms are bound to opposite sides of the double bond. Examples of MUFA are caproleic or acid 9-decenoic acid (C10:1 n-1); palmitoleic acid (C16:1 n-7); oleic or octadecanoic acid (C18:1 n-9); vaccenic or 11-octadecenoic acid (C18:1 n-7); gadoleic or 9 cis eicosenoic acid (C20:1 n11); and erucic or docosenoic acid (C22:1 n-9). MUFA fats are found in plant and products, such as olive oil, canola oil, peanut oil, nuts and seeds, and in some plant foods such as avocado. Also MUFAs can be found in fish oil.

Examples of PUFAs are linoleic or 9 cis, 12 cis octadecadienoic acid (LA, C18:2 n-6), it exists in two isomeric forms: α-linolenic acid (ALA, C18:3 n-3) and γlinolenic acid (GLA, C18:3 n-6); arachidonic or eicosatetranoic acid (AA, C20:4 n-6) and eicosapentaenoic acid (EPA, C20:5 n-3). Generally, PUFA fats are divided in two main types: omega-3 (abbreviated as n-3 or ω -3) acids and omega-6 (abbreviated as n-6 or ω -6) acids. ALA and EPA acids are examples for omega-3 FAs, AA and GLA acids are examples for omega-6 FAs. PUFA fats are found mostly in plant sources. (safflower, sunflower, soybean, corn, cottonseed). Omega-3 FAs are found in foods from plants like soybean oil, canola oil, walnuts, and flaxseed. Omega-6 FAs are most commonly found in liquid vegetable oils like soybean oil, corn oil, and safflower oil.

Figure 2

Classification of fatty acids (Castillo et al., 2014).

Although goat has a less pronounced capacity for meat, it is more fertile than sheep. Hence, the production of kid meat is significant, presenting an important source of proteins worldwide, especially in developing countries (Ivanovic et al., 2016).

Nevertheless, the perception of consumers in the Western world is not in favor of goat meat. The slight preferences for mutton and beef may be due to residual effects of habit and preferences for texture. Goats have a higher collagen content with a lower solubility than sheep, have more fibrous residues than lamb or mutton, and goat muscles have thicker myofibrils and larger myofibril bundles than sheep. Sensory evaluations have shown that goat meat may be as acceptable as mutton if animals of similar ages are compared (Webb et al., 2005).

Goat carcasses are usually smaller with less fat cover than sheep carcasses at comparable ages and sexes. Goat carcasses cannot attain the 4-mm subcutaneous fat cover recommended by Dikeman (1996) to prevent cold shortening during post-mortem chilling, since they barely attain 1 mm if chilled too quickly. Therefore, goat meat is predisposed to cold shortening, thereby yielding less tender meat than lamb/mutton under similar conditions of post-mortem chilling, and increasing the risk of goat meat being considered tough.

Nutritional factors determine the FAs composition in goat’s meat: the ruminal transformation of fatty acids forms substances which directly affect the smell and taste of goat meat. When RBH is not complete, part of CLA manages to evade it and gets absorbed in such form, supplying animal tissues with isomers of CLA. Thus, the slightly rancid odor is caused by hexanal which comes mainly from linoleic and arachidonic acid; other volatile aldehydes such as heptanal, octanal, nonanal, and decanal derive mainly from

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oleic acid (Martin et al., 2002; Machiels et al., 2004). For this reason, the latest studies are directed not only to increase the production and quality of goat meat but also to improve sensory characteristics.

Plant Extracts Supplementation on Meat Characteristics The consumption of a high-grain diet determines peculiar meat characteristics: carcasses with a greater percentage of saleable meat, explained by a larger rib eye area and lower back fat thickness. The reason is that the synthesis of intramuscular fat preferentially uses glucose as substrate, whereas subcutaneous fat uses acetate. When ruminants are fed highly processed grains there is a greater starch availability. Thus, the propionate and glucose supply to the animal increases, which causes an augmentation in the diameter of intramuscular adipocytes (hypertrophy) and subsequently reducing subcutaneous fat deposition. Nevertheless, the type of grainprocessing (dry-rolled, pelleted, steam-flaked, etc.) also influences postruminal starch digestion in the small intestine, causing differences in fat deposition (Moya et al., 2015). However, environmental, ethical, and clinical reasons linked with digestive pathologies associated with this type of farming system have developed new trends and procedures in livestock production. Environmental concerns have significantly affected livestock production: from a conventional perspective, there are very significant opportunities to reduce the methane emissions from animal-sourced food production systems. According to the analysis performed by Herrero and colleagues (quoted by Rijsberman, 2017) livestock accounts for up to half of the technical mitigation potential of the agriculture, forestry and land-use sectors, through management options that sustainably intensify livestock production, promote carbon sequestration in rangelands and reduce emissions from manures, and through reductions in the demand for livestock products. Demand for organic meat is partially driven by consumer perceptions that organic foods are more nutritious than non-organic ones (Srednicka-Tober et al., 2016). EU organic standards prescribe that ruminants receive at least 60% of total dry matter intake (DMI) from forage (grazing, cut fresh forage, or conserved forage such as silage or hay). For ruminants, organic regulations also prescribe that fresh forage intake is from grazing ‘when conditions allow’, and as a result the duration of grazing and the ratio of fresh/conserved forage in organic diets vary significantly between European regions, mainly due to differences in climatic and agronomic conditions (Kamihiro et al., 2015). The FA profile of meat from ruminants fed forages is considered of better nutritional value than concentrate fed ruminants, as it contains greater proportions of PUFAs, particularly n-3 PUFA, and larger proportions of rumenic and vaccenic acids. Most of the rumenic acid in the ruminant tissues originates from endogenous desaturation of vaccenic acid catalysed by stearoyl-CoA desaturase. On the other hand, humans are also able to efficiently desaturate the dietary vaccenic acid to rumenic acid with powerful anti-carcinogenic effects (Oliveira et al., 2017).

However, there is still considerable scientific uncertainty over whether, and to what extent, organic production standards result in significant and nutritionally relevant changes in meat quality (Dangour et al., 2009). No one doubts that the consumption of forage based diets reduce the total fat and/or nutritionally undesirable SFAs content, while increasing concentrations of total PUFAs and n-3 PUFA in meat, compared with concentrate based diets, typical for intensive conventional farming systems (Fisher et al., 2000; Nuernberg et al., 2005). The modification of forage/grain proportions in conventional systems is one of the challenge for nutritionists, in combination with natural supplements that can maintain livestock production and animal welfare. The EU organic production legislation, however, also prohibits the additional supplementation of animals with important micronutrients such as vitamins and trace elements. Abuelo et al. (2015) found a reduced availability of antioxidants in blood of cows managed organically when compared to cows under conventional systems that received dietary antioxidant supplementation. The concentration of antioxidants in blood reflects their concentration in meat (Castillo et al., 2013). Therefore, organic meat might result a lower source of vitamins and trace elements, although this extend hasn’t been studied so far.

