Exploration of Novel Organic Reactions Catalyzed by Nucleophilic Heterocyclic Carbenes (NHCs)

The thesis entitled “Exploration of Novel Organic Reactions Catalyzed by Nucleophilic Heterocyclic Carbenes (NHCs)” embodies the results of the investigations carried out to explore the synthetic potential of N–heterocyclic carbenes (NHCs) as organocatalyst towards various electrophiles for the synthesis of heterocyclic and carbocyclic systems. Recent investigations in the generation of homoenolates by the addition of NHCs to conjugated aldehydes have made it possible to study the reactivity of this unique three carbon synthon.

Design and study of self-assembled functional organic and hybrid systems for biological applications

The focus of self-assembly as a strategy for the synthesis has been confined largely to molecules, because of the importance of manipulating the structure of matter at the molecular scale. We have investigated the influence of temperature and pH, in addition to the concentration of the capping agent used for the formation of the nano-bio conjugates. For example, the formation of the narrower size distribution of the nanoparticles was observed with the increase in the concentration of the protein, which supports the fact that γ-globulin acts both as a controller of nucleation as well as stabiliser. As analyzed through various photophysical, biophysical and microscopic techniques such as TEM, AFM, C-AFM, SEM, DLS, OPM, CD and FTIR, we observed that the initial photoactivation of γ-globulin at pH 12 for 3 h resulted in small protein fibres of ca. Further irradiation for 24 h, led to the formation of selfassembled long fibres of the protein of ca. 5-6 nm and observation of surface plasmon resonance band at around 520 nm with the concomitant quenching of luminescence intensity at 680 nm. The observation of light triggered self-assembly of the protein and its effect on controlling the fate of the anchored nanoparticles can be compared with the naturally occurring process such as photomorphogenesis.Furthermore,our approach offers a way to understand the role played by the self-assembly of the protein in ordering and knock out of the metal nanoparticles and also in the design of nano-biohybrid materials for medicinal and optoelectronic applications. Investigation of the potential applications of NIR absorbing and water soluble squaraine dyes 1-3 for protein labeling and anti-amyloid agents forms the subject matter of the third chapter of the thesis. The study of their interactions with various proteins revealed that 1-3 showed unique interactions towards serum albumins as well as lysozyme. 69%, 71% and 49% in the absorption spectra as well as significant quenching in the fluorescence intensity of the dyes 1-3, respectively. Half-reciprocal analysis of the absorption data and isothermal titration calorimetric (ITC) analysis of the titration experiments gave a 1:1 stoichiometry for the complexes formed between the lysozyme and squaraine dyes with association constants (Kass) in the range 104-105 M-1. We have determined the changes in the free energy (ΔG) for the complex formation and the values are found to be -30.78, -32.31 and -28.58 kJmol-1, respectively for the dyes 1, 2 and 3. Furthermore, we have observed a strong induced CD (ICD) signal corresponding to the squaraine chromophore in the case of the halogenated squaraine dyes 2 and 3 at 636 and 637 nm confirming the complex formation in these cases. To understand the nature of interaction of the squaraine dyes 1-3 with lysozyme, we have investigated the interaction of dyes 1-3 with different amino acids. These results indicated that the dyes 1-3 showed significant interactions with cysteine and glutamic acid which are present in the side chains of lysozyme. In addition the temperature dependent studies have revealed that the interaction of the dye and the lysozyme are irreversible. Furthermore, we have investigated the interactions of these NIR dyes 1-3 with β- amyloid fibres derived from lysozyme to evaluate their potential as inhibitors of this biologically important protein aggregation. These β-amyloid fibrils were insoluble protein aggregates that have been associated with a range of neurodegenerative diseases, including Huntington, Alzheimer’s, Parkinson’s, and Creutzfeldt-Jakob diseases. We have synthesized amyloid fibres from lysozyme through its incubation in acidic solution below pH 4 and by allowing to form amyloid fibres at elevated temperature. To quantify the binding affinities of the squaraine dyes 1-3 with β-amyloids, we have carried out the isothermal titration calorimetric (ITC) measurements. The association constants were determined and are found to be 1.2 × 105, 3.6× 105 and 3.2 × 105 M-1 for the dyes, 1-3, respectively. To gain more insights into the amyloid inhibiting nature of the squaraine dyes under investigations, we have carried out thioflavin assay, CD, isothermal titration calorimetry and microscopic analysis. The addition of the dyes 1-3 (5μM) led to the complete quenching in the apparent thioflavin fluorescence, thereby indicating the destabilization of β-amyloid fibres in the presence of the squaraine dyes. Further, the inhibition of the amyloid fibres by the squaraine dyes 1-3, has been evidenced though the DLS, TEM AFM and SAED, wherein we observed the complete destabilization of the amyloid fibre and transformation of the fibre into spherical particles of ca. These results demonstrate the fact that the squaraine dyes 1-3 can act as protein labeling agents as well as the inhibitors of the protein amyloidogenesis. The last chapter of the thesis describes the synthesis and investigation of selfassembly as well as bio-imaging aspects of a few novel tetraphenylethene conjugates 4-6.Expectedly, these conjugates showed significant solvatochromism and exhibited a hypsochromic shift (negative solvatochromism) as the solvent polarity increased, and these observations were justified though theoretical studies employing the B3LYP/6-31g method. We have investigated the self-assembly properties of these D-A conjugates though variation in the percentage of water in acetonitrile solution due to the formation of nanoaggregates. Further the contour map of the observed fluorescence intensity as a function of the fluorescence excitation and emission wavelength confirmed the formation of J-type aggregates in these cases. To have a better understanding of the type of self-assemblies formed from the TPE conjugates 4-6, we have carried out the morphological analysis through various microscopic techniques such as DLS, SEM and TEM. 70%, we observed rod shape architectures having ~ 780 nm in diameter and ~ 12 μM in length as evidenced through TEM and SEM analysis. We have made similar observations with the dodecyl conjugate 5 at ca. 70% and 50% water/acetonitrile mixtures, the aggregates formed from 4 and 5 were found to be highly crystalline and such structures were transformed to amorphous nature as the water fraction was increased to 99%. To evaluate the potential of the conjugate as bio-imaging agents, we have carried out their in vitro cytotoxicity and cellular uptake studies though MTT assay, flow cytometric and confocal laser scanning microscopic techniques. Thus nanoparticle of these conjugates which exhibited efficient emission, large stoke shift, good stability, biocompatibility and excellent cellular imaging properties can have potential applications for tracking cells as well as in cell-based therapies. In summary we have synthesized novel functional organic chromophores and have studied systematic investigation of self-assembly of these synthetic and biological building blocks under a variety of conditions. The investigation of interaction of water soluble NIR squaraine dyes with lysozyme indicates that these dyes can act as the protein labeling agents and the efficiency of inhibition of β-amyloid indicate, thereby their potential as anti-amyloid agents.

