COVER PAGE

Improvement of the agricultural sustainability and livelihoods of poor

farmers through biotechnology: reality or speculation?

This report is presented as received by IDRC from project recipient(s). It has not been subjected to peer review or other review
processes.

This work is used with the permission of Brian E. Love.

© 2006,Brian E. Love. Dean Spaner.

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Improvement of the agricultural sustainability and livelihoods of poor

farmers through biotechnology: reality or speculation?

Brian E. Love

Dean Spaner

ABSTRACT.

Poverty reduction, food security, and agricultural sustainability require that the

livelihoods of poor farmers be improved. The potential of biotechnology to improve the

livelihoods and agricultural sustainability of farmers has been hotly debated and primarily

focused on “modern” agricultural biotechnology. Biotechnology is much broader than this

narrow focus and includes “traditional” biotechnologies, as well as, industrial and medical

sectors. Different biotechnology types have different effects and these impacts are molded by

the macro-economic policies of the countries where they are implemented. Generally, the

problems of poor farmers are not technological and the benefits of biotechnology are unlikely to

reach poor farmers unless these ‘non-technical’ problems are addressed first.

KEYWORDS. biotechnology, poor farmers, sustainable livelihoods, poverty reduction, food

security
1
Brian Love is a Ph.D. student in plant science at the University of Alberta in the Department of Agricultural, Food,
and Nutritional Sciences, 4-10 Ag/For Building Edmonton, Alberta, Canada, T6G 2P5. ([email protected]).
2
Dean Spaner is an Associate Professor at the University of Alberta in the Department of Agricultural, Food, and
Nutritional Science, 4-10 Ag/For Building Edmonton, Alberta, Canada, T6G 2P5. Corresponding Author,
([email protected]).
A Natural Sciences and Engineering Research Council Canada Graduate Student Scholarship supported B. Love
during the writing of this review.

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 ABSTRACT.

Poverty reduction, food security, and agricultural sustainability require that the

livelihoods of poor farmers be improved. The potential of biotechnology to improve the

livelihoods and agricultural sustainability of farmers has been hotly debated and primarily

focused on “modern” agricultural biotechnology. Biotechnology is much broader than this

narrow focus and includes “traditional” biotechnologies, as well as, industrial and medical

sectors. Different biotechnology types have different effects and these impacts are molded by

the macro-economic policies of the countries where they are implemented. Generally, the

problems of poor farmers are not technological and the benefits of biotechnology are unlikely to

reach poor farmers unless these ‘non-technical’ problems are addressed first.

INTRODUCTION.

Current debates

The value of biotechnology for food security (Altieri and Rosset, 1999; Serageldin,

1999a), developing countries (Hohn and Leisinger, 1999; Lele, 2003; Sasson and Costarini,

1991) and sustainable agriculture (Mannion, 1992; Serageldin and Persley, 2003; Shantharam

and Montgomery, 1999; Zechendorf, 1999) has been hotly debated. Improving the livelihoods of

poor farmers is required for food security (Altieri, 2002) and sustainable agriculture (Altieri,

1992). However, the specific case of poor farmers and biotechnology has not received much

attention, although some case studies and older reviews exist (Bunders and Broerse, 1991; Morse

et al., 2004; Qaim, 2005). Agricultural biotechnology (Dookun, 2001; Hall, 2005; Pinstrup-

Andersen and Cohen, 2000; Qaim, 2005) and genetically modified organisms (Chrispeels, 2000;

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Qaim, 2005; Qaim and Zilberman, 2003; Serageldin, 1999a) have generally dominated the

debate.

Biotechnology and poor farmers defined

Biotechnology has many definitions (Jones, 1990). Narrow definitions equate it with

genetically modified organisms (Ridley, 2004), while broad definitions, such as “the application

of biological knowledge for a useful end” (Jones, 1990), encompass a large range of

technologies. The terms “modern” and “traditional” biotechnology are often attached to these

narrow and broad definitions, respectively. Broad definitions include technologies such as

nitrogen-fixing bacteria, biological control agents, and fermentation technology because these

technologies involve strategic application and manipulation of biological organisms. Modern

and traditional biotechnologies can overlap, with genetic modification being used to enhance

traditional biotechnologies.

Poor farmers are farmers whose resources (land, water, labor, capital) do not permit a

secure livelihood (Chambers and Ghildyal, 1985). The terms resource-poor farmer, smallholder,

small-scale farmer, and low-income farmer have also been used. Globally, there may be as many

as 450 million resource-poor farmers supporting 1.25 billion people (Mazoyer, 2001). As such,

technologies that improve the livelihoods of poor farmers help increase global agricultural

sustainability.