In fact, a weighted meta-analysis performed by Srednicka-Tober et al. (2016) using relevant publications included in the Web of Knowledge, Scopus, Ovid and Elton B. Stephens Company (EBSCO) databases ranging from 1992 and 2014, evaluated the potential impact of both farming system on different kinds of ruminant meat (beef, lamb and goat). The results showed that although certain organic meats (beef and lamb) have higher concentrations of n-3 PUFA in comparison with controls under conventional farming, this fact can be only attributable to the effect of grazing or high forage diets and the use of legume rich forages without other significant differences in FA composition. In addition, the study shows that the amount of n-3 PUFAs varied between individual studies and studies carried out in different countries or regions (with different grasslands compositions), and management practices (age of slaughter, breed, etc.). The key point of this meta-analysis is the lack of homogeneous studies worldwide due to peculiarities of each region, breed, and farm. The attributed quality for organic ruminant’s meat is mainly attributable to plants/forage consumption that could be given to conventional systems under a proper nutritional management.

Table 1 shows the estimated fatty acids (mg/person per day) intake from organic and conventional meat based on Food and Agricultural Organization (FAO) fat supply quantity data for bovine, sheep and goat meats showing no differences among them ( Srednicka-Tober et al., 2016) were is possible to see the lack of differences in meat quality depending on the farming system and its nutritional program. Not only the FAs composition is important in terms of meat quality. In relation with minerals, toxic metals, and other components, the study of  Srednicka-Tober et al. (2016) point out the lack of data for more accurate conclusions.

Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production Table 1

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Estimated fatty acids (mg/person/day) intake from organic (ORG) and conventional (CONV) meat based on FAO’s fat supply quantity data for bovine sheep and goat meat in the European Union Consumption associated with . Beef a

Parameters SFA 14:0 (myristic acid) 16:0 (palmitic acid) MUFA PUFA n-3 PUFA n-6 PUFA

ORG 1518 59 709 1307 525 128 290

Lamb and goat b CONV 1507 66 715 1395 455 78 277

ORG 527 60 252 406 142 41 94

CONV 528 61 254 414 132 40 95

a

Calculated assuming an average fat consumption from bovine meat of 3.5 g/person/day. Calculated assuming an average fat consumption from sheep and goat meat of 1.2 g/person per d. Data obtained from Srednicka-Tober et al. (2016). b

The different management associated to both systems will determine differences in meat mineral composition mainly due supplementation in intensive farms, although we cannot obviate that grazing ruminants can be contaminated with toxic minerals depending on the quality of soil and fertilizing systems (Blanco-Penedo et al., 2006, 2009).

Nevertheless, there is a need for research that investigates the impact of air pollution in the organic system, due to meteorological conditions, the proximity of industries or roads. Too little is known about how different components contribute to the overall toxicity of particles suspended in the air, such as transition metals like iron and copper (Lelieveld and Pöschl, 2017).

•

For developing countries, there is still a tremendous scope for sustainable intensification (Rijsberman, 2017). Different studies promote nutritional changes in beef breeds under intensive conditions focused to increase not only animal health and production but also their by-products, pointing out the use of antioxidant supplementation and other management strategies. Currently, there is a great concern about the effects of lipid and protein peroxidation in fresh meat and meat products. It compromises the nutritional quality, limits shelf life, increases toxicity and decreases the market value of meat and meat products (Sampels, 2013).

In fact, lipids are chemically unstable and, therefore, easily prone to oxidation, especially during post-mortem handling, and storage, resulting in rancid odor, off-flavor development, drip losses, discoloration, loss of nutrient value, decrease in shelf life, and the accumulation of toxic compounds, which may be detrimental to the health of consumers (Fig. 3) The review performed by Castillo et al. (2013) showed that supplementation with dietary antioxidants in beef pre-slaughter stages improved meat characteristics. When vitamin E is combined with selenium (Se) supplementation, it has been demonstrated that the antioxidant functions of vitamin E and Se persist in muscle after slaughter, delaying the onset of oxidation reactions in meat and meat products. The study of Chao et al. (2016) demonstrated that vit. E supplementation alone or the combination of vit. E and a mixture of the synthetic antioxidants ethoxyquin and tertiary butylhydroquinone was effective in reducing lipid oxidation and maintaining color stability in beef meat. The control of oxygen levels in meat, and its impacts on food and food products, especially during processing, packaging and distribution, has been a major challenge in the food industry. Nevertheless, the susceptibility of meat to oxidation has also been found to be influenced by animal breed and species, muscle types, and anatomical location (Min et al., 2008). The review of Falowo et al. (2004) describes that Holstein meat displays a higher lipid oxidation than crossbred beef meat. Also, it showed that meat from the gluteus medius muscles had a higher amount of thiobarbituric acid than the longissimus muscle type. In addition, this review points out that the amount of metal ions, such as iron from heme compounds, copper, zinc and heavy metals can also originate from the processing machines and not the original product. For example, abrasion or acidic dissolving of metals from the machines’ surface can influence the rate of oxidation processes in meat. On the other hand, exposure of meat to oxygen, light, and temperature, as well as preservative and processing techniques, such as chilling, freezing, additives (salt, nitrate and spices), cooking, irradiation, high pressure and packaging, could influence the extent of oxidation.

The potential antioxidant role of natural plant extracts is an interesting field to explore, in line with the consumer’s criteria related to any additive: safety. Many herbs, spices, and their extracts have been added to a variety of foods to improve their sensory characteristics and extend shelf-life. Herbs of the Lamiaceae family, mainly oregano (Origanum vulgare L.), rosemary (Rosmarinus officinalis L.), and sage (Salvia officinalis L.), have been reported to have significant antioxidant capacity (Velasco and Williams, 2011). This is attributable to one or more of the following three mechanisms: free-radical scavenging activity, transition-metal-chelating activity, and/or singlet oxygen-quenching capacity. The presence and concentration of different phytochemical compounds such

32

Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

OXIDATION INITIATORS

INDUCE OXIDATION OXIDIZED MEAT

Increase consumer´s health risks

ROS production Oxidants and antioxidants reaction

ANTIOXIDANT MEAT PREVENT OXIDATION Improve consumer´s health and wellness NATURAL ANTIOXIDANT

Figure 3 (2014).

Interplay between oxidative initiation and the potential of natural antioxidants in preventing oxidation in meat. Adapted from Fallowo et al.

as phenolic, flavonoid, alkaloids, saponins, tannins, carvacrol, terpenes, and thymol among others, have been recognized as the potential source of antimicrobial activities in plant materials (Sharma et al., 2012).

