Australian Journal of Science and Technology

ISSN Number (2208-6404)

Volume 1; Issue 2; December 2017

Original Article

Molecular evolutionary relationship of rice cultivars based

on Heading date 3a gene and its three-dimensional model
prediction: A bioinformatics analysis
Sulaiman Mohammed1,2, Abdulkarim Ali Deba3, Abdurrahman Abubakar4, Ishaku Muhammed1,
Mohammed Abdullahi5
1
Department of Biological Sciences, Faculty of Science, Gombe State University, PMB0127 Gombe, Nigeria, 2Department
of Biotechnology and Medical Engineering, Faculty of Biosciences and Medical Engineering, Universiti Teknologi
Malaysia, 81310 Skudai, Malaysia, 3Department of Biology Education, Science Education Programme, Abubakar Tafawa
Balewa University, PMB0248 Bauchi, Bauchi State, Nigeria, 4Department of Biological Sciences, Faculty of Science,
Federal University Kashere, PMB0182, Gombe State, Nigeria, 5Department of Microbiology, Ibrahim Badamasi Babangida
University, PMB11, Lapai, Niger State, Nigeria

ABSTRACT
Rice is one of world’s oldest crop species which believed to have been domesticated for over 1000 years ago. Discussion on origin and evolution
of its diverse cultivars remain contentious. Therefore, determining the cultivars molecular evolutionary relationship based on a flowering gene(s)
using bioinformatics approach continues to be an area to explore and it is of significant value. Here, we examined the molecular phylogeny
of 24 rice cultivars centered on established Heading date 3a (Hd3a) florigen accessions, then predict its three-dimensional (3D) model. Hd3a
accessions were collected which comprised 12 indica, 12 japonica, and single wild-type and analyzed for an evolutionary relationship. The
protein 3D structures were predicted using I-TASSER server and validated using Ramachandran plot, ERRAT plot, and VERIFY 3D. The genes
appeared to be highly conserved and functional. Most indica cultivars form a separate group and signpost close relation with the wild-type rice.
Whereas, all japonica cultivars appeared in the same group but make a clade with other indicas. The result implied that indica cultivars shared
a common evolutionary ancestor with the wild type as they appeared in the same clade. The protein 3D model showed that the accessions have
slight differences and VERIFY 3D model refinement has the best score at 99.39%. This study has elucidated on the Oryza sativa 24 cultivars’
molecular evolutionary relationships based on Hd3a gene and first to predict the gene 3D model.
Graphical abstract

Keywords: Three-dimensional structure, evolution, Heading date 3a florigen, phylogeny, rice

Submitted:  24-10-2017,  Accepted: 22-11-2017,  Published: 29-Dec-2017
Address for correspondence: Sulaiman Mohammed, Department of Biological Sciences, Faculty of Science, Gombe State University,
PMB0127 Gombe, Nigeria, Department of Biotechnology and Medical Engineering, Faculty of Biosciences and Medical Engineering,
Universiti Teknologi Malaysia, 81310 Skudai, Malaysia. Tel.: +60143216575. E-mail: sumulsu@yahoo.com
Available at www.aujst.com 31
 Mohammed, et al.: Molecular evolution of rice cultivars based on Hd3a gene
INTRODUCTION
Rice (Oryza sativa L.) is a cereal grain, belonging to the family
Poaceae. It is measured as an essential crop plant, a suitable and
staple source of food, and model species for molecular studies.
Asian rice is one of the world’s most oldest crop species which
believed to have been domesticated for over 1000 years ago.[1]
However, discussion on its origin remains contentious.[2] The
rice has two main subspecies including indica and japonica
that were separately and independently domesticated from the
wild-type rice, Oryza rufipogon. This view was supported by
the genetic differentiation analyses and phylogenetic studies.
With genetically divergent and ecologically diverse cultivars
from the indica and japonica rice subspecies, rice has posed a
great challenge to the phylogenetic investigation and molecular
evolution studies of crop species.[3,4]
Interestingly, phylogenetic evidence suggested that the
diverged genomic backgrounds of rice cultivars were derived
individualistically from genetically distinct wild populations.
The cereal spread to Madagascar from India and to East
and West African nations. Furthermore, it was introduced to
Greece and neighboring nations of Mediterranean. Mostly, the
Mediterranean cultivated rice is japonica subspecies, while
the ones grown at Indian subcontinent are indica subspecies.
The indica cultivars have spread from Eastward to North
China as well as Southeastern Asia.[5,6] Hence, determining
the evolutionary relationship of the diverse cultivars using
molecular phylogeny through bioinformatics approach remains
an area to explore and it is of high significant value. Such
analysis would help rice researchers toward choosing the right
and relevant cultivars for domestication in each geographical
location. In this study, we examine the molecular evolutionary
relationships of 24 Asian rice cultivars using bioinformatics
tools. This analysis was based on their established accessions
for Heading date 3a (Hd3a) florigen. The gene is located on
chromosome 6 and promotes flowering development in rice at
short-day (SD) environment.[7] The gene is required for plant
adaptation and domestication to different ecogeographical
areas. Therefore, the present study would give an insight on the
cultivars molecular relation, particularly, those from the same
nation or region and also to give evidence for further research.
MATERIALS AND METHODS
Collection of Hd3a Gene Accessions
Different Hd3a accessions (amino acids sequences) were
collected from the National Center for Biotechnology
Information (NCBI) (http://www.ncbi.nlm.nih.gov/) GenBank
for the analyses. The accessions include 12 indica and
12 japonica cultivars from different origin, precisely,
part of the Asia continent. The indica cultivars are Padi
Kuning (AB838400.1), Hakphaynhay (AB838397.1), Vary
Futsi (AB838362.1), Chin Galay (AB838405.1), BR8
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(AB838259.1), GIE 57 (AB838252.1), TRS4 (AB838250.1),
TKM6 (AB838245.1), Khao Gaew (AB838262.1), Nepal
555 (AB838382.1), Rayada (AB838280.1), and Aswina 322
(AB838248.1), whereas japonica cultivars include Taichung65
(KR611196.1), Tima (AB838392.1), Jaguary (AB838387.1),
Ginbouzu (AB838318.1), Wataribune (AB838310.1), Akage
(AB838308.1), Phudugey (AB838269.1), Ta Hung Ku
(AB838246.1), Gaisen Mochi (AB838296.1), Khau Mac
Kho (AB564449.1), Oiran (AB838305.1), and Shinriki
(AB838324.1), then, wild-type species as outgroup,
O. rufipogon (AB838290.1). Different factors were considered
before choosing the cultivars such as location, yield, and grain
quality.
Molecular Evolution Analysis
The retrieved Hd3a amino acids sequences were analyzed
using NCBI bioinformatics tools (http://www.ncbi.nlm.
nih.gov/) and Swiss model. ClustalX was used for multiple
sequence alignment to determine the proteins similarity,
conserved region and non-conserved regions. Afterward, a
phylogenetic tree was constructed by maximum likelihood
method using Molecular Evolutionary Genetics Analysis
(MEGA7) version 7.0.[8] The phylogenetic tree reliability was
measured by bootstrap analysis.
Three-dimensional (3D) Structure Prediction and
Model Validation
For 3D structure prediction of Hd3a protein, a single
representative cultivar accession from each subspecies group
was selected for the analysis. They include Oiran as japonica
representative and Padi Kuning as indica representative. Before
the 3D structure prediction, the secondary structure of the
representatives was generated using protein homology/analogY
Recognition Engine (PHYRE2) version  2.0 and analyzed.
The 3D model of the two representatives was predicted and
generated using I-TASSER server, as well as protein data
bank (PDB) model. Several template models were generated
and assessed for stereochemistry quality using RAMPAGE
server for Ramachandran plot, ERRAT plot, and VERIFY 3D
validation.
RESULTS AND DISCUSSION
Hd3a Sequence Analysis
In the present bioinformatics analysis, Hd3a a mobile flowering
signal protein from different rice cultivars belonging to
the two most widely studied rice subspecies was examined
toward determining their phylogeny. To achieve that, 24
different established amino acids accessions (for the Hd3a;
12 from either indica and japonica subspecies) and a single
outgroup were collected. All the accessions were retrieved from
GenBank, comprehensively scrutinized the gene amino acids
diversity and relationship to regional adaptation. The cultivars
sequences considered in this study are from the higher and
32
 Mohammed, et al.: Molecular evolution of rice cultivars based on Hd3a gene

Figure 1: Multisequence alignment of Heading date 3a accessions from 24 Oryza sativa cultivars and Oryza rufipogon using clustalX. The
amino acids are highly conserved as indicated with ground star

Available at www.aujst.com 33
 Mohammed, et al.: Molecular evolution of rice cultivars based on Hd3a gene
lower latitude regions of Asia due to their genome sequencing
record. Figure 1 showed the multisequence alignment result.
It indicated that the gene is highly conserved across all the
accessions which agrees with the report of Molina, Sikora.[2]
They demonstrated that indica and japonica subspecies of
Asian rice were domesticated from either single or multiple
wild types, O. rufipogon. The finding further elucidates on the
gene functionality across the attested accessions.[9]
Functional flowering genes are required for plant adaptation
to different ecogeographical location, [10,11] particularly,
Hd3a florigen which encodes mobile signal protein
molecules and triggers floral induction process in rice under
SD condition.[7] It is the earlier discovered rice florigen
activator which promotes flowering development, located
on chromosome 6 of about 11.5 kb away from the second
florigen, rice flowering locus T1. Hd3a gene plays a crucial
role in species transition from vegetative to reproductive
stage. It is produced in the leaf blades through the plant
vascular system and interacts with 14-3-3 proteins that bridge
interaction between the gene and bZIP transcription factor
Oryza flowering locus D1 to reach the shoot apical meristem.
The Hd3a-14-3-3 complex interaction occurred in the nucleus
where its activate OsMADS15 transcription and switch-on
the flowering processes. This mediated interaction is called
florigen activation complex.[12,13]
Early heading date 1 and heading date (Hd1) are the two
rice-specific regulators that regulate the florigen activations.
The gene expression decreased under slightly more than
13 h photoperiod, i.e.  long-day (LD) condition. Under LD
condition, O. sativa gigantea receives light signals and
effectively regulates the diurnal expression of Hd1 which
results in Hd3a suppression.[14] As we earlier reported, a diverse
number of pathways led to Hd3a transcription activation and
repression.[15,16]
Phylogeny of Hd3a Florigen from Different Rice
Cultivars
The cultivars Hd3a accessions phylogenetic tree was
constructed using MEGA7[8] by maximum likelihood method
(Li et al., 2017). The 24 O. sativa accessions plus a single out
group of species O. rufipogon in the data sets were analyzed
with all positions, and their relationship was presented in an
unrooted cladogram tree as shown in Figure 2. The aim was
to investigate the evolutionary relationships between the
accessions. The tree was classified into two main groups: The
first group comprises 15 accessions and the second group
makes 10 accessions including outgroup as further described
below.
In the first main group, two subgroups emerged as follows:
(a) 12 japonicas and 3 indicas, while (b) comprised only
Ginbouzu (japonica). From the former subgroup, the cultivars
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were branched into clades, subclades, and cluster. Oiran
and Shinkiri appeared in the same cluster, then, Tima and
Phudugey also form a separate cluster with 100% similarity.
Those cultivars are all belonging to japonica rice, and hence,
these indicate their optimum molecular relationship based
on the gene sequence. The two individual clusters indicate
analogous sequence physiognomies (amino acids homology).
In addition, the first cluster formed a subclade with other
japonicas such as Khau Mac Kho, Gaisen Mochi, Ta Hung
Ku, and Wataribune, then appeared in the same clade with
Akage (japonica). On the other clade of this first subgroup,
Jaguary and Taichung 65 appeared (japonica). Interestingly,
Rayada, Khao Gaew, and Chin Galay of indica class appeared
in the same clade of mostly japonica cultivars [Figure 2].
The presence of indicas within japonicas is due to amino
acids similarity, differences or phylogeny from the other
indica accessions. Furthermore, it may be due to character
similarities such as ecosystem, evolution, anatomy, or
physiology.[4]
Padi Kuning appears in a separate clade with other cultivars
Hd3a but with close relationship with Hakphaynhay. On the
other part of the tree subclade, Vary Futsi, BR8, GIE 57,
TRS4, TKM6, and Nepal 555 showed a close association.
Although the previous ones are having a closer relationship
based on their appearance on the subclade branch. The
single cluster from this group comprised Aswina 322 and
O. rufipogon [Figure 2]. Consequently, the result implied
that indica cultivars shared common evolutionary ancestors
with the wild type which makes them form a major group.
The appearance of wild-type species in the same cluster
with Aswira clarifies on their domestication history. This
corresponds with the finding of Molina, Sikora,[2] which
indicated that Asian rice cultivars were domesticated from
wild-type species, O. rufipogon.
In molecular evolutionary study, cladogram tree construction
is of supreme important as its functions in inferring and
elucidating developmental relationship among studied cultivars
or species. The cladogram constructed in this study has shown
the consensus phylogenetic tree of 24 O. sativa cultivars
with a retention index of 1 and consistency index of 1 which
signposts that there is no homoplasy and the character is
stable with phylogeny.[17] Importantly, the study findings gave
a better insight with regard to the evolutionary relationship
among the aligned accessions. The sequence alignment and
the phylogenetic tree are of utmost importance in molecular
evolutionary relationship determination, particularly, rice
species which has numerous cultivars. Phylogeny study
functions in clarifying and deducing the evolution/origin of
species being studied as earlier reported by Ge et al.[18] The
authors demonstrate that specific gene evolutionary analysis
through phylogeny would determine the species origin and also
gave insight on its relationship with other species, subspecies,
34
 Mohammed, et al.: Molecular evolution of rice cultivars based on Hd3a gene

Figure 2: A phylogenetic tree of Heading date 3a accessions of japonica and indica cultivars of Oryza sativa plus Oryza rufipogon, a wild-
type species (as outgroup) generated using molecular evolutionary genetics analysis 7

or cultivars. In this study, we determine the degree of molecular
evolutionary relationship of the verified indica and japonica
cultivars based on their most conserved flowering gene,
Hd3a. Thus, this finding was supported by distinct phenotypic
characteristics of rice subspecies, for example, indica rice are
long grains in size and appears slender, while japonicas are
short and stumpy.[19]
Hd3a 3D Structure Prediction and Validation of
Refinement models
A representative of each subspecies group was selected
for the secondary and 3D structure prediction. Oiran and
Padi Kuning as japonica and indica representative were
carefully chosen after the phylogenic tree analysis. The
japonica representative was based on its higher similarity
with other cultivars from the same subspecies which gives
the cultivar advantage to make cluster at 100%, whereas the
indica representative produced a separate clade with other
cultivars Hd3a gene. Substantially, maximum and minimum
evolutionary relationship was considered before the analysis.
First, the florigen secondary structures were generated using
PHYRE2 from the amino acids sequence (primary structure).
The structures such as α-helix, β-sheet, and loops were
observed. The secondary structures of the two representatives
are highly similar. Oiran contains a total of 3 α-helix, while
Padi Kuning possesses 4 α-helix. On the other secondary

Available at www.aujst.com 35
 Mohammed, et al.: Molecular evolution of rice cultivars based on Hd3a gene
features, the two representatives are having a similar number
of β-sheet and long loops.
I-TASSER server for protein prediction was used to predict
the 3D model of the protein. Using the I-TASSER server,
similar molecular structures between the florigen accessions
were observed as in case of secondary prediction. The model
prediction indicates high secondary structure similarity in
terms of α-helix, β-sheet, and loops [Figure 3]. Therefore,
PDB-format of the 3D predicted model was used for
quality analysis and determined by C-score value.[20] The
C-score value of 0.81 was obtained which indicates high
confidence level on the structure model. The I-TASSER
server used for the 3D generation is an integrated platform
for automated protein structure prediction and function
based on sequence-to-structure to function paradigm.[20]
The server was ranked as the best approach for predicting
a b
Figure 3: Heading date 3a predicted three-dimensional model
of (a) Padi Kuning; indica representative and (b) Oiran; japonica
representative
a b
Figure 4: The three-dimensional structure validation of refinement model using Ramachandran plot (a) Padi kuning and (b) Oiran
Available at www.aujst.com
protein structure in the past two CASP experiments. From
the 3D model, the server equally dictates the protein-protein
or proteins-ligands interaction based on the biological
function of the molecules. Hence, one of the most common
motivations for protein structure prediction is to use the
structural information to gain insight into the protein’s
biological activities.
Subsequent to the modeling, the 3D structures were validated
for the correctness of the overall fold and structure, error
over localized regions, and stereochemical parameters
such as angles, geometries, and bond lengths. ERRAT plot,
Ramachandran plot, and VERIFY 3D validation tools were
used for evaluating the 3D model of the representative
accessions. The refinements model quality percentages were
tabulated in Table 1 and the Ramachandran plot of the predicted
models are shown in Figure 4a and b, respectively. From the
plot, each residue in the protein is represented by a dotted black
or another mark. Its model refinement quality was 96.20% of
favored residues, 2.5% in the allowed region, and 0.6% outlier
region. Ramachandran and Ramakrishnan[21] reported that the
presence of 80–90% of residues “favored region” (core region)
and the remaining residues in the “additional allowed” region
such indicates that the generated model has a well-refined
structure. Moreover, above 90% favored regions in the model
are considered as a high-quality model.
Ramachandran plot is consisting of dihedral angles ψ
(Y-axis) against φ (X-axis) of amino acid residues in
protein structure. It shows the possible conformation of
ψ and φ angles for a polypeptide larger side chains which
resulted in more restrictions than a smaller region. The
angles and the residue are greatly restricted by steric
36
 Mohammed, et al.: Molecular evolution of rice cultivars based on Hd3a gene
Table 1: Comparison of refinement software for
validation of RFT1 protein 3D model
Refinement software Model quality (%)
Padi Kuning Oiran
ERRAT plot 80.00 80.00
Ramachandran plot 96.90 96.90
Verify 3D 99.39 99.39
RFT1: Rice flowering locus T1, 3D: Three‑dimensional
repulsion, while ERRAT plot model refinement is a protein
structure verification based on algorithm. The ERRAT plot
evaluates the progress of crystallographic model building
and refinement. ERRAT also considers the distributions of
non-bonded atoms according to atom type, distance, and
energy strain method. The program equally has the ability
to compare result for individual amino acid in the protein.
A single output plot represents the value of the error function
versus position of a 9-residue sliding window. To the best
of our knowledge, the present research was the first to
predict the 3D model for Hd3a protein from established
sequences, as well as its validation. Therefore, the molecular
evolutionary analysis of the cultivar accessions based on
phylogenetic tree and prediction of the 3D model could
assist in understanding the molecular function of the
florigen, flowering development pathway, and mechanism
and encourage further research such as quantitative trait
loci analysis and genetic transformation.
CONCLUSION
Hd3a is the first discovered rice flowering gene which
promotes the flowering development at SD condition through
a series and complex mechanism. The gene was found to be
highly conserved and functional but suppressed at slightly
above 12 h day long. The florigen sequence analysis and
accessions phylogeny were significant toward determining
the molecular relationship of the rice cultivars grown in
different part of the world, particularly Asia. Evenly, the 3D
model prediction would assist in understanding the molecular
function of the gene, activation, and suppression mechanism
pathways and inspire further research which was all determine
in this study. However, lack of such information may cause
confusion toward choosing the right and related cultivars
in each geographical location. In this research, the florigen
was discovered to be highly conserved, and cultivars were
interrelated based on evolutionary analysis and diverge
across the subspecies. The predicted 3D structures were fine
enough with a maximum refinement quality of 99.39%. Still,
further laboratory analyses on the florigen impact toward
an expansion of the rice cultivation areas and its partnering
proteins need to carry out.
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10. Ebana K, Yano M, Matsubara K, Hori K, Yamanouchi U,
Mizubayashi T, et  al. Uncovering of major genetic factors
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11. Zhao J, Chen H, Guo J. Genetic interactions between diverged
alleles of early heading date 1 (Ehd1) and heading date 3a (Hd3a)/
RICE FLOWERING LOCUS T1 (RFT1) control differential
heading and contribute to regional adaptation in rice (Oryza
sativa). New Phytol 2015;208:936-48.
12. Putterill J, Laurie R, Macknight R. It’s time to flower: The genetic
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13. Tsuji H, Taoka KI, Shimamoto K. Regulation of flowering in
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14. Kim SK, Yun CH, Lee JH, Jang YH, Park HY, Kim JK. OsCO3,
a CONSTANS-LIKE gene, controls flowering by negatively
regulating the expression of FT-like genes under SD conditions
in rice. Planta 2008;228:355-65.
15. Mohammed S, Samad AA, Rahmat Z. Long-Day flowering
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16. Xiang C, Qu L, Gao Y, Shi Y. Flower development and
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 Australian Journal of Science and Technology
Volume 1; Issue 2; December 2017
ISSN Number (2208-6404)

Original Article

The role of project management in achieving project success:

Empirical study from local NGOs in Mogadishu-Somalia
Abdulkadir Mohamud Dahie1, Asho Abukar Osman1, Abdi Adan Omar2
1
Department of Humanities, Master in Development Study, Kampala University, Kampala, Uganda, 2Department Social
Science, Faculty of Humanities, University of Somalia, Mogadishu, Somalia

ABSTRACT
This study is about the role of project management in achieving success from local NGOs in Mogadishu-Somalia. The study has three objectives
which are to investigate the role of feasibility study on project success, to examine the impact of planning activities on project success, and to
identify the effect of human resource management (HRM) on project success from local NGOs in Mogadishu-Somalia. The researcher utilized
convenient sampling to collect 100 questionnaires from local NGOs staff in Mogadishu. Staffs from these NGOs were provided with main
constructs which are measuring feasibility study, planning activity, HRM as well as project success. However, using correlation and regression
analyses, the study found that all dimensions of independent variable have positive relationship with dependent variable which project success.
Keywords: Human resource management, planning activities, project management feasibility study, project success
Submitted: 14-11-2017,  Accepted: 06-12-2017,  Published: 29-12-2017

INTRODUCTION This can be contrasted from a routine set of activities or

Project management has gained popularity as a distinct
management concept used to drive not only business objectives
but also the economic development agenda of developing
countries including Ghana. Several programs in Ghana,
such as real estate development, event planning, product
development, and infrastructure development, especially those
tied to foreign aid from development partners and Ghana’s own
development policy programs such as the presidential special
initiatives (Ghana Investment Promotion Centre, 2001) and the
Ghana Poverty Reduction Strategy Papers I and II (National
Development Planning Commission, 2002; 2005), all lay heavy
emphasis on the use of projects and project management as a
tool to optimize the rate of success. The project management as
the discipline of planning, organizing, and managing resources
to bring about the successful completion of specific project
goals and objectives.
A project is a sequence of unique, complex, and connected
activities having one goal or purpose that must be completed by
a specific time, within budget, and according to specification.
daily operations which are intended to be continuous process
without a planned end. Projects are also characterized by
general attributes such as the purpose, life cycle, uniqueness,
interdependencies, and conflict also defined a project as a
unique investment of resources to achieve specific objectives,
such as the production of goods or services, to make a profit or
to provide a service for a community. A project is an irreversible
change with a life cycle and defined start and completion dates.
A key characteristic of projects is the role played by a key actor
aptly named as project manager. While the project manager
is central to the process of project management, s/he is only
as good as the project team s/he leads. Thus, it might be an
underestimation to propound that the success or otherwise of
a project depends solely on the project manager.
To ensure the success of projects, the project manager must
have the requisite knowledge of project management, which is
defined as the planning, organization, monitoring, and control
of all aspects of a project and the motivation of all involved
to achieve project objectives safely and within defined time,
cost, and performance. It is also the application of knowledge,

Address for correspondence: Abdulkadir Mohamud Dahie, Master of Developmental Study, Kampala University, Kampala, Uganda.
E-mail: Dahie@uniso.edu.so