Molecular Epidemiology of Escherichia coli isolates from Environmental, Food and Clinical Sources

In the present study diversity of E. coli in the water samples of Cochin estuary were studied for a period of 3 years ranging from January 2010- December 2012. The stations were selected based on the closeness to satellite townships and waste input. Two of the stations (Chitoor and Thevara) were fixed upstream, two in the central part of the estuary namely Bolgatty and Off Marine Science Jetty, and one at the Barmouth. Diversity was assessed in terms of serotypes, phylogenetic groups and genotypes. Two groups of seafood samples such as fish and shellfish collected from the Cochin estuary were used for isolation of E. coli. One hundred clinical E. coli isolates were collected from one public health centre, one hospital and five medical labs in and around Cochin City, Kerala. From our results it was clear that pathogen cycling is occurring through food, water and clinical sources. Pathogen cycling through food is very common and fish and shellfish that harbour these strains might pose potential health risk to consumer. Estuarine environment is a melting pot for various kinds of wastes, both organic and inorganic. Mixing up of waste water from various sources such as domestic, industries, hospitals and sewage released into these water bodies resulting in the co-existence of E. coli from various sources thus offering a conducive environment for horizontal gene transfer. Opportunistic pathogens might acquire genes for drug resistance and virulence turning them to potential pathogens. Prevalence of ExPEC in the Cochin estuary, pose threat to people who use this water for fishing and recreation. Food chain also plays an important role in the transit of virulence genes from the environments to the human. Antibiotic resistant E. coli are widespread in estuarine water, seafood and clinical samples, for reasons well known such as indiscriminate use of antibiotics in animal production systems, aquaculture and human medicine. Since the waste water from these sources entering the estuary provides selection pressure to drug resistant mutants in the environment. It is high time that the authorities concerned should put systems in place for monitoring and enforcement to curb such activities. Microbial contamination can limit people’s enjoyment of coastal waters for contact recreation or shellfish-gathering. E. coli can make people sick if they are present in high levels in water used for contact recreation or shellfish gathering. When feeding, shellfish can filter large volumes of seawater, so any microorganisms present in the water become accumulated and concentrated in the shellfish flesh. If E. coli contaminated shellfish are consumed the impact to human health includes gastroenteritis, urinary tract infections (UTIs), and bacteraemia. In conclusion, the high prevalence of various pathogenic serotypes and phylogenetic groups, multidrug-resistance, and virulence factor genes detected among E. coli isolates from stations close to Cochin city is a matter of concern, since there is a large reservoir of antibiotic resistance genes and virulence traits within the community, and that the resistance genes and plasmid-encoded genes for virulence were easily transferable to other strains. Given the severity of the clinical manifestations of the disease in humans and the inability and/or the potential risks of antibiotic administration for treatment, it appears that the most direct and effective measure towards prevention of STEC and ExPEC infections in humans and ensuring public health may be considered as a priority.

Brachyuran Crabs of Cochin Backwaters- Diversity, Habitat Ecology and Systematics, with special emphasis to Genus Scylla

Among the decapod crustaceans, brachyuran crabs or the true crabs occupy a very significant position due to their ecological and economic value. Crabs support a sustenance fishery in India, even though their present status is not comparable to that of shrimps and lobsters. They are of great demand in the domestic market as well as in the foreign markets. In addition to this, brachyuran crabs are of great ecological importance. They form the conspicuous members of the mangrove ecosystems and play a significant role in detritus formation, nutrient recycling and dynamics of the ecosystem. Considering all these factors, crabs are often considered to be the keystone species of the mangrove ecosystem. Though several works have been undertaken on brachyuran crabs world –wide as well as within the country, reports on the brachyuran crabs of Kerala waters are very scanty. Most of the studies done on brachyuran fauna were from the east coast of India and a very few works from the west coast. Among the edible crabs, mud crabs belonging to genus Scylla forms the most important due to their large size and taste. They are being exported on a large scale to the foreign markets like Singapore, Malaysia and Hong Kong. Kerala is the biggest supplier of live mud crabs and Chennai is the major centre of live mud crab export. However, there exists considerable confusion regarding the identification of mud crabs because of the subtle morphological differences between the species.In this context, an extensive study was undertaken on the brachyuran fauna of Cochin Backwaters, Kerala, India, to have a basic knowledge on their diversity, habitat preference and systematics. The study provides an attempt to resolve the confusion pertaining in the species identification of mud crabs belonging to Genus Scylla. Diversity study revealed the occurrence of 23 species of brachyuran crabs belonging to 16 genera and 8 families in the study area Cochin Backwaters. Among the families, the highest number of species was recorded from Family Portunidae .Among the 23 crab species enlisted from the Cochin backwaters, 5 species are of commercial importance and contribute a major share to the crustacean fishery of the Cochin region. It was observed that, the Cochin backwaters are invaded by certain marine migrant species during the Post monsoon and Pre monsoon periods and they are found to disappear with the onset of monsoon. The study reports the occurrence of the ‘herring bow crab’ Varuna litterata in the Cochin backwaters for the first time. Ecological studies showed that the substratum characteristics influence the occurrence, distribution and abundance of crabs in the sampling stations rather than water quality parameters. The variables which affected the crab distribution the most were Salinity, moisture content in the sediment, organic carbon and the sediment texture. Besides the water and sediment quality parameters, the most important factor influencing the distribution of crabs is the presence of mangroves. The study also revealed that most of the crabs encountered from the study area preferred a muddy substratum, with high organic carbon content and high moisture content. In the present study, an identification key is presented for the brachyuran crabs occurring along the study area the Cochin backwaters and the associated mangrove patches, taking into account the morphological characters coupled with the structure of third maxillipeds, first pleopods of males and the shape of male abdomen. Morphological examination indicated the existence of a morphotype which is comparable with the morphological features of S. tranquebarica, the morphometric study and the molecular analyses confirmed the non existence of S. tranquebarica in the Cochin backwaters.