The use of synthetic antioxidants, such as butylated hydroxyanisole (BHA), butylated hydroxytoluene (BHT), and tertiary butyl hydroquinone (TBHQ), have been employed in inhibiting meat oxidation but they can also cause toxicologic effects (Falowo et al., 2014). Hence, the use of natural antioxidants has been given more relevance in the last years. A wide range of ingredients with health benefits, such as n-3 PUFA, CLA, vitamin E, dietary fiber, probiotics, calcium, selenium, plant sterol, co-enzyme Q10 and extracts from herbs and species, can be incorporated into processed meat products, resulting in processed meat-based functional foods. It is believed that, if the stability and functionality of healthy ingredients can be maintained, the nutritional profiles of enriched processed meat exceed conventional processed meat. However, more human intervention studies are required to examine the impact of enriched processed meat on human health (Shan et al., 2017). Meat from ruminants makes only a small contribution towards nutritionally significant levels of CLA in the human diet and, thus, the development of dietary strategies for increasing CLA content in meat, like PUFA supplementation (present in several plants, as is shown in Fig. 2), is desirable (Oliveira et al., 2017).

Recently, Lorenzo et al. (2018) highlighted that berries are a good source of phenolic compounds, especially anthocyanins, which can be used as the potential alternative. Different kind of berries such as bearberry (Arctostaphylos sp.), blueberry (Vaccinium sp.), blackberry (Rubus sp.), blackcurrant (Ribes nigrum), cranberry (Vaccinium sp.), cloudberry (Rubus chamaemorus), strawberry (Fragaria ananassa), and grape berries (Vitis sp.) can be useful for replacing/decreasing synthetic antioxidants and stabilizing meat products, with health benefits.

The study of Venkata Reddy et al. (2015) showed an increase in the linolenic acid content in loin muscle of Hanwoo heifers supplemented with dried wormwood (Artemisia sp.), attributable to the high content of phenolic and non-phenolic antioxidants in wormwood, that regulates the mechanism of peroxidation of PUFAs. In goat’s meat, oxidation of lipids is one of the major causes of quality deterioration and reduced shelf life, as happens with beef products. For this reason, several strategies using natural products have been used and widely published. For example, the study of Banerjee et al. (2012) evaluates the antioxidant potential of broccoli powder extract in goat meat compared with synthetic antioxidant BHT. Their results revealed that broccoli powder was bestowed with phenolic compounds with excellent free radical scavenging activity, acting as a natural source of antioxidants.

Dietary phenolic compounds have been extensively studied as natural antioxidants in animal nutrition, and their antioxidant effects are strongly related with its absorption along the gastrointestinal tract. The phenolic compounds are a chemical heterogeneous group, ranging from simple molecules to highly polymerized compounds. In general, simple molecules may be absorbed from the small intestine, whereas polymers must be degraded in the intestinal tract prior to absorption (Lobón et al., 2017).

Ivanovic et al. (2016) demonstrated in goats that forage species significantly influenced the chemical composition of goat’s meat in terms of moisture, total fats, proteins, and ash content. The FA composition of fresh goat meat (gluteus superficialis muscle) and

Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

33

ham was significantly higher in a-linolenic acid and n-3 PUFA in those animals reared in mountain regions with natural pastures, in comparison with those fed high-grain diet and forage. These characteristics were also observed in the smoked ham obtained by complex chemical and biochemical processes during technological production (maturation, brine, smoking, drying).

The plants determined in the mountain region were Arrhenatheretum elatioris, Festuco-Chrysopogonetum, Danthonietum calycinae, Medicago falcateFestucetum rubrae, Trifolio campestre-Agrostietum vulgaris and Festuco vallesiacae, and Agrostieutum vulgaris with predomination of family Poaceae (Arrhenatherum elatius, Dactylis glomerata, Festuca pratensis, Lolium perenne) and family Fabaceae (Lotus corniculatus, Trifolium repens, Lathyrus pratensis, Trifolium montanum, Trifolium campestre)

Sheep meat is not an exception. Thus, sheep fed red clover or lucerne alone had a more intense and unacceptable flavor than meat from grass-fed sheep (Schreurs et al., 2008). This effect due to legume consumption has been attributed to the proportion of legumes in diets and its consequent effect on the linolenic acid concentrations in meat. This compound is associated with lower oxidative stability and with odoriferous compounds stored in fat depots (Moloney, 2016). In addition, legume silages have a high content of undesirable fermentation products such as ammonia and some amines that can be absorbed in the rumen (Campos et al., 2017). Most published studies on the effects of tannin supplementation on meat fatty acid profile were conducted with lambs, although with variable responses depending on the type of condensed tannins and the dosage used (Lobón et al., 2017). It has now been demonstrated that tannins can be partially metabolized by rumen microorganisms and that their metabolites can be absorbed at the gut level, resulting in transfer to meat and milk of small ruminants (Buccioni et al., 2017). Different authors have hypothesized that tannin-rich feeds could reduce or inhibit the biohydrogenation of vaccenic acid to stearic acid, resulting in the accumulation of vaccenic acid. Because linoleic and linolenic acids were also lower in the tannin-supplemented diet, tannin supplementation might have induced alternative biohydrogenation pathways through other 18:1 and 18:2 isomers, although few of these intermediates were reported (Morales and Ungerfeld, 2015).

The study of Lobón et al. (2017) concluded that raising suckling lambs with their dams on pasture is an advisable system to produce meat with low intramuscular fat and high a-tocopherol content using natural resources and hence fulfilling the consumer’s demands. The inclusion of quebracho (Schinopsis balansae; 75% condensed tannins) in the dams’ concentrate was recommended, because it improves the lamb meat color and extends its meat shelf-life. However, other studies in longer term (70-day) finishing periods, demonstrated that supplemental tannin at higher concentrations (6 g/ kg dry matter) may have a depressing effect on the efficiency of dietary energy utilization (Rojas-Román et al., 2017).

From the reviewed literature it can be observed that each species and rearing system have specific meat characteristics that should require specific nutritional strategies destined to cover both the productive demands and the quality of the final product.

Milk Strictly speaking, all mammals are dairy animals. However, from the more than 2000 species that produce milk, only a few have been domesticated by humans to satisfy our own nutritional requirements. The choice of which animals to domesticate for dairy production was probably determined by different factors such as the availability of the animal, ease of milking, and the organoleptic properties of the milk (some milks are unpalatable to humans). The size and the position of the udder and teats, the udder storage capacity, and the quantity of milk produced led to a form of hierarchy between animals based on a greater or lesser facility to harvest their milk. Based on these criteria, the cow presents many advantages over other species. The adoption of non-cattle species for milk provision was nevertheless significant and their importance can be associated with the adaptation of such species to specific geographical areas and also to local cultural beliefs and behaviors (Faye and Konuspayeva, 2012).