Available at www.aujst.com 39
 Dahie, et al.: Empirical study from local NGOs in Somalia
skills, tools, and techniques to project activities to meet project
requirements. In Pinkerton’s (2003) view, project management
harnesses the competencies of various individuals, grouping
them together and enabling them to achieve the objectives of
the project and ensure the success of the project. Quality is
a key factor in assessing the success of projects and project
management practices.
Quality is considered an important outcome of a project
since the performance measures of projects are usually based
on time, cost, and quality, also known as the iron triangle.
Quality has different attributes - both subjective and objective
- some of which are difficult or impossible to quantify. The
comprehensive approach to the assessment of project quality
to include the traditional project success measures such
as cost, schedule, and safety, as well as measures such as
customer satisfaction, leadership, employee involvement,
teamwork, training, and responsiveness. The dual system of
measuring project quality using ratings from what he termed
“conventional project quality” and “contemporary project
quality.” While “conventional project quality” deals with the
extent to which the customer’s requirements are met with
respect to the budget, schedule, and technical specifications,
“contemporary project quality” is subjective in nature and
involves a qualitative assessment of customers and project team
members as to how the project is meeting their expectations
with regard to issues such as: The communication of goals
and values; peer review; customer expectations; partnering;
and quality awards. For engineering or construction projects,
and analogous procedure which assesses “earned quality” as a
means of managing the build-up of quality in a project during
the design and construction phases.
Defining project success poses another challenge in
understanding project management and consequently assessing
its performance. It is generally accepted, however, that the
success or otherwise of a project can be defined through the
convergence of the ability of the process to meet the technical
goals of the project while not deviating from the three
constraints of scope, time, and cost; the usefulness of the
project as perceived by beneficiaries and sponsors as well as
the project team; and the performance of the project. By such
a definition, project success or failure can only be effectively
measured at the completion of the project.
This is concurred with the study by definition of project success
which measures success or failure by the elements of the project
log-frame, and thus, the effective utilization of the project
output. Projects generally fail as a result of poor planning,
constant changes in the scope, and consequently, deadline and
budget, as well as the lack of monitoring and control. Five
maxims of measuring project satisfaction regardless of project
scope, size, or duration which are delivering the product that the
customer desires or needs; delivering quality consistent with
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price; delivering the project within the timeframe stipulated by
the customer; delivering the desired degree of feedback that the
customer desires; and having a system of conflict resolution
that is fair to both the customer and the development team.
The distinguished between project success, which is measured
against the overall objectives of the project, and project
management success measured against the widespread and
traditional measures of performance against cost, time, and
quality. Best practices for project management which was
believed to contribute to project success. These include: Project
mission - the initial clarity of goals and general direction; top
management support - the willingness of top management
to provide the necessary resources and authority for project
success; project schedule/plans -  a detailed specification of
individual action steps required for project implementation;
client consultation communication, consultation, and active
listening to all impacted parties; personnel - recruitment,
selection, and training of the necessary personnel for the
project team; technical tasks - availability of the required
technology and expertise to accomplish the specific technical
action steps; client acceptance - the act of “selling” the final
product to its ultimate intended users; monitoring and feedback
- timely provision of comprehensive control information at
each phase in the implementation process; communication - the
provision of an appropriate network and necessary data to all
key actors in the project implementation; and trouble shooting
ability to handle unexpected crises and deviations from plan.
Over the years, a number of researchers, have concurred that
these practices do ensure effective and successful project
management.
In general, critical success factors are a set of project variables
or factors that are strongly correlated to project success, and
whose maximization or minimization, depending on whether
they are favorable or unfavorable, will lead to project success.
The critical success factors are the limited number of areas in
which satisfactory results will ensure successful competitive
performance for the individual, department, or organization.
They are the few key areas where things must go right for the
business to flourish. If results in these areas are not adequate,
the organization’s efforts for the period will be less than
desired. The concluded that, generally, good planning, clear
responsibility and accountability, and schedule control as well
as Project leadership and Governance, and Communications
are key areas of successful projects. This means that a clear
project plan, a plan for risk management, and the commitment
and support from stakeholders are the critical success factors
for project management.
According to the PMI, 2008, body of knowledge projects, which
are temporary endeavours undertaken to meet unique goals
and objectives within a defined scope, budget and timeframe,
typically go through a life cycle. The project life cycle, which
40
 Dahie, et al.: Empirical study from local NGOs in Somalia
is a logical sequence of activities to accomplish the project’s
goals, is made up five stages, namely, the project initiation
stage, the project planning stage, the project execution stage,
the monitoring and controlling stage, and the project closure
stage. Attention to detail, along with the involvement of key
stakeholders and proper documentation at each stage, ensures
the success and quality of the project. The sequential phases are
generally differentiated by the set of activities that are carried
out within the phase, the key factors involved, the expected
deliverables, and the control measures put in place (PMI, 2004).
Feasibility Study
Feasibility studies are a widely dispersed research tool.
Unfortunately, general standards, requirements, or guides on
feasibility study design are missing. The aim of any feasibility
study is to examine and/or evaluate the possible future success
or failure of prospective endeavors (Palvia and Palvia, 1988;
Brockman, 2008; Bowen et al., 2009).
Five Areas of Project Feasibility
1. Technical feasibility: Assessment is centered on
the technical resources available to the organization. It
helps organizations to assess if the technical resources
meet capacity and whether the technical team is capable
of converting the ideas into working systems. Technical
feasibility also involves evaluation of the hardware and
the software requirements of the proposed system.
2. Economic feasibility: It helps organizations to assess
the viability, cost, and benefits associated with projects
before financial resources are allocated. It also serves
as an independent project assessment and enhances
project credibility, as a result. It helps decision-makers
to determine the positive economic benefits to the
organization that the proposed system will provide and
helps to quantify them. This assessment typically involves
a cost/benefits analysis of the project.
3. Legal feasibility: It investigates if the proposed system
conflicts with legal requirements like data protection acts
or social media laws.
4. Operational feasibility: This involves undertaking a study
to analyze and determine whether your business needs can
be fulfilled using the proposed solution. It also measures
how well the proposed system solves problems and takes
advantage of the opportunities identified during scope
definition. Operational feasibility studies also analyze
how the project plan satisfies the requirements identified
in the requirements analysis phase of system development.
To ensure success, desired operational outcomes must
inform and guide design and development. These include
such design-dependent parameters such as reliability,
maintainability, supportability, usability, disposability,
sustainability, affordability, and others.
5. Scheduling feasibility is the most important for project
success. A project will fail if not completed on time. In
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scheduling feasibility, we estimate how much time the
system will take to complete, and with our technical skills,
we need to estimate the period to complete the project
using various methods of estimation.
Planning Activities
The important of the planning provided by a project manager
is to avoid any problems during the process of construction
project. In planning activities, the project manager can
forecast any incremental of budget if completed projects
exceed the expected time. Project managers need to provide
planned work schedule so that every part of the work must
be completed according to the plan. Besides that the project
manager also has the responsibility to manage the budget that
has been provided from the client or developer to complete the
construction project. Strategic planning is an organizational
management activity that is used to set priorities, focus energy
and resources, strengthen operations, ensure that employees
and other stakeholders are working toward common goals,
establish agreement around intended outcomes/results, and
assess and adjust the organization’s direction in response to a
changing environment. It is a disciplined effort that produces
fundamental decisions and actions that shape and guide what
an organization is, who it serves, what it does, and why it
does it, with a focus on the future. Effective strategic planning
articulates not only where an organization is going and the
actions needed to make progress but also how it will know if
it is successful.[1]
Human Resource Management (HRM)
Since 1980s, HRM strategy has become an important topic
for the management area; HRM strategy has achieved its
prominence because it provides competitiveness and promotes
managerial efficiency in the business area. The rise of HRM in
the 1980s brought managerial scholars to the link between the
management of people and performance. A number of attempts
were made to put empirical facts with the theoretical bones
of the knowledge-based firms and the specific HRM views
concerning how the systems on HR practice, which can make
an increment on the organizational performance. The approach
that focuses on individual HR practices and the link with the
performance continued since early 1990s.
HRM is used in a global context which contains: (a) Specific
human resource practices such as recruitment, selection, and
appraisal, (b) formal human resource policies, which direct and
partially constrain the development of specific practices, and
(c) overarching human resource philosophies, which specify
the values that inform an organization’s policies and practices.
More recently, organizations consider the HR department as
playing a major role in staffing, training, and helping to manage
people so that people and the organization are performing at
maximum capability in a highly fulfilling manner. In the global
41
 Dahie, et al.: Empirical study from local NGOs in Somalia
business, HRM is increasingly considered a contemporary
development to reshape employment relationships as a tool
that may have effectively replaced other management traditions
such as personnel management and industrial relations.
LITERATURE REVIEW
This paper aims to focus on the pivotal factor of scope which
influences the project’s objectives and consequently affects the
critical success factors of a project. A formal documentation of
scope is essential to keeping a project on track. The purpose
of the research is to explore the proposition that a recognition
of the scope in the success of projects. A secondary research
is used in this paper. In this regard, past relevant researches
have been reviewed generally dealing with project success
and scope in particular. The research depicts the relationship
between project and product successes. It is concluded that
a better appreciation of the distinction between project
and product scope can bring a higher possibility of project
success.[2]
The purpose of this paper is to describe the conceptual
framework of an ongoing PhD research, which seeks to
develop a procedure that can help the project management
team integrate stakeholders’ perspectives into the project
scope definition process at the pre-project planning stage,
thereby facilitating better project outcomes. The research was
carried out by a mixed method (quantitative and qualitative)
approach. It was conducted in three main phases. Phase one was
studied the relationships and interactions among the project
definition elements. The analysis was conducted using two
quantitative techniques: Interpretive structural modeling (ISM)
and analytical network process. ISM is capable of formulating
and constructing the relationships network between elements.
After formulating the relationships network, the significant
weight of each element that accounts for the interaction among
them was determined by prioritizing and weighting elements.
The study suggests that project scope definition practices and
stakeholders’ management are two separate domains, which
are often investigated separately. However, project scope
definition practices can benefit from stakeholders’ management
theories.[3]
The main objective of the study is to identify the influence
of project manager’s leadership skill toward successful of
a construction project. To achieve the research objectives,
a systematic method in conducting this research had been
organized. This study has used the concept of questionnaires
to ensure that the study is conducted is practical and realistic
from the point of view of the various agencies involved in the
construction industry. A total of 60 questionnaires given to the
respondents involved in the construction industry in Perak.
Target population is 60 respondents but the sampling size
is only 33 respondents. The scale used in the questionnaire
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is based on Likert Scale. The study concluded that project
manager leading characteristics influence the success of the
project positively, and it can be acquired through never-ending
training and learning.[4]
This paper discusses the issues involved in project success and
failure and presents the feedback of 50 undergraduate students
who undertook a team project of the project management
course. A questionnaire was designed to investigate the factors
that contributed to project success and also factors that resulted
in project failure. The study found top three factors that
cause project success is as follows: User involvement, good
planning and estimations, good leadership, and team members’
technical skills. Comparing the case study results with the
Standish Group report, and it is obvious that these factors
are fundamental and exhibit strong impact on many projects
failure. Applying good project management practices would
help to avoid these failure factors and lead to project success.[5]
The aim of this article is to highlight the significance of
leadership skills that are vital for project managers’ while
managing projects effectively and efficiently. An interesting
observation has been noted from literature in the field of
project management that research on leadership of project
managers is still limited even though calls have been made to
conduct more research for more than one decade. The literature
reveals that project managers must possess essential qualities
and competencies of leadership in addition to management
skills for effective accomplishments of business and projects
results. The project manager must apply right skills at right
time and embrace right knowledge for right jobs. A sufficient
research is required to develop and authenticate a single model
for project manager’s leadership which suits all the projects
across the countries as well as all the industries. The impact
of project management qualification on project success and
career outcome also needs to be addressed in future research.[6]
The study sought to identify and assess the quality of project
management practices as well as the critical success factors
for projects in Ghana. The study adopted an exploratory
approach and utilized a survey method to collect data on
project management practices of Ghanaian organizations.
Purposive sampling was used in selecting the sample which
comprised 200 managers from different economic sectors.
Results from the study indicated that the critical factors that
contribute to the success of a project include top management
support, effective communication, clarity of project purpose
and goals, and stakeholder involvement Documentation and
dissemination of critical success factors and best practices
in project management will improve the quality of project
management in Ghana.[1]
This research seeks to find the contribution of these information
systems toward project success. The quality of the software, the
42
 Dahie, et al.: Empirical study from local NGOs in Somalia
quality of information output, and the influence of the PMIS
user on the project success were tested. Purposive sampling was
used and data measured on a Likert scale. The research found
that the use of the software to generate quality information
needed by the user (project manager) to perform project tasks
helped the project managers perform their tasks in a more
professional manner, thus increasing the success rate of the
project. The three independent variables (quality of software,
quality of information output, and influence of the user) were
transformed to get a single variable PMIS which had a strong
and positive correlation (0.954) with the dependent variable
(project success). It was therefore concluded that the use of
PMIS helped in the achievement of the project success while
respecting the projects constraints and meeting the project
objectives.[7]
The purpose of this study is to investigate the critical factors
that influence a successful project among manufacturing
companies in Penang, Malaysia. In addition, this study is
also aimed to explore if project change control plays a role in
moderating the relationship between the independent variables
and dependent variable identified in this research. This study
was carried out using structured questionnaire. “Questionnaire
is a popular method of collecting data because researchers
can gather information fairly easily and the questionnaire
responses are easily coded.” The questionnaire used is adopted
from Pinto’s Project Implementation Profile, which has been
verified to be reliable and valid. The findings showed that top
management support is positively related to indirect project
success in manufacturing which is in line with the findings
of that a project is likely to be successful if visible support
and commitment are present from the top and executive
management.[8]
This study aims to measure the recent scenario of the project
management success field as a way to better understand this
field of research. A bibliometric study was developed with a
portfolio of 64 papers about “project management success”
collected at the Web of Science (ISI) database, covering the
evolution of this topic over the past 5 years (from 2000 to
2014). Articles were analyzed by journal, most cited keywords,
citations, cocitations, journals’ impact factors, and abstract
analysis. Conclusions pointed out significant authors and
journals and also a significant cluster of papers written by
Aaron Shenhar, as a relevant source of information to the
project management success field. This information may be
used by other authors to spur other studies about the project
management success subject, not covered by this research.[9]
The paper examined the application of the project management
practice in public sector in Nigeria. The PM lifecycles, tools,
and techniques were presented. The study was carried out in
Lagos because of its metropolitan nature and rapidly growing
economy. 23 copies of questionnaire were administered to
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23 public institutions in Lagos to generate primary data. The
descriptive analysis techniques using percentages and table
presentations coupled with coefficient of correlation were
used for data analysis. The study revealed that application
of PM tools and techniques is an essential management
approach that tends to achieve specified objectives within
specific time and budget limits through the optimum use of
resources. Furthermore, the study noted that there is lack of
in-depth knowledge of PM tools and techniques in public sector
institutions sampled, and also, high cost of application was
also observed by the respondents. The study recommended
among others that PM tools and techniques should be applied
gradually, especially in old government institutions, where
resistance to change is perceived to be high.[10]
The main objective of this research is to identify the importance
of project manager and project team role for the successful
implementation of EMP in the Malaysian construction industry.
Using the survey method, questionnaires were sent to the
Malaysian construction stakeholders that included consultants,
contractors, and clients, and 122 questionnaires were analyzed.
This study found that most of the construction stakeholders
agreed that project team commitment, project manager’s
leadership skills, and communication system effectiveness are
very important to ensure the success of EMP. The results further
demonstrate that three of the independent variables - project
manager and project team competency, project management
aspects, and procurement related factors have significant
relationships with EMP Success.[11]
After reviewing several literatures, the researcher generated
the following hypothesis.
Conceptual Framework
H1: There is positive relationship between feasibility study and
project success from local NGOs in Mogadishu-Somalia.
H2: There is positive relationship between planning activities,
tasks, schedules, budgets, and project success from local
NGOs in Mogadishu-Somalia.
H3: There is positive relationship between managing human
resource and project success from local NGOs in
Mogadishu-Somalia.
METHODOLOGY
This study was conducted through survey study method to
examine the role of project management in achieving success
in Mogadishu-Somalia. The study utilized regression and
correlation analysis to answer the research objectives and to
test the research hypothesis.
The researchers utilized convenient sampling to collect 100
employees from local NGOs in Mogadishu-Somalia. These
43
 Dahie, et al.: Empirical study from local NGOs in Somalia

respondents were provided a questionnaire with four main Table 1: Reliability test
construct which measuring feasibility study, planning activities, Variables Items Cronbach alpha
managing human resource, and project success. All variables Feasibility study 5 0.790
of the study gained high inside reliability as shown in Table 1,
Planning activities, tasks 4 0.770
and this allows as to make further analysis and discussion.
Managing human resource 5 0.765
Project success 9 0.806
DATA ANALYSIS AND DISCUSSION

Demographic Profile Table 2: Demographic of the respondents

According to the gender respondents, 70.0% were male while Variables Frequency (%)
30.0% was female. 69.0% of the respondent’s age were between Gender
20 and 30 years old, 26.0% were between 31 and 40 years, 2.0%
Male 70 (70.0)
were between 41 and 50 years, while 3.0% were above 51 years.
In terms of marital status of the respondents, 54.0% were married Female 30 (30.0)
while 46.0% were single. In terms of educational background, Total 100 (100.0)
4.0% were secondary level, 20.0% of the respondents had Age (year)
diploma certificate, 65.0% of the respondents were bachelor 20‑30 69 (69.0)
degree, and 10.0% were master degree level, while 1.0%
31‑40 26 (26.0)
had other certificate. In terms of experience, 19.0% of the
41‑50 2 (2.0)
respondents had 1 year experience, 29.0% of the respondents had
2 years experience, and 24.0% of the respondents had 3 years 51 and above 3 (3.0)
experience, while 28.0% of the respondents had more than Total 100 (100.0)
3 years experience. In terms of occupation of the respondents, Marital status
35.0% of the respondents were employee/staff, 35.0% of the Single 46 (46.0)
respondents were managers, and 4.0% of the respondents were
Married 54 (54.0)
security, while 26.0% were other people [Table 2].
Total 100 (100.0)
Correlation between the Variables Education background of the respondents
Table 3 shows the result of correlation analyzes of the High school level 4 (4.0)
relationships among feasibility study, planning activities, Diploma level 20 (20.0)
managing human resource, and project success at local
Bachelor degree 65 (65.0)
NGOs in Mogadishu-Somalia. Feasibility study has positive
relationship with project success (r = 0.594 and P < 0.01). The Master degree 10 (10.0)
second objective of this study was to identify the relationship Others 1 (1.0)
between planning activities and project success at r = 0.664 and Total 100 (100.0)
P < 0.01. The third objective was to examine the relationship Experience of the respondents
between managing human resource and project success at 1 year 19 (19.0)
r = 0.663 and P < 0.01.
2 years 29 (29.0)
Regression Analysis 3 years 24 (24.0)
This study investigated the role of project management in Above 3 years 28 (28.0)
achieving success from local NGOs in Mogadishu-Somalia. Total 100 (100.0)
Three hypotheses were developed after reviewing the literature, Occupation of the respondents
to test the research, hypotheses were employed the linear
Employee/staff 35 (35.0)
regression analysis. The researchers checked regression
hypothesis before taking place to further analysis. The Manager 35 (35.0)
dependent variable which is project success was normally Security 4 (4.0)
distributed across all independent variable. Three hypotheses Others 26 (26.0)
were developed after reviewing the existing literature: H1 Total 100 (100.0)
confirmed that there is positive relationship between feasibility
studies with project success from local NGOs in Mogadishu- significant relationship between managing human resource
Somalia, H2 asserted that there is positive relationship between with project success at local NGOs in Mogadishu, Somalia
planning activities with project success, while H3: There is a [Table 4 and Figure 1].

Available at www.aujst.com 44
 Dahie, et al.: Empirical study from local NGOs in Somalia

Table 3: Correlation analyzes human resource and project success at local NGOs in
Variables Mean±SD 1 2 3 4 Mogadishu-Somalia. The researchers employed convenient
Feasibility 3.7640±0.95235 1 sampling to collect 100 respondents from local NGOs in
study Mogadishu. The result of correlation coefficient revealed
that project success (dependent variable) had significant
Planning 3.8300±0.86667 0.644 1
positive influence with three independent variables, namely,
activities, tasks,
feasibility study, planning activities, and managing human
and schedule
resource. The result of regression analysis found that three
Managing 3.8575±0.84779 0.609 0.722 1 constructs had statistically significant, positive, and direct
human resource effect on project success. The standpoint of this study
Project success 3.8856±0.64643 0.594 0.664 0.663 1 emphasizes the important role of innovation performance and
environmental performance when addressing the link between
Table 4: Regression analysis project management and achieving success. Subsequently,
incorporation of the green element in project management
Variables Beta t‑value Significant Results
will certainly enhance sustainable improvements which benefit
Feasibility 0.206 2.176 0.032 H1 accepted
long-term organizational performance.
study
Planning 0.299 2.757 0.007 H2 accepted
activities, tasks,
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1. Ofori DF. Project management practices and critical success
Managing 0.321 3.069 0.003 H3 accepted factors-a developing country perspective. Int J Bus Manag
human resource 2013;8:14-31.
R 0.731 2. Mirzaa MN, Pourzolfagharb Z, Shahnazaric M. Significance of
R2
0.534 scope in project success. Procedia Technol 2013;9:722-9.
3. Fageha MK, Aibinu AA. Managing project scope definition
Adjusted R2 0.519 to improve stakeholders’ participation and enhance project
outcome. Procedia Soc Behv Sci 2013;154-64.
4. Zakaria IB, Bin Mohamed MR, N b, and bt Hashim SZ.
A study on leadership skills of project manager for a successful
Providing feasibility
study construction project. Int Acad Res J Soci Sci 2015;1:89-94.
5. Attarzadeh I, Ow SH. Project management practices: The criteria
Planning Activities,
for success or failure. Comm IBIMA 2008;1:235-41.
Project success
Tasks, Schedules 6. Riaz, A, Tahir MM, Noor A. Leadership is vital for project
and Budgets managers to achieve project efficacy. J Rec Sci Acad
2013;2:99-102.
Managing the 7. Kahura MN. The role of project management information
Human Resource systems towards the success of a project: The case of construction
projects in nairobi kenya. Int J Acad Res Soc 2013;3:104-16.
8. Kuen CW, Zailani S, Fernando Y. Critical factors influencing the
Figure 1: The role of project management
project success amongst manufacturing companies in malaysia.
Afr J Bus Manag 2009;3:16-27.
9. Machado FJ, Martens CD. Project management success:
DISCUSSION
A bibliometric analisys. J Bus Proj 2015;6:28-44.
10. Olateju OI, Abdul-Azeez IA, Alamutu SA. Project management
The current study investigated the role of project management practice in nigerian public sector - An empirical study. Aust J
in achieving success from local NGOs in Mogadishu- Bus Manag Res 2011;1:1-7.
Somalia; the paper had three main objectives which are: (1) 11. Osman WN, Nawi MM, Yaakob M, Radzuan K, Osman NN. The
To determine the influence of feasibility study and project importance of project manager, project team towards and project
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project success, and (3) to examine the role of managing (emp) success. Int Acad Res J Bus Tech 2015;1:175-80.

This work is licensed under a Creative Commons Attribution Non-Commercial 4.0

International License.

Available at www.aujst.com 45
 Australian Journal of Science and Technology
ISSN Number (2208-6404)
Volume 1; Issue 2; December 2017

Original Article

India’s Trade Potential and Prospects with Australia

Sadhna

Department of Evening Studies, Panjab University, Chandigarh, India.

ABSTRACT
Under the wave of regionalism, India is also going to sign free trade agreement with Australia to enhance economic cooperation. India’s trade
continued to increase with it. Volume of trade, as well as percentage share of India’s trade, is significant with it. It is in this context, the present
study tried to explore India’s trade potential and prospects with Australia, used revealed comparative advantage (RCA) and trade intensity index
(TII). Results show that India has trade specialization in the export of products gums, silk, footwear, pearls, metals, steel, and iron, etc., to it
and cotton, pearls, precious stones, metals, coins, nickel, etc., from it. This comparative advantage helps not only to diversify product baskets
but also lead to increase the volume of trade. Intensity of India’s trade with Australia for total trade and imports by India from it is >1. India
has sustainable potential and prospects with this bloc.
Keywords: Regionalism, specialization, sustainable, trade, volume
Submitted: 12-11-2017  Accepted: 27-11-2017  Published: 29-12-2017

also increased to US$ 99,34,691 thousand (2014) from US$

INTRODUCTION
Under the wave of regionalism[1]/slow and failure of trade
negotiations at the multilateral level, India[2] like other
developing countries has negotiated and signed various bilateral
and regional trade agreements with great enthusiasm.[3] India
wants to boost trade relation with its extended neighbor,
i.e., Australia. Both are connected by 3C’s, i.e., curry,
commonwealth, and cricket.[3] No doubt, both share many
commonalities such as democracy, free press, independent
judicial system, membership in Commonwealth, passion for
the game of cricket and business interests and dissimilarities
also such as diverse in size, economic and social development,
geography, political system, language, and culture, but their
relation continued to improve and became closer.
The relationship has achieved far from its potential. The
economic relationship between them has developed rapidly
in recent years, particularly under the impetus of economic
reforms and regionalism. India has become the fifth largest
trading partner of Australia. Bilateral trade continued to
increase at increasing rate as seen from Table 1. India’s exports
to Australia increased to US$ 25,93,528 thousand (2014)
from US$ 1,77,027.5 thousand in 1990. Similarly imports
7,49,134.3 thousand in 1990 [Table 1]. India has throughout
imported substantially more from Australia than exported to
it. However, percentage-wise share is very small but continued
to increase. Major imports of India from Australia are mineral
fuels, oils, distillation products, etc., pearls, precious stones,
metals, coins, ores, slag and ash, edible vegetables and certain
roots and tubers and Inorganic chemicals, and precious metal
compound, isotopes. Similarly, India’s major exports to
Australia are mineral fuels, oils, distillation products, etc.,
pearls, precious stones, metals, coins, etc., pharmaceutical
products, vehicles other than railway, tramway and other
made textiles articles, sets, worn clothing, etc.[4] Australia has
become a significant trading partner of India, but its potential
has yet to be exploited. To further promote the bilateral trade
and economic cooperation, two biggest naval powers of the
Indian Ocean have started to forge a comprehensive bilateral
relationship, i.e., FTA in the coming decades.
Objectives of the Study
1. To briefly explain India’s relation with Australia,
2. To identify the comparative advantage/trade specialization
in the exports and imports for commodities, at 2-digit level,
to explore potential areas for further cooperation and
3. To explore intensity of India’s trade with Australia.

Address for correspondence: Sadhna, Department of Evening Studies, Panjab University, Chandigarh, India. Tel: 7087282528.
E-mail: sadhnagarg87@gmail.com

Available at www.aujst.com 46
 Sadhna: Trade Potential and Prospects
India’s Relation with Australia: Historical
Prospective
India and Australia trade link go back to the colonial period.
India played a central role in nourishing the young colony,
i.e., Australia and trade with it. Calcutta also came to the rescue
of the new colony when in 1792 the Guardianship carrying
food to Australia submerged leaving the colony without any
food supplies. The Governor of Australia looked toward India
for immediate help in dispatching the Atlantic to bring back
all the food and stores it could carry. The Atlantic came back
to Australia with a cargo of rice, wheat, and lentils. Likewise,
Bengal received its first shipment of Australian coal in 1799,
from Newcastle. In the first half of 19th century, as British
bureaucrats, merchants, chaplains, and judges from the two
colonies interacted directly; India became Australia’s first
direct contact. The links began to grow further, and a ship
was visiting India from Sydney nearly every 4 days by 1840.
It brought prosperity to Indian merchants as they supplied
food, spices Anglo-Indian furniture. Australia became a new
settlement place for many British colonial families posted in
India at the beginning the 19th century.
The recent trade links between India and Australia began during
the post-independence period. When India became independent
in 1947, Australia had a labor government that held power until
1949 and relations with India were close and sympathetic. At
India’s invitation, two representatives from Australia came to
India and participated at the 1947 Asia Relations Conference
held in New Delhi. Their reports to the Australian government
mentioned government differences on two critical issues,
i.e., United Nations Security Council veto rights and treatment
of newly defeated Japan and India’s concern at Australia’s
restrictions on immigration. Their report led to produce little
negativity in the relationship. From 1947-67, relations between
these countries pivoted around the strong personalities of
Prime Ministers Robert Menzies,[5] the Anglophile Empire
loyalist and Jawaharlal Nehru,[6] the leader of struggles against
colonialism in India and the Third World. Due to political and
ideological dynamics and the varying perceptions of the Cold
War politics, both the countries failed to establish any trade
links. For decades due to clashes between two personalities,
India decided to pursue a foreign policy of Non-alignment;
this matched with Australia’s pact alliance with the United
States (Sharma, 2016).
Until the 1980s, head of both the governments visited each
other’s countries. After Prime Minister Rajiv Gandhi’s bilateral
visit to Australia in 1986, there was no prime ministerial visit
to Australia from the Indian side for almost three decades.
However, other important minister, heads of the state and the
Vice President of India visited Australia. However, the end of
the Cold War cleared political and ideological divergences and
India’s economic reforms in the 1990s began to change the
perception of many Western developed countries about India.
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Since the liberalization and economic reforms began to unfold,
India has progressed and is being recognized at the international
stage for economic, military, and political considerations.
A developing India offers immense opportunities to Australia
that has got resources and expertise to offer that India needs.
Australia too began to view India as the next big destination
for the business and market. The enormous opportunities in
Australia and India trade relations began to be noticed by both
the nations.[3]
Over the past one and half decade, India’s economic growth,
its appetite for resources, energy demand, skill development,
technical know-how, and investment have made it an
important trade partner and export destination for Australia.
The two countries established a strategic partnership and have
strengthened multi-level interactions and cooperation. There
have been frequent high-level visits between the two countries’
leaders, with more than 10 ministerial visits annually. Since its
inception in 2005, the foreign ministers’ annual dialog between
the two countries has been held 7 times and played an important
role in promoting and coordinating bilateral cooperation. In
November 2009, Australian Prime Minister Kevin Rudd visited
India, and the two sides upgraded their bilateral relationship
to a strategic partnership.
To meet the needs of a rapidly developing bilateral relationship,
India opened consulates in Melbourne and Perth in 2006 and
2011, respectively; Australia expanded its High Commission in
New Delhi, upgraded its consulates in Chennai and Mumbai,
and either opened or expanded trade representative offices in
eight other Indian cities. In their two summit-level meetings
last year, Prime Minister Narendra Modi and Prime Minister
Tony Abbott decided to prioritize and enhanced the India-
Australia relationship to a comprehensive level, i.e., signing
of FTA. The political stability of the new government in India
and the political will at the top level of Australian and Indian
leadership augur well for a comprehensive relationship with
expansion in the sectors which have yet to form a considerable
chunk of Australia-India trade.
REVIEW OF LITERATURE
Ariff and Hill analyzed the growth and trade performance
of ASEAN manufactured exports only, future prospects and
structural changes in revealed comparative advantage (RCA),
used trade intensity index (TII), and RCA. Balassa and Noland
examined the changing pattern of trade specialization of Japan
and the United States, applied Balassa index of RCA and
net export index (NEI). Both countries have also increased
their comparative advantage in high technology products
overtime. Khwaja and Mahmood explored the prospects of
trade expansion between ASEAN and SAARC countries,
employed RCA, TII, and trade complementarity index (TCI).
Bojnec analyzed the pattern and potential of regional and global
47
 Sadhna: Trade Potential and Prospects
agricultural trade flows, with special emphasis on EU-15,
Asia, NAFTA, Africa, Caribbean, and Oceania, utilized intra-
industry versus inter-industry trade with Grubel and Lloyd,
RCA and international agricultural terms of trade. Utkulu and
Seymen estimated competitiveness and the pattern of trade,
trade specialization for Turkey to EU, embodied RCA Sikdar
evaluated trade prospects, nature, structure, and viability of
trade between two neighboring countries India and Bangladesh,
using TII, RCA, and TCI.
Zhou et al. investigated the major trends and changes in
the bilateral agricultural trade between Australia and China
at disaggregate level and also calculated trade intensity,
comparative advantage and trade complimentary between them
to address the likely prospects of trade. Trade between them has
been increased at increasing rate. It stated that both will trade
greater than the expected level. Basu and Datta analyzed trend
in comparative advantage, similarity, and complimentarity in
trade and reasons behind persistent bilateral trade deficit of
Bangladesh with India since its formation in 1971 applied
RCA, cosine measure and GL indices for intra-industry trade.
Both have trade specialization in unskilled labor-intensive
products with RCA>1. Makochekanwa studied the pattern
of trade specialization for Botswana that has undergone a
structural shift between 1999 and 2004 due to openness and
competitiveness in the world.
Boughanmi used a gravity model to investigate the trade
potential of the Gulf Cooperation Council countries within
the context of old and emerging preference trade arrangements
in the region of Middle East and North African countries (19
countries). Akhtar et al. analyzed the trade pattern, trend,
performance, and trade specialization in the footwear industry
of Pakistan and compared it with China and India, Balassa
index of RCA, both at 2-digit and 4-digit level of industrial
classification for the time period 1996-2006. Chanda and
Chaitanya analyzed the viability of a free trade agreement
in goods between India and China, utilized RCA and TII.
Bhattacharyya tried to quantify the extent to which India has
a comparative advantage in the vegetable, fruit, and flower
industries in the markets of Asian, EU, and North America
(USA and Canada) as compared to South-East Asian countries.
Raghuramapatruni (2011) analyzed potential and prospects of
trade within SAARC countries employed RCA and TII. Political
conflicts between India and Pakistan should be settled as soon
as possible because these two countries have great influence
on other countries. Mehmood used Univariate autoregressive
integrated model of model to forecast Pakistan’s export potential
and prospects with seven members of SAARC over the next few
years. Bano et al. the first to used TII and trade potential method
to analyze trade prospects and potential between New Zealand
and ASEAN countries for the period 1980-2010. The results
of TII showed that there is considerable variation in export
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and import intensity index (III) between them, but expected
to increase over time. These studies have analyzed particular
country’s trade prospects with various countries individually
and regional trading blocs by taking one commodity, utilized
gravity model, augmented gravity model, Aquino Index,
Grubel-Lloyd index, RCA, TII, and trade complimentarity
index. No study has been carried to calculate India’s trade
potential and prospects with Australia. It is in this context the
present study attempt to make an effort in this direction.
MATERIALS AND METHODS
The secondary data have been used to attain the stated
objectives. Data to calculate RCA, data have been collected
at 2-digit level mentioned in standard international trade
classification revision-2, United Nations Conference on
Trade and Development (UNCTAD) database for the period
2001-2014. This data have been extracted from International
Trade Centre (ITC) which is a joint agency of the WTO and
the United  Nations (www.trademap.org/Index.aspx). Data
for India’s trade intensity with Australia have been collected
(for the period 1990-2014) from various official sources,
i.e.,  World Integrated Trade Solution (World Bank) (www.
wits.worldbank.org/lang=en), Handbook of Statistics on the
Indian Economy (Reserve Bank of India) (www.rbi.org.in),
Direction of Trade Statistics (International Monetary Fund),
Ministry of Commerce and Industry (Government of India),
UNCTAD Handbook of Statistics (United  Nations), UN
Comtrade Database (United Nations Statistics Division), etc.
Methods
The present study calculated India’s trade prospects with
Australia and the analytical tools/methods used for the study
are as follows:
a. RCA: It tells about the relative trade performance of
individual countries in particular commodities. It shows
how competitive is a product in countries export compared
to the products share in world trade. A product with high
RCA is competitive and can be exported to countries with
low RCA. Balassa’s formulation RCA for exports (RCAX)
is calculated as below:
(X ijk /X ij )
RCAX =
(X kj / X j )
Where,
X ijk = Export of product k by country i (India) to another
Region/country j,
Xij = Total exports of country i (India) to the reference group j,
X kj = Exports of product k by the reference group j,
Xj = Total exports of reference group j.
48
 Sadhna: Trade Potential and Prospects

The RCA for imports (RCAM) is calculated as below: The calculation for the TII for imports is as follow:

(mijk / M ij ) [M ij /M i ]
RCAM = M ija =
(m kj /M j ) [(X j − X ij ) / (X w − X i )]