Provenance, Isolation and Characterisation of Organic Matter in the Cochin Estuarine Sediment-“a Diagenetic Amino Acid Marker Scenario

Cochin estuarine system is among the most productive aquatic environment along the Southwest coast of India, exhibits unique ecological features and possess greater socioeconomic relevance. Serious investigations carried out during the past decades on the hydro biogeochemical variables pointed out variations in the health and ecological functioning of this ecosystem. Characterisation of organic matter in the estuary has been attempted in many investigations. But detailed studies covering the degradation state of organic matter using molecular level approach is not attempted. The thesis entitled Provenance, Isolation and Characterisation of Organic Matter in the Cochin Estuarine Sediment-“ A Diagenetic Amino Acid Marker Scenario” is an integrated approach to evaluate the source, quantity, quality, and degradation state of the organic matter in the surface sediments of Cochin estuarine system with the combined application of bulk and molecular level tools. Sediment and water samples from nine stations situated at Cochin estuary were collected in five seasonal sampling campaigns, for the biogeochemical assessment and their distribution pattern of sedimentary organic matter. The sampling seasons were described and abbreviated as follows: April- 2009 (pre monsoon: PRM09), August-2009 (monsoon: MON09), January-2010 (post monsoon: POM09), April-2010 (pre monsoon: PRM10) and September- 2012 (monsoon: MON12). In order to evaluate the general environmental conditions of the estuary, water samples were analysed for water quality parameters, chlorophyll pigments and nutrients by standard methods. Investigations suggested the fact that hydrographical variables and nutrients in Cochin estuary supports diverse species of flora and fauna. Moreover the sedimentary variables such as pH, Eh, texture, TOC, fractions of nitrogen and phosphorous were determined to assess the general geochemical setting as well as redox status. The periodically fluctuating oxic/ anoxic conditions and texture serve as the most significant variables controlling other variables of the aquatic environment. The organic matter in estuary comprise of a complex mixture of autochthonous as well as allochthonous materials. Autochthonous input is limited or enhanced by the nutrient elements like N and P (in their various fractions), used as a tool to evaluate their bioavailability. Bulk parameter approach like biochemical composition, stoichiometric elemental ratios and stable carbon isotope ratio was also employed to assess the quality and quantity of sedimentary organic matter in the study area. Molecular level charactersation of free sugars and amino acids were carried out by liquid chromatographic techniques. Carbohydrates are the products of primary production and their occurrence in sediments as free sugars can provide information on the estuarine productivity. Amino acid biogeochemistry provided implications on the system productivity, nature of organic matter as well as degradation status of the sedimentary organic matter in the study area. The predominance of carbohydrates over protein indicated faster mineralisation of proteinaceous organic matter in sediments and the estuary behaves as a detrital trap for the accumulation of aged organic matter. The higher lipid content and LPD/CHO ratio pointed towards the better food quality that supports benthic fauna and better accumulation of lipid compounds in the sedimentary environment. Allochthonous addition of carbohydrates via terrestrial run off was responsible for the lower PRT/CHO ratio estimated in thesediments and the lower ratios also denoted a detrital heterotrophic environment. Biopolymeric carbon and the algal contribution to BPC provided important information on the better understanding the trophic state of the estuarine system and the higher values of chlorophyll-a to phaeophytin ratio indicated deposition of phytoplankton to sediment at a rapid rate. The estimated TOC/TN ratios implied the combined input of both terrestrial and autochthonous organic matter to sedimentsAmong the free sugars, depleted levels of glucose in sediments in most of the stations and abundance of mannose at station S5 was observed during the present investigation. Among aldohexoses, concentration of galactose was found to be higher in most of the stationsRelative abundance of AAs in the estuarine sediments based on seasons followed the trend: PRM09-Leucine > Phenylalanine > Argine > Lysine, MON09-Lysine > Aspartic acid > Histidine > Tyrosine > Phenylalanine, POM09-Lysine > Histadine > Phenyalanine > Leucine > Methionine > Serine > Proline > Aspartic acid, PRM10-Valine > Aspartic acid > Histidine > Phenylalanine > Serine > Proline, MON12-Lysine > Phenylalanine > Aspartic acid > Histidine > Valine > Tyrsine > MethionineThe classification of study area into three zones based on salinity was employed in the present study for the sake of simplicity and generalized interpretations. The distribution of AAs in the three zones followed the trend: Fresh water zone (S1, S2):- Phenylalanine > Lysine > Aspartic acid > Methionine > Valine ῀ Leucine > Proline > Histidine > Glycine > Serine > Glutamic acid > Tyrosine > Arginine > Alanine > Threonine > Cysteine > Isoleucine. Estuarine zone (S3, S4, S5, S6):- Lysine > Aspartic acid > Phenylalanine > Leucine > Valine > Histidine > Methionine > Tyrosine > Serine > Glutamic acid > Proline > Glycine > Arginine > Alanine > Isoleucine > Cysteine > Threonine. Riverine /Industrial zone (S7, S8, S9):- Phenylalanine > Lysine > Aspartic acid > Histidine > Serine > Arginine > Tyrosine > Leucine > Methionine > Glutamic acid > Alanine > Glycine > Cysteine > Proline > Isoleucine > Threonine > Valine. The abundance of AAs like glutamic acid, aspartic acid, isoleucine, valine, tyrosine, and phenylalanine in sediments of the study area indicated freshly derived organic matter.