According to Faye and Konuspayeva (2012), it is not necessary to adapt the western model for intensive dairy production to non-cattle dairy systems, whether intensive or not. There are other alternatives available that meet the increasing demand for more sustainable products, although quantity and quality of production should still be maintained at the same standards.

Milk and dairy foods have been recommended in most dietary guidelines around the world. Despite some debates related with lactose intolerance or milk protein allergy, epidemiologic studies confirm the nutritional importance of milk in the human diet and reinforce its beneficial role in preventing several chronic conditions, such as cardiovascular diseases, obesity, or diabetes (Castillo et al., 2017).

A recent meta-analysis combining data from 29 prospective cohort studies demonstrated there were no associations between total dairy, high-and lowfat dairy, milk and the health outcomes including all-cause mortality, coronary heart or cardiovascular diseases (Guo et al., 2017). Curiously, by

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Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

examining different types of fermented milk in relation to cardiovascular disease, the authors found a weak association with cheese, but not yogurt. It is also noteworthy that butter consumption, despite being a high fat dairy food with 80% of fat, was not significantly associated with cardiac diseases or stroke. Indeed, there was an inverse association with the incidence of diabetes.

These results are in agreement with previous studies pointing out the beneficial effects of high-fat dairy foods on human health, showing an inverse association of full-fat dairy food and the metabolic syndrome (Drehmer et al., 2016). The recent review of Grazyna et al. (2017) focuses on the benefits of milk and the role played by its CLA to prevent inflammation by controlling arachidonic acid transformations and promoting high levels of antioxidant activity. Those effects reduce the risk of atherosclerosis, cancer, and neurological disorders. In addition, CLA plays an important role in regulating the blood lipid profile, preventing hypertriglyceridemia, obesity, and type 2 diabetes.

The antioxidant activity of dairy products has also been considered in fermented milks. Different studies have established the ability of lactic acid bacteria to release certain compounds with antioxidant activity during fermentation (Castillo et al., 2013). Recently, Grazyna et al. (2017) described milk antioxidants, both lipophilic (CLA, a-tocopherol, b-carotene, vitamins A and D3, coenzyme Q10, phospholipids) and hydrophilic antioxidants (proteins, peptides, vitamins, minerals and trace elements) that play a key role in maintaining pro-oxidant and antioxidant homeostasis in the human body. In addition, lipophilic antioxidants are characterized by high thermal stability and they are active in all dairy products. Both kind of antioxidants interact in the process of deactivating reactive oxygen species and the final products of lipid peroxidation.

The most active antioxidant in fat milk is CLA, a unique component of ruminants’ milk and meat, which is characterized by conjugated double bonds. Isomers of CLA with high biological activity include cis-9, trans-11 and trans-10, cis-12 CLA (Wang and Lee, 2015).

The Table 2 shows the content of CLA and cis-9 and trans-11 isomers in milk and dairy products. Natural trans isomers of FAs (vaccenic acid and CLA) are found in ruminant lipids (cattle, sheep, goats), where they account for 4%–6% of all FAs. Rumen bacteria (Butyrivibrio fibrisolvens, Clostridium lochheadi and Cellobioparum) transform cis-FAS to trans FAs synthesizing isomerases and hydrolases. This includes linoleic acid, a-linolenic acid, and oleic acid. Free FAs in the cis configuration are released when feed triglycerides are hydrolyzed by rumen lipases, and they are transformed by bacteria into bioavailable forms (Wang and Lee, 2015). Despite their fat content and composition, milk and dairy products are naturally rich in various minerals (e.g. calcium, potassium), protein and vitamins (e.g. vitamin A and vitamin B12). Nutrients including calcium, potassium, and magnesium have been suggested to be associated with lower risk of stroke (Pereira, 2014; Cunsolo et al., 2017; Guo et al., 2017)

The mechanism of the beneficial association of fermented dairy products and reduced cardiovascular disease risk and mortality is uncertain. Evidence from randomized controlled trials suggests that the reason, at least in part, may be an effect of the food matrix reducing lipid absorption and short chain fatty acids produced by the bacteria in the large intestine. Moreover, omics-techniques have suggested that some of the beneficial effects of cheese can be accounted for by microbial fermentation producing short chain fatty acids such as butyrate (van Hylckama et al., 2011; Veiga et al., 2014).

Table 2

Content of CLA and cis9, trans11-CLA isomers in milk and dairy products

Product

CLA (mg/g fat)

cis9, trans11-CLA (% CLA)

Full fat milk Milk 2% fat Condensed milk Ice cream Butter Buttermilk Yogurt Low-fat yogurt Cream Processed cheese Mozzarella Cheddar

3.4–6.8 4.1 6.3–7.0 3.6–5.0 4.7–9.4 5.4–6.7 3.8–8.8 4.4 4.6–7.5 4.1–10.7 3.4–5.0 3.6

82–97 – 82 76–78 78–88 – 83–84 86 79–80 75 78–95 92

Data obtained from Grazyna et al. (2017).

Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

35

Milk Characteristics Depending on Species The general term milk commonly refers to cow’s milk, produced by healthy animals and excluding the lactic secretion between 15 d before and 5 d after parturition, or until it is almost completely free of colostrum. Although cow milk is probably the most frequently consumed, sheep and goat milk are also included in this concept (Pereira, 2014).

Milk production by species other than cattle shows some important advantages: 1) milk production in remote areas with very well-adapted species; 2) low input farming systems; 3) Contribute both to poverty alleviation and international market integration (Faye and Konuspayeva, 2012).

At the global level, cows’ milk remains the most abundant and the most consumed by humans. However, milk production from other species than cattle, such as sheep or goats, is significant and forms an important part of milk consumption by humans in some countries.

The dairy goat is also widely distributed except in North America, Oceania, and North Europe. The dairy goat plays an important role in developing countries (e.g., Africa, especially in Sudan and Ethiopia, and Southern Asia) where it is regarded as the cow of the poor. Goat milk is widely produced in Western Africa (20% of the milk produced) but also in the Caribbean and the middle of Africa. Sheep milk is mainly produced around the large Mediterranean basin (including Middle East) where it is a traditional production, and to a lesser extent in China (Faye and Konuspayeva, 2012; García et al., 2014).

However, in spite of the various advantages of sheep and goat milk, both face four important challenges (Faye and Konuspayeva, 2012): 1) how to improve the milk productivity, which is generally very low compared with that of the cow; 2) how get niche production more integrated into markets; 3) how to support the development of milk processing; and 4) how to increase the knowledge of, and better characterize these types of milk. The chemical composition of bovine, ovine, and caprine milk in comparison with human milk is reflected in Table 3. Compared with the cow milk, goat’s milk contains bigger protein micelles than cows’ milk (260 nm versus 200 nm, respectively), with smaller fat globules. The fat matter of goats’ milk contains more short chain and middle-chain FA (caproic, caprylic, and capric acids are two-fold more concentrated than in cows’ milk), while the proportion of UFAs is also higher than in cows’ milk. These properties are beneficial for cheese processing. Ewes’ milk is rich in proteins, minerals, and lipids. Specifically, it contains more calcium, phosphate, and magnesium. Also, its lipid fraction contains higher proportions of middle-chain FAs than cows’ milk. Due to its richness, ewes’ milk gives a high cheese-making yield (Faye and Konuspayeva, 2012).