Global context: population, poverty, poor farmers, and food

By 2050, world population may total 8.8 billion (Lutz et al., 2001), with ninety eight

percent of population growth occurring in developing countries (Bureau, 2004). Currently, poor

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farmers, their families, and the landless account for 70% (James, 2000) of the world’s 1.2 billion

poor people (consumption < $1 US/day) (IFAD, 2001). In developing countries, poor farmers

produce up to 90% of domestically consumed food (Odulaja and Kiros, 1996) but in many cases

do so at a net loss (Perales et al., 1998).

Additionally, many countries will experience local food crises by 2020 (Evenson, 1999).

Population growth (Borlaug, 1997), regional shortages (Alexandratos, 1999), and the goal of

food security (Rosegrant and Cline, 2003) necessitate increased agricultural production. For

instance, grain production in developing countries may have to increase 28% by 2020

(Chrispeels, 2000).

Agricultural pesticides negatively affect human health, with 3 million poisonings

annually (Pimentel and Greiner, 1997). Poor farmers in developing countries are especially at

risk (Forget, 1991) because of inadequate equipment and knowledge (Paoletti and Pimentel,

2000). Biotechnology could increase the sustainability of poor farmers’ livelihoods and

agriculture by increasing: 1) food security, 2) health, and 3) income.

AGRICULTURAL BIOTECHNOLOGY

In the 1960s and 70s the “Green Revolution” increased food-grain per capita availability

by 18% despite strong population growth (Khush, 1999). Currently, yield may be reaching

plateau levels for many major crop species (Cooper et al., 2001; Pinstrup-Andersen and Pandya-

Lorch, 1995) and “modern” agricultural biotechnology is being touted as the “gene revolution”

that will achieve future food security (Serageldin, 1999b). Technologies such as biological

nitrogen fixation, mycorrhizae, biocontrol, molecular markers, and transgenic organisms are

forms of agricultural biotechnology.

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Biological nitrogen fixation and mycorrhizae

Biological nitrogen fixation occurs when microbes in symbiosis with plants assimilate

atmospheric nitrogen and make it available to plants (Hirsch et al., 2001). Mycorrhizae are fungi

that that increase plant nutrient uptake through root associations (Sanchez and Salinas, 1981).

Different forms/strains of microbes occur naturally and may be specific to certain plant species

(Boonkerd, 2002). Selection of optimal microbial strains in the lab can help develop efficient

nitrogen fixation (Sanchez and Salinas, 1981) and mycorrhizae (Rengel, 2002) technologies.

Microbe inoculation of plants is thousands of years old (Dart, 1990a). Cover crops that

fix nitrogen can re-establish fertility in low-input agriculture (Sanchez and Benites, 1987) and

improve the productivity of poor farmers (Bunch, 1985), but poor farmers adoption of cover

crops is hindered by insecure land tenure (Honlonkou et al., 1999). In Thailand, soybean

inoculation can increase net profits by US $144 ha-1 (Boonkerd, 2002). Azolla (water fern)-

Anabaena (blue-green-algae, planktonic cyanobacteria) nitrogen fixing association increases

paddy rice yields: China (24%), Egypt (26%), India (9-11%) and is a high protein livestock feed

(Bifani, 1992). Mycorrhizae can improve poor farmers yields and permit continuous cultivation

of poor soils (Salami and Osonubi, 2002), but their contribution to yield has not been adequately

quantified (Ryan and Graham, 2002).

The low transport costs and simplicity of inoculants make them appropriate for

developing countries (Bifani, 1992), however poor transportation infrastructure can limit use

(Odame, 1997). Inoculants generate employment by increasing labour demand (Bifani, 1992).

Nitrogen fixing bacteria vary in their tolerance to soil properties such as soil pH (Date and

Halliday, 1979) and in some cases inoculant biotechnology has not been able to overcome the

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extreme soil conditions (high temperature, acidity, salinity, and drought) of poor farmers

(Odame, 1997). Genetic engineering of nitrogen fixing bacteria may help address these

constraints and has increased yields by 5-10% in China (Chen and Gu, 1993).