Organic field-effect transistors and phototransistors based on amorphous materials

A comparison between the charge transport properties in low molecular amorphous thin films of spiro-linked compound and their corresponding parent compound has been demonstrated. The field-effect transistor method is used for extracting physical parameters such as field-effect mobility of charge carriers, ON/OFF ratios, and stability. In addition, phototransistors have been fabricated and demonstrated for the first time by using organic materials. In this case, asymmetrically spiro-linked compounds are used as active materials. The active materials used in this study can be divided into three classes, namely Spiro-linked compounds (symmetrically spiro-linked compounds), the corresponding parent-compounds, and photosensitive spiro-linked compounds (asymmetrically spiro-linked com-pounds). Some of symmetrically spiro-linked compounds used in this study were 2,2',7,7'-Tetrakis-(di-phenylamino)-9,9'-spirobifluorene (Spiro-TAD),2,2',7,7'-Tetrakis-(N,N'-di-p-methylphenylamino)-9,9'-spirobifluorene (Spiro-TTB), 2,2',7,7'-Tetra-(m-tolyl-phenylamino)-9,9'-spirobifluorene (Spiro-TPD), and 2,2Ž,7,7Ž-Tetra-(N-phenyl-1-naphtylamine)-9,9Ž-spirobifluorene (Spiro alpha-NPB). Related parent compounds of the symmetrically spiro-linked compound used in this study were N,N,N',N'-Tetraphenylbenzidine (TAD), N,N,N',N'-Tetrakis(4-methylphenyl)benzidine (TTB), N,N'-Bis(3-methylphenyl)-(1,1'-biphenyl)-4,4'-diamine (TPD), and N,N'-Diphenyl-N,N'-bis(1-naphthyl)-1,1'-biphenyl-4,4'-diamine (alpha-NPB). The photosensitive asymmetrically spiro-linked compounds used in this study were 2,7-bis-(N,N'-diphenylamino)-2',7'-bis(biphenyl-4-yl)-9,9'-spirobifluorene (Spiro-DPSP), and 2,7-bis-(N,N'-diphenylamino)-2',7'-bis(spirobifluorene-2-yl)-9,9'-spirobifluorene (Spiro-DPSP^2). It was found that the field-effect mobilities of charge carriers in thin films of symmetrically spiro-linked compounds and their corresponding parent compounds are in the same order of magnitude (~10^-5 cm^2/Vs). However, the thin films of the parent compounds were easily crystallized after the samples have been exposed in ambient atmosphere and at room temperature for three days. In contrast, the thin films and the transistor characteristics of symmetrically spiro-linked compound did not change significantly after the samples have been stored in ambient atmosphere and at room temperature for several months. Furthermore, temperature dependence of the mobility was analyzed in two models, namely the Arrhenius model and the Gaussian Disorder model. The Arrhenius model tends to give a high value of the prefactor mobility. However, it is difficult to distinguish whether the temperature behaviors of the material under consideration follows the Arrhenius model or the Gaussian Disorder model due to the narrow accessible range of the temperatures. For the first time, phototransistors have been fabricated and demonstrated by using organic materials. In this case, asymmetrically spiro-linked compounds are used as active materials. Intramolecular charge transfer between a bis(diphenylamino)biphenyl unit and a sexiphenyl unit leads to an increase in charge carrier density, providing the amplification effect. The operational responsivity of better than 1 A/W can be obtained for ultraviolet light at 370 nm, making the device interesting for sensor applications. This result offers a new potential application of organic thin film phototransistors as low-light level and low-cost visible blind ultraviolet photodetectors.

Role of Rab5 in synaptic vesicle recycling

During synaptic transmission, NT-filled synaptic vesicles are released by Ca2+-triggered exocytosis at the active zone. Following exocytosis, SV membrane is immediately re-internalized and synaptic vesicles (SVs) are regenerated by a local recycling mechanism within the presynaptic terminal. It is debated whether an endosomal compartment is involved in this recycling process. In contrast, it is well known from cultured mammalian cells, that endocytic vesicles fuse to the early sorting endosome. The early endosome is a major sorting station of the cell where cargo is send into the degradative pathway to late endosome and lysosome or towards recycling. Each trafficking step is mediated by a certain protein of the Rab family. Rab proteins are small GTPases belonging to the Ras superfamily. They accumulate at their target compartments and have thereby been used as markers for the different endocytic organelles in cultured mammalian cells. Rab5 controls trafficking from the PM to the early endosome and has thereby been used as marker for this compartment. A second marker is based on the specific binding of the FYVE zinc finger protein domain to the lipid PI(3)P that is specifically generated at the early endosomal membrane. This study used the Drosophila NMJ as a model system to investigate the SV recycling process. In particular, three questions were addressed: First, is an endosomal compartment present at the synapse? Second, do SVs recycle through an endosome? Third, is Rab5 involved in SV recycling? We used GFP fusions of Rab5 and 2xFYVE to visualize endosomal compartments at the presynaptic terminal of Drosophila third instar larval NMJs. Furthermore, the endosomes are located within the pool of recycling SVs, labeled with the styryl-dye FM5-95. Using the temperature-sensitive mutation in Dynamin, shibirets, we showed that SV recycling involves trafficking through an intermediate endosomal compartment. In cultured mammalian cells, interfering with Rab5 function by expressing the dominant negative version, Rab5SN causes the fragmentation of the endosome and the accumulation of endocytic vesicles. In contrast, when Rab5 is overexpressed enlarged endosomal compartments were observed. In Drosophila, the endosomal compartment was disrupted when loss of function and dominant negative mutants of Rab5 were expressed. In addition, at the ultrastructural we observed an accumulation of endocytic vesicles in Rab5S43N expressing terminals and enlarged endosomes when Rab5 was overexpressed. Furthermore, interfering with Rab5 function using the dominant negative Rab5S43N caused a decrease in the SV recycling kinetics as shown by FM1-43 experiments. In contrast, overexpression of Rab5 or GFP-Rab5 caused an increase in the FM1-43 internalization rate. Finally, standard electrophysiological techniques were used to measure synaptic function. We found that the Rab5-mediated endosomal SV recycling pathway generates vesicles with a higher fusion efficacy during Ca2+-triggered release, compared to SVs recycled when Rab5 function was impaired. We therefore suggest a model in which the endosome serves as organelle to control the SV fusion efficacy and thereby the synaptic strength. Since changes in the synaptic strength are occuring during learning and memory processes, controlling endosomal SV recycling might be a new molecular mechanism involved in learning and memory.