In relation with CLA content, sheep’s milk contains twice CLA than cow’s milk, whereas goat milk is a less abundant source of CLA than cow’s milk. CLA concentrations in cow’s milk vary widely, from 2 up to as much as 37 mg/g of fat when vegetable oil is added to feed. On the other hand, cows’ milk is the most abundant source of (85%–90%) of rumenic acid (Grazyna et al., 2017).

Independently of the species, milk quality is also defined in terms of mastitis: milk with a low somatic cell count, a low total bacterial count, and a visibly normal appearance (no clots), an indication of healthy animals and a good hygienic standard at the farm (Skeie, 2014). Nevertheless, the definition of high-quality milk must be expanded taking into account previous considerations. The quality of milk depends on different factors such as animal welfare, farm environment, the general organization of production, lactation stage, and animal nutritional status (Ribeiro and Ribeiro, 2010), milk quality should also be based on the amount of antioxidants that it contains, protecting the characteristics of milk lifetime by reducing oxidation (Weiss, 2010). Table 3

Average composition of human, cow, sheep and goat milk

Parameter

Human

Cow

Sheep

Goat

Fat (%) Lactose (%) Protein (%) Energy (kcal/100 mL) Calcium (mg/100 g) Phosphorus (mg/100 g) Vitamin A (IU/100 g) Vitamin D (IU/100 g)

4.0 6.9 1.2 68 33 43 190 1.4

3.6 4.7 3.2 69 122 119 126 2.0

7.9 4.9 6.2 105 193 158 146 7.2

3.8 4.1 3.4 70 134 121 185 2.3

Data obtained from Pereira (2014).

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Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

In the dairy industry, synthetic additives are used to improve the characteristics and properties of processed foods. Potassium sorbate is one of the main preservatives employed, being also extensively used as an antimicrobial agent since it can effectively inhibit the growth of fungi, aerobic bacteria, and yeasts. Nevertheless, as happen with meat, consumers demand more and more of the so-called ‘‘natural” products where milk and other dairy products are no an exception. The use of natural plant extracts contributes to develop novel dairy products, by replacing synthetic preservatives and improving the antioxidant properties of the final product, without changing the nutritional profile, in line with the new concept of functional milk products (Caleja et al., 2016).

The Challenge of Cow’s Milk Allergy The first adverse reactions to cow’s milk were described 2000 years ago. However, it was only 50 years ago when several groups started with the analysis of cow’s milk allergens (Hochwallner et al., 2014; Cunsolo et al., 2017). Table 4 describes the main characteristics of cow’s milk allergens. Sometimes, milk intolerance is mistakenly referred to as an allergy. In this case, however, there is no allergic reaction but a reduced capacity of the intestines to digest the lactose of the milk.

Cow’s milk contains around 30–35 g of proteins per liter and includes more than 25 different proteins, from which only some of them are known to be allergenic. Through the acidification of raw skim milk to pH 4.6 at 20  C two fractions can be obtained: the coagulum containing the casein proteins which accounts for 80%, and the lactoserum (whey proteins) representing 20% of the total milk proteins. The casein fraction consists of four proteins which account for different percentages of the whole fraction: aS1-casein, aS2-casein, b-casein and k-casein with aS1-casein being the most important allergen of the casein fraction (Schulmeister et al., 2009; Hochwallner et al., 2014).

On the other hand, cow’s milk also contains lactose, a disaccharide composed by glucose and galactose. It can be found in two isomeric forms (a and b) that in aqueous solution are in balance. It is hydrolyzed by a b-galactosidase known as lactase, which has a special preference for the b form. In mammals, b-galactosidase activity decreases significantly after weaning. Apparently, this does not happen to the same extent in humans. Its activity remains even during adulthood and intolerance symptoms occur when, for some reason, there is an enzymatic deficiency (Pereira, 2014).

Unfortunately, there is still no suitable therapy available against cow’s milk protein allergy except avoidance. In cases of lactose intolerance, milk is usually also avoided, and the affected individuals are encouraged to consume fluid milk subjected to lactose enzymatic digestion or other dairy products with vestigial lactose content such as yogurt or cheese.

Milk from small ruminants, such as goat and sheep, also appears to be potentially less allergenic than cow’s milk and has, therefore, attracted a large amount of attention in the last decades. However, it should be noted that allergies to goat or sheep’s milk have also been documented and their use as a possible alternative to cow’s milk for allergic subjects remains debated (Ah-Leung et al., 2006).

In general terms, goat milk, in comparison with the cow milk, has a higher content of total solids, protein, fats, and minerals. Indeed, it was recommended as a substitute for patients allergic to cow milk due to its better tolerance. The study of Sanz-Ceballos et al. (2009) demonstrated different behavior of goat’s milk proteins in comparison with cows being more easily broken down in the stomach, thus favoring digestibility. This difference seems to be due to the diverse composition of their casein fractions. Indeed, cow milk contains a higher proportion of aS1-casein. However, stage of lactation influenced casein composition, content of lactose, protein, casein, calcium, SCC, and the mean size of casein micelles (Inglingstad et al., 2016). Despite the minor worldwide production of sheep milk, in comparison with the bovine one, in the last years there has been a growing interest in obtaining an in-depth characterization of its protein composition. These studies are aimed not only at improving dairy productions and contributing to the conservation of dairy animal biodiversity, but also at identifying sources of Table 4

Main characteristics of cow’s milk allergens

Parameter

Protein

Concentration (g/L)

Size (kDa)

Whey (20%) (5 g/L)

a-Lactalbumin b-Lactoglobulin Bovine serum albumin Inmunoglobulins Lactoferrin aS1-casein aS2-casein b-casein k-casein

1–1.5 3–4 0.1–0.4 0.6–1.0 0.09 12–15 3–4 9–11 3–4

14.2 18.3 66.3 160 80 23.6 25.2 24 19

Whole casein (80%) (30 g/L)

Adapted from Hochwallner et al. (2014).

Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

37

hypoallergenic alternatives to cow’s milk and at comparing differences between species and helping in the design of novel products (Cunsolo et al., 2017).