Biological control of pests

Biological control (biocontrol) involves the control of pests (insects, pathogens, weeds)

with beneficial organisms (insects, pathogens), and is an alternative to chemical pest control

(Ehlers, 1996). Examples of biocontrol include: 1) Directly applied control agents such as

bacteria e.g Bacillus thurengensis (Ehlers, 1996), fungi e.g. Beauveria bassianan and

Metarhizium aniospliae (Burges and Pillai, 1987), viruses (Whitten and Oakeshott, 1990), and

beneficial insects (Howarth, 1991) to control insects and in some cases weeds (Seastedt et al.,

2003), 2) Endophytic microorganisms that live inside plants and confer protection through toxin

production (Azevedo et al., 2000), and 3) Viral vaccines that confer resistance to viral diseases

(Flasinski et al., 2002).

Biocontrol is the principal pest control strategy of poor farmers (Altieri and von der

Weid, 2000). Biocontrol’s low capital costs and expertise requirements make it appropriate for

developing countries (Bedding et al., 1993) but poor farmers must rely on centralized supply and

application expertise (Burges and Pillai, 1987). Biocontrol poses ecological risks (Simberloff

and Stiling, 1996). Genetic engineering could increase the virulence of biocontrol agents

(Gressel, 2001), but poses unevaluated risks (Paoletti and Pimentel, 1996). Biocontrols have

narrow pest ranges, which can limit application to high-value niche markets (Whitten and

Oakeshott, 1990).

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Molecular markers

Biochemical and molecular markers are used to detect unique proteins or DNA

sequences. Glaubitz and Moran (2000) review many of these marker systems and their

protocols. These markers can facilitate the detection and selection of genes involved in plant

traits, which can be difficult or expensive to select for in the field. Marker assisted selection of

plant traits was first purposed by Sax (1923) using associated phenotypic traits. Quantitative

trait loci have been identified with markers for many agronomic traits: drought resistance

(Quarrie, 1996), disease resistance (Young, 1996), maturity (Lin et al., 1995), and oil and protein

content (Diers et al., 1992).

Quantitative traits are plant traits (e.g. yield) that are controlled by a number of genes

(Poehlman and Sleper, 1995). Theoretically, marker assisted selection could increase the

efficiency of selection for quantitative traits (Lande and Thompson, 1990). Despite claims that

markers could reduce breeding cycle times from 15 to 3 years (Kidd, 1994), there are few

examples of markers resulting in commercialized varieties to date (Gupta et al., 2002).

Currently, most marker associations are not robust enough for efficient breeding (Young, 1999),

costs are prohibitive (Charcoset and Moreau, 2004), and selection procedures are largely limited

to the crosses used to map the markers (Ayoub et al., 2003). New marker systems such as

single-nucleotide-polymorphisms (Rafalski, 2002), new mapping approaches such as association

mapping (Stich et al., 2006), and new methods for old mapping approaches (Podlich et al., 2004)

could make marker assisted selection more cost effective in the future.

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Tissue culture

Tissue culture includes a range of techniques such as micropropagation, embryo rescue,

anther culture, and cell cultures. Micropropagation is the clonal propagation of plants from a

single parent plant whose parts (usually shoot or root meristem tissue) are grown into new plants

(Kyte, 1996). Embryo rescue involves salvaging weak embryos (usually the product of broad

crosses) and culturing them into plants (Sharma et al., 1996). Anther culture grows pollen spores

into plants that contain only half a genome (haploids) (Guha and Maheshwari, 1964).

Vegetatively propagated crops such as cassava, yam, and bananas are poor farmer staples

and their vegetative propagation can spread disease (Aljanabi et al., 2001), which reduces yield

(Thro et al., 1999). Micropropagation requires little capital or skill (Dart, 1990b) and can

produce disease free materials for rapid distribution to farmers (Larkin and Scowcroft, 1981).

Unfortunately, the cultural practices of poor farmers tend to spread disease (Calvert and Thresh,

2002), making disease eradication difficult. Nevertheless, micropropagation has improved

potato and tea adoption by poor farmers (Mureithi and Makau, 1992).

Embryo rescue permits interspecific (Mallikarjuna, 1999) and intergeneric (Momotaz,

1998) crosses between normally incompatible breeding materials. These wide crosses can be

used to incorporate genes for abiotic and biotic stresses into breeding programs (Mallikarjuna,

1999). Anther culture coupled with chemical treatment produces homozygous plants much

faster than inbreeding techniques (Morrison and Evans, 1988). This technique has been used in

China to develop high yielding, superior quality, pathogen-resistant rice varieties (Chen and Gu,

1993). Unfortunately, anther culture is 1) difficult in some species, 2) prone to deleterious

mutations, and 3) non-random with regards to recovered gametes (Morrison and Evans, 1988).