Where,
mijk = Import of product k by country i (India) from another
Region/country j,
Mij = Total imports of country i (India) from the reference
group j,
m kj = Imports of product k by the reference group j,
Mj = Total imports of reference group j.
b. TII: Trade potential of any country can primarily be
measured with the help of Koijma (1964) TII with its
partners. It tries to establish the relative trade performance
of a trading partner in relation to a country’s trade with
the rest of the world. When the trade intensity is high
between two countries, it shows that both have more
potential of trade with each other. It is defined as the share
of one country’s exports (trade) going to a partner country
divided by the share of world trade going to the partner. It
is calculated as:
[(Xij + M ij ) / (Xi + M i )]
Tij =
[(X wj + M wj ) − (Xij + M ij ) / (X w + M w ) − (Xi +M i )]
Where,
Tij = Total TII of country i with country j,
Xij = Exports of country i to country j,
Mij = Imports of country i from country j,
Xi = Total exports of country i,
Mi = Total imports of country i,
Xwj = Total world exports to country j,
Mwj = Total world imports from country j,
Xw = Total world exports,
Mw = Total world imports.
The calculation for the TII for exports is as follows:
 X ij / X i 
X ija =
( )
 M j – M ji / ( M w – M i ) 
 
Where,
X ija = Export TII of country i with country j,
Xij = Exports of country i to country j,
Xi = Total exports of country i,
Mj = Total imports of country j,
Mji = Imports of country j from country i,
Mw = Total world imports,
Mi = Total imports of country i.
Where,
M ija = Import TII of country i with country j,
Mij = Imports of country i from country j,
Mi = Total imports of country i,
Xj = Total exports of country j,
Xji = Exports of country j to country i,
Xw = Total world exports,
Xi = Total exports of country i.
RESULTS AND DISCUSSION
a. Results of RCAX
Table 2 summarizes the products which have a comparative
advantage (RCA>1) in India’s export to Australia. Value
>1 for RCAX indicates that India should export that
particular product to Australia and vice versa.
• As is seen from Table 2, India has sustainable RCA (RCA
>1) in the export of products with code [Annexure 1] 3,
6, 9, 10, 13, 14, 19, 20, 23, 25, 29, 30, 32, 33, 34, 38, 39,
40, 42, 46, 49, 50, 53, 54, 55, 56, 57, 58, 59, 61, 62, 63,
64, 66, 67, 68, 69, 71, 72, 73, 82, 83, 85, 92, 94, and 95
to Australia since 2001 [Annexure 2].
• India has no trade specialization in products with code
7, 8, 24, 48, 52, 80, and 81, i.e., RCA is <1 as seen from
Annexure 2.
• Products with code 11, 21, 27, 37, 43, 60, 84, 86, and 87
started to gain RCA in 2011, 2007, 2015, 2006, 2015,
2005, 2004, 2013, and 2007, respectively.
b. Results of RCAM
Table 3 summarizes products which have a comparative
advantage (RCA >1) in India’s imports from Australia.
• As is seen from Table 3, India has no trade specialization
in the imports of products with code 50, 72, 80, and 99
[Annexure 1] from Australia since 2001 [Annexure 3].
• India has a sustainable comparative advantage (RCA >1)
in the imports of products with code 7, 8, 26, 27, 41, 47,
51, 52, 71, 75, 78, and 79 from Australia as seen from
Annexure 3.
• Product with code 11, 28, and 32 had no RCA since 2001
but started to gain in 2009, 2005, and 2003, respectively
[Annexure 3].
c. Results of TII
Intensity of trade index is used to find relative intensity
of trade of India with Australia for total trade, exports
from India to Australia and for imports by India from
Australia. A unitary value, i.e., TII =1, shows that there

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 Sadhna: Trade Potential and Prospects

Table 1: Bilateral trade between India and Australia (US$ thousand)

Year Export from India to Import of India from Australia Export from Australia to India Import of Australia from
Australia India
1990 1,77,027.5 7,49,134.3 2,45,655.2 2,16,132.6
1991 2,02,899.7 5,60,919.4 2,28,135.4 1,99,620.4
1992 2,49,365.3 9,31,629.8 5,46,058.6 2,35,112.5
1993 2,45,222.5 6,57,062.6 5,24,355.3 2,70,565.4
1994 3,46,418.3 9,15,032.8 6,31,086.4 3,48,780.9
1995 3,74,501.5 10,19,564 7,99,906 4,08,627.7
1996 3,85,317.6 13,16,520 9,42,436.3 4,38,112.2
1997 4,38,342.1 14,83,560 9,52,662.3 4,64,626.6
1998 3,87,255.8 14,46,305 10,53,899 4,20,006.2
1999 4,03,364.9 10,87,737 8,80,198 4,31,021
2000 3,97,404.6 10,49,818 10,59,581 4,52,753.1
2001 3,98,279.8 12,43,357 12,52,743 4,45,302.1
2002 4,86,796 13,46,295 13,50,323 5,41,361.5
2003 5,57,989 20,36,946 21,75,138 6,75,884.6
2004 6,61,559.2 35,49,558 39,91,108 8,85,286.4
2005 8,26,594.1 48,99,710 53,22,623 9,95,383.1
2006 8,86,630.9 65,02,159 66,44,789 10,23,494
2007 10,83,025 76,80,940 78,02,195 12,96,619
2008 13,47,332 95,68,942 1,13,79,978 16,42,098
2009 14,10,197 1,20,17,049 1,13,63,671 16,67,570
2010 16,50,865 1,20,61,235 1,51,09,408 19,12,249
2011 20,95,772 1,34,16,619 1,57,50,321 22,97,365
2012 26,33,034 1,29,28,894 1,26,11,730 26,77,047
2013 23,97,686 1,08,71,894 84,53,698 22,82,313
2014 25,93,528 99,34,691 79,95,340 27,68,026
Source: World Integrated Trade Solution (WITS)

Table 2: Products with value of RCA>1 for exports to Australia by India

Product Code[7] RCA characteristics[8]
3 Except from 2008 to 2012, India has RCA in this product since 2001. The trend of RCA is in decreasing mode
6 India has sustainable trade specialization in the export of this product to Australia since 2001
7 The product was having a comparative advantage since 2003 but lost thereafter. RCA started to gain in 2005 and
continued to remain till 2008. Again after it lost trade specialization in the export of this product to Australia and
never gain it again
8 India had RCA in the export of this product to Australia since 2001 but lost after 2012
9 The product has very strong and sustainable RCA since 2001
10 Except 2007, India has no comparative in the export of this product to Australia since 2001
11 The product had trade specialization since 2001 but started to gain after 2011 and continued to maintain it
12 Except from 2005 to 2008, India has no trade specialization in the export of this product to Australia since 2001
13 There is very strong and sustainable comparative advantage in this product since 2001
14 The product has sustainable trade specialization since 2001
19 RCA is very strong in this product since 2001. The trend of RCA is on increasing mode
20 There is trade specialization in the export of this product since 2001
(Contd...)

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 Sadhna: Trade Potential and Prospects

Table 2: (Continued)
Product Code[7] RCA characteristics[8]
21 There was no comparative advantage in this product since 2001 but started to develop in 2007. India continued
to maintain its specialization in this product
23 Except 2009, there is no RCA in the export of this product to Australia by India since 2001
24 India had strong and sustainable RCA in this product since 2001‑2014. Thereafter, India lost its comparative
advantage in this product
25 The product has sustainable trade specialization since 2001
27 India had no RCA in this product since 2001. RCA remained<1 till 2014 and gained thereafter, i.e.,, 2015
29 India has very strong and sustainable comparative advantage in the export of this product to Australia since 2001
30 Except 2003 and 2004, there is RCA in this product since 2001
32 India has sustainable trade specialization in this product since 2001
33 There is RCA in this product since 2001. The trend of RCA is in increasing mode
34 India has strong and sustainable RCA in this product since 2001
37 There was no trade specialization in the export of this Australia since 2001. RCA started to develop in 2006 and
continued to be>1 thereafter
38 The product has strong and sustainable RCA since 2001
39 There is trade specialization (RCA>1) in the export of this product to Australia since 2001
40 India has strong and sustainable RCA in this product since 2001
42 The product has very strong comparative advantage since 2001
43 India had no RCA in this product since 2001 and continued to be<1 till 2014. Thereafter, India gained RCA in
this product
45 RCA was zero in this product since 2001 and remained 0 for many years. India started to gain comparative
advantage in the export of this product to Australia in 2008 but maintained it till 2014. After 2014, the product
lost its specialization
46 India has strong and sustainable trade specialization in this product since 2001
48 There was no comparative advantage in the export of this product since 2001. India started to gain advantage
in 2006. India enjoyed benefit in the export of this product from 2006 to 2013 and lost thereafter. India has no
comparative advantage in the export of this product to Australia since 2001 except
49 India has sustainable trade specialization in this product since 2004
50 The product is having very strong comparative advantage since 2001
52 India had trade specialization since 2001 and sustained it from 2001 to 2010. Thereafter, product lost its
comparative advantage
53 India has very strong sustainable RCA since 2001. The trend of RCA is in increasing mode
54 India has trade specialization in this product since 2001
55 There is sustainable RCA in this product since 2001
56 India has sustainable RCA in this product since 2001. The trend of RCA is in increasing mode
57 There is a comparative advantage in the export of this product since 2001
58 India has strong RCA in this product since 2001
59 There is RCA in this product since 2001
60 India has a comparative advantage in the export of this product to Australia since 2005
61 The product is having sustainable RCA since 2001
62 India has comparative advantage in this product since 2001
63 India has sustainable trade specialization in this product since 2001
64 The product has strong RCA in this product since 2001
65 There is trade specialization in this product since 2002

(Contd...)

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 Sadhna: Trade Potential and Prospects

Table 2: (Continued)
Product Code[7] RCA characteristics[8]
66 Except from 2003 to 2004, 2006 and 2012, there is RCA in this product since 2001
67 India has trade specialization in the export of this product to Australia since 2001
68 India has strong trade specialization in this product since 2001
70 There is a comparative advantage in the export of this product to Australia by India since 2001
71 There is sustainable RCA in this product since 2001
72 India has RCA in this product since 2001
73 The product has comparative advantage (RCA>1) since 2001
80 The product has no RCA since 2001 (except for 2005 to 2006, 2008 and 2010)
81 There is no comparative advantage in this product since 2002
82 India has sustainable RCA in this product since 2001
83 RCA is strong and sustainable in this product since 2001
84 India has trade specialization in the export of this product to Australia since 2004
85 India has trade specialization in this product since 2001
86 The product has RCA since 2013
87 India has RCA in this product since 2007
89 The product has no comparative advantage since 2001 (except 2005)
90 India has no comparative in the export of this product to Australia since 2001 (Except from 2009 to 2012)
92 India has sustainable RCA in this product since 2001
94 There is trade specialization in the export of this product to Australia by India since 2001
95 India has sustainable RCA in this product since 2001
96 The product has comparative since 2001
97 India has strong RCA in this product since 2003
RCA: Revealed comparative advantage

Table 3: Products with value of RCA>1 for imports by India from Australia
Product code[9] RCA characteristics[10]
7 There is strong and sustainable RCA (RCA>1) in this product since 2001
8 Except 2004 and 2005, the product has trade specialization since 2001
10 India had RCA in this product since 2001 but lost thereafter. The product started to gain RCA in 2006 but failed to
maintain it. In 2013, trade specialization again started to develop in this product and continued to be>1
11 India has comparative advantage in the import of this product from Australia since 2001 instead of producing it
domestically
17 Except 2005, India has no trade specialization in this product since 2001
26 The product has very strong and sustainable RCA since 2001
27 RCA is sustainable and strong in this product since 2001
28 There was no trade specialization in this product since 2001 but started to develop in 2005. Except for 2008 and 2009,
India has comparative advantage in import of this product from Australia
32 India has no trade specialization in this product since 2001 but gained in 2003. India maintained it for 3 years and lost
thereafter. After 2009, India gained RCA in this product and continued to maintain it
37 Except for 2004, India has trade specialization in this product since 2003
41 There is comparative advantage (RCA>1) in the import of this product from Australia instead of producing it
domestically since 2001
47 India had trade specialization in this product since 2001 but lost thereafter. RCA started to gain in the last, i.e.,, 2013
and maintained it
50 India has no trade specialization in this product since 2001 (except for 2002 and 2003)
(Contd...)
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 Sadhna: Trade Potential and Prospects

Table 3: (Continued)
Product code[9] RCA characteristics[10]
51 The product has strong and sustainable RCA since 2001
52 India has trade specialization in this product since 2001 but failed to maintain it. India gained RCA in 2011 and
continued to maintain it
71 There is RCA in this product since 2001
72 India has no trade specialization in this product since 2003
74 The product had RCA since 2001 but failed to maintain it. RCA gained in 2004 and maintained it till 2011 and lost thereafter
75 There is sustainable comparative advantage in this product since 2001
76 The product had strong RCA since 2001 and remained it for 1 year (2002). Thereafter, RCA lost but started to gain in
2007. However, in 2010, this product lost its specialization and regained in 2012. India has comparative advantage in
the import of this product from Australia
78 India has very strong and sustainable comparative advantage in the import of this product from Australia since 2001.
The trend of RCA is on increasing mode
79 India has strong and sustainable RCA in this product since 2001
80 There is no RCA in this product since 2001 (except for 2007 and 2008)
99 Except 2001, India has no trade specialization in this product since 2002
RCA: Revealed comparative advantage

Table 4: Intensity of trade index of India with Australia

Year TII for total trade between India and TII for exports by India to Australia TII for imports by India from Australia
Australia
1990 1.4609 0.3401 1.1111
1991 2.4272 0.5779 1.3449
1992 2.0542 0.7296 2.2355
1993 1.5853 0.7450 1.9157
1994 2.0147 1.0038 2.5564
1995 3.6541 0.9744 2.4827
1996 2.2133 0.9522 2.8191
1997 2.3201 1.0991 3.0491
1998 2.3165 1.0246 3.2601
1999 1.6950 0.9468 2.2027
2000 1.3985 0.8482 2.2185
2001 1.6193 0.8801 2.6857
2002 1.5409 0.8641 2.6381
2003 1.8175 0.8020 3.4502
2004 2.1870 0.7358 4.4051
2005 2.1266 0.6847 3.9367
2006 2.2522 0.6306 4.1387
2007 2.1545 0.6188 3.9860
2008 1.8075 0.5867 3.0009
2009 2.3750 0.5881 4.3036
2010 1.8104 0.5487 2.8804
2011 1.4540 5.7444 2.2455
2012 1.3814 0.6282 2.1010
2013 1.2048 0.5401 1.9102
2014 1.0174 0.5778 1.4464
TII: Trade intensity index

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 Sadhna: Trade Potential and Prospects
is no difference in importance to a nation i in supplying
imports to nation j. TII with a value >1 (TII >1) indicates
higher bilateral trade that can be expected on the basis of
their share in world trade. When the value of intensity is
high between two countries, it shows that both have more
potential of trade with each other.
As is seen from Table 4, there are fluctuations in total TII
and III. Intensity of India trade with Australia for total trade
and imports by India from it is >1 since 1990. Total TII is
recorded highest in 1995. Except 1994, 1997, and 1998, India
has no intensity of trade with for exports by India to it. India
has sustainable trade prospects with Australia and is a net
importer of it.
DISCUSSION
India has sustainable comparative advantage (RCA >1) in
the export of products Lac, gums, resins, vegetable saps, silk,
textile fibres, paper yarn, woven fabric, wadding, carpets textile
floor, knit or crochet, footwear, pearls, precious stones, metals,
steel and iron, electronic equipment, musical instruments,
furniture, lighting, toys, games, sports requisites salt, sulfur,
stone, plaster, lime and cement, soaps, lubricants, waxes,
candles, modeling pastes, etc., and edible vegetables, fruit,
nuts, peel of citrus fruit, melons, wool, animal hair, horsehair
yarn, cotton, pearls, precious stones, metals, coins, nickel and
articles, lead and articles, zinc and articles, mineral fuels, oils,
pulp of wood, fibrous cellulosic material, etc., from it. This
comparative advantage helps not only to diversify product
baskets but also lead to increase the volume of trade. Intensity
of trade India with Australia for total and for imports from it
is >1. India’s export intensity is <1 except 1994, 1997, and
1998. India has sustainable and strong potential and prospects
with Australia. Australia is India’s major trading partner.[11-23]
CONCLUSION
India’s trade with Australia continued to increase with
increasing rate. Percentage share of exports to Australia and
imports from it increased, so it becomes relevant to analyze
India’s trade prospects with Australia. From above discussion,
it can be concluded that India has trade sustainable and strong
potential and prospects with Australia due to have trade
specialization in many products and high rate of intensity.
RESEARCH IMPLICATIONS AND
POLICY IMPLICATIONS
India has to focus on such products in which it has comparative
advantage and export to Australia. This will help both in
increasing volumes and achieving diversification of trade with
Australia. It will enlarge its market size and competitive in the
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product. India has to maintain its specialization in products
which have RCA >1 but also have to develop comparative
advantage in other products. Off late, some of the goods from
secondary sector have been added in exports from India to
Australia.
Limitation of the Study
As I calculated India’s trade prospects with Australia at 2-digit
level from 1990 to 2015, similarly trade prospects can also be
calculated at 4, 6, and 8 digit level.
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This work is licensed under a Creative Commons Attribution Non-Commercial 4.0

International License.

ANNEXURE

Annexure 1: Product codes‑2 digit SITC, revision 2

Product code Product description Product code Product description
1 Live animals 50 Silk
2 Meat and edible meat offal 51 Wool, animal hair, horsehair yarn, and fabric
thereof
3 Fish, crustaceans, molluscs, aquatic 52 Cotton
invertebrates nes
4 Dairy products, eggs, honey, edible animal 53 Vegetable textile fibers nes, paper yarn, woven
product nes fabric
5 Products of animal origin 54 Manmade filaments
6 Live trees, plants, bulbs, roots, cut flowers, etc. 55 Manmade staple fibers
7 Edible vegetables and certain roots and tubers 56 Wadding, felt, nonwovens, yarn, twine, cordage,
etc.
8 Edible fruit, nuts, peel of citrus fruit, melons 57 Carpets and other textile floor coverings
9 Coffee, tea mate, and spices 58 Special woven or tufted fabric, lace, tapestry,
etc.
10 Cereals 59 Impregnated, coated or laminated textile fabric
11 Milling products, malt, starches, inulin, wheat 60 Knitted or crocheted fabric
gluten
12 Oilseed, oleagic fruit, grain, seed, fruit, etc., nes 61 Articles of apparel, accessories, knit or crochet
13 Lac, gums, resins, vegetable saps and extracts 62 Articles of apparel, accessories, not knit or
nes crochet
14 Vegetable plaiting materials, vegetable products 63 Other made textiles articles, sets, worn clothing,
nes etc.
15 Animal, vegetable fats, and oils, cleavage 64 Footwear, gaiters and the like, parts thereof
products, etc.
16 Meat, fish, and seafood food preparations nes 65 Headgear and parts thereof
17 Sugars and sugar confectionery 66 Umbrellas, walking sticks, seat sticks, whips,
etc.
18 Cocoa and cocoa preparations 67 Bird skin, feathers, artificial flowers, human hair
19 Cereal, flour, starch, milk preparations and products 68 Stone, plaster, cement, asbestos, mica, etc., articles

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 Sadhna: Trade Potential and Prospects

Annexure 1: (Continued)
Product code Product description Product code Product description
20 Vegetable, fruit, nut, etc., food preparations 69 Ceramic products
21 Miscellaneous edible preparations 70 Glass and glassware
22 Beverages, spirits, and vinegar 71 Pearls, precious stones, metals, coins, etc.
23 Residues, wastes of food industry, animal fodder 72 Iron and steel
24 Tobacco and manufactured tobacco substitutes 73 Articles of iron or steel
25 Salt, sulfur, earth, stone, plaster, lime and 74 Copper and articles thereof
cement
26 Ores, slag, and ash 75 Nickel and articles thereof
27 Mineral fuels, oils, distillation products, etc. 76 Aluminum and articles thereof
28 Inorganic chemicals, precious metal compound, 78 Lead and articles thereof
isotopes
29 Organic chemicals 79 Zinc and articles thereof
30 Pharmaceutical products 80 Tin and articles thereof
31 Fertilizers 81 Other base metals, cermets, articles thereof
32 Tanning, dyeing extracts, tannins, derivatives, 82 Tools, implements, cutlery, etc., of base metal
pigments, etc.
33 Essential oils, perfumes, cosmetics, toiletries 83 Miscellaneous articles of base metal
34 Soaps, lubricants, waxes, candles, modeling 84 Machinery, nuclear reactors, boilers, etc.
pastes
35 Albuminoids, modified starches, glues, enzymes 85 Electrical, electronic equipment
36 Explosives, pyrotechnics, matches, pyrophoric, 86 Railway, tramway locomotives, rolling stock,
etc. equipment
37 Photographic or cinematographic goods 87 Vehicles other than railway, tramway
38 Miscellaneous chemical products 88 Aircraft, spacecraft, and parts thereof
39 Plastic and articles thereof 89 Ships, boats, and other floating structures
40 Rubber and articles thereof 90 Optical, photo, technical, medical, etc.,
apparatus
41 Raw hides and skins (other than furskins) and 91 Clock and watches and parts thereof
leather
42 Articles of leather, animal, gut, harness, travel 92 Musical instruments, parts, and accessories
goods
43 Furskins and artificial fur manufactures thereof 93 Arms and ammunition, parts and accessories
thereof
44 Wood and articles of wood, wood charcoal 94 Furniture, lighting, signs, prefabricated
buildings
45 Cork and articles of cork 95 Toys, games, sports requisites
46 Manufactures of plaiting material, basketwork, 96 Miscellaneous manufactured articles
etc.
47 Pulp of wood, fibrous cellulosic material, waste, 97 Works of art, collectors pieces, and antiques
etc.
48 Paper and paperboard, articles of pulp, paper, 99 Commodities not elsewhere specified
and board
49 Printed books, newspapers, pictures, etc.
Source: International Trade Centre, Geneva (ITC) http://www.trademap.org/Bilateral_
TS.aspx?nvpm=1 | 699||699||TOTAL|||2|1 | 1|1 | 2|1 | 1|1 | 1, SITC: Standard international trade classification

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 Sadhna: Trade Potential and Prospects

Annexure 2: India’s RCA for exports to Australia

Product Australia
code 2001 2002 2003 2004 2005 2006 2007
1 0 0.0016 0 0.002 0 0 0.000669
2 0 0.0014 0 0.0002 0.0008 0.0005 0.0034
3 4.2185 3.16 3.4206 3.47 3.2234 3.5340 2.47
4 0.0375 0.0041 0.0404 0.0129 0.0460 0.0764 0.0720
5 0.4217 0.0968 0.0826 0.0498 0.1053 0.7466 0.0821
6 2.9380 3.21 5.1052 5.83 5.0233 7.6942 8.64
7 0.8456 0.909 1.3643 0.859 1.2561 1.0933 1.24
8 1.7467 2.36 0.8254 1.11 1.6571 1.8459 2.92
9 57.7793 90.1 126.2176 13.1 160.368 165.163 18.1
10 0.0794 0.0823 0.1349 0.100 0.1989 0.2621 1.15
11 0.0137 0.0669 0.1223 0.183 0.2047 0.385 0.442
12 0.5250 0.423 0.5943 0.690 1.3248 1.5930 8.62
13 27.9382 30.0 45.6169 33.8 52.4870 113 15.0
14 13.6380 1.69 15.5676 27.9 46.7944 28.6223 34.7
15 0.5994 0.755 0.6505 0.458 0.7529 0.77718 0.760
16 0.1489 0 0.0446 0.137 0.04 0.2324 0.474
17 0.1438 0.326 9.3826 0.371 0.5147 0.5318 1.45
18 0.0076 0.00436 0.0271 0.0175 0.1158 0.1279 0.238
19 1.0503 1.32 0.9383 0.866 1.3545 2.0785 2.27
20 1.0975 1.73 1.5969 2.06 2.8788 3.4537 3.73
21 0.9542 0.601 0.4424 0.434 0.4630 0.8199 1.05
22 0.0120 0.0207 0.0107 0.00566 0.0032 0.0057 0.00550
23 0.0951 0.0672 0.1738 0.253 0.4808 0.5585 0.918
24 7.6685 3.88 8.9726 4.12 6.2256 9.0023 7.66
25 2.7753 1.93 2.6782 2.82 2.3028 2.5763 2.88
26 0.0549 0.139 0.2113 0.0303 0.1060 0.1490 0.128
27 0.0004 0.0169 0.0037 0.00595 0.0089 0.0252 11.7
28 0.1802 0.238 0.1700 0.271 0.2752 0.2221 0.317
29 12.3512 20.1 17.1653 23.5 24.329 29.9430 20.3
30 1.1751 0.958 0.7832 0.776 1.2944 1.3127 1.27
31 0.0751 0.141 0.0987 0.174 0.0283 0.0360 0.0112
32 2.6209 2.52 2.2539 2.19 2.4303 3.2665 3.42
33 1.8618 1.38 1.4108 1.39 1.9914 2.5945 2.08
34 3.4833 2.41 1.6839 1.67 2.5244 2.5353 2.46
35 0.0819 0.195 0.1448 0.237 0.1756 0.0740 0.149
36 0.0568 0.0393 0 0 0.0053 0.0336 0
37 0.1118 0.167 0.1288 0.135 0.7593 1.6235 1.04
38 6.5575 4.53 5.4024 7.02 9.9565 9.8537 6.02
39 2.3538 1.96 2.7467 2.50 2.6559 3.4881 2.95
40 7.6778 14.6 15.9788 18.7 21.4467 26.0323 14.9
41 0.8886 0.902 0.5665 0.423 0.4459 0.3969 0.300
42 114.7669 11.2 103.0704 136. 141.188 135.7653 121

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 Sadhna: Trade Potential and Prospects

Annexure 2: (Continued)
Australia
2008 2009 2010 2011 2012 2013 2014 2015
0 0.00724 0 0 0 0 0 0
0.0017 0.0001 0.0018 0.00001 0 0 0 0.00006
0.5223 0.398 0.3422 0.5967 0.8096 1.6033 1.0773 0.2296
0.1042 0.117 0.1549 0.1704 0.1598 0.1381 0.1519 0.0873
0.1835 0.0486 0.1095 0.1312 0.06 0.0289 0.0193 0.0150
11.553 10.2 10.1904 15.7817 14.0661 21.1836 23.5214 12.4253
1.0347 0.0801 0.8966 0.5967 0.4011 0.6015 0.6032 0.25407
4.0013 1.38 1.7010 2.7980 1.2036 0.5521 0.3963 0.1369
194.256 15.4 157.0278 178.7479 160.1877 149.4058 125.997 81.0473
0.3227 0.312 0.2486 0.3196 0.3240 0.5358 0.5962 0.3530
0.1788 0.452 0.5982 0.8388 2.0843 1.3836 0.9719 0.7255
1.8073 0.966 1.3606 0.7974 0.5177 0.6671 1.1007 0.5529
155.27 85.9 159.3754 394.5127 1403.138 309.131 141.5706 86.7459
42.192 60.2 65.7931 86.9297 27.2727 19.6803 288.64 29.7385
0.7070 0.613 0.8199 0.8672 0.5859 0.5833 0.9767 0.8649
0.6444 0.592 0.5432 0.5081 0.6983 0.5755 0.0622 0.0126
0.4969 0.373 0.3482 0.4754 0.4258 0.6519 0.7737 0.6114
0.2202 0.196 0.2012 0.1307 0.0720 0.0417 0.0413 0.1450
1.9824 1.76 1.6673 1.9697 1.8582 1.8161 2.0743 1.3367
5.0558 5.73 7.3078 7.2936 7.1190 9.5913 10.019 7.0802
1.5883 1.78 1.7857 2.5449 2.5140 3.7514 2.9823 1.1871
0.0666 0.0537 0.0180 0.0331 0.0277 0.04796 0.0520 0.0221
0.7852 1.30 0.9011 0.2631 0.2265 0.2139 0.1213 0.0836
14.1822 13.2 12.4542 10.4202 4.1919 2.6395 2.3151 0.4015
4.8550 4.29 4.0457 4.6079 3.1869 5.0386 3.3044 1.3495
0.0020 0.136 0.0070 0.0064 0.0003 0.0002 0.0002 0.0003
0.0069 0.0961 0.0100 0.1775 0.3008 0.0948 0.5436 1.3260
0.3899 0.234 0.1748 0.2436 0.1352 0.2502 0.2611 0.1558
32.3022 31.1 33.5705 50.428 30.540 29.086 18.107 9.6244
1.6717 2.19 2.7953 3.7563 3.3278 5.7077 6.8974 6.4961
0.0067 0.0299 0.0329 0.0273 0.8509 0.1325 0.3155 0.1554
5.5357 3.25 5.4512 5.5178 3.8195 4.1758 3.7479 2.2352
2.5131 3.88 3.2232 3.5363 2.8480 3.0077 2.8974 2.7390
35.433 3.12 5.3359 5.3852 4.5706 6.7380 5.8818 2.9568
0.0764 0.148 0.1889 0.1170 0.2727 0.1101 0.1484 0.14867
0.2739 0.0716 0.0031 0.0510 0.0430 0.1107 0 0.0040
1.0882 1.16 2.9248 3.2018 1.9837 1.7487 0.6277 0.9399
10.6769 8.18 11.763 10.4408 7.9211 13.1801 11.731 11.4214
2.7793 3.17 6.2833 5.8538 4.8715 6.5476 5.1082 3.57375
15.7970 14.2 26.2335 31.1805 24.858 25.9497 24.1581 14.605
0.31799 0.261 0.2607 0.2899 0.1813 0.1707 0.1667 0.1112
155.8742 127 136.2077 124.735 79.679 103.8654 93.895 63.9003