Microbial use of organic substrates and maize growth, especially in saline and alkaline soils of Pakistani Punjab

This thesis consists of 4 main parts: (1) impact of growing maize on the decomposition of incorporated fresh alfalfa residues, (2) relationships between soil biological and other soil properties in saline and alkaline arable soils from the Pakistani Punjab, (3) decomposition of compost and plant residues in Pakistani soils along a gradient in salinity, and (4) interactions of compost and triple superphosphate on the growth of maize in a saline Pakistani soil. These 4 chapters are framed by a General Introduction and a Conclusions section. (1) In the first study, the effects of growing maize plants on the microbial decomposition of freshly chopped alfalfa residues was investigated in a 90-day pot experiment using a sandy arable soil. Assuming that the addition of alfalfa residues did not affect the decomposition of native soil organic matter, only 27% of the alfalfa residues were found as CO2. This suggests that a considerable part of alfalfa-C remained undecomposed in the soil. However, only 6% of the alfalfa residues could be recovered as plant remains in treatment with solely alfalfa residues. Based on d13C values, it was calculated that plant remains in treatment maize + alfalfa residues contained 14.7% alfalfa residues and 85.3% maize root remains. This means 60% more alfalfa-C was recovered in this treatment. (2) In the second study, the interactions between soil physical, soil chemical and soil biological properties were analysed in 30 Pakistani soils from alkaline and saline arable sites differing strongly in salinisation and in soil pH. The soil biological properties were differentiated into indices for microbial activity, microbial biomass, and community structure with the aim of assessing their potential as soil fertility indices. (3) In the third study, 3 organic amendments (compost, maize straw and pea straw) were added to 5 Pakistani soils from a gradient in salinity. Although salinity has depressive effects on microbial biomass C, biomass N, biomass P, and ergosterol, the clear gradient according to the soil salt concentration was not reflected by the soil microbial properties. The addition of the 3 organic amendments always increased the contents of the microbial indices analysed. The amendment-induced increase was especially strong for microbial biomass P and reflected the total P content of the added substrates. (4) The fourth study was greenhouse pot experiment with different combinations of compost and triple superphosphate amendments to investigate the interactions between plant growth, microbial biomass formation and compost decomposition in a strongly saline Pakistani arable soil in comparison to a non-saline German arable soil. The Pakistani soil had a 2 times lower content of ergosterol, a 4 times lower contents of microbial biomass C, biomass N and biomass P, but nearly a 20 times lower content of NaHCO3 extractable P. The addition of 1% compost always had positive effects on the microbial properties and also on the content of NaHCO3 extractable P. The addition of superphosphate induced a strong and similar absolute increase in microbial biomass P in both soils.

Composition and stability of organic matter fractions in soils under different land use regimes