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Transgenic organisms

Inserting foreign DNA into an organism creates a transgenic organism. Agricultural

plants and animals have been modified in this way (Serageldin and Persley, 2000). In 2006, 10.3

million farmers planted 102 million hectares of transgenic crops (James, 2006). Notably, 9.3

million (90%) of these farmers were poor farmers planting Bt cotton in China and India (James,

2006). Currently, widely commercialized transgenic crops are either insect or herbicide resistant

(James, 2000; Lele, 2003), with the latter being of little use to poor farmers (Qaim, 2005).

Pest resistance has been engineered largely through the use of Bacillus thuringiensis

genes, which produce crystallized proteins called δ-endotoxins (Cohen, 1999). This technology

has reduced pesticide use (Qaim and Zilberman, 2003) and is associated with improved cotton

farmer health (Pray et al., 2001). Health benefits may be limited to cotton as it is heavily

sprayed whereas most other poor farmer crops (e.g. maize, rice, cassava) are not (Maumbe and

Swinton, 2003). In contrast, transgenic herbicide resistance could lead to massive labour

displacement (Ahmed, 1991) because manual weeding is an important off-farm work opportunity

for poor farmers (Benjamin, 1992).

Transgenic crops with improved nutrient profiles are the next wave of transgenic crops.

Beta-carotine enriched transgenic rice (Golden Rice) (Potrykus, 2001) addresses vitamin A

deficiency, which results in 1 to 2 million child deaths each year (Ye et al., 2000). Oral vitamin

A intervention has distribution problems and general food fortification is excessively costly

(Pirie, 1983). Critics suggest golden rice is an inappropriate high-tech solution to the complex

problem of food access (Lorch, 2001). Only 12 countries with vitamin A deficiency problems

have sufficient rice consumption to make golden rice an effective alternative (RAFI, 2000).

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 Transgenic crops can be designed to produce rare and valuable oils (Napier and

Michaelson, 2001). Use of plants as production factories has been referred to as molecular

farming (Horn et al., 2004) and could enhance the value of low-value crop plants in developing

countries. Currently, only three molecularly farmed products are marketed (Avidin, b-

Glucuronidase, and Trypsin) and food supply contamination is a concern (Horn et al., 2004).

Required safety precautions will likely prevent poor farmer involvement in molecular farming.

Phenotypes that are difficult to breed for might be produced through genetic engineering

(Paoletti and Pimentel, 1996). Altering a single trait can produce salt-tolerant (Zhang and

Blumwald, 2001), aluminum tolerant (de la Fuente et al., 1997), or phosphorous mineralizing

(Zimmermann et al., 2003) transgenic plants. Aluminum toxicity (Rao et al., 1993), saline

conditions (Malik and Ahmad, 2002) and nutrient deficient soils (Sanchez and Benites, 1987) are

characteristic of poor farmers’ marginal lands.

To date, transgenic crops have not substantially increased yields (Lauer and Wedberg,

1999; Mara et al., 2002; Miflin, 2000; Ruttan, 1999; Sinclair et al., 2004), which is a concern

given the need for yield increases in developing countries (Ruttan, 1999). Lack of yield gains at

present may not reflect future performance (Qaim and Zilberman, 2003). Recent case-studies

(Ismael et al., 2002; Qaim and de Janvry, 2005; Qaim and Zilberman, 2003) suggest yield

increases may be possible. Yield gains are occurring because insect resistant transgenic crops

are now being introduced into the fields of poor farmers, which are characterized by elevated

pest pressure that normally goes uncontrolled. Even without yield increases, poor farmers may

benefit from increased profits due to reduced input costs (pesticides, labor) (Ismael et al., 2002;

Pray et al., 2001).

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 Often yield-enhancing technology reduces global prices and indirectly serves to

impoverish poor farmers who do not adopt the technologies (Ahmed, 1988). The introduction of

Bt cotton in the United States reduced prices and is estimated to have cost international cotton

producers US $21.6 million (Falck-Zepeda et al., 2000). Alternatively, poor farmers could

increase productivity faster than falling prices (IFAD, 2001). Claims have been made that

biotechnology is scale-neutral and therefore easily adoptable (Prakash, 1999), but even scale-

neutral technology is often not adopted by farmers with low levels of education (Arends-

Kuenning and Makundi, 2000). Furthermore, transgenic crop development currently bypasses

many crops and traits important to the developing world (Huang et al., 2002; Lele, 2003).