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 2: (Continued)
Product Australia
code 2001 2002 2003 2004 2005 2006 2007
43 0 0 0 0.567 0.2784 0.6002 0
44 0.0873 0.0687 0.0928 0.114 0.1201 0.1375 0.163
45 0 0 0.0766 0 0 0 0.788
46 59.4538 74.8 32.3969 124. 15.5042 3.5723 4.38
47 0.05313 0 0 0.0025 0 0 0.0007
48 0.7014 0.889 0.4071 0.432 0.7296 1.025174 1.02
49 0.6015 0.507 0.7527 1.15 1.1467 1.1777 1.14
50 1276.5 33.2 419.5978 417 557.7698 361.8 436
51 0.0343 0.0309 0.0358 0.0830 0.1133 0.0779 0.0690
52 2.2160 5.74 4.4337 3.34 2.4736 2.5304 4.39
53 619.8229 63.6 505.6311 436 868.6822 605.8839 556
54 16.1764 19.0 19.0538 13.8 14.6183 13.8573 10.4
55 23.5582 24.6 27.3450 25.2 17.7643 19.5963 16.8
56 4.7209 6.69 5.1537 6.81 11.1643 18.5262 17.6
57 43.4484 33.1 33.8385 41.9 47.7017 78.4315 56.2
58 62.0388 40.2 16.8015 19.1 32.0226 32.0787 15.5
59 2.0493 1.99 1.2498 3.46 2.6872 1.3624 0.973
60 0.0387 0.251 0.3098 0.199 2.6472 2.2995 4.92
61 23.9961 22.7 15.1707 17.0 16.207 18.9739 15.7
62 59.9805 69.6 43.0894 45.1 57.089 55.6344 40.9
63 73.931 67.4 74.0101 80.6 91.1928 100.4988 75.3
64 47.266 54.7 31.6064 32.5 44.477 43.8599 40.8
65 0.74298 2.28 1.5765 1.66 1.6352 5.515 3.46
66 0.0735 0 1.8245 1.06 0.0608 1.4649 0.145
67 11.5639 15.1 10.0529 15.4 7.8604 18.1814 3.98
68 53.0131 47.1 50.3269 38.3 41.7735 45.1974 36.4
69 5.6641 6.27 7.2333 3.29 4.7159 8.2132 7.07
70 11.537 13.3 7.7071 5.54 4.5341 6.7763 7.99
71 1.4455 1.59 1.7101 2.06 2.2386 1.7917 1.67
72 2.1626 2.36 2.90 3.90 8.1579 4.9402 2.66
73 9.7654 8.66 8.8290 11.9 10.2829 11.1806 10.3
74 0.5519 0.434 0.7437 0.565 0.8541 0.7384 0.472
75 0.0008 0.0003 0.0043 0.0070 0.0010 0.0045 0.0018
76 0.1010 0.155 0.1437 0.0740 0.1071 0.0831 0.0778
77 0.0515 0 0.0067 0.0061 0.0307 0.0282 0.0456
78 0.2807 0.121 0.0687 0.0627 0.1596 0.0853 0.0589
79 0.1940 0 0.0137 0.665 1.2403 6.5824 0.632
80 1.2911 0.0335 0.0933 0.191 0.0448 0.0408 0.0460
81 7.4902 8.08 5.7463 8.34 9.2948 9.3211 6.22
82 8.3822 8.69 6.3280 6.16 7.5493 7.9628 6.21
83 0.7305 0.991 0.9424 1.82 1.5032 1.7869 1.60
84 1.3012 1.76 2.0342 1.62 1.7696 2.0039 5.70

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 2: (Continued)
Australia
2008 2009 2010 2011 2012 2013 2014 2015
0 0.0373 0 0.6549 0.1238 0.1207 0.2360 1.6767
0.1707 0.180 0.1930 0.3515 0.5240 0.6907 0.5887 0.3538
1.7293 2.62 5.9491 1.8816 3.8517 2.6845 1.0341 0.5765
58.910 8.75 9.7434 1.575 11.435 23.6242 46.1720 45.1867
0.0056 0 0.0005 0 0.0020 0 0 0
1.4683 1.24 1.2512 1.4711 1.3918 1.47985 0.8258 0.6091
1.2630 1.01 2.1993 1.5295 1.1492 1.359 1.9530 1.4608
643.4643 138 242.39 428.7991 174.2707 64.8148 50.4257 24.9070
0.0635 0.0507 0.0491 0.0654 0.09168 0.0682 0.0832 0.04857
4.8133 2.32 1.0770 0.6712 0.3031 0.3605 0.37039 0.5009
1034.159 664 748.7273 825 1141.823 1489.91 2105.899 1274.017
15.1582 12.4 21.2948 24.2279 18.5198 37.8622 36.7384 35.0455
32.7268 22.8 32.8716 47.4515 40.3170 52.4809 57.8605 44.45811
23.7869 22.8 22.9352 30.1307 29.3557 38.6679 19.6201 43.2250
79.6133 73.7 81.0987 98.8126 90.1476 115.3949 111.7128 98.1703
28.9861 32.7 31.8893 29.7946 44.0148 76.5909 69.9449 42.4839
1.6975 1.66 3.1786 4.8752 3.9512 9.925 16.9958 3.7942
1.7207 1.15 0.5950 0.6898 1.13943 2.545 1.8825 1.3041
21.1928 27.4 37.0570 47.0631 39.9109 55.7962 60.2554 40.9533
67.9073 76.8 67.8608 87.3783 58.8934 91.6060 102.2726 66.3547
85.0720 74.8 101.6698 118.8713 106.387 109.0051 104.6641 63.6964
45.5856 47.5 42.7849 35.3637 40.3177 46.1972 38.4473 23.3481
7.3064 7.65 6.0066 7.3711 8.6317 10.6961 10.9613 6.8461
0.1891 0.123 2.6242 0.6854 2.5669 0.3347 0.6437 0.8308
11.484 4.92 7.9967 6.8677 10.1141 18.0524 3.1800 3.4586
44.9816 32.0 40.2622 28.997 21.4730 25.215 29.1770 16.558
11.5515 11.1 15.0791 15.9037 12.4817 9.3235 7.4458 6.7079
9.7471 5.05 6.9632 9.1950 7.0205 9.2465 9.9094 4.1503
1.4450 2.05 2.0046 1.7842 1.6004 2.1464 2.0279 1.3135
2.4544 2.12 1.9131 1.8897 1.2743 4.6188 5.0558 1.9312
11.4012 8.54 8.8650 16.2353 29.674 13.0104 13.6361 9.7615
0.5136 0.398 0.3742 0.4651 0.3400 0.2726 0.2007 0.1942
0.0021 0.00122 0.0015 0.0042 0.0157 0.0104 0.0062 0.0160
0.1544 0.179 0.2300 0.3028 0.2620 0.2998 0.342822 0.1948
0.0162 0.0486 0.076 0.1248 0.0252 0.0350 0.0080 0.0009
0.1637 0.0749 0.5623 0.1735 0.1708 0.26176 0.2237 0.1079
10.0758 0.505 4.4201 0.0155 0.0592 0.2828 0.0355 0
0.3231 0.0606 0.0228 0.1194 0.0679 0.0529 0.0404 0.0290
6.5632 6.22 8.7406 11.1189 7.7368 9.7582 11.2629 7.1761
10.8699 9.36 7.8267 8.0155 5.7909 6.7628 6.9998 5.0209
2.4188 2.30 2.5807 2.2880 1.8900 1.7483 1.7639 1.1360
9.8627 7.04 7.5069 4.0362 3.5188 3.8555 2.871 1.7605

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 2: (Continued)
Product Australia
code 2001 2002 2003 2004 2005 2006 2007
85 0.0847 0.0911 0.5628 2.93 0.0968 0.6874 1.31
86 0.4459 0.467 0.4258 0.567 0.6621 1.2404 1.47
87 0.5424 0.0459 0.0245 0.0089 0 0.0012 0.454
88 0 0.0027 0.0010 0.0878 1.0450 0.2008 0
89 0.3160 0.516 0.4956 0.585 0.4124 0.4769 0.603
90 0.2245 0.0565 0.2011 0.131 0.0442 0.1580 0.370
91 5.8500 1.84 1.6780 0.979 1.6177 2.0815 2.30
92 0 0.205 0 0.0199 0.0384 0 0
93 1.8845 0.988 1.8141 4.74 5.5970 6.5377 7.52
94 7.8915 5.43 4.7407 4.52 4.5690 7.3969 4.94
95 19.2596 11.3 13.4303 18.2 20.9201 16.5151 14.4
96 0.0207 0.0960 11.3680 12.5 21.3960 12.2835 7.34
97 0.6618 0.546 0.1744 0.119 0.1311 0.0745 0.104

Annexure 3: India’s RCA for imports from Australia

Product code Australia
2001 2002 2003 2004 2005 2006 2007
1 0 0 0.0007 0 0.0003 0.0004 0.108
2 0.0006 0.0020 0 0.0001 0.0028 0.0005 0.0005
3 0.0006 0 0 0.0022 0.0053 0.0004 0
4 0.3217 0.3320 0.945 0.0590 0.0018 0.0001 0.0126
5 0.2195 0.2597 0.413 0.0151 0.0148 0.0114 0.0013
6 0 0.0023 0.0257 0.0049 0.0015 0.0130 0.0022
7 32.1018 37.4884 10.4 7.2584 3.02 7.85 6.49
8 1.1027 1.7351 1.12 0.3922 0.784 1.09 1.23
9 0.0389 0.0938 0.0431 0.0632 0.0267 0.0289 0.0343
10 1.3257 0.0709 0 0.1900 0.737 26.5 43.0
11 0.0031 0.0024 0.0731 0.0318 0.204 0.707 0.891
12 0.2077 0.4081 0.528 0.5694 0.726 0.596 0.351
13 0.2098 0.0205 0.0054 0.0164 0.0478 0.0400 0.0436
14 0 0 0 0 0 0.0509 0
15 0.0788 0.0297 0.0969 0.0438 0.0230 0.0085 0.0038
16 0.0117 0.0298 0 0.0001 0.0054 0.0001 0
17 0.4607 0.2614 0.817 2.6537 1.39 0.109 0.0554
18 0.0216 0.0135 0.0034 0.0037 0.0008 0.0007 0.0137
19 0.0103 0.0105 0.0140 0.0086 0.0174 0.0073 0.0054
20 0.1163 0.1090 0.0463 0.0127 0.0189 0.0063 0.0109
21 0.0095 0.0418 0.0068 0.0031 0.0013 0.0014 0.0016
22 0.0160 0.0091 0.0232 0.0317 0.0402 0.0426 0.0486
23 0.0538 0.1579 0.169 0.1429 0.0802 0.0520 0.0836

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 2: (Continued)
Australia
2008 2009 2010 2011 2012 2013 2014 2015
0.4781 0.693 0.1874 0.6782 0.5751 2.9691 5.1477 1.8239
1.3725 2.26 9.2499 7.5584 6.7869 9.2829 8.2547 3.1760
0.2754 0.233 0.3451 3.1565 0.24 0.2551 0.0834 0.0704
0.0010 4.35 0 0.1510 0.0074 0.0143 0.0085 0.0003
0.6849 1.25 2.2684 2.8365 2.7763 2.7638 0.9918 0.4867
0.2586 0.0661 0.0995 0.2575 0.5452 0.7888 0.2917 0.1268
2.8313 2.29 3 3.625 2.0051 1.79 1.4816 1.4769
0.0442 0.0683 0.0071 0.1852 0.1303 0.2144 0.5477 0.2787
9.1941 9.79 12.857 17.7128 14.3856 16.6356 17.8258 10.4054
8.1019 6.28 9.4977 12.4673 10.2897 13.2658 11.5854 5.595
9.5018 12.6 28.4423 17.9413 7.7254 10.6910 12.6205 11.1576
6.8506 6.42 9.2149 6.3892 6.3164 1.41760 0.5517 1.1721
0.7021 0.0807 0.0816 0.0265 0.0229 0.0318 0.0239 0.0079
RCA: Revealed comparative advantage

Annexure 3: (Continued)
Australia
2008 2009 2010 2011 2012 2013 2014 2015
0.0807 0.0263 0.0147 0.0438 0.0002 0.0002 0 0.0003
0.0010 0.0001 0.0005 0 0.0018 0.0320 0.03 0.0118
0.0060 0.0005 0.0019 0 0 0 0 0
0.0002 0.163 1.13 0.939 0.0061 0.0048 0.0030 0.0057
0 0 0 0.0216 0 0.0009 0.0093 0
0.0128 0.0009 0.0010 0.0037 0.0010 0.0068 0.0003 0.0005
9.14 7.85 8.99 7.90 23.5 29.4 16.4724 33.7
1.22 1.35 0.883 0.905 1.50 3.23 2.9144 4.14
0.0048 0.0019 0.0024 0.0268 0.0049 0.0001 0.0011 0.0005
0.434 0.366 7.24 0.300 0.371 0.948 1.2663 16.7
0.851 0.785 2.10 2.89 3.72 3.89 4.0731 3.75
0.458 0.559 0.552 0.608 0.633 0.675 0.6943 0.855
0.0344 0.0445 0.0671 0.0573 0.0222 0.0039 0.0062 0
0 0 0 0.135 0 0 0 0
0.0049 0.197 0.0402 0.164 0.0674 0.0300 0.0179 0.0278
0.00004 0.00003 0.0006 0.0003 0.0004 0.0010 0 0.00006
0.101 0.126 0.129 0.0714 0.0023 0.0040 0.0005 0.0016
0.0088 0.0052 0.0052 0.0070 0.0176 0.0446 0.0232 0.0007
0.0073 0.0049 0.0070 0.0077 0.0204 0.0077 0.0063 0.0048
0.0195 0.0031 0.0065 0.0057 0.0132 0.0293 0.0543 0.0223
0.0088 0.0019 0.0030 0.0033 0.0045 0.0047 0.0075 0.0076
0.0506 0.0158 0.0227 0.0276 0.0331 0.0349 0.0477 0.0473
0.0853 0.0493 0.0516 0.0522 0.0495 0.0556 0.0612 0.0476

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 3: (Continued)
Product code Australia
2001 2002 2003 2004 2005 2006 2007
24 0 0 0 0 0 0 0
25 0.2040 0.1045 0.0887 0.0556 0.0482 0.412 0.314
26 54.576 30.6429 15.1 31.0817 21.2 46.4 38.8
27 5.4179 6.4563 5.01 2.8817 3.50 2.34 2.62
28 0.2678 0.3557 0.875 0.4634 1.50 1.65 1.77
29 0.1349 0.1749 0.106 0.0210 0.0410 0.0309 0.0316
30 0.0498 0.0433 0.0445 0.0314 0.0128 0.0119 0.0074
31 0.0049 0.0019 0.0078 0.0027 0.238 0.659 0.0591
32 0.5912 0.9884 1.10 1.1271 1.64 0.946 0.875
33 0.0980 0.0557 0.0505 0.0563 0.0513 0.0322 0.148
34 0.1239 0.0866 0.0382 0.0376 0.0317 0.0401 0.0376
35 0.1067 0.2167 0.150 0.1224 0.0625 0.0560 0.123
36 0.0028 0 0 0.010662 0 0.0303 0.186
37 5.8876 1.5755 0.615 2.7077 0.100 0.0290 0.0391
38 0.3002 0.2002 0.325 0.0910 0.0803 0.118 0.232
39 0.1254 0.0988 0.0967 0.0780 0.112 0.0709 0.0808
40 0.0391 0.0517 0.0287 0.0202 0.0243 0.0163 0.0130
41 1.2422 1.4462 1.35 1.6409 1.38 1.35 1.44
42 0.0030 0.0007 0.0018 0.0009 0.0019 0.0002 0.0017
43 0 0 0.0076 0 0 0.0270 0.0009
44 0.4756 0.0932 0.0936 0.2969 0.115 0.244 0.232
45 0 0 0 0.0032 0.0008 0.0014 0
46 0.0041 0 0 0.0062 0.0045 0 0
47 1.3136 0.7147 0.0439 0.3102 0.484 0.710 0.717
48 0.0986 0.1364 0.0957 0.0408 0.0176 0.0191 0.0314
49 0.0608 0.0474 0.330 0.0237 0.0435 0.0176 0.0439
50 0.7558 1.5290 2.43 0.0590 0.202 0.0117 0.0071
51 41.6238 46.9386 28.7 21.3596 20.5 20.0 22.2
52 13.4344 3.4323 0.888 0.6108 0.306 1.03 0.286
53 0.0052 0.0158 0.0022 0.0159 0 0 0
54 0.1098 0.06520 0.0363 0.0171 0.0044 0.0056 0.0019
55 0.0709 0.2557 0.160 0.0275 0.0483 0.0641 0.0118
56 0.0295 0.0168 0.0089 0.0116 0.0107 0.0180 0.0177
57 0.0639 0.0454 0.0277 0.0185 0.0187 0.0003 0.0009
58 0.2008 0.1878 0.331 0.2299 0.116 0.563 0.539
59 0.4699 0.5967 0.317 0.0792 0.313 0.242 0.224
60 0.0339 0.0651 0.0094 0.0076 0.0055 0.0405 0.0430
61 0.0057 0.0001 0.00005 0.0001 0.0004 0.0002 0.0005
62 0.0015 0.0028 0.0026 0.0008 0.0013 0.0003 0.0010
63 0.1629 0.1634 0.0387 0.0416 0.0267 0.0208 0.0142
64 0.0057 0.0039 1.28 0.0013 0.0027 0.0055 0.0083
65 0 0 0 0.0024 0.0029 0.00113 0.0003

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 3: (Continued)
Australia
2008 2009 2010 2011 2012 2013 2014 2015
0 0 0 0 0.0190 0 0 0
0.265 0.167 0.144 0.274 0.348 0.363 0.8371 0.768
43.3 19.5 28.3 33.1 46.2 98.8 57.4185 3.40
3.37 2.54 3.16 3.17 2.89 2.84 3.4359 5.18
0.444 0.829 1.73 2.53 2.93 7.377 4.5234 4.41
0.0516 0.0321 0.0293 0.0628 0.119 0.118 0.1204 0.106
0.00747 0.0096 0.0146 0.0160 0.0164 0.0273 0.0592 0.0316
2.63 1.01 1.30 0.810 0.771 0.0021 0.0032 0.0023
0.840 0.753 1.16 1.22 1.85 2.40 3.0529 1.78
0.304 0.191 0.290 0.280 0.371 0.323 0.2898 0.0809
0.0419 0.0329 0.0491 0.0504 0.0756 0.0911 0.0809 0.120
0.0777 0.0897 0.0658 0.0732 0.0640 0.107 0.0903 0.0883
0.224 0.0935 0.140 0.0922 0.0886 0.239 0.1555 0.111
0.0233 0.0061 0.00615 0.0030 0.0067 0.0012 0.0010 0.0022
0.146 0.0996 0.0983 0.130 0.108 0.0817 0.0472 0.0648
0.0555 0.0386 0.0539 0.0543 0.0678 0.0416 0.0377 0.0346
0.0124 0.0119 0.0127 0.0136 0.0245 0.0079 0.0118 0.0163
2.15 1.19 1.92 1.09 1.71 3.10 3.626 2.25
0.0007 0.0004 0.0006 0.0017 0.00721 0.0003 0.0010 0.0006
0.0008 0 0 0.0067 0 0 0.0036 0
0.0619 0.112 0.0301 0.0176 0.0204 0.351 0.3113 0.0237
0.0052 0 0 0.0046 0 0 0 0.0085
0 0 0 0 0.0007 0 0 0
0.509 0.911 0.805 0.375 0.379 0.999 1.7181 1.48
0.0445 0.0332 0.0588 0.141 0.203 0.464 0.3766 0.438
0.0238 0.0089 0.0140 0.0236 0.117 0.0185 0.0319 0.0200
0.0094 0.00571 0.0285 0.201 0.265 0.0279 0 0
22.3 15.1 23.6 31.0 45.3 56.8 69.9449 6.66
1.18 0.526 0.671 1.31 5.33 6.60 16.9705 7.40
0 0 0 0.0189 0.0311 0 0.0015 0.0013
0.0059 0.0136 0.0279 0.0454 0.0155 0.0275 0.0174 0.0141
0.0261 0.0411 0.0625 0.0165 0.0200 0.0049 0.0398 0.0065
0.0361 0.0484 0.0346 0.104 0.128 0.218 0.1931 0.177
0.0029 0.0006 0.0018 0.0025 0.0065 0.0032 0.0151 0.0005
0.0152 0.148 0.0266 0.0518 0.0873 0.0856 0.1163 0.0504
0.268 0.0648 0.0411 0.0864 0.0957 0.0412 0.0277 0.0353
0.0464 0.0097 0.0423 0.0759 0.0493 0.0321 0.3887 0.0212
0.0005 0.0002 0.0001 0.0005 0.0006 0.0007 0.0001 0.0003
0.0021 0.0004 0.0004 0.0012 0.0011 0.0002 0.0002 0.0003
0.0112 0.0200 0.0170 0.0249 0.0297 0.0315 0.030 0.0205
0.0073 0.0046 0.0073 0.0039 0.0081 0.0035 0.0060 0.0028
0.0013 0.0007 0.0057 0.002 0.0003 0.0021 0.0023 0.0033

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 3: (Continued)
Product code Australia
2001 2002 2003 2004 2005 2006 2007
66 0.0118 0.0214 0.0058 0.0035 0 0.0011 0.0047
67 0.0159 0.0378 0 0 0 0.0021 0.0025
68 0.1046 0.0262 0.0459 0.0217 0.0082 0.0076 0.0116
69 0.1544 0.3664 0.0467 0.0131 0.0130 0.0299 0.01
70 0.2166 0.2641 0.220 0.2559 0.170 0.120 0.0495
71 3.3274 5.0046 12.5 20.4617 17.3 10.3 9.40
72 1.3094 1.3373 0.949 0.8309 0.865 0.738 0.508
73 0.2020 0.1970 0.0967 0.0614 0.0294 0.0314 0.0302
74 2.7377 2.8613 0.891 1.6558 2.01 0.746 1.60
75 33.9935 47.9119 31.9 7.9471 4.31 6.60 12.0
76 2.4689 2.4908 0.656 0.5333 0.566 0.781 1.07
77 109.5029 111.9211 120 318.25 79.6 45.2 54.9
78 99.9035 119.5953 73.5 63.8507 85.4 58.0 38.9
79 0.0040 0 0 0.0072 0.0803 0.0113 1.40
80 0.3626 0.2803 0.396 0.1201 0.0833 0.180 0.0057
81 0.0817 0.0720 0.0742 0.0472 0.125 0.0689 0.0549
82 0.1298 0.1254 0.124 0.0682 0.0702 0.0736 0.109
83 0.1477 0.1683 0.119 0.0664 0.0528 0.0625 0.0611
84 0.1525 0.2996 0.200 0.1282 0.0997 0.0966 0.0857
85 3.0470 0.8926 0.849 0.8696 0.0303 0.0386 0.0926
86 0.0026 0.0054 0.0082 0.0106 0.0047 0.0043 0.0036
87 0.0018 0.0146 0.0047 0.3257 0.0051 0.0141 0.0256
88 0 0.0066 0.0630 0.1862 0.111 0.164 0.0872
89 0.2096 0.1608 0.119 0.0869 0.0931 0.0891 0.105
90 0.0036 0.0012 0.0040 0.0007 0.0001 0.0009 0.0060
91 0.0008 0 0 0 0 0 0
92 0.01172 0.0042 0.0045 0.0029 0.0016 0 0.0014
93 0.0448 0.0930 0.0513 0.0503 0.0066 0.0061 0.0063
94 0.0064 0.0114 0.0108 0.0073 0.0122 0.0269 0.0156
95 0.0241 0.0052 0.0136 0.0025 0.0038 0.0050 0.0093
96 0.0009 0.2443 0.0162 0.0010 0.0200 0.0231 0.0061
97 1.4381 0.4923 0.0609 0.7918 1.05 0.661 0.609

(Contd...)

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 Sadhna: Trade Potential and Prospects

Annexure 3: (Continued)
Australia
2008 2009 2010 2011 2012 2013 2014 2015
0 0 0 0.0136 0 0 0 0
0.0005 0 0.0004 0.0004 0 0.0127 0.0078 0.0109
0.0089 0.0130 0.0099 0.0115 0.009 0.0103 0.0212 0.0034
0.0055 0.004 0.0390 0.0286 0.0171 0.0087 0.0138 0.0095
0.0459 0.0255 0.0308 0.0280 0.0305 0.0216 0.0247 0.0161
4.31 9.88 8.28 5.46 7.53 4.49 5.7458 4.64
0.332 0.342 0.382 0.636 0.695 1.29 2.0715 2.14
0.121 0.0268 0.0369 0.0203 0.0219 0.0139 0.0133 0.0277
2.08 1.47 1.56 1.84 0.407 0.119 0.1634 0.143
9.96 21.3 43.5 8.61 17.3 39.6 7.7448 16.0
1.08 1.59 0.692 0.906 1.23 1.33 1.4069 2.08
104 55.8 69.6 78.0 183 16.7 386.4026 40.8
19.7 37.3 25.6 14.5 12.5 17.2 18.5947 18.9
1.20 0.674 0.0165 0.759 0.0113 0.0592 0 0
0.0447 0.130 0.213 0.212 0.0584 0.105 0.2141 0.281
0.0998 0.0347 0.0479 0.0340 0.0342 0.154 0.0318 0.0135
0.0599 0.0526 0.047 0.301 0.0202 0.0211 0.0295 0.0210
0.0755 0.0444 0.0472 0.478 0.0435 0.0382 0.0361 0.0488
0.0921 0.0448 0.0339 0.0353 0.0300 0.0267 0.0259 0.0262
0.0536 0.0052 0.0410 0.0531 0.0845 0.0228 0.0123 0.0335
0.0033 0.0037 0.0102 0.0046 0.0033 0.0015 0.0012 0.0017
0.0034 0.114 0.203 0.0458 0.0819 0.0248 0.0714 0.0072
0.0517 0.0488 0.0454 0.0014 0.0051 0.0233 0.0347 0.0507
0.128 0.102 0.0700 0.0737 0.0836 0.0983 0.1173 0.0866
0.0008 0.0002 0.0094 0.0084 0.0155 0.0005 0.0001 0.0001
0.0268 0.0020 0.0003 0 0.0018 0 0.0003 0
0.0011 0.0022 0.0101 0.0029 0.0015 0.0009 0.0053 0.0025
0.0150 0.0062 0.0178 0.0268 0.0099 0.0078 0.0039 0.0058
0.0275 0.0152 0.0129 0.0158 0.0156 0.0219 0.0080 0.0142
0.0031 0.0298 0.0364 0.0566 0.0082 0.0045 0.0043 0.0122
0.0028 0.0080 0 0.0166 0.0225 0.0376 0.0265 0.0048
0.101 0.0785 0.0233 0.0418 0.0927 0.0281 0.0443 0.0560
RCA: Revealed comparative advantage

Available at www.aujst.com 66
 Australian Journal of Science and Technology
ISSN Number (2208-6404)
Volume 1; Issue 2; December 2017

Original Article

Studies to enhance the shelf life of tomato using Aloe vera and
neem-based herbal coating
Alok Kumar Jaiswal, Simple Kumar, Tripti Bhatnagar

Codon Biotech Pvt.Ltd., Noida, Uttar Pradesh, India

ABSTRACT
The present study was conducted to evaluate the ability of Aloe gel (AG)-based herbal coatings to reduce the loss of post-harvest quality in tomato
(Solanum lycopersicum L.). Unripe green to reddish tomato fruits were coated with different formulations of AG, neem extract, salicylic acid,
and citric acid (CA). The coated and uncoated fruits were stored under different physiological conditions to slow down the ripening process.
Visual, firmness and sensory characteristics, and marketability were analyzed at regular intervals during the storage period. It was found that
the coatings controlled the physiological loss in weight, ripening process, and decay to a great extent, and thus resulted in extended shelf life
and better quality of tomatoes. The effectiveness of AG coating was found to improve on incorporation of CA and neem extract.
Keywords: Aloe vera, edible coating, neem extract, shelf life, tomato

Submitted: 12-11-2017  Accepted: 28-11-2017  Published: 29-12-2017

INTRODUCTION increasing the shelf life and decreasing post-harvest losses as

India incurs post-harvest losses of fruits and vegetable worth
Rs. 2 lakh crore per year, due to lack of proper storage and
processing facilities, according to a study in the Economic times
(2014). Tomato is a major vegetable crop that is used widely
throughout the different strata’s of the population over the
last century. Tomato is grown in an area of 8.65 lakh hectares
with an average production of 168.26 lakh tones in India.[1]
Tomatoes spend so much time on shelves and in refrigerators
that an estimated 20% are lost to spoilage. From the moment
produce is harvested the clock starts ticking and produce decay
begins. The main factors that affect shelf life of produce include
improper handling, inadequate humidity, temperature abuse,
and ethylene exposure.[2,3] Many tomatoes which are grown
for fresh consumption are picked when still firm and green,
stored at low temperature and exposed to exogenous ethylene
to induce color, and ripeness before reaching the supermarket
shelf. Although this process is effective in limiting postharvest
losses, these chemicals negatively affect tomato flavor, aroma,
and texture.[4] The common use of ethylene inhibitors affecting
ripening has similar negative impacts on flavor. Thus, in the
present study, in an attempt to prevent the use of chemicals for
well as flavor loss in tomato, Aloe vera herbal coatings have
been used in different combinations of temperature, pH, and
plant extracts.
A. vera is widely used as an antimicrobial agent. They
protect the quality losses during ambient storage.[5] The
quality is depended on the plant variety, stage of fruits, and
presents and past condition of the fruit.[6,7] A. vera is used in
medicinal and therapeutic properties because it is a tropical
and subtropical plant.[8] A. vera helps in protection from
microorganisms and is also a herbal remedy for regeneration
and rejuvenation of human skin.[9] A. vera gel (AG) is also
used in the food industry such as in drinks, beverages, and
ice creams.[10]
MATERIALS AND METHODS
AG Preparation
AG matrix was separated from the outer layer of leave, and
this colorless hydroparenchyma was ground in homogenizer
and the crude AG was prepared. This gel was diluted
with distill water and filtered to remove the fibers. The

Address for correspondence: Bhatnagar Tripti, Codon Biotech Pvt. Ltd., Uttar Pradesh, India. E-mail: tripti.codonbt@gmail.com