The results of an in-depth characterization of ewe’s milk whey proteome, carried out by coupling the Combinatorial Peptide Ligand Library (CPLL) technology with sodium dodecyl sulfate polyacrylamide gel electrophoresis (SDS-PAGE) and high resolution ultra-performance liquid chromatography analysis allowed the identification of 718 different protein components, 644 of which are from unique genes. Particularly, this identification has expanded literature data about sheep whey proteome by 193 novel proteins previously undetected, many of which are involved in the defense/ immunity mechanisms or in the nutrient delivery system. Proteomic comparisons with cow’s milk evidenced that while about 29% of sheep milk proteins are also present in cow’s milk, 71% of the identified components appear to be unique of ewe’s milk proteome and include a heterogeneous group of components which seem to have health-promoting benefits (Cunsolo et al., 2017).

Nevertheless, recent technologies such as hydrolysation of bovine milk protein to smaller peptides allow modification of milk proteins increasing tolerability of milk and developing new dairy products for adults with cow’s milk sensitivity (Turpeinen et al., 2016).

The process involves ultrafiltration and nanofiltration of milk to remove lactose, followed by enzymatic hydrolysis of the remaining lactose. Hydrolysis is directed predominantly on b-casein and k-casein. In this way, it is possible to obtain milk with the same energy and macronutrient content than normal milk.

Plant Extracts Supplementation on Milk Characteristics As aforementioned, milk quality, independently of species, depends on several factors, many of them widely reported in the literature (species, breed, physiological stage, environment, season, etc.). However, taking into account the aim of this chapter, this section focuses on nutrition, especially the use of natural antioxidants and their influence on the final products and by-products. Such is the case with some well-known dairy products, in which part, of all, of the milk fat is replaced with vegetable fat or a mixture containing fish oil. This would increase the levels of n-3 PUFAs, with a consequent benefit for the prevention of cardiovascular disease (Li et al., 2003).

It is technically possible to change the milk lipid profile by increasing the amount of UFAs using different animal feeding strategies. Lipids are typical ingredients in dairy diets, they have an impact on the FA composition of milk fat and the subsequent dairy products obtained from the milk (Chamberlain and de Peters, 2017). However, the inclusion of such supplements in the diet of ruminants must be done carefully. When administered at high concentrations it can result in adverse health events or even death (Gunn and Abuelo, 2017). Also, even at low concentrations, UFAs reduce feed intake and alter ruminal microbiota, resulting in a decrease in the production of milk and, sometimes, its protein content. There is scientific evidence proving that the inclusion of less than 4% oil in cattle and sheep diets has no negative effects on the animal itself and increases the PUFA content of milk, although this has not been studied in goats (García et al., 2014). Feeding a lipid supplement high in either C:16 or C:18 FAs supported production performance of high-producing cows although digestibility of total FA declined with increasing proportion of C:18 in the lipid supplement. Thus, the type of lipid supplement impacts the FA composition of milk lipids as well as milk fat globule size distribution. One possible explanation could be the unclear role of bile acids in fat digestion at the small intestine (Chamberlain and de Peters, 2017).

The enrichment of milk with CLA is one of the targeted products under the current functional foods concept. A recent review performed by Siurana and Calsamiglia (2016) assessed the effects of different fats fed to dairy cows (through vegetable fats, fish oils, or combinations) and methods of processing (raw, processed or extruded seeds, and oils). According to their results, supplementation with fish oils together with vegetable fats would be the best strategy to increase CLA in milk and its products. Interestingly, the authors pointed out that although there are sufficient data on feeding strategies to increase CLA content in milk, human requirements have not been well established and, based on current recommendations, they are unrealistic even if all milk and milk products were consumed as CLA-enriched products.

In dairy goats, lipid supplementation to concentrates affects cheese composition and ripening. If the goats receive a ration supplemented with SFA (rich in C:18) the cheese has higher content of total solids whereas if the goats are supplemented with UFAs the cheese has a lower content of free amino acids indicating a slower ripening (Inglingstad et al., 2016).

The use of synthetic antioxidants was considered another efficient tool for reducing the deterioration of the sensory and nutritional quality of goat milk, but their use has decreased due to low stability and their association with carcinogenic diseases (Milos and Makota, 2012). Hence, some authors have studied the suitability of natural antioxidants such as plant extracts as an alternative to synthetic antioxidants (Parejo et al., 2002). Clearly, obtaining milk enriched as a result of animal feeding is a healthier practice than artificially adding unsaturated oils to milk (García et al., 2014). There is abundant literature describing the effects of different

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Ruminant (Bovine, Caprine, and Ovine) Milk and Meat Production

natural plant extracts in indoor or outdoor management conditions and its effects on milk quality in different ruminant species. In this section we will focus on the most relevant items that we have observed through its reading. On the one hand, demand for organic milk is partially driven by consumer perceptions that it is more nutritious. Sheep and goats are often considered by consumers as ecological animals, and their products a priori as more adapted to maintain human health (Morand-Fehr et al., 2007). However, there is still considerable uncertainty about whether the use of organic production standards affects milk quality as noted in the meat section ( Srednicka-Tober et al., 2016).

However, the organic farming approach could be valid for low-income countries whose survival has been threatened by wars, poverty, or climate disasters, based on naturally adapted ruminants and native plants (Peeters et al., 2015).

The two major systems of small ruminant farming are pasture and confinement systems. Between these two farming systems there is a wide scope of mixed systems such as summer pasture/winter indoors or alternatively indoors/outdoors subject to climatic differences. Goat farming is important in areas where the conditions for cow milk production are inferior. About one-third of the farmers use mountain summer grazing to utilize uncultivated mountain pasture (Skeie, 2014). The study of Morand-Fehr et al. (2007) on ovine and caprine milk quality, showed that when systems based on grazing and indoor systems are compared, the milk components (fat, protein, and lactose) appear to be rather less influenced by type of farming system than by level of milk production. Other studies in bovines found no significant differences in the SFAs content of milk fat between dairy cows raised in an organic farming system and cows fed a traditional diet. However, organic milk was characterized by higher concentrations of branched-chain PUFAs, in particular n-3 PUFA and CLA (Grazyna et al., 2017). In all species, the significant differences were due to the energy content of the ration, that varies between pasture and confinement systems.

In fact, differences in ration’s energy content was pointed out by Abuelo et al. (2015) in dairy cows designed for high milk production in organic systems, leading to the development of animal’s metabolic disturbances derived from a poor diet, decreasing their production and quality of it, with great cost to the farmer.

The review of Morand-Fehr et al. (2007) shows the complexity of different farming systems worldwide offering sometimes opposite results owing to the numerous factors in production and feeding and their interactions, influencing milk yield and composition. Even so, as happened with meat production, the positive consumer’s perception in relation to the best quality of organic milk is based on the consumption of pastures, rich in healthy fat, micro-components (fatty acids, vitamins) and in volatile components (such as terpenes), beneficial to human health. On the contrary, in intensive confinement systems, a high level of feed intake due to feedstuffs of good nutritive value and/or higher amounts of concentrates enable production of milk richer in protein and relatively lower in fat content.