GENERAL CONSTRAINTS

In discussing various forms of biotechnology, specific constraints have been outlined.

More general constraints also prevent biotechnologies from reaching poor farmers. The private

sector conducts most biotechnology research (Pray and Umali-Deininger, 1998) and is unwilling

to address the problems of poor farmers because they do not represent a lucrative market

(Kenney and Buttel, 1985).

Developing countries have difficulties transferring technology from laboratories to

industry because of weak organizational and administrative mechanisms and obsolete legal rules

(Zilinskas, 1993). Transfer of transgenic sweet potato technology to Kenya took 10 years of

negotiation to approve preliminary trials (Cohen and Paarlberg, 2004). Public institutions often

cannot conduct biotechnology research because private companies hold most of the relevant

patents (Qaim, 2000). Nevertheless, Cuba has developed an applied biotechnology sector that

benefits its people (Kenney and Buttel, 1985) and China has made substantial advances because

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it has many well-trained scientists, large germplasm collections, and a low-cost research

environment (Huang et al., 2002). A number of developing countries including: Brazil (Ferrer et

al., 2004), Cuba (Thorsteinsdottir et al., 2004b), India (Jayaraman, 2005), and South Africa

(Burton and Cowan, 2002) have and are making in roads in “modern” biotechnology.

Public-private partnerships that transfer technology from private firms in developed

countries to public institutions in developing countries (Brumby et al., 1990) can help develop

biotechnology in developing countries. The International Service for the Acquisition of

Agribiotech Applications facilitates the transfer of agricultural biotechnology to developing

countries with the aim of alleviating poverty and increasing productivity in developing countries

(James, 2001). Only large developing countries (China, Brazil, and India) have developed

public-private linkages for co-development (Pray, 2001).

The brain-drain (movement of scientists from developing to developed countries) may be

a greater obstacle to biotechnology development than capital resources (Kenney and Buttel,

1985). The biotechnology brain-drain negatively affects the ability of the public sector (La

Montagne, 2001) and developing countries (Thorsteinsdottir et al., 2004a) to conduct research

and development. Currently, developed countries have 10 times more scientists than in

developing countries (Lele, 2003) and only a few developing countries (Mexico, Brazil, India,

Cuba and China) have the critical mass of researchers needed to sustain biotechnology research

(Kenney and Buttel, 1985).

Many biotechnologies are tools used within larger programs. For instance, molecular

marker and tissue culture biotechnologies are tools used by breeding programs (Brenner, 1996).

Conventional breeding programs typically focus on high-input environments and often neglect

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the marginal environments of poor farmers (Ceccarelli et al., 2001). Until the focus of breeding

programs changes, the benefits of these biotechnologies will not reach poor farmers.

CONCLUSIONS

Agricultural biotechnology provides clear benefit where traditional technologies

(biological nitrogen-fixation and biocontrol) are concerned. Transgenic biotechnologies seem to

have had some success in increasing the sustainability of poor farmers’ agriculture and

livelihoods in terms of increased revenues and health, respectively. However, transgenic

agricultural biotechnology remains largely oriented towards the developed world. If transgenic

crops reduce global commodity prices faster than poor farmers can increase production, the net

effect will be erosion of sustainability.

Constraints and power incongruities (manifested in subsidies and regulatory frameworks)

will largely determine how biotechnologies affect the lives of poor farmers. Some developing

countries with large economies (China, Brazil, India, Mexico, Egypt), or with well-developed

social and physical infrastructure (Cuba), have and will be able to develop biotechnologies that

help poor farmers practice more sustainable agriculture. Traditional biotechnologies such as

biological nitrogen fixation, biocontrol, and fermentation have a long history of use by poor

farmers and are recognized as sustainable practices. Focusing on these technologies and their

improvement using “modern” biotechnologies could result in immediate utility to poor farmers.

The consequences of biotechnology for poor farmers will continue to unfold and will vary with

the technology in question and the country where it is applied. Rigid proclamations that

biotechnology will “benefit” or “marginalize” poor farmers or “increase” or “decrease”

sustainability do not do justice to the complex and dynamic development of biotechnology.

Nevertheless, it is fair to say that the ability of biotechnology to improve the sustainability of the

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livelihoods and agriculture of poor farmers across all developing countries is currently

speculation rather than a reality.

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