Available at www.aujst.com 67
 Kumar, et al.: Enhance shelf life of Tomato by Aloe Vera and Neem coating
liquid obtained constituted fresh AG. The gel matrix was
pasteurized at 70°C for 45 min. After pasteurized, the gel
was cooled down to ambient temperature. Salicylic acid
(2.5 g L-1) (SA), citric acid (4.5 g L-1) (CA), and neem
extract (10-20%) were added in 40% AG, and the pH was
maintained at 4. The coating efficiency was improved
using 0.1% commercial gelling agent for coating agent,
and the fruit and vegetable sample was coated with coating
agent.[11] After coating, the fruit was weighed and stored
under different condition.
Application of Herbal Coating
The fresh fruits were dipped in coating solution at room
temperature for 15 min. They were allowed to dry at room
temperature to allow a thin-film layer to be formed on the
fruits. Six tomatoes were used for each parameter testing.
Fruits were then weighed and stored at 25°C or 4°C. Tomatoes
without coating were stored under same conditions as those
for coated fruits.
Parameters Analyzed
Various parameters were analyzed at fixed intervals. The
parameters analyzed included physiological loss in fresh
weight (PLW),[12] change in peel color, and sensory analysis
of fruit quality. Visual analysis of the fruit was done for the
change in fruit weight and peel color rating.
Peel color rating is done on the basis of 6-point score scale as
given in Figure 1.
Sensory Analysis
Sensory analysis was carried out by six selected panelists.
The fruits were randomly selected from each batch was
evaluated visually in terms of peel color, texture, flavor, and
marketability. They rated each of the variant on the basis of
9-point Hedonic score scale.
Figure 1: 6-point score of peel color rating scale
Available at www.aujst.com
(1 = Dislike extremely, 2 = Dislike very much, 3 = Dislike
moderately, 4 = Dislike slightly, 5 = Neither like nor dislike,
6 = Like slightly, 7 = Like moderately, 8 = Like very much, 9
= Like extremely).
RESULT
The effect of different formulations of A. vera coating was
observed for as long as 36–40 days. PLW during storage was
found to be significantly different among the tomatoes treated
with the different coatings and control at the end of 20 days
storage.
Change in peel color rating is observed in tomatoes during
36–40 days storage. It was observed that when pure AG was
coated on the tomatoes, the result was astonishing. Since the
control tomatoes showed ripening on the 6th day and were red
and showed 6 rating of peel color. They also became soft and
unmarketable. In comparison, the AG coated tomatoes showed
ripening at 18 days when kept at 25°C and ripening at 30 days
when stored at 4°C. Thus, it is observed that the AG coating
not only prevents fungal growth on the tomatoes, it prevents
ripening, thus increasing the shelf life and marketability of the
tomatoes by 20–24 days. The PLW was also less in pure AG
coated as compared to the control tomatoes [Table 1].
The coating of AG + SA formulations [Table 2] at different
concentrations did not give good results as compared to only
pure AG coating. Formulations having different concentrations
of AG, CA, SA, and neem extract were tried for the study.
Neem extract when used at 20% along with AG and CA gave
enhanced results [Table 4]. An increase in shelf life and peel
color rating was seen from 18  days in 4°C of the control
tomatoes to 36 days for the tomatoes coated with neem extract
+ CA + AG.
Color, firmness, taste, and marketability the major sensory
attributes were scored by selected panel members. On the
30th day, overall score of 8.7 and 8.0 was obtained for pure AG
and AG + CA + neem, respectively and control was already
diseased and not eatable on 18 days. AG + CA + neem gave an
overall score of 8.7 even on the 36th day after treatment [Table 5].
Statistical Analysis
Mean PLW, peel color, and sensory and visual analysis of all
samples were calculated after calculation of standard deviation.
Using one-way ANOVA, P values of PLW (0.025 < 0.05) and
peel color change (0.001 < 0.05) indicated that there was a
significant difference between the shelf life of tomatoes when
AG was used as an edible coating at 4°C. Standard deviation
in above parameters is shown in tables for PLW. The peel color
and sensory and visual analysis are the mean of replicates for
every test.
68
 Kumar, et al.: Enhance shelf life of Tomato by Aloe Vera and Neem coating

Table 1: PLW (g) and peel color rating with coating of AG

Days after Pure AG coated tomato Control tomato kept Pure AG coated tomato kept at 25°C Control tomato kept
treatment kept at 4°C at 4° at 25°C
PLW (g) Peel color PLW Peel color PLW Peel color PLW Peel color
0 88.38±3.3 1 84.34±2.3 1 83.12±3.2 1 81.65±2.4 1

6 85.94±2.4 2 72.56±3.3 3 80.75±3.8 3 72.38±2.7 6

12 83.51±2.1 3 65.31±2.9 6 78.38±2.6 5

18 82.29±1.6 4 73.65±2.1 6
24 81.08±1.5 5
30 80.65±2.5 6
SA: Salicylic acid, CA: Citric acid, AG: Aloe vera gel, PLW: Physiological loss in weight

Table 2: PLW (g) and peel color rating with coating of SA + 40% A. vera (4°C) and (25°C)
Days after treatment AG+SA (4°C) (G+PLW Peel color AG+SA (25°C) PLW Peel color Control PLW Peel color
SA (open) G+SA (open)
0 70.16±1.1 1 67.95±1.5 1 63.94±2.6 1
2 69.05±1.6 1 66.85±2.6 2 62.85±2.8 2
4 67.95±2.3 2 64.30±2.4 3 61.30±2.1 3
6 66.85±3.6 3 62.75±2.8 3 60.25±2 3
8 66.30±3.2 3 60.65±2.1 4 58.85±3.2 4
10 65.75±1.5 3 57.87±2.3 4 57.25±3.3 4
12 64.65±2.8 4 55.45±3.4 4 55.15±1.2 4
14 63.55±2.2 4 53.95±1.5 4
SA: Salicylic acid, CA: Citric acid, AG: Aloe vera gel, PLW: Physiological loss in weight, A. vera: Aloe vera

Table 3: PLW (g) and Peel color rating with coating of neem extract + 40% A. vera (4°C)
Days after treatment AG + 10% neem Peel color AG + 20% neem Peel color Control PLW Peel color
extract PWL extract PLW
0 65.21±1.5 1 66.24±2.3 1 63.94±2.1 1
6 60.18±1.2 2 61.12±3.2 2 55.25±2.5 3
12 57.21±2.2 3 56.22±1.5 3 49.15±2.7 5
18 52.12±1.8 4 51.14±2.4 4
24 45.36±1.6 5 46.52±2.4 5 63.94 1
SA: Salicylic acid, CA: Citric acid, AG: Aloe vera gel, PLW: Physiological loss in weight, A. vera: Aloe vera

DISCUSSION
There is a high production of tomato fruits during the harvest
time, but post-harvest processing and preservation techniques
are inefficient. Therefore, fruits spoil very early due to lack of
appropriate systems of preservation and processing.[13] Edible
coatings can provide an additional protective coating for
fresh products and can also give the same effect as modified
atmosphere storage.[14,15] A. vera is a tropical or subtropical plant
containing two major liquid sources, yellow latex (exudates)
and clear gel (mucilage). Yellow latex is mainly composed of
aloin, aloe-emodin, and phenols. The mucilaginous jelly from
the parenchymal cells of the plant is the AG.
In the present work, AG with CA and neem extract was used
to study their effect on increasing the shelf life by spraying
the above mixture on the tomatoes [Table 3]. Control showed
complete ripening red in color, soft, and marketable at 12–
18 days at different temperatures, AG + SA coated showed
similar to control. AG + CA + neem showed ripening and
firmness and good taste on the 36th day also. Pure AG coated
tomatoes were intermediate between the control and neem
and CA coated. They gave a marketability range of 24 days.
Pure AG and AG with CA coated tomatoes when maintained at
pH 4, at 25°C showed delayed ripening and extended the shelf life
up to 16–18 days, whereas control got deteriorated within 5 days.

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 Kumar, et al.: Enhance shelf life of Tomato by Aloe Vera and Neem coating

Table 4: PLW (g) and peel color rating with coating of neem extract + 40% A. vera+CA (4°C)
Days after AG + CA + 10% neem Peel color AG + CA + 20% neem Peel color Control PLW (g) Peel color
treatment extract PWL (g) (Open) extract PLW (g)
0 63.65±4.1 1 64.48±2.4 1 63.94±2.5 1
6 61.17±1.5 2 62.82±1.6 2 60.25±2.4 3
12 56.58±1.6 3 60.04±1.3 3 55.15±1.8 5
18 51.45±2.8 4 58.12±2.5 3 51.23±2.1 6
24 50.32±3.5 5 56.33±3.2 4 63.94 1
30 48.65±3.2 5 54.24±3.4 5
36 46.25±1.4 6 52.15±2.8 6
SA: Salicylic acid, CA: Citric acid, AG: Aloe vera gel, PLW: Physiological loss in weight, A. vera: Aloe vera

Table 5: Sensory + visual analysis of tomatoes on the basis of 1‑9 scale

Days after Pure AG coated tomato kept at AG+SA (4°C) AG+20% Neem AG + CA + 20% neem Control
treatment 4°C open) extract
0 3 3 3 3 3
6 3.6 3.4 3.2 2 4.8
12 4 3 4 3 6
18 4.8 8 6 3 7
24 6 8.3 7.5 63.94
30 8.7 8
36 8.7
SA: Salicylic acid, CA: Citric acid, AG: Aloe vera gel, PLW: Physiological loss in weight, A. vera: Aloe vera

The results have proved the ability of different formulations
of A. vera in extending the shelf life of tomatoes. Tomatoes
stored with A. vera formulation having both neem extract and
CA showed the maximum control on ripening in tomatoes.
Pure AG has extended the shelf life up to 30 days. Different
concentrations of pure A. vera have shown appreciating results.
40% AG with CA gave the best results in comparison to 20%,
40%, 60%, and 80% AG coated tomatoes.
Composed of polysaccharides, the AG appears to act as a
natural barrier to moisture and oxygen which can speed up
food deterioration. It can also enhance food safety. AG appears
to contain various antibiotic and antifungal compounds that
can potentially delay or inhibit microorganisms that are
responsible for foodborne illness in humans as well as food
spoilage.[16]
In a similar study by Chrysargyris et al.,[17] tomato fruit
was coated with 0%, 5%, 10%, 15%, and 20% AG and fruit
quality maintenance was examined up to 14 days at 11°C and
90% relative humidity. Results showed that 10% and 15%
A. vera coating reduced fruit ethylene production. Chauhan
et al., 2015[18] gave experimental results showing tomato
fruits showed a shelf life of 9 and 12 days, respectively, for
shellac alone and shellac with AG coated fruits against the
shelf life of 6 days for uncoated fruits at ambient temperature
(26-32°C). The coating made up of shellac alone gave lesser
shelf life due to excessive ethanol formation caused by
anaerobiosis.
AG-based edible coatings have been shown to prevent
loss of moisture and firmness, control respiratory rate and
maturation development, delay oxidative browning, and reduce
microorganism proliferation in fruits such as sweet cherry, table
grapes, and nectarines.[19]
Mean fresh weight, firmness, and PG activity of all three
samples are 26.43  g, 3.78  kg/cm2, and 67.69 mg glucose
equivalent/g fresh weight/hr, respectively. Using one-way
ANOVA, P values of fresh weight remains (0.029 < 0.05),
firmness (0.001 < 0.05), and PG activity (0.13 < 0.05) indicated
that there was a significant difference between PG activity of
all treatments applied to tomato fruits.[20]
A. vera with CA and neem extract can thus play a significant
role in extension of shelf life of tomatoes as less microbial
infection is observed comparative to other formulation of
A. vera. A. vera with CA and neem extract improved the quality,
firmness, color, marketability, and sensory characteristics of
tomato. Application of an edible coating can thus become
a technique that can be used to increase vegetable and fruit
storability/shelf life.

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 Kumar, et al.: Enhance shelf life of Tomato by Aloe Vera and Neem coating
ACKNOWLEDGMENT
All the present research work has been done in the laboratories
of Codon Biotech Pvt. Ltd., Noida.
REFERENCES
1. NHB. Horticultural Information Service. New Delhi: National
Horticultural Board, Ministry of Agriculture; 2012.
2. Dang KT, Singh Z, Swinny EE. Edible coatings influence fruit
ripening, quality and aroma biosynthesis in mango fruit. J Agri
Food Chem 2008;56:1361-70.
3. Workneh TS, Osthoff G, Steyn MS, Engelbrecht GM,
Pretorius JC. The effect of pre-harvest treatment, disinfection
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4. Baldwin E, Plotto A, Narciso J, Bai J. Effect of
1-methylcyclopropene on tomato flavour components, shelf
life and decay as influenced by harvest maturity and storage
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5. Ergun M, Satici F. Use of Aloe vera gel as biopreservative for
‘granny smith’ and ‘red chief’ apples. The J Anim Plant Sci
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6. Lin D, Zhao Y. Innovations in the development and application
of edible coating for fresh and minimally processed fruits and
vegetables comprehensive. Rev Food Sci Food Saf 2007;6:60-70.
7. Saks Y. Barkai-Golan R. Aloe vera gel activity against plant
pathogenic fungi. Postharvest Biol Technol 1995;6:159-65.
8. Eshun K. He Q. Aloe vera: A valuable ingredient for the food,
pharmaceutical and cosmetic industries a review. Crit Rev Food
Sci Nutr 2004;44:91-6.
9. Booudreau MD, Belanad FA. An evaluation of the biological and
toxicological properties of Aleo vera barbadensis (miller) Aleo
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vera. J Environ Scl Health 2006;24:103-54.
10. Moore ED, MacAnalley BH. A drink containing mucilaginous
polysaccharides and its preparation. US Patent 1995;5:443-830.
11. Adetunji CO, Fawole OB, Afolayan SS, Olaleye OO,
Adetunji JB. Effects of Aloe vera Gel Coatings on Shelf Life of
Citrus Sinensis Fruits Stored at Ambient Temperature. In: An
Oral Presentation during. 3rd NISFT Western Chapter Half Year
Conference/General Meeting, May 14-16th. Ilorin; 2012.
12. Morpudi LS, Abirami PR, Srividya N. Enhancement of storage
life and quality maintenance of papaya fruits using Aleo vera
based antimicrobial coating. Ind J Biotech 2011;10:83-9.
13. A me ya poh Y, C omla n de S, Tra ore A S . Hygi eni c
quality of traditional processing and stability of tomato
(Lycopersicon esculentum) puree in Togo. Bioresour Technol
2008;99:5798-803.
14. Park HJ, Chinnan MS, Shewfelt RL. Edible cornzein film
coatings to extend storage life of tomatoes. J Food Proc Preserv
1994;18:317-31.
15. Tharanathan RN. Biodegradable films and composite coatings:
Past, present and future. Trends Food Sci Technol 2003;14:71-8.
16. Athmaselvi KA, Sumitha P, Revathy B. Development of Aloe vera
based edible coating for tomato. Int Agrophys 2013;27:369-75.
17. Chrysargyris A, Nikou A, Tzortzakis N. Effectiveness of Aloe
vera gel coating for maintaining tomato fruit quality. New
Zealand J Crop Hortic Sci 2016;44:203-17.
18. Chauhan OP, Nanjappa C, Ashok N, Ravi N, Roopa N, Raju PS.
Shellac and Aloe vera gel based surface coating for shelf life
extension of tomatoes. J Food Sci Technol 2015;52:1200-5.
19. Simple K, Tripti B. Studies to enhance the shelf life of fruits using
Aloe vera based herbal coatings: A review. Int J Agric Food Sci
Technol 2014;5:211-8.
20. Ankita B, Mathur K, Srivastava GC, Agrawal M. Effect of Aloe
vera gel coating and bagging of fruits in enhancing the shelf life
of tomato. Int J Innov Res Sci Eng 2016;2:1-5.
71
 Australian Journal of Science and Technology
Volume 1; Issue 2; December 2017
ISSN Number (2208-6404)

Original Article

Examining factors affecting the quality of work life of

lecturers: Case study from University of Somalia in
Mogadishu, Somalia
Abdulkadir Mohamud Dahie1, Ali Abdi Mohamed (Aligees)2, Hassan Bedel Khalif3
1
Department of Humanities, Master of Developmental Study, Kampala University, Uganda, 2Department of Humanities,
Master of Education in Educational Management, Kenyatta University, Uganda, 3Department of Humanities, Master of Arts in
Peace and Conflict Studies, Kenyatta University, Uganda

ABSTRACT
During the past few years, quality of work life (QWL) has received significant attention among both academic and business environment
due to its key role on the success of organizations. A rise in the QWL would help employees’ well-being, thereby the well-being of the whole
organization. This is an attempt to capitalize the human assets of the organization. These days, for an organization to be successful and achieve
its organizational objectives, it is imperative that its employees are satisfied with their work, since work occupies an important place in many
people’s lives, such conditions are likely to affect not only their physical but also a high level of social, psychological, and spiritual well-being.
The aim of this paper is to examine factors affecting QWL of the lecturers at the University of Somalia in Mogadishu-Somalia. The paper has
three main objectives which are as follows: To determine the role of general well-being of the lecturers at the University of Somalia, to investigate
the impact of career and job satisfaction of the lecturers at the University of Somalia, and to examine the effect of working condition of the
lecturers at the University of Somali. The researchers utilized convenient sampling to collect 95 questionnaires from University of Somalia
in Mogadishu, Somalia. These respondents were provided a questionnaire with three main constructs which measuring general well-being,
career and job satisfaction, and working condition. However, the study found that general well-being, career and job satisfaction, as well as
good working condition workplace have a significant impact on QWL.
Keywords: Career and job satisfaction, general well-being, quality of work life, working condition
Submitted: 22-11-2017 Accepted: 09-12-2017 Published: 29-12-2017

because the infrastructure and technology are lesser required

INTRODUCTION
Education is the backbone of any country and educational
industry works as a supplier for other industries. In
comparison to primary and secondary education, higher
education plays a major role in the growth of a nation’s
economy. This has a direct and a deep relation to the industry.
Higher education is working as an interface between students
and industries. Here, students are trained for the specific
subjects, technologies, sectors, and domains as per the current
industry requirements. Higher education is the first and
foremost which faces the requirement and challenges of the
industry and society.[1-3] The effectiveness and efficiency of
education industry are directly dependent on employees only
in comparison to other industries.
Globally, quality of work life (QWL) has been a cause for
concern in recent years. This has captured the attention
of employees and employers, more so due to workplaces
competing for suitably qualified and competent employees.
Employers have utilized QWL factors as a tool for attracting
and retaining talented employees. Higher education institutions
have not been an exception to this growing phenomenon.
Organizations need to seek ways of improving their employees’
QWL through healthy and safe working conditions, better
conditions of service, and adequate and fair compensation
among other factors. Institutions of higher education in the
public sector in South Africa, which is the focal point of

Address for correspondence: Abdulkadir Mohamud Dahie, Master of Developmental Study, Kampala University, Kampala,
Uganda. E-mail: Dahie@uniso.edu.so

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 Dahie, et al.: Quality of work life of lecturers in Somalia
this study, have to adopt these to survive in this competitive
environment.[4-8] Universities need to utilize their autonomy to
develop and maintain QWL by offering a wide range of support
systems to address issues such as absenteeism, sick leave, and
turnover to improve performance.
Pandey and Jha (2014) [9] investigated the employee’s
perception of their work-life quality in the Razak University,
Malaysia. The prime objectives of this study were to see
whether the university environment influences employees’
perception of job satisfaction, second, to find the different
sources which arise stress among university employees,
and finally, to calculate employees level of satisfaction with
regard to various job-related aspects. In this study, 10 QWL
variables (work-family interference, quality of relationship,
meaningfulness, pessimism about organizational change, self-
competence, impact, self-determination, access to resources,
time control, and support) were used to test the relationships
of QWL with job satisfaction. The study is based on the 251
questionnaires which were based on a 5-point Likert scale
ranging from 1 to 5. To check the validity of relationship,
correlation test and multiple linear regressions were used.
The multiple linear regressions indicated that only QWL
variables (meaningfulness, pessimism about organizational
change, and self-determination) were significantly related to
job satisfaction. This study indicated that the QWL variables
only are insufficient to measure employees’ job satisfaction.
Pani (2015)[10] inspected the perception of college teacher
toward QWL. This aim of the study was to analyze the QWL
under various dimensions. Data were collected from 12 colleges
located in Tiruchirappalli city, and 239 respondents’ data were
selected of 1279 college teachers. The researcher created a
standard questionnaire of 116 questions which was based on
16 different dimensions. Questioner consists of questions on
socioeconomic characteristics, various dimensions of QWL,
and QWL in a teaching environment. The collected data were
analyzed using SPSS and various statistical tests were applied
based on hypotheses, and the matching variables descriptive
cum diagnostic research design method was used to understand
the characteristics of a particular individual or a group and the
association between the variables. This study revealed that
overall 59.0% of the respondents have high levels of QWL
and 41.0% have low levels of QWL.
Phan and Vo (2016)[11] examined the QWL of university
employees and the relationship between QWL and job
satisfaction. The researcher was very careful in data collection.
She considered literate and experienced persons who
understand the significance of questioner and fill up the data
correctly. She designed the questioner in Bengali, a regional
language of employee for better understanding and thought
flow. The results indicated that the employees are not happy
with the degree of autonomy, personal growth, and superior
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support. The employees were not satisfied with their job and
unhappy with QWL of the university.
Punia and Kamboj (2013)[12] did a research on faculty of
higher education institutions in CAPIZ state province of
the Philippines. Data are gathered through a descriptive
survey, informal interviews, and documentary analysis. The
significance of differences and relationships between QWL
and productivity was tested by t-test, ANOVA, and Pearson
tests. He took age, gender, year of experience, and income
as parameters for the analysis. This study revealed that the
degree of QWL was very good and level of productivity was
“satisfactory in these institutions. He analyzed and found that
there is a positive relation between QWL and satisfaction
and QWL and productivity. This study recommended that the
more Faculty Development Program should be run on these
institutions for research and community service.
In Kenya, Africa, a study was conducted to establish working
environment factors that affect QWL among petrol station
attendants in Kitale town. The objective of the study was to
identify working environment aspects that affect QWL among
petrol station attendants. This study was an exploratory survey,
carried out in 17 petrol stations that are located in Kitale Town,
Kenya. The target population comprised 17 station managers
and 170 attendants, of which a sample of 102 respondents was
selected: 17 petrol station managers using non-probabilistic
purposeful sampling and 85 attendants using simple random
sampling. The study used a questionnaire as an instrument
for data collection. Data collected were both quantitative and
qualitative, and analysis was basic descriptive in nature.[13]
The study revealed that poor safety and health, work pressure
or stress, and provision of inadequate working tools are
environmental aspects that bring about the poor quality of
working life experiences at petrol stations. In conclusion, the
findings were examined, and then, the implications discussed.
General recommendations were made for the improvement of
QWL among petrol station attendants.
Singh and Singh (2015)[14] have traced the origin of the
term “QWL” as first being introduced in 1972, during an
international labor relations conference in Rome, though it had
been in existence since 1960s. QWL received more attention
after United Auto Workers and General Motors Company in
the United States of America (USA) initiated a QWL program
for work reforms to make work pleasant. Robbins (1989)
defined QWL as a process by which an organization responds
to employee needs by developing mechanisms to allow them
to share fully in making the decisions that design their lives
at work. The author adds that QWL is specifically related to
the level of happiness a person derives for his career. QWL
has been well recognized as a multidimensional construct and
it may not be universal or eternal. Each person has different
73
 Dahie, et al.: Quality of work life of lecturers in Somalia
needs when it comes to their careers; the quality level of their
work life is determined by whether those needs are being met.
While some people might be content with a simple minimum
wage job as long as it helps pay the bills, others would find
such a job to be too tedious or involve too much physical labor
and would find such a position to be highly unsatisfactory.
As the work culture changes drastically in the recent years, the
traditional concept of work to fulfill humans’ basic needs is
also facing out. Basic needs have continued to diversify and
change according to the evolution of the work system and
standards of living of a workforce. Seelan and Ismael (2008)
note that, from the mid-1990s to date, employees are faced
with challenges of downsizing and corporate restructuring. As
a result, QWL is reemerging where employees are seeking out
more meaning in their work. Besides, with rising educational
levels and occupational aspirations in today’s slow economic
growth and reduced opportunities for advancement, naturally,
there are rising concerns for QWL.
Theoretically, this study will use the famous theory of
organizational theory. Organizational theory is one of the
theories to help our understanding of the work life of teachers.
An understanding of organizational and systems theory is, thus,
important, if we are to have a clear picture of the interplay of
factors (both external and internal) that impinge on the QWL
in schools. Katz and Kahn (1966) and Hoy and Miskel (1996)
provided an open systems scheme for studying organizations.
They espouse that organizational behavior is the result of the
dynamic interplay of bureaucratic expectations, individual
needs informal norms, and external influences. All these factors
have a significant impact on the quality of working lives of
members in an organization. Many supportive studies have
examined the QWL of teachers within the framework of the
organization as open systems (de Villiers, 2009, Tarter and
Hoy, 2004). Other researchers have underscored the reciprocal
influences between the school and the external environment in
creating and maintaining healthy schools and positive teachers’
working lives (DiPaola and Tschannen-Moran, 2005).
Specific Objective of the Study
The specific objectives of this sdtuy are as follows:
1. To determine the role of general well-being of lecturers
in higher education at the University of Somalia in
Mogadishu, Somalia.
2. To investigate the impact of job and career satisfaction of
lecturers on higher education at the University of Somalia
in Mogadishu, Somalia.
3. To examine the effect of working condition of lecturers
on higher education at the University of Somalia in
Mogadishu-Somalia.
General Well-being
According to the World Health Organization (2002. p. 2), health
can be defined as “a complete state of physical, mental, and
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social well-being and not just the absence of disease.” Well-
being as part of QWL refers to the physical and psychological
factors of an individual in any working environment. To Meyer
and Botha (2000), wellness refers to a state of being that must
be reached for well-being to be experienced, and this can
be realized by through appropriate policies and legislation
as they will be discussed in the next chapters. In a study
by Botha and Brand (2009. p. 1) that assessed the wellness
behaviour and health risk levels of managers in two South
African universities, the findings indicated that physical fitness,
nutrition, medical self-care, and wellness behavior levels were
identified as weak among managers for which urgent control
measures were required.
While most empirical studies on the relationship between QWL
and employee well-being have been conducted in developed
countries, there is little research carried out in developing
countries (Rathi, 2010. p. 59). Employee well-being will
be discussed under the following dimensions: Physical and
physiological; emotional; intellectual and mental; social;
ethical; spiritual; and well-being.
Career and Job Satisfaction
Job satisfaction can be described as the satisfaction that
employees receive from the internal and external factors of
their career including pecuniary and non-pecuniary needs
such as fair remuneration, training, development opportunities,
management style, and organizational culture (Chitakornkijsil,
2009. p. 215). It is the feelings and attitudes of how people
perceive their work psychologically and it is a known fact
that job satisfaction results in qualitative and quantitative
improvement in performance.
When people are satisfied with the job that they are performing,
they tend to be motivated and are more interested in the
job, which in turn gives them the psychological satisfaction
(Ganguly, 2010. p. 210). Even the satisfaction of academic
employees is an important factor that must be assessed, quality
higher education globally depends on the steady and supportive
academic work environment and academic staff performance
(Winter et al., 2000. p. 281).
Employees may believe that their job is satisfying, interesting,
motivating, and stimulating, if there are cognitive aspects
that represent their beliefs about the job or job circumstances.
By actively attending work regularly, working hard to stay
motivated and planning to remain in the organization for a
long period are an indication of job satisfaction. Rethinam and
Ismail (2008. p. 63) argue that job satisfaction of individuals
is different in importance and meaning, according to the
work circumstances. Competencies can be developed by the
nature of the job that one performs and if that job provides
stimuli for skills development, motivation, knowledge, and
opportunities for career or organizational development.
Learning opportunities and skills development have been
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 Dahie, et al.: Quality of work life of lecturers in Somalia
proven to have a positive effect on job and career satisfaction
and less job stress which results in better QWL (Rethinam and
Ismail, 2008. p. 64). In-service training workshops as well as
“personal development plans” at University “A” may assist
employees to acquire new skills that will advance their career.
Furthermore, this could possibly enhance University “A” staff
with opportunities for career growth and advancement, job
enrichment as well as personal development.
Working Condition
Paoli and Merlie (2000. p. 10) confirm that, in general, worker
perception of health and safety has increased in the past 10
in the 15 member states of the European Union countries.
However, there is a deterioration of working conditions such
as intensification of work, high prevalence of repetitive work,
high paced work, work speed determined by others, and
continued exposure to chemical and physical hazards which
have a detrimental effect on employees. Moreover, fatigue
and musculoskeletal disorder that are caused by intensification
of work are on the increase. Incidents that occur in higher
education libraries can be attributed to the inherent nature
of the operations, there are a lot of tasks that require manual
handling, and library staff should take adequate preventative
measures (Maclean, 2011. p. 219). A safety culture must be
promoted through proactive approaches by management
such as provision of information, training, and conducting
inspections.
A study by Fetcher and Bryden (2007. p. 1158–1159) on
safety issues in a university campus in Central Ontario Canada
showed that most university staff reported that lighting,
signage, and the availability of emergency phones were
inadequate safety features on campus. The results indicated
that safety was compromised on campuses and a majority of
female staff felt that they were more victimized than others.
Malone et al. (1997. p.  25-30) have identified the physical
aspects of work-related noise, unfavorable thermal conditions,
and lighting in the workplace as occupational stressors.
The USA government demonstrated its seriousness in the
enforcement of health and safety laws by increasing their
budget for such purposes by 14 million dollars (Neuman,
2010). Perceived health risks that are associated with the use
of computers does not deter library based Nigerian university
staff from using information system due to their benefits
compared to the manual system (Uwaifo, 2008. p. 68). Even
though a wide range of health hazards were identified in the
libraries, the level of availability of ergonomic programs to
control them was low.
Another study revealed that the majority of employees spend
more than 95% of their time indoors and the indoor air quality
adversely affects their health comfort and QWL (Steenkamp,
2002. p. 80). Employees feel a sense of achievement and
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change when their workplace hazards are corrected and this
leads to a feeling of satisfaction. Poor working conditions
such as high noise levels, badly designed workstations, and
long working hours can have a negative impact on employees
at work and at home.
LITERATURE REVIEW
Rossmiller (1992) did a study of secondary teachers and
principals. He focused on great workplace and found that
there is a positive influence between QWL and teacher’s
participation, professional collaboration and interaction, use
of skill and knowledge, and teaching environment.
Dex and Scheibl (1999) depicted, in their research, that the
availability of QWLBPs reduces employee absenteeism
and enhances organizational productivity. This study was
undertaken to find the impact of QWLBPs on academic
performance and to identify most critical factors related to work
life to maintain a balance between work and family.
Kumar and Shanubhogue (1996) studied and compared
the existing and expected QWL in universities and found
an extensive gap between employees. They defined the
QWL programs “an approach helps in improving the life of
employees and improves the overall universities performance.”
Ramezani (2004) studied the relationship between principals’
quality of life and their performance in high schools of the
city of Hamedan in Iran and concluded that, if the quality of
working life increases, performance will improve.
Buffardi et al. (2004) conducted a survey on the task force in
George Mason University’s employees to correctly measure
the QWL. Using Eisenberger’s construct of perceived
organizational support, survey was conducted to know
which key factor influences employee commitment to the
organization, job satisfaction, and general QWL. According
to this survey, researcher said that employees are looking for
various factors which come under the QWL constructs these
are as follows: Salary, healthcare benefits, retirement benefits,
job security, workspace, special recognition for achievements,
availability of on-campus child care, adequate input in the
decision process, and fair and equitable performance appraisal
equitable distribution of resources.
Shahrashob (2006) did his thesis on the “relationship between
QWL and organizational commitment among high school
teachers in Gonbadkavus city in Iran.” The findings indicated
that there was a positive relationship between individual’s
QWL and organizational commitment.
Hong et al. (2010) explained that respondents only had moderate
work life quality. There were also moderate relationships
75
 Dahie, et al.: Quality of work life of lecturers in Somalia
between work life quality and work commitment, stress, and
satisfaction, but there were no differences in the QWL based
on demographic variables. On studying the work commitment
based on gender, the researcher found the difference in the
level of commitment. Research also revealed that there were
also no differences in work stress and satisfaction based on the
same demographic variables. Similarly, the findings suggested
that work commitment, work stress, and satisfaction were not
significantly correlated. Improvement in QWL of the teachers
will ensure that students gain benefits from teaching.
Balasundaram and Nimalathasan (2010) identified four factors
of QWL practices. These four practices such as job benefits
for family, physically safe, payment for work, and creativity
of outside. Policy implications may be useful for overall
improvement of QWL of academic professions. The research
suggests universities should provide job security, conducive
working environment, research facilities, and overall career
advancement opportunities for their academic professionals.
The study suggests universities should offer minimum
reasonable salaries and benefits to their academic professionals.
Gangly and Mukherjee (2010) the researcher aimed at the study
of nature of the perceived QWL of the university employees,
the nature of their job satisfaction, and the nature of association
between QWL and job satisfaction. The results indicate that
the selected group of university employees perceived different
aspects of their QWL as either uncongenial, namely, autonomy,
top management support, and worker’s control mainly or they
have had a certain amount of dilemma to comment on a few
other aspects such as personal growth opportunities and work
complexity mainly bearing the potential involving a slight
trend of negative opinion.
Mirkamalia and Thani (2011) a study with the sample unit
professor reveals no significant difference between the levels
of QWL. Of the eight factors of QWL, a noticeable difference
can be seen only between social integration and cohesiveness.
Kumar and Deo (2011) did a study to measure the effect of
stress on QWL of college teachers. They took 100 college
teachers of universities of Bihar and Jharkhand and studied
their different perception of QWL. Findings exposed that junior
teachers had more stress than senior teachers. As well as female
teachers were feeling more stress in their job in comparison
to male teachers.
Shahbaji et al. (2011) identified the relationship between
the QWL and performance of Esfahan University and
Esfahan medical University employees. According to this
study, performance was directly related to adequate and
fair compensation, safe and healthy work environment,
development of human capacities, growth and security, social
integration and work environment, constitutionalism (rule of
Available at www.aujst.com
law), work-life space, and social relevance of work life. Of
these constructs, developments of human capacities, social
integration, constitutionalism, and work and life space were
more effectively related to performance. They concluded that
the level of QWL was different from university to university.
QWL incorporates a hierarchy of perspectives that not only
include work-based factors such as job satisfaction, satisfaction
with pay, and relationship with work colleagues but also
factors that broadly reflects life situation and general feelings
of well-being.
QWL is a comprehensive concept that includes an individual’s
job related well-being as well as the extent to which work
experiences are rewarding, fulfilling, and devoid of stress and
other negative personal consequences (Reddy and Mohan,
2010).
QWL refers to the level of satisfaction, motivation, involvement,
and commitment and individuals experience with respect to
their lives at work (Srivastava and Kanpur, 2014).
Johnsrud (2006) studied on quality of faculty work life: The
University of Hawaii to describe the changes in QWL from
1998 to now. The objective of the study was to find the current
level of satisfaction. Variables were used relations with the
department chair, campus service, community service, faculty
relation, salary, and demographic factor. The result showed that
salary was the main variable for satisfaction from the year 1998
to 2006. Faculty relations and community services are the most
positive elements in faculty work life and other finding was
campuses’ faculty which is generally more satisfied than others.
QWL is often considered in two directions, one is of removal
of negative aspects of work and working conditions, and other
is the modification of work and working conditions to enhance
the capability of employees and to promote behavior which is
important for individual and society (Islam, 2012).
Watson (1975) identifies eight dimensions that make up
QWL framework as adequate and fair compensation, safe
and healthy working conditions, immediate opportunities
to use to develop human capacities, future opportunities for
continued growth and security, social integration in the work
organization, constitutionalism and rights for privacy in the
work organization, work and the total life space refer to the
balanced role of work, and social relevance of work.[15]
METHODOLOGY
This study was conducted through case study method to
examine QWL of lecturers at the University of Somalia in
Mogadishu-Somalia. The study utilized descriptive analyse
to answer the research objectives.
76
 Dahie, et al.: Quality of work life of lecturers in Somalia