Soil organic matter (SOM) vitally impacts all soil functions and plays a key role in the global carbon (C) cycle. More than 70% of the terrestric C stocks that participate in the active C cycle are stored in the soil. Therefore, quantitative knowledge of the rates of C incorporation into SOM fractions of different residence time is crucial to understand and predict the sequestration and stabilization of soil organic carbon (SOC). Consequently, there is a need of fractionation procedures that are capable of isolating functionally SOM fractions, i.e. fractions that are defined by their stability. The literature generally refers to three main mechanisms of SOM stabilization: protection of SOM from decomposition by (i) its structural composition, i.e. recalcitrance, (ii) spatial inaccessibility and/or (iii) interaction with soil minerals and metal ions. One of the difficulties in developing fractionation procedures for the isolation of functional SOM fractions is the marked heterogeneity of the soil environment with its various stabilization mechanisms – often several mechanisms operating simultaneously – in soils and soil horizons of different texture and mineralogy. The overall objective of the present thesis was to evaluate present fractionation techniques and to get a better understanding of the factors of SOM sequestration and stabilization. The first part of this study is attended to the structural composition of SOM. Using 13C cross-polarization magic-angle spinning (CPMAS) nuclear magnetic resonance (NMR) spectroscopy, (i) the effect of land use on SOM composition was investigated and (ii) examined whether SOM composition contributes to the different stability of SOM in density and aggregate fractions. The second part of the present work deals with the mineral-associated SOM fraction. The aim was (iii) to evaluate the suitability of chemical fractionation procedures used in the literature for the isolation of stable SOM pools (stepwise hydrolysis, treatments using oxidizing agents like Na2S2O8, H2O2, and NaOCl as well as demineralization of the residue obtained by the NaOCl treatment using HF (NaOCl+HF)) by pool sizes, 13C and 14C data. Further, (iv) the isolated SOM fractions were compared to the inert organic matter (IOM) pool obtained for the investigated soils using the Rothamsted Carbon Model and isotope data in order to see whether the tested chemical fractionation methods produce SOM fractions capable to represent this pool. Besides chemical fractionation, (v) the suitability of thermal oxidation at different temperatures for obtaining stable SOC pools was evaluated. Finally, (vi) the short-term aggregate dynamics and the factors that impact macroaggregate formation and C stabilization were investigated by means of an incubation study using treatments with and without application of 15N labeled maize straw of different degradability (leaves and coarse roots). All treatments were conducted with and without the addition of fungicide. Two study sites with different soil properties and land managements were chosen for these investigations. The first one, located at Rotthalmünster, is a Stagnic Luvisol (silty loam) under different land use regimes. The Ah horizons of a spruce forest and continuous grassland and the Ap and E horizons of two plots with arable crops (continuous maize and wheat cropping) were examined. The soil of the second study site, located at Halle, is a Haplic Phaeozem (loamy sand) where the Ap horizons of two plots with arable crops (continuous maize and rye cropping) were investigated. Both study sites had a C3-/C4-vegetational change on the maize plot for the purpose of tracing the incorporation of the younger, maize-derived C into different SOM fractions and the calculation of apparent C turnover times of these. The Halle site is located near a train station and industrial areas, which caused a contamination with high amounts of fossil C. The investigation of aggregate and density fractions by 13C CPMAS NMR spectroscopy revealed that density fractionation isolated SOM fractions of different composition. The consumption of a considerable part (10–20%) of the easily available O-alkyl-C and the selective preservation of the more recalcitrant alkyl-C when passing from litter to the different particulate organic matter (POM) fractions suggest that density fractionation was able to isolate SOM fractions with different degrees of decomposition. The spectra of the aggregate fractions resembled those of the mineral-associated SOM fraction obtained by density fractionation and no considerable differences were observed between aggregate size classes. Comparison of plant litter, density and aggregate size fractions from soil under different land use showed that the type of land use markedly influenced the composition of SOM. While SOM of the acid forest soil was characterized by a large content (> 50%) of POM, which contained high amounts of spruce-litter derived alkyl-C, the organic matter in the biologically more active grassland and arable soils was dominated by mineral-associated SOM (> 95%). This SOM fraction comprised greater proportions of aryl- and carbonyl-C and is considered to contain a higher amount of microbially-derived organic substances. Land use can alter both, structure and stability of SOM fractions. All applied chemical treatments induced considerable SOC losses (> 70–95% of mineral-associated SOM) in the investigated soils. The proportion of residual C after chemical fractionation was largest in the arable Ap and E horizons and increased with decreasing C content in the initial SOC after stepwise hydrolysis as well as after the oxidative treatments with H2O2 and Na2S2O8. This can be expected for a functional stable pool of SOM, because it is assumed that the more easily available part of SOC is consumed first if C inputs decrease. All chemical treatments led to a preferential loss of the younger, maize-derived SOC, but this was most pronounced after the treatments with Na2S2O8 and H2O2. After all chemical fractionations, the mean 14C ages of SOC were higher than in the mineral-associated SOM fraction for both study sites and increased in the order: NaOCl < NaOCl+HF ≤ stepwise hydrolysis << H2O2 ≈ Na2S2O8. The results suggest that all treatments were capable of isolating a more stable SOM fraction, but the treatments with H2O2 and Na2S2O8 were the most efficient ones. However, none of the chemical fractionation methods was able to fit the IOM pool calculated using the Rothamsted Carbon Model and isotope data. In the evaluation of thermal oxidation for obtaining stable C fractions, SOC losses increased with temperature from 24–48% (200°C) to 100% (500°C). In the Halle maize Ap horizon, losses of the young, maize-derived C were considerably higher than losses of the older C3-derived C, leading to an increase in the apparent C turnover time from 220 years in mineral-associated SOC to 1158 years after thermal oxidation at 300°C. Most likely, the preferential loss of maize-derived C in the Halle soil was caused by the presence of the high amounts of fossil C mentioned above, which make up a relatively large thermally stable C3-C pool in this soil. This agrees with lower overall SOC losses for the Halle Ap horizon compared to the Rotthalmünster Ap horizon. In the Rotthalmünster soil only slightly more maize-derived than C3-derived SOC was removed by thermal oxidation. Apparent C turnover times increased slightly from 58 years in mineral-associated SOC to 77 years after thermal oxidation at 300°C in the Rotthalmünster Ap and from 151 to 247 years in the Rotthalmünster E horizon. This led to the conclusion that thermal oxidation of SOM was not capable of isolating SOM fractions of considerably higher stability. The incubation experiment showed that macroaggregates develop rapidly after the addition of easily available plant residues. Within the first four weeks of incubation, the maximum aggregation was reached in all treatments without addition of fungicide. The formation of water-stable macroaggregates was related to the size of the microbial biomass pool and its activity. Furthermore, fungi were found to be crucial for the development of soil macroaggregates as the formation of water-stable macroaggregates was significantly delayed in the fungicide treated soils. The C concentration in the obtained aggregate fractions decreased with decreasing aggregate size class, which is in line with the aggregate hierarchy postulated by several authors for soils with SOM as the major binding agent. Macroaggregation involved incorporation of large amounts maize-derived organic matter, but macroaggregates did not play the most important role in the stabilization of maize-derived SOM, because of their relatively low amount (less than 10% of the soil mass). Furthermore, the maize-derived organic matter was quickly incorporated into all aggregate size classes. The microaggregate fraction stored the largest quantities of maize-derived C and N – up to 70% of the residual maize-C and -N were stored in this fraction.

Organic inputs and farmers' management strategies in millet fields of western Niger

Research on soil fertility management in sub-Saharan Africa was criticized lately for largely ignoring farmers’ management strategies and the underlying principles. To fill this gap of knowledge, detailed interviews were conducted with 108 farm households about their rationale in managing the soil fertility of 307 individual fields in the agro-pastoral village territory of Chikal in western Niger. To amplify the farmers’ information on manuring and corralling practices, repeated measurements of applied amounts of manure were carried out within six 1-km^2 monitoring areas from February to October 1998. The interviews revealed that only 2% of the fields were completely fallowed for a period of 1–15 years, but 40% of the fields were at least partially fallowed. Mulching of crop residues was mainly practiced to fight wind erosion but was restricted to 36% of the surveyed fields given the alternative use of straw as livestock feed. Manure application and livestock corralling, as most effective tools to enhance soil fertility, were targeted to less than 30% of the surveyed fields. The application of complete fallow and manuring and corralling practices were strongly related to the households’ endowment with resources, especially with land and livestock. Within particular fields, measures were mainly applied to spots of poor soil fertility, while the restoration of the productivity of hard pans was of secondary importance. Given the limited spatial coverage of indigenous soil fertility measures and their strong dependence on farmers’ wealth, supplementary strategies to restrict the decline of soil fertility in the drought prone areas of Niger with their heavily weathered soils are needed.