Different studies confirm that the milk fat content influences cheese fat content as well as rheological and sensorial qualities. This is an important factor that has direct repercussion on cheese quality, as it is appreciated by consumers. In the future, farmers must select farming or feeding systems in accordance with trade conditions, consumers’ demands, and socio-economic conditions. If commercialization of high quality cheeses is possible, farmers should have to define systems, that allow to optimize parameters of quality, even if they reduce milk production.

One specific feature of the Mediterranean area is that the extensive goat and ewe grazing farming systems play an essential ecological role and allow the production of cheeses that cannot be produced equally by intensive farming systems. These types of cheese satisfy unique niche markets that have become even more popular in the recent years in both domestic and export markets, especially under organic labels (Morand-Fehr et al., 2007). Unfortunately, if the pasture is overgrazed or of poor quality -as happens during dry periods, the diet may become poor in energy and therefore the milk yield may decrease. Some forages and concentrates may be added. Nevertheless, even if these supplies are limited, the milk qualities supported by this system remain to be quite fair (Fedele et al., 2005).

Under this scenario, the search of new feed sources that contribute to the optimization of production includes the possibility of using waste (called banquettes) of a marine plant commonly found on the Mediterranean coasts: Posidonia oceanica. Castillo et al. (2016) demonstrated that supplementation with P. oceanica had no detrimental effects on milk production, besides supplemented goats had higher levels of milk fat and lower of SCC. In fact, various types of secondary metabolites have been reported in this marine plant, such as phenolic compounds, predominantly caffeic acid, flavonoids and, more recently, posidozinol, a novel methylated sesquiterpene. In addition, milk FAs in supplemented goats did not show significant differences in comparison with controls. Also, sensory tests detected that milk from supplemented goats had a slightly decreased intense odor (van Eldik et al., 2017).

For bovine milk, the results of the meta-analysis performed by  Srednicka-Tober et al. (2016) showed no significant differences in total SFAs and MUFAs concentration between organic and conventional bovine milk. However, concentrations of total PUFAs and n-3

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PUFAs were significantly higher in the organic milk. In addition, organic milk has significantly higher a-tocopherol and Fe, but lower I and Se concentrations. All these characteristics were attributable to the higher grazing/conserved forage intakes in organic systems. Regarding sheep and goat, the same meta-analysis found no significant difference in PUFAs and vaccenic acid concentration between both systems, although the scarcity of studies in these species was highlighted. However, significant higher concentrations of MUFAs, CLA and a-linolenic acid and lower concentrations of linoleic acid were detected in organic milk. Taking into account the new challenges in the agricultural sector towards intensification it is clear that supplementation with natural antioxidants constitutes a challenge for nutritionists, due to their beneficial effects not only in animal’s health but also in the quality of the final product and the absence of residual contaminants. Most of them are food industrial by-products, harvesting residues or natural wastes, as happens with seagrasses leaves.

Polyphenols, which are widely distributed in plants, are among the most studied natural antioxidants due to consumer preference for this kind of products (Bertolino et al., 2015). Polyphenols may interact covalently or non-covalently with proteins. The non-covalent interactions have been suggested to be created by hydrophobic interactions, which may subsequently be stabilized by hydrogen bonding. Caseins show a tendency to associate with other proteins according to the hydrophobic character of the micelle because of the relatively high charge. Besides, caseins are proline-rich proteins, which in turn have a strong affinity for the hydroxyl (eOH) group of phenolic compounds. The protein-polyphenol interaction is maximal at the isoelectric point of the protein and the specific functionality of phenolic compounds in dairy products is based on their ability to interact with milk proteins (Pelaes-Vital et al., 2015).

The absorption of polyphenolic compounds generally depends on 1) their molecular structure that, in turn, affects their solubility; 2) the ability of rumen microbiome to degrade them to compounds with a lower molecular weight; and 3) their percentage of inclusion in the animal’s diet (Buccioni et al., 2017).

Clearly, the use of antioxidants, regardless of the production system, is perhaps one of the safest and most accepted nutritional strategies for the consumer. With regards to the production of milk and its derivatives, often the same products are used also for meat production, although it could be possible that what is good for one product (meat/milk) is not beneficial for the other. Therefore, this field of research is promising, since apart from using natural substances contributes to provide fortified foods to the consumer (fiber, minerals, vitamins, antioxidants), is beneficial for human and animal health and leaves no residues, as happens with antimicrobials.

For example, skins obtained from roasted hazelnuts (Corylus avellana L.) increase the dietary fiber and polyphenol content of yogurt. By consuming 100 g of products fortified with 3% of hazelnut skin consumers obtain the 37% of the dietary fiber intake recommended by the European Union and an increase in polyphenol intake up to 0.6% (Bertolino et al., 2015).

Nevertheless, not all the species respond in the same way to plant supplements. Ruminal biohydrogenation combined with mammary lipogenic and D-9 desaturation pathways, considerably modify the profile of dietary FA and thus milk composition. The review of Chilliard et al. (2007) describes that plant lipid supplements have effects similar to pasture, especially linseed, but they increase to a larger extent several trans isomers of oleic acid and, conjugated or non-conjugated linoleic acid, especially when added to maize silage or concentrate-rich diets. The goat responds better for milk CLA, and is less prone to the RBH trans11 to trans-10 shift, which has been shown to be time-dependent in the cow.

For example, dietary supplementation with microalgae to cows had no effect on milk oxidative stability measured with thiobarbituric acid reactive substances (TBARS), as happened in goat’s milk. The oxidation of dairy products reduces their nutritional quality and organoleptic properties. Hence, the quality of milk should also be based on the amounts of antioxidants that it contains. More research, however, is still needed in order to find the optimum level of dietary supplementation with microalgae in order to achieve an enhancement in the antioxidant mechanisms (Tsiplakou et al., 2017).

Hydrolysable and condensed tannins are effective in modulating RBH of PUFAs in dairy ewes fed diets based on hay and concentrates supplemented with oils or full fat seeds. The interaction between dietary polyphenols and hydrolysable and condensed tannins, with lipid supplements (soybean oil or extruded linseed) increases the concentration of linoleic, vaccenic and rumenic acids, decreasing total SFAs in sheep milk and maintaining the total polyphenol content (Buccioni et al., 2017).

These effects are probably due to the ability of tannins to interfere with rumen microbial metabolism, through changes in the concentration of volatile fatty acids (VFA) and by changes in rumen microbial communities.

Supplementing ruminants’ diets with tannins alters the profile of fatty acids, outflowing the rumen. Thus, influencing milk content of beneficial fatty acids such as linolenic acid, vaccenic, and rumenic acids, among others (Morales and Ungerfeld, 2015).