The researchers utilized convenient sampling to collect 95 DATA ANALYSIS AND DISCUSSION
lecturers from the University of Somalia in Mogadishu-
Somalia. These respondents were provided a questionnaire Demographic Profile
with three main constructs which measuring general well- According to the gender respondents, 90.5% were male
being, career and job satisfaction as well as working condition. while 9.5% was female. 20.0% of the respondent’s age was
The researchers’ utilized Cronbach’s alpha to investigate the between 18 and 25 years old, 57.9% was between 26 and
internal consistency of the questionnaires collected from the 35 years, 11.6% was between 36 and 45 years, while 10.5%
respondents. All variables of the study gained high inside were above 46 years. In terms of the marital status of the
reliability as shown in Table 1, and this allows as to make respondents, 66.3% were married while 33.7% were single.
further analysis and discussion. In terms of educational background, 47.4% of the respondents
were bachelor degree, and 52.6% were master degree level
Table 1: Reliability test (Tables 2-5).
Variables Items Cronbach’s alpha
General well‑being 6 0.741 CONCLUSION AND
Career and job satisfaction 8 0.725 RECOMMENDATION
Working condition 5 0.791
This research study is tried to examine the factors that have
Table 2: Demographic of the respondents an impact on QWL of lecturers at the University of Somalia
in Mogadishu-Somalia. There are three factors which we
Variables Frequency (%)
examined in this study are as follows: Employee general well-
Gender
being, career and job satisfaction as well as working condition.
Male 86 (95.0) The outcome of the research indicates that these three factors
Female 9 (5.0) have a significant influence on QWL.[16]
Total 95 (100.0)
Age (years) From the finding, it can be recommended that QWL is such a
critical concept that might be disturbed due to dissatisfaction
18–25 19 (20.0)
of mindset. However, the University of Somalia can focus on
26–35 55 (57.9) their lecturers’ welfare by providing them a better and attractive
36–45 11 (11.6) well-being, career and job satisfaction, and working condition.
46 and above 10 (10.5)
Total 95 (100.0) The University of Somalia should create a career growth
Marital status
opportunity within their environment that may lead to a better
performance and therefore a better competence. Moreover,
Single 32 (33.7)
participation management will increase the enthusiasm of
Married 63 (66.3) lecturers as they will have an opportunity to participate with
Total 95 (100.0) their ideas.
Education background of the respondents
Bachelor degree 45 (47.4) There is need to improve the working environment at the
stations by ensuring that employees work under safe and
Master degree 50 (52.6)
healthy conditions. This can be achieved by developing highly
Total 95 (100.0) professionalized occupational safety and health policies that

Table 3: Descriptive analyze of general well‑being

Components Respondents Mean±SD Variance
I feel well at the present moment 95 3.84±1.151 1.326
Recently, I have been feeling unhappy and depressed 95 2.38±1.290 1.663
I am satisfied with my life 95 3.65±1.270 1.612
In most ways, my life is closer to ideal 95 2.79±1.148 1.317
In general, things work out well for me 95 3.27±1.189 1.414
Recently, I have been feeling reasonably happy all things considered 95 3.85±1.391 1.935
SD: Standard deviation

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 Dahie, et al.: Quality of work life of lecturers in Somalia

Table 4: Descriptive analyze of general career and job satisfaction

Components Respondents Mean±SD Variance
I have a clear set of goals and aims that enable me to do my job 95 3.95±1.095 1.199
I have the opportunity to use my abilities and skills at work 95 3.95±1.170 1.370
When I have done a good job, it is acknowledged by my line manager 95 3.34±0.794 0.630
I am satisfied with the career opportunities available to me here 95 3.64±1.031 1.062
I am satisfied with the training I receive to perform my present job 95 3.73±1.015 1.031
I am encouraged to develop new skills 95 3.94±0.861 0.741
I think that my job is reliable and secure 95 3.51±1.030 1.061
I am growing as a professional in my current job 95 4.09±1.001 1.002
SD: Standard deviation

Table 5: Descriptive analyze of working condition

Components Respondents Mean±SD Variance
My employer provides me with what I need to do my job effectively 95 3.48±1.479 2.189
I work in a safe environment 95 3.88±1.245 1.550
Employee health and safety is a high priority where I work 95 3.74±1.378 1.898
At work employees and management work together to ensure the 95 3.76±1.244 1.547
safest possible working conditions
Working conditions need to be improved 95 3.89±1.068 1.180
SD: Standard deviation

guarantee the safety of all employees at work. Alongside that,
employees should be given a stress-free environment, which
can be achieved by enriching their jobs by allowing them to
choose and plan for a work schedule that fits their convenience.
Employees should also be provided with adequate tools that
will enable them to perform their work efficiently.
QWL is a very crucial factor in determining employee
satisfaction in almost in each and every organization. The
above discussion concludes that in today era QWL holds
great significance and if it is undermined then it can affect the
organization adversely.
Finally, the findings indicated that general well-being, career
and job satisfaction as well working conditions of lecturers of
the University of Somalia have a positive relationship with
QWL.
SUGGESTIONS
This paper conveys further researchers who are interested
to do research on QWL and having a confusion how to
relate a QWL with their dimensions because there have been
done more research on QWL and their variables. There are
some dimensions, i.e. have been used by mostly researchers
continuously such as participative management, pay and
benefits, job satisfaction, organization commitment, growth and
development, safety and healthy environment and participative
management, salary, social integration, employee participation,
welfare opportunities, rewards, teamwork, attitude, and
perception. There are many dimensions still untouched which
affect QWL such as growth and profitability of organization,
organization citizenship behavior, and personality.
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in higher educational institutions: A strategic approach towards
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This work is licensed under a Creative Commons Attribution Non-Commercial 4.0

International License.

Available at www.aujst.com 79
 Australian Journal of Science and Technology
ISSN Number (2208-6404)
Volume 1; Issue 2; December 2017

Review Article

Dynamics of the Salafi-Takfiri movements in Iraq (from the

occupation of Iraq until 2017)
Ali Mohammaddoust1, Abdolreza Alishahi2*
1
Department of Public International Law, Allameh Tabatabai University, Islamic Republic of Iran, Tehran, Iran, 2Department
of Graduate Ma Political Science, Isfahan University, Isfahan, Iran

ABSTRACT
The Ba’ath regime collapsed by invading Iraq by the US forces in 2003. Overthrowing the Ba’ath regime and the end of the Sunni minority’s
dominance, various political parties and political groups were formed while simultaneously increasing the role of the Shiites and the Kurds,
and the activities of these groups increased sharply in the political arena. These parties include different ethnic groups and sects in Iraq, with
different Islamic, secular, nationalist, Salafi, and Takfiri tendencies. The reason is the importance of Iraq, on the one hand, due to it is becoming
the main focus of the growth of extreme Salafists, and on the other hand, the formation of the Islamic State of Iraq group, known as ISIS, which
has become the strongest since 2010, the terrorist group has been in the Middle East and has seriously threatened the security of the region. The
distinguishing feature of this group is the use of the Takfir’s weapon against its enemies. Thus, this group provides the ideological weapons
and easily convinces its forces to kill other followers of other religions.
Keywords: America, Iraq, Islamic state of Iraq and the Levant, security, terrorism
Submitted: 16-11-2017,  Accepted: 01-12-2017,  Published: 29-12-2017

68% of Iraqi people are Shiite, 30% Sunni, 2% Christian, and

IRAQI CULTURAL-SOCIAL STRUCTURE
Iraq is among the countries created in the 20th century, after
the collapse of the Ottoman Empire. In fact, Iraq is a totally
artificial archetype of Englishmen who decided to monopolize
the oil field in Kirkuk and Basra.[1] A country with many
ethnicities and religions, despite the ancient civilization,
appeared in the geopolitics after the First World War and
has not yet become a stable identity.[2] Geopolitically, Iraq
has a strategic position due to its location at the intersection
of the three continents of Asia, Europe and Africa, and the
East-West route. Iraq is from the south with Saudi Arabia and
Kuwait, from the West with Jordan and Syria, from the east
with Iran, and from the north by Turkey.[3] Iraq is one of the
largest countries with oil reserves. The country has 143 billion
barrels of verified oil reserves. The Iraqi population is about
36 million people (according to 2016 statistics). Arabs are
75–80%, Kurds 15–20%, Turkmen, and Assyrians account
for about 5% of the Iraqi population.[4] Furthermore, about
followers of other religions.[5]
In terms of the sociocultural structure, Iraq can be divided into
three completely different areas: In the central province of Iraq
live Sunni Arabs, in the north of Iraq live the Kurds, and in
the south are the Shiites, and each of these groups has its own
cultural and social characteristics. Of course, along with these
three main groups, there are smaller cultural identities, such as
Turkmens, Assyrians, and Yazidis, who have distinct culture and
beliefs.[6] Shiites constitute the largest Iraqi population group
and mostly inhabit the southern and central parts of Iraq. The
existence of the shrine’s shrine in the cities of Karbala and Najaf,
as well as the existence of the seminary of Najaf, and as a result of
the permanent presence of the Shiite scholars in these cities, has
strengthened the Shi’ite culture, which has brought the Shiites of
Iraq closer to the Shi’ism of Iran, culturally.[7] Relations between
the Shiites and Iran have raised concern among Sunni Arabs and
some Sunni Muslim neighbors. Hence, Shiites sometimes try to
prove their loyalty to Iraq for such states and groups.[8]

Address for correspondence: Abdolreza Alishahi, Department of Graduate Ma Political Science, Isfahan University, Isfahan, Iran.
E-mail: abdolreza.alishahi@yahoo.com

Available at www.aujst.com 80
 Mohammaddoust and Alishahi: Salafi-Takfiri movements in Iraq
Sunni Arabs form a part of another Iraqi social-cultural
structure. The Sunni Arabs, due to being a minority, define
their Arab identity in the direction of the Sunni Arab world
and consider themselves part of the Arab world to have full
support for a greater share of Iraqi power and they regard the
Arab countries as their natural and permanent supporters, and
even the majority of the behaviors and roles of this group are
based on the views and policies of the Arab states. Furthermore,
most of the terrorist operations in Iraq are either from this
group or by radical groups outside Iraq through mediation and
companionship with the Sunni.[9]
The Kurds are also another part of the Iraqi cultural-social
structure and live in areas that include an important part of
its oil-rich regions.[10] Since the beginning of Iraq, the Kurds
have called for autonomy to build political interactions
and international recognition based on Kurdish culture and
language. They want to be recognized as a Kurdish language
and have been trained in this language and have always
resisted this language, culture, and institutions. This feeling
of Kurdish identity differing from the Iraqi Arabs has led to
many differences and conflicts in Iraq.
SALAFIST PROCESS IN IRAQ
The current Iraq, with the ancient name of “Sumerian” and
the civilization in the 5th millennium BC, can be regarded
as one of the most important cultural centers in the Middle
East, which entered into one of the poles in the territory of
Islam in 642 AD Anti-Salafist income, as what is known
today as “Salafism” in Iraq, is in fact the continuation of the
same “Hadith” school that was formed in the 1st century of
Islamic history and its centrality was in Hejaz, but Iraq was
considered to be the center of the “Rai” school.[11] The major
contradiction between these two trends is clearly related to the
late 2nd century (8th century), in parallel with which different
political ideas emerged in the Muslim world. At the same time,
the occasion and convergence of the Hadith School with the
Umayyad and Abbasid caliphs cannot be denied. That is why
Abbasid caliphate in Baghdad’s central city in the year 750
was considered a new stage of Salafi development. So that
in the able period, the hardening of the system of caliphate
and related jurisprudents, to the extent that the caliph wrote
a book called “belief of al-Qaderi” based on the beliefs of the
hadith and the rejection of Mu’tazilites and Shiites, and the
jurisprudents of Baghdad gave fatwa anyone who disagrees
with it is disobedient and disobedient. At the same time, the
revolution and the Hanbali uprising, as one of the Salafist
waves, took Baghdad, and eventually, Ibn Taymiyah emerged
as the theorist and founder of the Salafist current.[12] After this
era, Mohammad bin Abdul Wahhab entered Baghdad in the
early years of Ahmad Pasha’s rule, the Ottoman sultan, but
could not survive for Salafist thought. Afterward, following
his alliance with Mohammad bin Saud, he attacked Iraq,
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killing thousands after the attacks, and the Karbala shrine was
plundered and vandalized.
During the Ottoman rule over Iraq, no Islamic organization
or religious movement was formed by religious scholars and
religious institutions. The main reason for the lack of formation
of religious organizations in Iraq during this period should
be considered in line with the loyalty of the Sunni scholars
to the Ottoman caliphate as well as their political attitude in
emphasizing compatibility with the rulers, that is, the Sunnis,
in particular the scholars and their leaders always strived for
the renewal of the Islamic caliphate and the great Islamic
alliance.[13] In this regard, basically, no formations took place
before Iraq in 1908.
Thus, historically, the first self-defeating organizations in
Iraq should be considered as a function of the expansion of
the Muslim Brotherhood of Egypt in contemporary times,
influenced by the Iraqi branch of the Brotherhood, including the
“Islamic Party of Iraq, “the Ulema Union Muslim Kurdistan,”
“Kurdistan Islamic Union,” and “Muslim scholars’ population.”
This trend intensified with the occupation of Iraq by the United
States in 2003. Salafist armed groups such as Jaish Mohammed,
Al Qaeda, Iraqi Islamic Army, and Jaish Al-Mujahedin were
formed during this period and mainly began their activities in
the Sunni areas of Iraq. The combination of these conditions
has led Iraq to become the main focus of the growth of extreme
Salafists and ultimately to the central al-Qaeda front under the
leadership of Abu Musab Zarqawi.[14] The strategy of Salafist
current in Iraq was based on the creation of a full-fledged war
between Shiite and Sunni groups. In the same vein, efforts
were made to provoke Sunnis and Shiites against each other
to create the Civil War.[15] Of course, their organized effort
was largely successful.[16] Moreover, they were able to turn
religious conflicts into the first and foremost issue of Muslims
and elites of the Muslim world. Indeed, following the historical
trend of the Salafist current to the contemporary period, it is
important to note that the presence of this movement, especially
its extreme branch, is mostly a phenomenon imposed by Iraq
but after 2003 has a greater capacity for impact.
THE MOST IMPORTANT SALAFIST-
TAKFIRI GROUPS OF IRAQ
Ansar-ul-Islam
After the end of the imposed Iraqi war against Iran and
the stabilization of the region, a Salafist jihadi nucleus
gradually was removed. In 2001, the Ansar ul-Islam group in
Kurdistan joined the unity of groups like Jondalus al-Islam,
and reformation population was formed including Hamas
Kurdish movement and al-Tawhid movement. The founder
of this community is Najm al-Din Faraj, titled “Molakerikar.”
Ansar ul-Islam is a rival of Islamic state of Iraq and the Levant
81
 Mohammaddoust and Alishahi: Salafi-Takfiri movements in Iraq
(ISIL) and its main areas of influence and activity are Nineveh
provinces, in particular, Mosul, Kirkuk, and Salah al-Din, and
are among the active group of Ansar ul-Islam in Pakistan. The
group enforced strict sharia laws in their dominated villages
in northern Halabja near the Iranian border. The members of
this group are Kurds who fought in Afghanistan and were
under the cover of al-Qaeda. After the US invasion of Iraq, the
congregation had bases in the villages of the western Aurahanat
area. This group is operating under the name Ansar al-Sunna
in Kurdistan. The group also agrees with ISIL’s general goal of
establishing a caliphate but opposes the claims of the caliphate
by ISIL leaders and recognizes them as just a group of groups
of claimants. Recently, Arab, Uzbek, and Pakistani fighters
joined the Ansar al-Islam group and sent Ansari Slash to Syria.
Al Qaeda of Iraq (Congregation of Tawhid and
Jihad)
In 2004, Zarqawi founded “al-Qa’ida al-Fallad al-Rafidain”
organization in Iraq. He believed in the struggle against the
universal forces of disbelief and injustice, especially the United
States and Israel, and did not accept the views of bin Laden
on the Shi’a and the Saudi regime since they disbelieved the
Shiites. Altogether, Zarqawi’s goal was to establish a military
campaign to dismiss US occupation forces, overthrow the Shi’a
government, and the formation of the Islamic caliphate in Iraq
and spread to other Islamic countries.
Jish Al-Mujahidin
The group’s history dates back to 2003 and occupies Iraq. Its
aim is to overthrow the central government of Iraq and has a
strong anti-Shiite tendency. Evidence suggests that, in a contest
against ISIL’s reinstatement, the group has established close
ties with the Ansar al-Islam group. Jaishm al-Mujahedin also
has a special interest in working with local tribes and has an
active presence in Anbar province.
Ba’ath Party Terrorist Groups
This group is one of the most prominent groups that support
ISIL and is consistent with it. Most members of this party will
take their orders away from dignity. The main purpose of these
groups is to disrupt the political process in Iraq. Many former
Iraqi army officers and the Presidential Guards and Ba’athist
intelligence also support the ISIL group.
Jajes Rijal Route (Naqshbandiya)
An age-old and nationalist group is affiliated with Abraham’s
dignity, which consists of supporters of Saddam Hussein and
members of the Ba’ath regime and is seeking to defend the
rights of the Sunni minority in Iraq against the Shi’a majority
of its religion.
Takfiri - ISIL Terrorist Group
The so-called Islamic State of ISIL is a militant terrorist group
with a Salafi-jihadi thought and style, and its members have
Available at www.aujst.com
chosen to establish Islamic caliphate and the implementation
of sharia in Iraq and Syria. The ISIL group is the third largest
terrorist group in the world and one of the most powerful Salafi
and Takfiri groups with extremist beliefs.[17] The beginning of
the formation of ISIL dates back to the war and its occupation
by the United States. With the US invasion of Iraq, about 100
Sunni jihadi groups were established in Iraq, many of which
were independent and self-sufficient [Table 1]. The collapse of
the Iraqi state and the presence of internal crises (identity crisis,
legitimate crisis, military weakness, and class contradiction)
led some of the jihadist groups to close and become al-Qaeda.
In December 2004, with the addition of some Jihadist groups to
Zarqawi and his allegiance to bin Laden, the al-Qaeda branch
in Iraq, called al-Qaeda al-Fahdaid, was formally established.
Bin Laden introduced Zarqawi as his official representative
in Iraq.[18]
Zarqawi was killed on June 7, 2006 in an attack on the
US forces near Baqubah in Iraq. Al-Qaeda in Iraq, killing
Zarqawi, received the greatest damage from the United
States and the Iraqi government from the beginning. A few
months after Zarqawi’s death, the Mojahedin Council issued
a statement claiming to limit the attacks on Iraqi troops and
reduce their threat to the Shi’a. In October 2006, the MKO
announced by its spokesman officially issued a statement
announcing the formation of “Dula al-Islamiyya al-Iraqi”
led by Abu Omar al-Baghdadi, and in this statement, with
the unification of jihadi groups, the formation of the Islamic
State of Iraq in Baghdad, Diyala Anbar, Kirkuk, Nineveh,
Salah al-Din, and a small part of Babylon and individuals
were introduced as Islamic government ministers, and
Baquba, the site of the death of Zarqawi, was declared the
governor’s capital. Abu Amr Baghdadi stated in his official
statement that the formation of the Islamic State of Iraq
was as follows: “With the occupation of Iraq by American
forces, ethnic and religious differences in Iraq increased,
and the Kurds, in northern Iraq and Shiites in the center of
Iraq, became powerful. Each of them has supporters from
foreign countries as well as an independent army, but Sunni
people were oppressed. The purpose of this government is
to recognize the right of the Sunni.[19] Following the death of
Abu Amr Baghdadi on April 19, 2010, Abu Bakr Baghdadi
was selected as a leader in a military operation.[20]
Baghdadi began his activities with propaganda and training,
and then, he turned to military work.[21] He began working with
the slogan “Sunnis in Syria” at the onset of the crisis in Syria,
and for two years, he was with Syrian opposition forces. In
April 2013, Baghdadi announced the merger of the Jabhat al-
Nusra section with the Islamic State of Iraq in the name of the
“Islamic State of Iraq and the Levant.”[17] Baghdadi’s excesses
in taking power while an Iraqi were faced with the reaction
of Syrian members of the Nusra Front and its leadership, Abu
Muhammad Golani. He opposed any merger and emphasized
82
 Mohammaddoust and Alishahi: Salafi-Takfiri movements in Iraq
Table 1: Major Takfiri groups in Iraq
Name School of Founder
thought
ISIS Jihadi Salafi Abu Bakir Baqdadi
Ansar ul‑Islam Salafi Mullah Krykar
Baath Party Islamism Ezzat Ibrahim
Jish al‑rejal Islamism Ezzat Ibrahim Dowri
Iraqi al‑Qaeda Salafi‑Wahhabi Abu Musab Zarqawi
 Figure 1: Distribution of Iraqi religions
an allegiance to al-Qaeda in Afghanistan, led by Zawahiri.
Following the upsurge of disagreements, Baghdadi announced
the only solution to return to Iraq and continue its Takfiri actions
in the country and was stationed in eastern Iraq in the winter
of 2013 along the border with Syria and launched its military
operation in Syria [Figure 1]. Provinces of Nineveh, Anbar,
and Salah al-Din began the Iraqi Shiite government. The re-
entry in Iraq, which was accompanied by the weakness of the
central government of Iraq and the lack of attention by the Shiite
government to these areas, provided enabling environments
to intensify the activities of the ISIS group and increased
Baghdadi’s military power using this opportunity. In mid-2014,
the group, with its consolidation in the captured territories and
in the absence of an agreement with the Taliban and Al-Nusra,
removed the name “Sham” in a new move and announced its
reexistence with the same name as the Islamic State of Iraq.[22]
Regarding the most important causes of the emergence of
ISIL, there are also circumstances such as the changing
environmental conditions caused by the withdrawal of the
United States from the country, the lack of attention of
the central government to the Sunni areas of Iraq and the
emergence of a crisis of influence and authority, the failure
of the Sunni in the election Iraqi Mellas, Sunni retardation in
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Goals Strategies
Revival of Islamic Caliphate Anti‑soviet, anti‑government,
anti‑American
Revival of the Islamic government, Anti‑government
the implementation of strict Sharia law
Disturb the Iraqi political process Anti‑government
Overthrow of Shiite rule in Iraq Anti‑Shiite, anti‑government
Formation of Islamic Caliphate in Iraq Anti‑Westernism, anti‑Shiite
comparison with the Kurdistan region, and behind-the-scenes
actions of countries such as Saudi Arabia and Qatar, in support
of Takfiri and Salafi groups in the region aimed at confronting
Iran and its supportive countries.
In sum, ISIS’s strength should not only be assessed based on its
military strength in capturing large parts of Syria and Iraq but
also on the basis of adequate funding, and more importantly,
the attraction and organization of volunteer fighters from
the Middle East, North Africa, and around the world. The
acquisition of weapons, ammunition, and equipment of the
military garrison in Iraq and Syria, as well as the domination
of major oil resources in these two countries, along with the
vast geographical area in its possession, has put ISIS in a rather
unequal position among all the terrorist actors in worldwide.
ISIL has achieved tremendous wealth through tax collection,
bank robbery, the plundering of artifacts, and the sale of oil.
According to some sources, the group’s daily income from the
sale of oil is $ 1 to $ 2 million, and it sells between 25,000 and
60,000 barrels a day, with a daily income of $ 1,200,000.[23]
This wealth does not require ISIL from the Arab Gulf financial
assistance. The ISIL wealth is estimated at around $ 2 billion,
and the number of loyal troops has been reported to be at least
ten thousand, while a large number of supporters from all over
the world come to ISIS every week.[24]
Evidence suggests that ISIS is a cohesive organization, with
great maneuverability and extensive financial resources. Saudi
Arabia and Qatar have provided ISIS with a massive amount
of funding to enable and train trained forces from all over the
world. In addition, the experience of Afghan Arab warriors,
who are in fact the first generation of Salafist-jihadists, has
been accompanied by a history of military operations against
members of the group against the Iraqi government and US
troops since 2003, and also, such a company in the Syrian
civil war has greatly enhanced ISIL’s military, operational,
and guerrilla experience. Therefore, Isis can be considered
a Salafi-Takfiri group that has been mutated in comparison
with its own groups and has been able to become a powerful
phenomenon in the Middle East by leaving the shadow of the
al-Qaeda organization.
83
 Mohammaddoust and Alishahi: Salafi-Takfiri movements in Iraq
CONCLUSION
The US invasion of Iraq in 2003 led to the overthrow of the
Ba’ath Party and the transfer of power from Sunnis to the
Shi’a majority, as well as a political dissolution in Iraq. This
situation provided a good basis for the growth of political,
military, and takfiri organizations in Iraq. Abu Musab Zarqawi
used this chaos to create a political-military formation.
Zarqawi’s goal was to launch a military campaign to dismiss
US occupation forces, overthrow the Shi’a government, and
establish a caliphate in Iraq and expand it to other Islamic
countries. Zarqawi gave allegiance to bin Laden to achieve
his goals and changed his organization’s name to al-Qaeda in
Iraq. The discrepancy between Zarqawi and bin Laden led to
the separation of the two groups and led Zarqawi’s successors
to form an independent group called the Islamic State in Iraq
and Syria. After Zarqawi’s death, Abu Omar Baghdadi and
his successor, Abu Bakr Baghdadi, were elected leader of
the group. Since the Abu Bakr leader Baghdadi took over in
2010, the Islamic State has achieved important successes. Over
the past 4 years, the organization has been able to clarify the
brightness of hope among Sunni people in the Middle East.
In general, the successful leadership of Abu Bakir Baghdadi
has led to the victory of the organization in the military
arena and the sustainability of the so-called Islamic caliphate
government. Therefore, until the Iraqi government cannot
compensate for its military and political weaknesses, the
Islamic State’s shadow of the Islamic state will not disappear
from the region.
REFERENCES
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Second and Third Printing. Tehran: Publications Office of
Political and International Studies of the State Department; 1997.
2. Ahmadi F, Haeri YQ. The process of drafting the constitution of
Iraq. Q J Policy 2010;4: pp.19-37.
3. Bakhshi AR. Investigating the Role of Iraqi Shiites in New Iraq’s
Political System, Master’s Degree, Yazd University; 2011.
4. Lustrange G. Historical Geography of the Land of the Eastern
Caliphate, Translation by, Mahmoud Erfan. Tehran: Book
Publishing Co.; 2014.
5. Esfahani S, Seyfabadi MS. The future of Takfiri groups and
stability processes in the state of Syria and Iraq. Q J Strategic
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6. Rouhani H. Familiarity with Islamic Countries. Tehran: Mash’ar
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7. Esfahani S, Yalameh IS. The study of the origins of the formation
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8. Bagheri H. Internal actors in the new political structure of Iraq
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9. Bagheri Y. The philosophy of Salafist sectaries in the middle-east
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10. Mackenzie DN. In: Diversa I, Ceretti CG, Paul L, editors. The
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1999.
11. .Khosroshahi R. Causes of the Emergence of Islamic Divisions
and Religions. Tehran: State Department Publications; 1962.
12. Noohi MA. An Investigation of Sunni Salafist Cultures and Its
Impact on the Environment of Iran, Speech on 7/8/2007 at Imam
Hossein University; 2007.
13. Maryaji SH. The Fundamentals of Intellectual and Social Context
of the Contemporary Iraqi Current, Thesis of Qom Seminary;
2007.
14. Sayyednejad SB. Salafism in Iraq and its Impact on the Islamic
Republic of Iran, Strategic Studies Quarterly, Thirteenth, No. 1;
2010.
15. Noor AS. Political History of Wahhabism. Vol. 1. Tehran:
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16. Riedel B. Al Qaeda Strikes Back, Foreign Affairs, May/June;
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17. Karimi S. The way of the emergence and formation of terrorist
groups (Islamic state of Iraq and the Levant). J Res Nat 2015;2:
pp.1-14.
18. Crisis Group. Their Own Words, February; 2006.
19. Ebrahimnejad M, Farrmanian M. Islamic State of Iraq and the
Levant; an Analysis of the History and Thoughts Analysis. Qom:
Dar Al-Amam, Ahl al-Bayt School; 2014.
20. Zelin A. The War between ISIS and Al-Qaeda for Supremacy
of the Global Jihadist Movement, the Washington Institute for
Near East Policy, No. 20; 2014.
21. Doug S. As Summit Strategizes on ISIL, French Jets fly over
Iraq, USA Today, 15 September; 2014.
22. Doroody MS. ISIL terrorist group; for regional disputes and
insecurity. J Res Security 2014;45:89-108.
23. Ahmad BS. Exploring the ideology of the Takfiri-Wahhabi
Islamic-Iraqi-Duma (ISIL) group. J Political Sci 2013;64:133-54.
24. Zare’an A. The basics of the emergence and expansion of ISIS
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2014;23:67-96.
84
 Australian Journal of Science and Technology
ISSN Number (2208-6404)
Volume 1; Issue 2; December 2017