Organic potatoes for processing

Drei Feldversuche auf zwei Standorten (DFH: 51°4, 9°4’, BEL: 52°2’, 8°08’) wurden in den Jahren 2002 bis 2004 durchgeführt, um den Einfluss der Vorfrucht, des Vorkeimens, der N- und K-Düngung und der Sorte auf Nährstoffverfügbarkeit, Gesamt- und sortierte Knollenerträge sowie die Qualität von Kartoffeln und deren Eignung für die industrielle Verarbeitung zu Pommes frites und Chips zu untersuchen. Bestimmt wurden die N- und K-Verfügbarkeit im Boden, die N- und K-Aufnahme von Kraut und Knollen, gesamte Frisch- und Trockenmasseerträge, sortierte Frischmasseerträge für die Verarbeitung, sowie die Gehalte der Knollen an Trockensubstanz und reduzierenden Zuckern. In einer sensorischen Prüfung wurden Qualitätsparameter von Pommes frites (Aussehen/Farbe, Textur und Geschmack/Geruch) bewertet, die gewichtet in einen Qualitätsindex eingingen. Die Qualität der Chips wurde maschinell durch den L-Wert (Helligkeit) des Produktes quantifiziert. Der Gehalt des Bodens an mineralisiertem Nitrat-Stickstoff hing von der Vorfrucht und dem Jahr ab. Nach Erbsen wurden zum Auflaufen der Kartoffeln in den Versuchsjahren 2003 und 2004 (187 und 132 kg NO3-N ha-1) die höchsten NO3-N-Werte in 0-60 cm Boden gemessen verglichen mit Kleegras (169 bzw. 108 kg NO3-N ha-1 oder Getreide (112 kg bzw. 97 kg NO3-N ha-1), obgleich die Differenz nicht in allen Fällen signifikant war. Entsprechend wurden nach Erbsen die höchsten Knollen-Frischmasseerträge (414 und 308 dt ha-1) geerntet. Dasselbe galt für die Trockenmasserträge, was belegt, dass der Trockensubstanzgehalt der Knollen bei verbesserter N-Versorgung nicht im selben Maße sinkt, wie der Frischmasseertrag steigt. Das Vorkeimen der Pflanzknollen führte zu einer rascheren phänologischen Entwicklung im Jugendstadium der Pflanze, beschleunigter Trockenmassebildung des Krautes und einer früheren Einlagerung von Assimilaten vom Kraut in die Knollen. Obwohl die positive Wirkung des Vorkeimens auf den Gesamtertrag bis Ende Juli (+ 26 in 2003 bzw. 34 dt ha-1 in 2004) im Jahr ohne Krautfäuleepidemie von den nicht vorgekeimten Varianten bis zur Endernte im September kompensiert wurde, konnte in diesem Jahr durch Vorkeimen dennoch ein erhöhter Ertragsanteil (+ 12%) der besonders nachgefragten Übergrößen (>50 mm für Pommes frites) erzielt werden. Die durchschnittliche Knollenmasse reagierte positiv auf Vorkeimen (+ 5,4 g), Sortenwahl (Sorte Agria) und ein erhöhtes N-Angebot (Leguminosenvorfrucht). Generell wurde deutlich, dass die Knollengesamterträge unter den Bedingungen des Ökologischen Landbaus (geringe bis mittlere Nährstoffversorgung, verkürzte Vegetationsdauer) sehr stark vom Anbaujahr abhängen. Die Ergebnisse belegen jedoch, dass organisch-mineralische N-K-Düngung den sortierten Ertrag an Knollen für die Verarbeitung signifikant erhöht: Höchste Gesamt- und sortierte Knollenfrischmasseerträge wurden nach kombinierter N (Horngrieß) und mineralischer K- (Kaliumsulfat) Gabe erzielt (348 dt ha-1 im Durchschnitt von 2002-2004). Im Gegensatz dazu kann eine Wirkung von Stallmist auf den Ertrag im Jahr der Ausbringung nicht unbedingt erwartet werden. Steigende Erträge nach Stallmistdüngung wurden lediglich in einem von drei Versuchsjahren (+58 dt ha-1) festgestellt und ließen sich eher auf eine K- als eine N-Wirkung zurückführen. Die Ergebnisse belegen, dass die Sortenwahl eine entscheidende Rolle spielt, wenn die Kartoffeln für die industrielle Verarbeitung zu den oben genannten Produkten angebaut werden. Insgesamt kann festgestellt werden, dass Kartoffelknollen aus ökologischen Anbauverfahren ausreichend hohe Trockensubstanzgehalte aufweisen, um für die Verarbeitung zu Pommes frites (>19%) geeignet zu sein und ohne dass dadurch die Konsistenz des Endproduktes gefährdet würde. Der Trockensubstanzgehalt der Referenzsorte für Chips, „Marlen“, unterschritt das in der Literatur geforderte Minimum für Chips von 23% lediglich, wenn die kombinierte Horngrieß-Kaliumsulfatdüngung zur Anwendung kam. Die Trockensubstanzgehalte der Knollen konnten durch Vorkeimen signifikant gesteigert werden und der Effekt war besonders groß (+1.2% absolut) in dem Jahr mit frühem Auftreten der Krautfäule (Phytophthora infestans), d.h. verkürzter Vegetationszeit. Die Knollen-Trockensubstanzgehalte waren in zwei von drei Experimenten nach Lagerung höher (+0.4 und 0.5% absolut) als noch zur Ernte. Sorten der sehr frühen und frühen Reifegruppe wiesen den größten relativen Anstieg der Gehalte an reduzierenden Zuckern (Glukose und Fruktose) während der Lagerung auf. Den mittelfrühen Sorten „Agria“ und „Marena“ hingegen kann aufgrund des von ihnen erreichten höchsten Qualitätsstandards (Pommes frites) zur Ernte eine sehr gute Eignung für die Bedingungen des Ökologischen Landbaus unterstellt werden. Die durchgehend beste Chipseignung wies die mittelfrühe Referenzsorte „Marlen“ auf. Insgesamt konnte nachgewiesen werden, dass durch gezielte Sortenwahl der Trockensubstanzgehalt und die Konzentration reduzierender Zucker, sowie die Qualität der Endprodukte (Pommes frites und Chips) gezielt beeinflusst werden kann. Im Gegensatz dazu haben acker- und pflanzenbauliche Maßnahmen wie Düngung, Wahl der Vorfrucht und Vorkeimen der Pflanzknollen einen eher geringen Einfluss. Dementsprechend sollte der Landwirt versuchen, durch die Wahl der Sorte den hohen Anforderungen der Industrie an die Rohware gerecht zu werden.