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Conclusions Apart from the new trends that reject the consumption of meat, milk, and their derivatives, it is clear that their consumption provides multiple benefits to human health in terms of nutritional components (vitamins, mineral, healthy fatty acids) and antioxidant properties. These beneficial characteristics can also be enhanced further with a proper nutritional management that includes a shift in the ration design, considering the supplementation with natural plant extracts. The future of nutritional enrichment of cow, sheep, and goat meat and milk will, in our opinion, rely substantially on the natural manipulation of the ruminal biohydrogenation process. The use of natural supplements for this purpose meets the dual purpose of addressing the consumer’s concerns about quality and safety and the provision of antioxidant benefits to the final products and their derivatives, in line with the concept of fortified foods. In a world that moves towards the sustainability of any human activity, livestock production is an important one. Being able to use animals adapted to the environment and plant resources typical of each area increases the economic efficiency of the system and contributes to the maintenance of the rural sector worldwide.

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Nutrition and Disease: Type 2 Diabetes Mellitus Elena Garcı´a-Ferna´ndez and Miguel Leon-Sanz, University Complutense Madrid (UCM), Madrid, Spain © 2019 Elsevier Inc. All rights reserved.

Abstract Introduction to the Nutrition Care Process and Medical Nutrition Therapy for Diabetic Patients Effectiveness of Medical Nutrition Therapy Goals of Medical Nutrition Therapy for Individuals With Diabetes Eating Patterns Recommendations of Carbohydrates Recommendation of Fats Recommendations of proteins Recommendations of Micronutrients Alcohol and Diabetes Management The Process of Providing Medical Nutrition Therapy Care Plan Flow Special Situations Overweight and Obesity Snacking Irregular Mealtimes Eating Away From Home Weight Consequences of Diabetes Medications References Further Reading

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Abstract The treatment of Type 2 Diabetes Mellitus combines drugs, nutrition, physical activity, behavioural changes, and in some cases, bariatric surgery. In recent years, we have seen a dramatic increase of the pharmacotherapy for this metabolic disorder. New agents acting in different pathways and aiming at different target are now available. However, this treasure of new drug families does not diminish the importance of medical nutrition therapy of Type 2 Diabetes Mellitus. Since overweight and obesity are common features of Type 2 Diabetes Mellitus, all the measures intended to control Diabetes should promote weight loss and weight maintenance. In addition, many of the recommendations for patients with Diabetes Mellitus may be very similar to those given for Cardiovascular Disease prevention and treatment. Patients obtain a better view of the characteristics of medical nutrition therapy when nutritional education describes eating patterns more than when it defines macro or micronutrient recommendation. However, from an educational perspective, it is very appropriate to review the recommended intake of macro and micronutrients for these patients. The process of providing medical nutrition therapy is well structured and it delineates an individualized care plan. Patients and relatives need instruction regarding the influence of the different drug therapies on the nutritional care plan, or on how to manage this if they are eating away, have irregular mealtimes, suffer acute or chronic comorbidities, such as proteinuria, renal failure, or obesity. Although the nutritional guidelines for Type 2 Diabetes Mellitus share many recommendations with dietary guidelines for healthy people, the variety of situations that patients with Type 2 Diabetes may go through, supports the need of individual well-designed medical nutrition therapy and the best diabetes education for patients and caregivers.

Introduction to the Nutrition Care Process and Medical Nutrition Therapy for Diabetic Patients Medical nutrition therapy (MNT) includes a nutrition prescription tailored for people with diabetes based on medical, lifestyle, and personal factors. MNT has an integral role in overall diabetes management, and each person with diabetes should be actively engaged in education, self-management, and treatment planning with his or her health care team, including the collaborative development of an individualized eating. MNT should involve a nutrition assessment, nutrition diagnosis, nutrition interventions (e.g., education and counselling), and nutrition monitoring and evaluation with ongoing follow-up to support long-term lifestyle changes, evaluate outcomes, and modify interventions as needed. To be effective, it must be implemented in a standardized process. All health care team members involved in diabetes treatment and management should understand MNT and should support the patient (Lifestyle Management, 2018).

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Nutrition and Disease: Type 2 Diabetes Mellitus

Effectiveness of Medical Nutrition Therapy Randomized controlled trials and observational studies of MNT for diabetes have demonstrated improved glycaemic outcomes, with a decrease of around 1% to 2% units in glycated haemoglobin A1C (A1C) (an overall decrease from baseline of 15% to 22%), both in type 1 diabetes (Kulkarni et al., 1998), (DAFNE Study Group, 2002) and in type 2 diabetes (Franz et al., 1995). In type 2 diabetic patients, MNT has the greatest impact early in the course of the disease. As beta-cell function decreases, blood-glucose-lowering medication(s) need to be combined with MNT to achieve blood glucose goals. Adherence to intensive dietary therapy may be associated with a reduction in comorbidities and mortality. In addition, type 2 diabetes can be prevented by lifestyle interventions in subjects who are at high risk for diabetes (Tuomilehto et al., 2001).

Goals of Medical Nutrition Therapy for Individuals With Diabetes The American Diabetes Association (ADA) has defined the main goals of MNT for individuals with diabetes (Evert et al., 2014): a. To promote and support healthful eating patterns that contribute to maintain a better health and to achieve specific metabolic outcomes, including: • Glucose Metabolism: A1c 18 years

2 mga 3 mg 3 mg 5 mg 8 mg 11 mg 11 mg

2 mga 3 mg 3 mg 5 mg 8 mg 9 mg 8 mg

a

Adequate intake (AI).

Pregnancy

Lactation

Upper intake level 4 mg 5 mg 7 mg

12 mg 11 mg

13 mg 12 mg

40 mg

Diets and Diet Therapy: Trace Elements Table 3

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Suggested lower cutoffs (2.5th percentile) for the assessment of serum zinc concentration proposed by The second National Health and Nutrition Examination Survey (NHANES II) (Hotz et al., 2003) Lower cutoffs of serum zinc concentration (mg/dL)

Time/fasting status

Children age 0.48 to 51 Boys >80 cm Women >94 cm Men > 0.8 Women > 1.0 Men > 0.80 Women > 0.95 Men 0.8 Women 1.0 Men 0.71 to 0.84 Women 0.78 to 0.93 Men >0.50

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Description of anthropometric indicators used for assessing nutritional status by age categorydcont'd

Age (years) Women of reproductive age

Cut-off points a

Index/indicator Pregestational BMI

a

BMI one month postpartum Height Recommendations for pregnant women Pregnant women

a

Weight gain according to nutritional status in early pregnancyv

c

Nutritional status category

Interpretation/Utility

>30 kg/m 25 to 29.9 Kg/mc 18.5 to 24.9 Kg/mc