Review Article

Fermentation of fruit wine and its quality analysis: A review

P. Saranraj1, P. Sivasakthvelan2, M. Naveen3

Department of Microbiology, Sacred Heart College (Autonomous), Tirupattur, Tamil Nadu, India, 2Department of
1

Agricultural Microbiology, Annamalai University, Annamalai Nagar, Tamil Nadu, India, 3Department of Biochemistry, Sacred
Heart College (Autonomous), Tirupattur, Tamil Nadu, India

ABSTRACT
Fruit is an essential part of your diet using essential part of vitamin and minerals that contribute to overall strength for your health. Fruit
wines are undistilled alcoholic beverages usually made from grapes or other fruits such as peaches, plums or apricots, banana, elderberry, or
black current which are nutritive, more tasty, and mild stimulants. These fruits undergo a period of fermentation and aging. They usually have
an alcohol content ranging between 5 and 13%. Wines made from fruits are often named after the fruits. No other drinks, except water and
milk, have earned such universal acceptance and esteem throughout the ages as has wine. Wine is a food with a flavor like fresh fruit which
could be stored and transported under the existing conditions. Being fruit-based fermented and undistilled product, wine contains most of the
nutrients present in the original fruit juice. The nutritive value of wine is increased due to the release of amino acids and other nutrients from
yeast during fermentation. Fruit wines contain 8–11% alcohol and 2–3% sugar with energy value ranging between 70 and 90 kcal per 100 ml.
The present explained about the fermentation of wine and its quality analysis. In this present review, we discussed about fermentation, history
of fermentation, Saccharomyces cerevisiae and alcoholic fermentation, fermentation of fruit juice into wine, classification of wine, factors
influencing fermentation and wine quality, and Indian wine market.
Keywords: Fermentation, fruits, wine, wine quality, yeast
Submitted: 26-11-2017,  Accepted: 30-11-2017,  Published: 29-12-2017

INTRODUCTION alcoholic beverages are produced by distilling ethanol by

Fermentation is a viable technique in the development of new
products with modified physicochemical and sensory qualities,
especially flavor and nutritional components. Alcohol and
acetic and lactic acid fermentation are important for quality
in production. Of these, alcoholic fermentation is widely
employed for the preparation of beverages in which alcohol
is major constituent. Fermented beverages have been known
to humankind from time immemorial. An alcoholic beverage
is a drink that contains ethanol. These are divided into three
general classes for taxation and regulation of production,
namely, beers, wines, and spirits distilled beverages such as
whisky, rum, gin, and vodka. Beer is made by fermentation
of starch combining yeast and malted cereal starch, especially
barleycorn, rye, wheat, or blend of several grains and usually
flavored with hops. It contains 4–8% alcohol and its energy
value ranges between 28 and 73 kcal per 100 ml. Distilled
fermentation of grains, fruits, or vegetables. They are made
from sugarcane juice, molasses, fermented mash of cereals and
potatoes, and fermented malt of barley and rye. The alcohol
content in distilled alcoholic beverage ranges between 40%
and 60%.[1]
Fermentation is a relatively efficient, low energy preservation
process which increases the shelf life, and decreases the
need for refrigeration or other forms of food preservation
technology. It is, therefore, a highly appropriate technique for
use in developing countries and remote areas where access to
sophisticated equipment is limited. Fermented fruit wines are
popular throughout the world, and in some regions, it makes
a significant contribution to the diet of millions of individuals.
The possibility and the use of pineapple for the production of
wine will create employment, income generation for farmers,
and address the post-harvest losses associated with the glut on
the local market in India.[2]

Address for correspondence: P. Saranraj, Department of Microbiology, Sacred Heart College (Autonomous), Tirupattur - 635 601,
Tamil Nadu, India. E-mail: microsaranraj@gmail.com

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 Saranraj, et al.: Fermentation of Fruit wine
Alcoholic fermentation leads to a series of by-products in
addition to ethanol. They include carbonyl compounds,
alcohols, esters, acids, and acetals, all of them influencing
the quality of the finished product. The composition and
concentration levels of the by-products can vary widely.[3]
There is an abundance of exotic tropical fruits in India with
the potential to be used by the food industry. Different new
uses and new methods for processing tropical fruits need to
be developed to minimize production losses, generate more
profits, and promote the sustainable use of biomes. One
possible use of these fruits is in the production of wines from
various tropical fruits. There are many studies in the literature
that demonstrates the feasibility of using fruits to produce
alcoholic beverages. There are several Indian fruits with the
potential for use in the production of wines.
Wine can be made from a wide array of fruits, so long as there
is enough sugar content in the fruit to convert into alcohol
during the fermentation process. Fruits that can be made into
wine range from the familiar (blackberries and pineapples)
to the exotic (durians and mangosteens). One of the most
widely produced non-grape fruit wines is cider, or “apple
wine,” which is made from fermented apples. Apple wines
are prolific throughout England and the rest of the UK as
well as in Germany, France (Brittany and Normandy), Spain
(Asturias, Basque Country, and Galicia), Ireland, Argentina
(Patagonia and Mendoza), and Australia (Tasmania). Plum
wine is often paired with fruit-based desserts or drizzled over
fresh oranges in traditional sushi bars. Plum wines can also
be used in cocktails either with soda water in spritzers or as a
complement to shochu, which is a spirit made from distilled
rice, barley, or sweet potatoes. While apple and plum wines
are produced on a commercial scale, the craft of making wines
from other fruits and berries is more commonly practised
among home winemakers and artisans making small batch
libations from locally sourced fruit. When dealing with fruits
other than grapes, sugar may need to be added to spur the
fermentation process in the event that the fruit does not contain
enough natural sugar to ferment on its own in the presence of
yeast. Some fruits such as cherries, raspberries, strawberries,
and pineapples are also very high in acid, which can translate
into a very sour tasting wine. In these cases, sucrose and water
can be added to help counter the fruit’s tart acidity. Fruit and
berry wines are rarely available in traditional wine or liquor
stores but can be found at farmer’s markets and fairs throughout
the country.[4]
Wine is an alcoholic beverage made by fermenting grape juice.
Although the juice of other fruit, berries, and vegetables can be
fermented to create alcohol, fruit wines are generally qualified
by the name of the produce used, such as gooseberry wine and
blueberry wine. The word “wine” when used alone refers to an
alcoholic beverage made from grapes. Wines come in various
colors (red, white, and rose) and many types, which include
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dry and sweet, still and sparkling, and wines fortified with
grape spirit (brandy). There are also many wine-based drinks,
such as wine coolers and offering peach, kiwi, and strawberry
wines. There are many different styles of wine, allowing wine
to satisfy a wide range of individual tastes and occasions and
permitting wine to accompany many styles of food. Most
table wines are dry in the technical sense that they contain no
residual sugar because all the sugar that was in the grapes (or
added to the must) has been fermented out. Even so, wines
can feel sweet in the mouth because of their fruit flavors, and
many varietals such as chardonnay, shiraz, and zinfandel have
a sweet fruit dimension to them.[5]
FERMENTATION
Fermentation is biotechnology in which desirable
microorganisms are used in the production of value-added
products of commercial importance. Fermentation occurs
in nature in any sugar-containing mash from fruit, berries,
honey, or sap tapped from palms. If left exposed in a warm
atmosphere, airborne yeasts act on the sugar to convert it into
alcohol and carbon dioxide. The making of wines and beers
uses this biotechnology under controlled conditions. Alcoholic
beverages have been produced for centuries in various
societies. They are often central to the most valued personal and
social ceremonies of both modern and less literate societies. In
such traditional ceremonies as child naming, marriage feasts,
and funerals, alcoholic beverages are often present. In Africa,
maize, millet, bananas, honey, palm and bamboo saps, and
many fruits are used to ferment nutrient beers and wines. The
best known being kaffir beer and palm wines.[6]
Industrial fermentation processes are conducted with selected
microorganisms under specified conditions with carefully
adjusted nutrient concentrations. The products of fermentation
are as follows: Alcohol, glycerol, and carbon dioxide are
obtained from yeast fermentation of various sugars; Butyl
alcohol, acetone, lactic acid, monosodium glutamate, and acetic
acid are products of bacteria action; and citric acid, gluconic
acid, antibiotics, Vitamin B12, and riboflavin are some of the
products obtained from mold fermentation.
Fermentation is a relatively efficient, low-energy preservation
process which increases the shelf life and decreases the
need for refrigeration or other form of food preservation
technology. It is, therefore, a highly appropriate technique for
use in developing countries and remote areas where access to
sophisticated equipment is limited. Fermented fruit wines are
popular throughout the world, and in some regions, it makes
a significant contribution to the diet of millions of individuals.
The possibility and the use of pineapple for the production of
wine will create employment, income generation for farmers,
and address the post-harvest losses associated with the glut on
the local market in India.[7]
86
 Saranraj, et al.: Fermentation of Fruit wine
According to Dickinson,[8] the process of fermenting is
basically feeding sugars and nutrients in solution to yeast,
which return the favor by producing carbon dioxide gas and
alcohol. This process goes on until either all the sugar is gone
or the yeast can no longer tolerate the alcoholic percentage of
the beverage. Different yeasts produce different results and
have different tolerance levels.
Fermentation is a process of deriving energy from the
oxidation of organic compounds, such as carbohydrates and
using an endogenous electron acceptor, which is usually an
organic compound, as opposed to respiration where electrons
are donated to an exogenous electron acceptor, such as
oxygen through an electron transport chain. The risk of stuck
fermentation and the development of several wine faults can
also occur during this stage which can last from 5 to 14 days
for primary fermentation and potentially another 5–10 days
for a secondary fermentation. Fermentation may be done in
stainless steel tanks, which is common with many white wines
like Riesling, in an open wooden vat, inside a wine barrel
and inside the wine bottle itself as in the production of many
sparkling wines.[9]
Fermentation is a cheap and energy efficient means of
preserving perishable raw materials such as pineapple juice.
Harvested fruits may undergo rapid deterioration if proper
processing and storage facilities are not provided, especially
in the humid tropics where the prevailing environmental
conditions accelerate the process of decomposition. Although,
there are several options for preserving fresh fruits, which may
include drying, freezing, canning, and pickling, and many of
these are inappropriate for the product and use on small scale
in developing countries. For instance, the canning of fruits
at the small-scale has serious food safety implications and
contamination, especially botulism.[9]
Freezing of fruits and vegetables is not economically viable at
the small scale. Fermentation requires very little sophisticated
equipment, either to carry out the fermentation or for
subsequent storage of the fermented product. It is a technique
that has been employed for generations to preserve fruits in
the form of drinks and other food for consumption at a later
date and to improve food security. Basically, most fruits can
be fermented if not all provided they are well prepared.[10]
HISTORY OF FERMENTATION
Fermentation is one of the oldest forms of food preservation
technologies in the world. Indigenous fermented foods such
as bread, cheese, and wine have been prepared and consumed
for thousands of years and are strongly linked to culture
and tradition, especially in rural households and village
communities. The development of fermentation technologies
is lost in the midst of history. Anthropologists have postulated
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that it was the production of alcohol that motivated primitive
people to settle down and become agriculturists. Some even
think that the consumption of fermented food is pre-human.[11]
The first fermented foods consumed probably were fermented
fruits. Hunter-gatherers would have consumed fresh fruits but in
times of scarcity would have eaten rotten and fermented fruits.
Repeated consumption would have led to the development of
the taste for fermented fruits. There is a reliable information
that fermented drinks were being produced over 7000 years
ago in Babylon, 5000  years ago in Egypt, 4000  years ago
in Mexico, and 3500 years ago in Sudan.[12] There is also
evidence of fermented meat products being produced for
King Nebuchadnezzar of Babylon. China is thought to be the
birthplace of fermented vegetables, and the use of Aspergillus
and Rhizopus molds to make food. The book called “Shu-
Ching” written in the Chou dynasty in China (1121–256 BC)
refers to the use of “chu” a fermented grain product.[13]
Knowledge about traditional fermentation technologies has
been handed down from parent to child, for centuries. These
fermented products have been adapted over generations; some
products and practices no doubt fell by the wayside. Those that
remain today have not only survived the test of time but also
more importantly are appropriate to the technical, social, and
economic conditions of the region. According to Robinson,[14]
natural occurrence of fermentation means that it was probably
first observed long ago by humans. The earliest uses of the word
“Fermentation” in relation to winemaking were in reference
to the apparent “boiling” within the must that came from the
anaerobic reaction of the yeast to the sugars in the grape juice
and the release of carbon dioxide. The Latin “fervere” literally
means to boil. In the mid-19th century, Louis Pasteur noted the
connection between yeast and the process of the fermentation
in which the yeast acts as catalyst through a series of a reaction
that converts sugar into alcohol. The discovery of the Embden–
Meyerhof–Parnas pathway by Gustav Embden, Otto Fritz
Meyerhof, and Jakub Karol Parnas in the early 20th century
contributed more to the understanding of the complex chemical
processes involved the conversion of sugar to alcohol.
SACCHAROMYCES CEREVISIAE AND
ALCOHOLIC FERMENTATION
Yeasts are of great economic importance. Yeasts, especially,
different strains of S. Cerevisiae, have long been used
for the production of alcoholic beverages, solvents, and
other chemicals. Yeast is a unicellular fungi or plant-like
microorganism that exists in or on all living matter, i.e.,
water, soil, plants, and air. They are a microbial eukaryote,
associated with Ascomycetes, and are rich in protein and
Vitamin B.[15] As a living organism, yeast primarily requires
sugars, water, and warmth to stay alive. In addition, albumen
87
 Saranraj, et al.: Fermentation of Fruit wine
or nitrogenous material is also necessary for yeast to thrive.
There are hundreds of different species of yeast identified in
nature, but the genus and species most commonly used for
baking are S. cerevisiae. The scientific name S. cerevisiae
means “a mold which ferments the sugar in cereal to produce
alcohol and carbon dioxide.”
Yeasts are usually spherical, oval, or cylindrical in shape and
a single cell of S. cerevisiae is around 8 μm in diameter. Each
cell has a double-layered wall, which is permeable to certain
substances, and in this way, food material is taken into the cell
and metabolites. Cell division or cell reproduction generally
takes place by budding. In the budding process, a new cell
forms as a small outgrowth of the old cell, the bud gradually
enlarges and then separates. Although, most of the yeasts
reproduce only as single cells, under some conditions, some
yeasts can form filaments.[3,16] Yeasts flourish in habitats where
sugars are present, such as fruits, flowers, and bark of trees.
However, commercial yeasts of today are quite different from
wild strains due to genetic manipulation, allowing them to grow
in previously unsuitable conditions.[17,18]
Yeasts, the main microorganisms involved in alcoholic
fermentation, are found throughout the world. More than 8,000
strains of this vegetative microorganism have been classified.
About 9–10 pure strains with their subclassifications are
used for the fermentation of grain mashes. These belong to
the type S. cerevisiae. Each strain has its own characteristics
and imparts its special properties to a distillate when used in
fermentation. A limited number of yeasts in the classification
S. cerevisiae are used in the fermentation of wines from which
brandy is distilled. The strains used in the fermentation of
grain mashes are also used in the fermentation of rum from
sugarcane extracts and beer production. Since yeasts function
best in slightly acid medium, the mash, juice, sap, or extract
prepared for fermentation must be checked for adequate
acidity. If acidity is insufficient, acid or acid-bearing materials
are added. For distilled liquors, fermentation was carried out
at 24°C–29°C for 48–96 h, when the mash or must is ready
for distillation. The alcohol content of the fermented must is
about 7–9%.
FERMENTATION OF FRUIT JUICE INTO
WINE
Wine fermentation is one of the most ancient of human’s
technologies and is now one of the most commercially
prosperous biotechnological processes.[19] The technique of
winemaking is known since the dawn of civilization and has
followed human and agricultural progress.[20] The earliest
biomolecular archaeological evidence for plant additives in
fermented beverages dates from the early Neolithic period in
China and the Middle East when the first plants and animals
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were domesticated and provided the basis for a complex society
and permanent settlements.[21] In ancient China, fermented
beverages were routinely produced from rice, millet, and
fruits.[22] However, in earlier years in Egypt, a range of natural
products, specifically herbs and tree resins, were served
with grape wine to prepare herbal medicinal wines.[21] Many
of the polyphenols and other bioactive compounds in the
source materials are bonded to insoluble plant compounds.
The winemaking process releases many of these bioactive
components into aqueous ethanolic solution, thus making
them more biologically available for absorption during
consumption.[23]
Fruit juices are fermented to produce wine, an alcoholic
beverage. Grapes are usually preferred because of the natural
chemical balance of the grape juice which aids their fermentation
process without the addition of sugars, acids, enzymes, or other
nutrients. However, fruits such as banana, cucumber, pineapple,
and other fruits are used in wine production.[24-26] Home-made
wine production has been practised with various fruits such as
apple, pear and strawberry, cherries, plum, banana, pineapple,
oranges, cucumber, watermelon, and guava. Using species of
S. cerevisiae which converts the sugar in the fruit juices into
alcohol and organic acids, that later react to form aldehydes,
esters, and other chemical compounds which also help to
preserve the wine.[27-29] Yeasts from other sources such as palm
wine have also been used[30] in the production of fruit wine.
Winemaking involves mainly three categories of operations,
namely, pre-fermentation, fermentation, and post-fermentation
operations.[31-33] In the case of wines made from grapes,
pre-fermentation involves crushing the fruit and releasing
juice. In case of white wine, juice is separated from the skin,
whereas in red wine, the skins are not separated from the juice.
Clarification of juice for white wine is usually achieved by
sedimentation or centrifugation. Then, yeast is added to the
clarified juice to initiate fermentation. In red winemaking,
the pulp, skins, and seeds of grapes are kept together after
crushing and during all or part of the fermentation. This is
done to extract color and flavor. Yeast is added to mashed pulp
(must) in red winemaking.
Wine is a distinctive product that influences major life events,
from birth to death, victories, auspicious occasions, harvest,
and other events, due to its analgesic, disinfectant, and
profound mind-altering effects.[21] Fruits produced by many
indigenous trees are edible and can ripen within a very short
span of time, generating surplus production. Many of these
are consumed fresh, but large quantities are wasted during
peak harvest periods, due to high temperature, humidity
fluctuations, improper handling, inadequate storage facilities,
inconvenient transport, and microbial infections. The food
industries are using variety of preservation and processing
methods to extend the shelf life of fruits and vegetables such
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 Saranraj, et al.: Fermentation of Fruit wine
that they can be consumed year round and transported safely
to consumers all over the world, not only those living near the
growing region.[34] Therefore, utilization of ripe fruits or their
juices for wines production is considered to be an attractive
means of utilizing surplus sand over ripen fruits. Moreover,
fermentation helps to preserve and enhance the nutritional
value of foods and beverages. The research underway currently
is to assess the potential of fruit species which have been
explored by the food industries to meet the growing needs
of the ever-increasing consumer market for several fruits by-
products including wines.
A wide variety of analytical techniques have been standardized
for characterizing various foodstuffs mainly wine, honey, tea,
olive oil, and juices. Simultaneously, consumer preferences for
wine selection depend on several properties such as pleasant
color, taste, aroma, ecological production, guaranteed origin,
quality, and sensory perceptions offered by the complex
combinations of hundreds of components present in wine.[35]
No food or beverage is worth producing, distributing, or
marketing without having an approximate idea that its
sensory quality is accepted by consumers.[36] Apart from
grapes, there are many other fruits available that can be
used as substrates for winemaking. Among various fruits,
grapes are the most technically and commercially used as
substrates for winemaking. The impact of the model plant
grape is relevant, and hence, genetic and molecular studies
on this plant species have been proved to be very successful
in winemaking.[37] According to the routine definition, wine is
a fermented beverage produced from grapes only. Otherwise,
wine is given the prefix of the fruit from which it originates.
Today, a big variety of fruits which differ in shape, color, taste,
and nutritive value are available in the market and many are
utilized widely for the production of fermented beverages.
Wine consists of a diverse commodity class composed of the
yeast fermentation products of must (or fruit juice). Wine is a
fruit product, but fermentation produces a variety of chemical
changes in the must and so wine is far from being juice with
ethanol added. Both clinical and experimental evidence suggest
that moderate consumption of red wine offers greater protection
to health by reducing cardiovascular morbidity and mortality
and this is attributed to antioxidant polyphenolics other than
alcohol which is found particularly in red grape wine.[38,39]
The phenolic acids can scavenge free radicals and quench
reactive oxygen species and therefore provide effective means
of preventing and treating free radical-mediated diseases.[40]
Furthermore, wine polyphenols can lead to the modulation of
both oral and gut microbiota.[41]
According to Robinson,[42] the process of fermentation in
wine is the catalyst function that turns fruit juice into an
alcoholic beverage. To Walker,[43] this organic process is the
“slow decomposition process of organic substances induced
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by microorganisms or by complex nitrogenous substances
(enzymes) of plant or animal origin. During fermentation, yeast
interacts with sugars in the juice to create ethanol, commonly
known as ethyl alcohol and carbon dioxide as a by-product. In
winemaking, the temperature and speed of fermentation are an
important consideration as well as the levels of oxygen present
in the must at the start of the fermentation.[44] Fermentation
does not necessarily have to be carried out in an anaerobic
environment. For example, even in the presence of abundant
oxygen, yeast cells greatly prefer fermentation to oxidative
phosphorylation, as long as sugars are readily available for
consumption.[45]
Sugars are the most common substrate of fermentation, and
typical examples of fermentation products are ethanol, lactic
acid, and hydrogen.[46] However, more exotic compounds
can be produced by fermentation, such as butyric acid and
acetone.[1] Yeast carries out fermentation in the production
of ethanol in beers, wines, and other alcoholic drinks,
along with the production of large quantities of carbon
dioxide.[47] Fermentation products contain chemical energy
but are considered waste products, since they cannot be
metabolized further without the use of oxygen or other more
highly oxidized electron acceptors. The consequence is that
the production of adenosine triphosphate by fermentation is
less efficient than oxidative phosphorylation, whereby pyruvate
was fully oxidized to carbon dioxide. Juice temperature must
be warm for fermentation. However, yeast cells will die if
temperature is too hot.[42]
Ethanol fermentation performed by yeast and some types of
bacteria break the pyruvate down into ethanol and carbon
dioxide. It is an important thing in bread making, brewing,
and winemaking. Usually, only one of the products is desired;
in bread-making, the alcohol is baked out, and in alcohol
production, the carbon dioxide is released into the atmosphere
or used for carbonating the beverage. When the ferment has
a high concentration of pectin, minute quantities of methanol
can be produced.[48]
Hydrogen gas can be produced in many types of fermentation
(mixed acid fermentation, butyric acid fermentation,
caproate fermentation, butanol fermentation, and glyoxylate
fermentation), as a way to regenerate NAD+ from NADH.
Electrons are transferred to ferredoxin, which in turn is
oxidized by hydrogenase, producing H2. Hydrogen gas is a
substrate for methanogens and sulfate reducers, which keep
the concentration of hydrogen sufficiently low to allow the
production of such an energy-rich compound.[16] However,
in the case of some fruit juice, a risk factor involved with
fermentation is the development of chemical residue and
spoilage, which can be corrected with the addition of sulfur
dioxide (SO 2), although excess SO 2 can lead to a wine
fault.[49]
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 Saranraj, et al.: Fermentation of Fruit wine
There are many fermented drinks made from fruit in Africa,
Asia, and Latin America. These include drinks made from
bananas, grapes, and other fruits. Grape wine is perhaps the
most economically important fruit juice alcohol.[50] It is of
major economic importance in Chile, Argentina, South Africa,
Georgia, Morocco, and Algeria. Due to the commercialization
of the product for industry, the process has received most
research attention and is documented in detail. Banana beer is
probably the most widespread alcoholic fruit drink in Africa
and is of cultural importance in certain areas. Alcoholic fruit
drinks are made from many other fruits including dates in North
Africa, pineapples in Latin America, and jack fruits in Asia.[51]
White grape wine is an alcoholic fruit drink between 10%
and 14% alcoholic strength. This prepared from the fruit
of the grape plant and is pale yellow in color.[52] There are
many varieties used including Airen, Chardonnay, Palomino,
Sauvignon Blanc, and Ugni Blanc. The main difference
between red and white wines is the early removal of grape
skins in white wine production. The distinctive flavor of grape
wine originates from the grapes as raw material and subsequent
processing operations. The grapes contribute trace elements
of many volatile substances which give the final product the
distinctive fruity character.
In the case of cashew, the apples are cut into slices to ensure a
rapid rate of juice extraction when crushed in a juice press. The
fruit juice is sterilized in stainless steel pans at a temperature of
85°C to eliminate wild yeast.[53] The juice is filtered and treated
with either sodium or potassium metabisulfite to destroy or
inhibit the growth of any undesirable types of microorganisms
acetic acid bacteria, wild yeasts, and molds. Wine yeast (S.
cerevisiae var ellipsoideus) was added. Once the yeast was
added, the contents are stirred well and allowed to ferment
for about 2 weeks.[54]
After fermentation was completed, the wine is separated from
the sediment by racking. It can also be clarified further using
fining agents such as gelatin, pectin, or casein which are mixed
with the wine. Filtration can be carried out with filter aids such
as fuller’s earth after racking. The wine was then pasteurized
at 50°C–60°C. The temperature should be controlled, so as
not to heat it to about 70°C, since its alcohol content would
vaporize at a temperature of 75°C–78°C.[55] It is then stored in
wooden vats and subjected to aging. At least 6 months should
be allowed for aging. If necessary, wine is again clarified
before bottling. During aging and subsequent maturing in
bottles, many reactions, including oxidation, occur with the
formation of traces of esters and aldehydes, which together
with the tannin and acids already present to enhance the taste,
aroma, and preservative properties of the wine.[56]
Date wines are popular in Sudan and North Africa.[57] They are
made using a variety of methodologies. “Dakhai” is produced
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by placing dates in a clean earthenware pot. For every 1 volume
of dates, between 2 and 4 volumes of boiling water are added.
This is allowed to cool and is then sealed for 3 days. More
warm water is then added and the container sealed again for
7–10 days. Many variations of date wine exist: “El madfuna”
is produced by burying the earthenware pots underground.
“Benti merse” is produced from a mixture of sorghum and
dates. “Nebit” is produced from date syrup.[57]
Sparkling grape wines are made in the Republic of South
Africa.[58] Sparkling wines can be made in one of three ways.
The cheapest method is to carbonate wines under pressure.
Unfortunately, the sparkle of these wines quickly disappears,
and the product was considered inferior to the sparkling wines
produced by the traditional method of secondary fermentation.
This involves adding a special strain of wine yeast (S.
cerevisiae var ellipsoideus) - a champagne yeast to wine that
has been artificially sweetened. Carbon dioxide produced by
fermentation of the added sugar gives the wine its sparkle. In the
original champagne method, which is still widely used today,
this secondary fermentation is carried out in strong bottles,
capable of withstanding pressure, but early in the 19th century,
a method of fermenting the wine in closed tanks was devised,
this being considerably cheaper than using bottles.[58]
Jackfruit wine is an alcoholic beverage made by ethnic groups
in the eastern hilly areas of India.[59] As its name suggests, it is
produced from the pulp of jackfruit (Artocarpus heterophyllus
L.). Ripe fruit is peeled and the skin discarded. The seeds are
removed and the pulp soaked in water. Using bamboo baskets,
the pulp is ground to extract the juice, which is collected in
earthenware pots. A little water is added to the pots along with
fermented wine inoculums from a previous fermentation. The
pots are covered with banana leaves and allowed to ferment
at 18°C–30°C for about 1 week. The liquid is then decanted
and drunk.[59]
FACTORS INFLUENCING
FERMENTATION AND WINE QUALITY
Effect of Temperature on Fermentation
To avoid contamination and unpleasant odors in wine,
everything that comes in contact with the wine must be very
clean. This is, especially, critical when cleaning the fermenting
vessel. Just as, there are weeds in the garden, so there are weeds
in wines. There are microorganisms that feed on alcohol and
cause a poor flavor.[60] Vinegar bacilli will change the sugar to
vinegar. Molds give a stale flavor. To prevent these unwelcome
intruders, cleanliness is the only answer. An effective agent is
sal soda (sodium carbonate).
Baking soda is fairly effective if given time to work. Either
of these agents will remove odors and flavors from the
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 Saranraj, et al.: Fermentation of Fruit wine
containers.[56] All these chemicals may reduce the wine quality
if the right quantities are not added. To avoid this situation,
fruit juice for fermentation can be sterilized in stainless steel
pans at a temperature of 85°C to eliminate wild yeast after
extraction. The juice is filtered and treated with either sodium
or potassium metabisulfite to destroy or inhibit the growth of
any undesirable types of microorganisms acetic acid bacteria;
wild yeasts and molds.[42] Furthermore, increasing temperatures
above 60°C may kill wild yeast and other microorganisms.[61]
During fermentation, there are several factors that winemakers
take into consideration. The most notable is that of the
internal temperature of the must.[44] The biochemical process
of fermentation itself creates a lot of residual heat which can
take the must out of the ideal temperature range for the wine.[54]
Thus, fermentation is an exothermic process. However, in
winemaking, the temperature must not exceed 29.4°C for
red wines or 15.3°C for white wines. Otherwise, the growth
of yeast cells will stop. Therefore, a lower temperature is
desirable because it increases the production of esters, other
aromatic compounds, and alcohol itself. This makes the wine
easier to clear and less susceptible to bacterial infection.[60] In
general, temperature control during alcoholic fermentation is
necessary to facilitate yeast growth, extract flavors and colors
from the skins, permit accumulation of desirable by-products,
and prevent undue rise in temperature that might kill the yeast
cells. The low temperature and slow fermentation favor the
retention of volatile compounds.[27]
Typically, white wine is fermented between 64°F and 68°F
(18°C–20°C) though a winemaker may choose to use a
higher temperature to bring out some of the complexity of the
wine.[62] Red wine is typically fermented at higher temperatures
up to 85°F (29°C). In most cases, fermentation at higher
temperatures may have adverse effect on the wine in stunning
the yeast to inactivity and even “boiling off” some of the flavors
of the wines. Some winemakers may ferment their red wines
at cooler temperatures more typical of white wines to bring
out more fruit flavors.[63]
Yeasts are active in a very broad temperature rangeing from 0°C
to 50°C, with an optimum temperature range of 20°C–30°C.[50]
The temperature of fermentation is usually from 25°C to 30°C,
this makes yeast an important microorganism for fermentation.
White wines are fermented at 10°C–18°C for about 7–14 days.
The low temperature and slow fermentation favor the retention
of volatile compounds. Red wines are fermented at 20°C–30°C
for about 7–14 days. This higher temperature is necessary to
extract the pigment from the grape skins.[64] With reference
to other organisms, different bacteria can tolerate different
temperature which provides enormous scope for a range of
fermentation. While most bacteria have a temperature optimum
of between 20°C and 30°C, there are some thermophiles which
prefer higher temperatures (50°C–55°C) and those with colder
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temperature optima (15–20°C). Most lactic acid bacteria
work best at temperatures of 18°C–22°C. The Leuconostoc
sp. which initiate fermentation has an optimum temperature
of 18°°C–22°C. The temperatures above 22°C favor the
Lactobacillus sp.[8] As soon as the desired degree of sugar
disappearance and alcohol production has been attained, the
microbiological phase of winemaking is over.[65] The wine was
then pasteurized at 50°C–60°C. The temperature should be
controlled so as not to heat it to about 70°C, since its alcohol
content would vaporize at a temperature of 75°C–78°C.[66]
Effect of pH on Fermentation
According to Fleet,[27] pH directly affects wine stability. This
may be as a result of the fact that at a pH close to neutral
(7.0), most microorganisms such as bacterial and molds
including some yeasts become more active for fermentation
and subsequent spoilage of wine, while pH below 3.5
eliminates most of the microbes and favors only a few of the
microorganisms for fermentation. Specifically, the optimum
pH for most microorganisms is near the neutral point (pH 7.0).
Molds and yeasts are usually low pH tolerant and are therefore
associated with the spoilage of foods with low pH. Yeasts can
grow in a pH range of 4–4.5 and molds can grow from pH 2–8.5
but favor low pH.[50] A solution pH is the measure of hydrogen
ions (H+), concentration of an acid solution such as pineapple
and grape juice or wine, or conversely, the concentration of
hydroxyl ions (OH-) in alkaline solution such as lye. As the
numerical value of the hydrogen ions (H+) concentration is
often extremely small fraction (1 × 10−7), the pH unit was used
to express this concentration. A pH unit has been expressed as
the negative logarithm of the hydrogen ion (H+) concentration,
and it was determined by a pH meter.[67]
From the pH scale, the lower the pH value, the higher the
concentration of H+ ions, the higher the degree of acidity, thus
there is an inverse relationship between decreasing pH value
and increasing H+ ions concentration. For example, a wine at
a pH of 3.0 is 10 times more acidic than a wine at a pH of 4.0,
thus there is a ten-fold change in acidity.[68]
The traditional process of fermentation involves extracting
fruits juice and adjusting the pH to 4.0 using sodium
bicarbonate and adding yeast nutrient (ammonium phosphate)
at 0.14 g/l.[59] For example, during fermentation of fruit juice,
reductions of soluble solids are possible from pH between 7.4
and 3.5 to 4.0 in worm fermentation.[22] A pH level of 4.0 may
be conducive for the development of unwanted microbes like
Leuconostoc oenos, and this can be prevented by controlling
the pH by reducing the wine pH to below 3.2.[48] According
to Rotter,[69] most fining and clearing agents such as Earths:
Bentonite and Kaolin; Proteins: Gelatine, Isinglass, Casein,
Pasteurized milk, Albumen, and Yeast; Polysaccharides:
Alginate, Gum arabic and Carbons; Synthetic polymers: PVPP,
Silica gel and Tannins; and Others: Metal chelators, Blue fining
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 Saranraj, et al.: Fermentation of Fruit wine
and Enzymes are more effective in clearing the wine when the
pH was below 3.5.
The pH plays an important role in aging, clarifying,
or fining. As the strength of the relative charge of
suspended particles decreases in the wine, the pH of the
wine increases. At high pH, organic protein fining agents
may possess a positive charge insufficient to bind to the
negatively charged particulates, thus potentially increasing
the turbidity of the wine. This phenomenon is called “over
fining.”[70]
Effect of Sugar Content on Fermentation
Sugar is the main substrate for fermentation of fruits juice into
alcohol.[44] Although other food nutrients such as protein and
fats can be broken down by some microorganism in some cases
where sugar is limited, as long as sugar is present, yeast cells
will continue the process of fermentation until other factors that
affect the growth of yeast become unfavorable.[7] According
to Hui et al.,[71] sugars are the most common substrate of
fermentation to produce ethanol, lactic acid, and carbon
dioxide.
Although sugar is an important substrate of fermentation, higher
sugar concentration inhibits the growth of microorganisms.[72]
For example, during fermentation of the juices of the plant
(Agave americana), the soluble solids should be at the optimum
and should be reduced from between 25% and 30% to 6%; the
sucrose content falls from 15% to 1%.[59] However, yeasts are
fairly tolerant of high concentrations of sugar and grow well
in solutions containing 40% sugar. At concentrations higher
than this, only a certain group of yeasts - the Osmophilic type
- can survive. There are only a few yeasts that can tolerate
sugar concentrations of 65–70% and these grow very slowly in
these conditions.[73] A winemaker who wishes to make a wine
with high levels of residual sugar (like a dessert wine) may
stop fermentation early either by dropping the temperature of
the must to stun the yeast or by adding a high level of alcohol
(like brandy) to the must to kill off the yeast and create a
fortified wine.[74]
Effect of Microorganisms on Fermentation
For many traditional fermented products, the microorganisms
responsible for the fermentation are unknown to scientists.
However, there have been several researches to identify the
microorganisms involved in fruits fermentation. For example,
the microorganism responsible for banana beer production
is S. cerevisiae, which is the same organism involved in the
production of grape and other fruit wine. These organisms vary
according to the region of production.[75]
Yeast is a unicellular fungus which reproduces asexually by
budding or division, especially the genus Saccharomyces
which is important in food fermentations has the ability to
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reproduce much faster.[43] Yeasts and yeast-like fungi are
widely distributed in nature. They are present in orchards
and vineyards, in the air, the soil, and the intestinal tract of
animals. Like bacteria and molds, they can have beneficial
and non-beneficial effects in foods. Most yeast strains are
larger than most bacteria. The most well-known examples of
yeast fermentation are in the production of alcoholic drinks
and the leavening of bread. For their participation in these
two processes, yeasts are of major importance in the food
industry. Some yeast strains are chromogenic and produce a
variety of pigments, including green, yellow, and black. Others
are capable of synthesizing essential B group vitamins.[76]
Although there is a large diversity of yeasts and yeast-like
fungi (about 500 species), only a few are commonly associated
with the production of fermented foods. They are all either
ascomycetous yeasts or members of the genus Candida.
Varieties of the S. cerevisiae genus are the most common
yeasts in fermented foods and beverages based on fruit and
vegetables. All strains of this genus ferment glucose and many
ferment other plant-derived carbohydrates such as sucrose,
maltose, and raffinose.
In the tropics, Saccharomyces pombe is the dominant yeast in
the production of traditional fermented beverages, especially
those derived from maize and millet.[77] Brewer’s yeast,
S. cerevisiae var ellipsoideus and Saccharomyces uvarum
are very common in the brewery and the wine industry.
These yeasts are the microorganisms that are responsible for
fermentation in beer and wine.[44] Yeast metabolizes the sugars
extracted from grains and fruits, which produces alcohol and
carbon dioxide, and thereby turns wort into beer and fruits
into wine, respectively. In addition to fermenting the beer
and wine, yeasts influence the character and flavor.[78] The
dominant types of yeast used in fermenting alcoholic beverages
are the Saccharomyces sp. For example, to make beer, the ale
yeast (S. cerevisiae) and lager yeast (Saccharomyces uvarum)
are used, while in wine, S. cerevisiae var ellipsoideus and
S. cerevisiae may be used.[44] Other microorganisms used
in fermentation wine and beer may include: Brettanomyces
species for lambics,[6] and Torulaspora delbrueckii for Bavarian
Weissbier.[71] Before the role of yeast in fermentation was
understood, fermentation involved wild or airborne yeasts.
A few styles such as lambics rely on this method today, but
most modern fermentation adds pure yeast.[18]
The most common genera of wild yeasts found in winemaking
include Candida sp., Hanseniaspora sp., Metschnikowiaceae
sp., Pichia sp., and Zygosaccharomyces sp. Wild yeasts can
produce high quality, unique flavored wines; however, they
are often unpredictable and may introduce less desirable
traits to the wine and can even contribute to spoilage. [44]
Traditional winemakers, particularly in Europe, advocate
the use of ambient yeast as a characteristic of the region’s
terroir; nevertheless, many winemakers prefer to control
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 Saranraj, et al.: Fermentation of Fruit wine
fermentation with predictable cultured yeast. The cultured
yeasts most commonly used in winemaking belong to the S.
cerevisiae (also known as “sugar yeast”) species. Within this,
species are several hundred different strains of yeast that can
be used during fermentation to affect the heat or vigor of the
process and enhance or suppress certain flavor characteristics
of the wine. The uses of different strains of yeasts are a major
contributor to the diversity of wine, even among the same grape
variety.[18] According to Saranraj and Stella[10] mixture of yeast
thus dual culture (Torulaspora delbrueckii and S. cerevisiae)
can be used to produce a complex fruit wine from pineapple.
Yeast, in general, has a natural protein removal effect during
fining or clearing. It is also sometimes used in the dried (and
dead) form to remove copper sulfate, ethyl acetate, browning,
oxidation, and excess oak that may be associated with cloudy
wine.[69] Doses commonly recommended are 240–1000 mg/L.
It is important to rack the wine soon after yeast fining to avoid
reductive aromas.[69] According to Madigan and Martinko,[79]
homolactic fermentation can occur in some kinds of bacteria
(such as Lactobacilli) and some fungi. It is this type of bacteria
that converts lactose into lactic acid in yoghurt, giving it
its sour taste. These lactic acid bacteria can be classed as
homofermentative, where the end product is mostly lactate or
heterofermentative, where some lactate is further metabolized
and results in carbon dioxide, acetate, or other metabolic
products.[21,80]
Bacteria may not always be bad in fermentation; this is because
to clarify the wine, the fermented juice maybe transferred into
a settling vat, or if made on a smaller scale, into a demijohn.[81]
In these, suspended yeast cells, cream of tartar and particles
of skin and pulp settle to the bottom of the container. As the
yeast cells break down within the precipitate, they stimulate
the growth of Lactobacillus sp. that converts the wine’s malic
acid into lactic acid. This process is, especially, important in
wines made from highly acidic grapes because lactic acid was
a weaker acid than malic acid (bacteria decarboxylate malic
acid, thus removing the acidic carboxyl group), and therefore,
it mellows the wine’s taste.[82]
Effect of Acid on Fermentation
Acid is said to directly affect wine quality, but wine owes
its acid composition to citric acid, tartaric acid, and some
traces of other acids like lactic acid which replaces malic acid
during malolactic fermentation. These acids in fruits juice
or wine can be determined by titration.[31,83] Fruit acids are
weak acids compared to strong mineral acids such as sulfuric
and hydrochloric. In solution, strong acids tend to yield their
hydrogen ion (H+) component nearly completely; weak acids
dissociate only about 1% of their hydrogen ion. Thus, such
acid solutions like fruit wine have more hydrogen ions (H+)
than hydroxyl ions (OH-). As hydrogen ion concentration
increases, the solution becomes more unfavorable for most
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microorganisms associated with spoilage of wine and acidic
foods. However, some molds and yeasts which are needed
in the fermentation of fruit juice into wine are usually
acid tolerant, and therefore, they are very important in the
production of dry wine (wine with a very low or no sugar).[50]
Wines produced from grapes grown in colder climates tend
to have a higher concentration of malic acid and a lower pH
(3.0–3.5) and the taste benefits from this slight decrease in
acidity. Wines produced from grapes in warmer climates tend
to be less acidic (pH > 3.5) and a further reduction in acidity
may have adverse effects on the quality of the wine. Decreasing
the acidity also increases the pH to values which can allow
spoilage organisms like Leuconostoc oenos to multiply to
embark on malolactic fermentation.[84] During fermentation of
palm sap, within 24 h, pH can be reduced from 7.4 to 6.8 to
5.5 and the alcohol content ranges from 1.5% to 2.1%. Within
72 h, the alcohol level increases from 4.5% to 5.2% and the
pH = 4.0. Organic acids present are lactic acid, acetic acid,
and tartaric acid.[85]
During fermentation, the pH of the wine reaches a value of
3.5–3.8, suggesting that an acidic fermentation takes place
at the same time as the alcoholic fermentation. Final alcohol
content was about 7–8% within a fortnight.[51] Fruit juices often
have all that yeast needs all by themselves. Notably, grape juice
is a favorite, as it has the acids, tannins, and sugars needed.
Apple juice stands on its own quite well too. Other juices may
need acids (not only for the yeast but also for flavor), and
many commonly need tannins to be added. Yeasts are very
hardy microorganisms that will get by with most fruits sugar
and juices in fermentation. They can even work on plain white
sugar so far as the right acid and nutrient blend are available,
although this is difficult to do by most microorganisms. Acids
present in wine enhance the taste, aroma, and preservative
properties of the wine.
INDIAN WINE MARKET
Wine Production
In India, the three major wine producing regions are
Maharashtra, Karnataka, and Himachal Pradesh. Of these,
Maharashtra is the largest producer and consumer of wine.
After a decade of steady growth from 2000 to 2010, India’s
wine production dropped from 13.0 million liters (ML) in
2010 to 11.0 ML in 2011 and improved slightly in 2012 to
11.5 ML (1.3 million cases).[86,87] FAS Mumbai forecasted
the availability of Indian wine production at a record 17.3
ML in 2014 and excluding fortified wine; the production
was recorded as 14.2 ML. The wine production estimates of
Maharashtra and Karnataka is 14.2 ML (1.58 million cases)
in 2014, as cooler temperatures during February and March
improved grape yields and quality. The expanded production
of key wineries has steadily raised the production of Karnataka
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 Saranraj, et al.: Fermentation of Fruit wine
and was estimated at 5 ML (555,000 cases), a jump of 1.3 ML
(145,000 cases) from the previously.[88]
The decrease in wine production was mainly due to growers
switching to table grapes and other crops, change in consumers
drinking habit, drop in tourism, high land cost and state level
land ceiling, wine policies, and rupee devaluation. Even with
all these obstacles, the governments of Maharashtra and
Karnataka have supported domestic wine industries by relaxing
excise duties on local wines, easing distribution restrictions
and providing fiscal incentives to establish wineries and
vineyards, and imposing excise taxes on imported and wines
from other states. Especially, Maharashtra has eased the license
requirements and regulations for establishing wineries and
wine retail outlets and established two wine industrial parks
to facilitate investment in the industry.[89]
Wine Consumption
India ranks 77th in terms of world wine consumption. The
per capita consumption in India is only 0.07 L/person/year.
The country accounts for 0.8% of the total wine consumed
in Asia. In India, 80% of wine consumption is confined to
major cities such as Mumbai (39%), Delhi (23%), Bengaluru
(9%), and Goa (9%).[90] Major factors adding to the higher
wine consumption are growing population, higher disposable
incomes, relaxation on government regulation, and policies.
Red wine is the most popular type of wine consumed in India,
followed by white and rose wines. The consumption pattern of
wine varieties is as follows: Red wine accounting for 45% of
consumption, followed by white wine at 40%, sparkling wine
at 10–15%, and rosé at 1–5%. There was an increase of 16.3%
wine consumption between 2012 and 2013. More than 61% of
wine consumption is of red category and is expected to grow
by 71.6% between 2013 and 2017. In 2013, it was reported that
0.93 million cases of Indian wines were consumed as against
to 0.28 million cases of imported wines.[91] Wine consumption
appeared to be nil from 2000 to 2002 and improved slightly in
a progressive manner from 2003, dropped in 2009, and slightly
improved in 2010, and then, the consumption levels reached
gradually to 15 ML in 2014.[92]
According to the reports of All India Wine Associations,
Indian wine consumption is expected to rise at a CAGR of
around 18% during 2014–2015. The forecast of Vinexpo
survey reveals that consumption of wine in India is expected
to reach 2.1 million cases by 2017, an increase of 73% from
2013. Indians will consume 1.15 million cases of red wine,
0.63 million cases of white wine, and 0.10 million cases of
rose wine by 2017. According to the IWSR, wine consumption
in India is expected to grow gradually and could reach 2.4
million cases by 2020.[93] Wine tourism will play a pivotal role
in changing the market trends of Indian wine industry in the
near future. In India, wine tourism has emerged as the latest
trend as is gaining significant momentum in creating economic
Available at www.aujst.com
opportunities in rural communities and the government should
provide favorable government policies to make wine tourism
a populous one.
Wine Exports
Cabernet Sauvignon, Sauvignon Blanc, and Chenin Blanc are
the export quality wines to raise the stature of Indian wine in
the global market. China, Singapore, Japan, Nepal, and Bhutan
are the potential markets for Indian wines and are gaining
greater acceptance in US and France also. At present, Indian
wines are largely being imported by Malaysia, UAE, Bhutan,
Germany, UK, Sri Lanka, Maldives, and New Zealand. There
was a modest rebound of 2.6 ML in Indian wine exports during
2010 and had reached 739,000 L (2100 cases) in 2012. The
country’s wine export was accounted for about Rs. 80–100
crores and is expected to increase by Rs. 500 crores in the next
5 years.[94] India has the potential to become one of the major
exporters of wine not only in Asia but also the world because
of innovativeness in wine quality and marketing. According
to the data of Ministry of Commerce, wine exports in 2013
were approximately 1.8 ML valued at nearly US $7 million.
In the first 7 months of 2014, exports have increased by 20%,
especially for sweeter wines to Bhutan and Vietnam, and export
sales have grown by almost 40% by value compared to 2013
and have reached nearly US $ 4.4 million.[88]
Wine Imports
Current Indian reported trade data suggest that the top three
wine suppliers to India are France, Australia, and Italy and
wine imports from “New World” wine countries are growing,
especially for Australian, American, South African, and New
Zealand products, while imports from France and Italy have
fallen.[54] After the setbacks of 2001 and 2008 due to the ban
on imported wines and Mumbai terror attacks, there was a
huge drop in Indian wine imports. Sales of imported wine
are through hospitality (63%) and retail (30%) sectors, the
two major marketing segments.[95] There was an increase in
wine imports since 2009 and reaching a high of 44,000 hL
in 2011 and are on pace to match that level in 2012.[61] The
Indian Ministry of Commerce reports the wine imports in 2013
equaled nearly 4 ML and totaled almost US $25 million. In the
1st 7 months of 2014, imports were just over 1.7 ML and have
totaled just over US $10 million. In comparison with the first
7 months of 2013, import volumes and values were down by
over 27% and 28%, respectively. Lower domestic production
and persistent promotion efforts appear to be yielding results
for imported wines.[5]
CONCLUSION
Fruits both in fresh as well as in processed form not only
improve the quality of our diet but also provide essential
ingredients such as vitamins, minerals, and carbohydrates.
94
 Saranraj, et al.: Fermentation of Fruit wine
Fruit wines are undistilled alcoholic beverages usually made
from grapes or other fruits such as peaches, plums, or apricots,
banana, elderberry, or black current which are nutritive,
more tasty, and mild stimulants. Being fruit-based fermented
and undistilled product, wine contains most of the nutrients
present in the original fruit juice. The nutritive value of wine is
increased due to the release of amino acids and other nutrients
from yeast during fermentation.
Today, wines can be made from any fruit other than grape, and the
present review is a compilation of studies on wine preparation
from assorted fruits. Research reports surveyed, in this review,
demonstrated that wine could be prepared from nutritionally
diverse, highly perishable, underutilized tropical, subtropical,
or temperate fruits, thereby helping efforts to increase shelf
life by reducing post-harvest and production losses, improve
nutritional value of fruits, increase consumption and export,
increase cultivation and commercialization of fruits as well as
to generate profits to growers and the existing wine industry.
Although during the last few years, remarkable progress has
been made in wine biotechnology, particularly in wine yeast
improvement, development of genetically modified yeast, and
lowering alcohol concentration in wine, most studies have been
carried out on grape wine rather than on non-grape fruit wines.
However, progress made to date and anticipated advances
toward improving aroma volatiles using improved yeast strains,
detailed chemometric analysis, reduction in alcohol content, in
vitro and in vivo evaluation of bioactive compounds offering
health benefits, and sensory evaluation should lead to wider
commercialization of non-grape fruit wines, thus contributing
more to the economy of the wine industry.
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97
 Australian Journal of Science and Technology
ISSN Number (2208-6404)
Volume 1; Issue 2; December 2017

Case Report

Frequent nearer terms of molecular adjuvants: A case report

Konda Mani Saravanan1, Harshavardhan Shakila2
1
Centre of Advanced Study in Crystallography and Biophysics, University of Madras, Guindy Campus, Chennai, Tamil Nadu,
India, 2Department of Molecular Microbiology, School of Biotechnology, Madurai Kamaraj University, Madurai, Tamil Nadu,
India

ABSTRACT
Literature search is an effective process to display summarized knowledge of particular domain. Availability of large biomedical bibliographic
database like PubMed prompted us to perform text mining about the research area we are working on. Since our research group is working on
developing molecular vaccine adjuvants, we performed a systematic literature search and found ninety frequent nearer terms of our domain.
In this article, we discuss the frequent nearer terms of the keyword “molecular adjuvants” and explored the results obtained.
Keywords: Drug design, immune system, molecular adjuvants, text mining, vaccine design
Submitted: 03-11-2017,  Accepted: 21-11-2017,  Published: 29-12-2017

CASE REPORT Considering the above facts, we have performed a systematic

Preventing deadly diseases using vaccines is one of the
most powerful technologies in protecting human health
care.[1] Designing effective vaccines for certain diseases such
as tuberculosis and human immunodeficiency virus infections
has been failed due to incorrect targeting of antigens into the
immune cells.[2-5] The problem of targeting of antigens into
the immune system can be attributed by molecular adjuvants.
Molecular adjuvants are non-antigen components which carry
and deliver the vaccine to the immune system to increase the
effectiveness of specific antigens.[6-15] The first vaccine adjuvant
“aluminum salts” are approved by food and drug administration,
the United States in 1930, and other few molecules have
been approved later for human use.[16,17] The interest in the
identification of molecular adjuvants has been rapidly increased
due to the need for developing better vaccines which can be
attributed by adding proper molecular adjuvants.[18] In the recent
years, biological text mining from peer-reviewed literature has
provided valuable insights into the scientific discoveries and
managing health-related issues.[19] In addition, the availability
of PubMed database leads one to explore large biomedical
literature for effective knowledge management.[20,21]
search on PubMed, a medical bibliographic database with
the keyword “Molecular Adjuvants” which resulted in 9692
hits. Further, we have identified frequent nearer terms of the
domain (here, the domain is molecular adjuvants) from the
9692 PubMed abstracts, and the results are shown in Table 1.
There are ninety frequent nearer terms found in PubMed
abstracts which are ranked by the PubMed Ranker tool. The
PubMed Ranker tool ranks the frequent nearer terms based on
the score.[22] The top five nearer terms such as alum, vaccine,
immunogenicity, vaccination, and immunization, respectively,
clearly indicate that the molecular adjuvants play a vital role
in the immune system. The terms such as influenza, cancer,
and tumor, respectively, are observed and represent that the
reports are available in the literature about the use of molecular
adjuvants in the above diseases.
Interestingly, the term complement receptor is found as
frequent nearer term of molecular adjuvants. In our previous
work, we have shown that the molecular adjuvants present in
our body interact with complementary receptors to facilitate
the development of effective immune response.[23] The binding
efficiency of molecular adjuvants (IgGFc, GMCSF, and C3d)

Address for correspondence: Dr. Harshavardhan Shakila, Department of Molecular Microbiology, School of Biotechnology, Madurai
Kamaraj University, Madurai - 625 021, Tamil Nadu, India. E-mail: mohanshakila.biotech@mkuniversity.org

Available at www.aujst.com 98
 Saravanan and Shakila: Nearer terms of molecular adjuvants

Table 1: Frequent nearer terms of the domain REFERENCES

“Molecular Adjuvants”
Alum Safety Stimulation 1. Weiss RA, McMichael AJ. Social and environmental risk factors
in the emergence of infectious diseases. Nat Med 2004;10:70-6.
Vaccine Induction Survival
2. De Groot AS, Berzofsky JA. From genome to vaccine-
Immunogenicity Virus Activation new immunoinformatics tools for vaccine design. Methods
Vaccination Production Skin 2004;34:425-8.
Immunization Infection Effect 3. Burton DR, Desrosiers RC, Doms RW, Koff WC, Kwong PD,
Moore JP, et al. HIV vaccine design and the neutralizing antibody
Toll Strategy Ability problem. Nat Immunol 2004;5:233-6.
Immunotherapy Injection Tumor 4. Zepp F. Principles of vaccine design-lessons from nature. Vaccine
Immunity Trial Serum 2010;28:14-24.
5. Rappuoli R. Bridging the knowledge gaps in vaccine design. Nat
Titer Administration Protein
Biotechnol 2007;25:1361-6.
Influenza Particle Capacity 6. Olafsdottir T, Lindqvist M, Harandi AM. Molecular signatures
Balb Host Resistance of vaccine adjuvants. Vaccine 2015;33:5302-7.
Formulation Novel Compound 7. Mosca F, Tritto E, Muzzi A, Monaci E, Bagnoli F, Iavarone C,
et al. Molecular and cellular signatures of human vaccine
Antigen Combination Property adjuvants. Proc Natl Acad Sci 2008;105:10501-6.
Protection Lymphocyte Post 8. Alving CR, Peachman KK, Rao M, Reed SG. Adjuvants for
Interferon Bacterium Therapy human vaccines. Curr Opin Immunol 2012;24:310-5.
9. O’Hagan DT, MacKichan ML, Singh M. Recent developments
Cytokine Inflammation Disease
in adjuvants for vaccines against infectious diseases. Biomol
Candidate Lipid Model Eng 2001;18:69-85.
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 Saravanan and Shakila: Nearer terms of molecular adjuvants

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