Development of hybrid UV VCSEL with organic active material and dielectric DBR mirrors for medical, sensoric and data storage applications

Lasers play an important role for medical, sensoric and data storage devices. This thesis is focused on design, technology development, fabrication and characterization of hybrid ultraviolet Vertical-Cavity Surface-Emitting Lasers (UV VCSEL) with organic laser-active material and inorganic distributed Bragg reflectors (DBR). Multilayer structures with different layer thicknesses, refractive indices and absorption coefficients of the inorganic materials were studied using theoretical model calculations. During the simulations the structure parameters such as materials and thicknesses have been varied. This procedure was repeated several times during the design optimization process including also the feedback from technology and characterization. Two types of VCSEL devices were investigated. The first is an index coupled structure consisting of bottom and top DBR dielectric mirrors. In the space in between them is the cavity, which includes active region and defines the spectral gain profile. In this configuration the maximum electrical field is concentrated in the cavity and can destroy the chemical structure of the active material. The second type of laser is a so called complex coupled VCSEL. In this structure the active material is placed not only in the cavity but also in parts of the DBR structure. The simulations show that such a distribution of the active material reduces the required pumping power for reaching lasing threshold. High efficiency is achieved by substituting the dielectric material with high refractive index for the periods closer to the cavity. The inorganic materials for the DBR mirrors have been deposited by Plasma- Enhanced Chemical Vapor Deposition (PECVD) and Dual Ion Beam Sputtering (DIBS) machines. Extended optimizations of the technological processes have been performed. All the processes are carried out in a clean room Class 1 and Class 10000. The optical properties and the thicknesses of the layers are measured in-situ by spectroscopic ellipsometry and spectroscopic reflectometry. The surface roughness is analyzed by atomic force microscopy (AFM) and images of the devices are taken with scanning electron microscope (SEM). The silicon dioxide (SiO2) and silicon nitride (Si3N4) layers deposited by the PECVD machine show defects of the material structure and have higher absorption in the ultra violet range compared to ion beam deposition (IBD). This results in low reflectivity of the DBR mirrors and also reduces the optical properties of the VCSEL devices. However PECVD has the advantage that the stress in the layers can be tuned and compensated, in contrast to IBD at the moment. A sputtering machine Ionsys 1000 produced by Roth&Rau company, is used for the deposition of silicon dioxide (SiO2), silicon nitride (Si3N4), aluminum oxide (Al2O3) and zirconium dioxide (ZrO2). The chamber is equipped with main (sputter) and assisted ion sources. The dielectric materials were optimized by introducing additional oxygen and nitrogen into the chamber. DBR mirrors with different material combinations were deposited. The measured optical properties of the fabricated multilayer structures show an excellent agreement with the results of theoretical model calculations. The layers deposited by puttering show high compressive stress. As an active region a novel organic material with spiro-linked molecules is used. Two different materials have been evaporated by utilizing a dye evaporation machine in the clean room of the department Makromolekulare Chemie und Molekulare Materialien (mmCmm). The Spiro-Octopus-1 organic material has a maximum emission at the wavelength λemission = 395 nm and the Spiro-Pphenal has a maximum emission at the wavelength λemission = 418 nm. Both of them have high refractive index and can be combined with low refractive index materials like silicon dioxide (SiO2). The sputtering method shows excellent optical quality of the deposited materials and high reflection of the multilayer structures. The bottom DBR mirrors for all VCSEL devices were deposited by the DIBS machine, whereas the top DBR mirror deposited either by PECVD or by combination of PECVD and DIBS. The fabricated VCSEL structures were optically pumped by nitrogen laser at wavelength λpumping = 337 nm. The emission was measured by spectrometer. A radiation of the VCSEL structure at wavelength 392 nm and 420 nm is observed.

Effects of fertilizer type and rate on partitioning of soil organic matter into pools of different stability

Type and rate of fertilizers influence the level of soil organic carbon (Corg) and total nitrogen (Nt) markedly, but the effect on C and N partitioning into different pools is open to question. The objectives of the present work were to: (i) quantify the impact of fertilizer type and rate on labile, intermediate and passive C and N pools by using a combination of biological, chemical and mathematical methods; (ii) explain previously reported differences in the soil organic matter (SOM) levels between soils receiving farmyard manure with or without biodynamic preparations by using Corg time series and information on SOM partitioning; and (iii) quantify the long-term and short-term dynamics of SOM in density fractions and microbial biomass as affected by fertilizer type and rate and determine the incorporation of crop residues into labile SOM fractions. Samples were taken from a sandy Cambisol from the long-term fertilization trial in Darmstadt, Germany, founded in 1980. The nine treatments (four field replicates) were: straw incorporation plus application of mineral fertilizer (MSI) and application of rotted farmyard manure with (DYN) or without (FYM) addition of biodynamic preparations, each at high (140 – 150 kg N ha-1 year-1; MSIH, DYNH, FYMH), medium (100 kg N ha-1 year-1; MSIM, DYNM, FYMM) and low (50 – 60 kg N ha-1 year-1; MSIL, DYNL, FYML) rates. The main findings were: (i) The stocks of Corg (t ha-1) were affected by fertilizer type and rate and increased in the order MSIL (23.6), MSIM (23.7), MSIH (24.2) < FYML (25.3) < FYMM (28.1), FYMH (28.1). Stocks of Nt were affected in the same way (C/N ratio: 11). Storage of C and N in the modelled labile pools (turnover times: 462 and 153 days for C and N, respectively) were not influenced by the type of fertilizer (FYM and MSI) but depended significantly (p ≤ 0.05) on the application rate and ranged from 1.8 to 3.2 t C ha 1 (7 – 13% of Corg) and from 90 to 140 kg N ha-1 (4-5% of Nt). In the calculated intermediate pool (C/N ratio 7), stocks of C were markedly higher in FYM treatments (15-18 t ha-1) compared to MSI treatments (12-14 t ha-1). This showed that differences in SOM stocks in the sandy Cambisol induced by fertilizer rate may be short-lived in case of changing management, but differences induced by fertilizer type may persist for decades. (ii) Crop yields, estimated C inputs (1.5 t ha-1 year-1) with crop residue, microbial bio¬mass C (Cmic, 118 – 150 mg kg-1), microbial biomass N (17 – 20 mg kg-1) and labile C and N pools did not differ significantly between FYM and DYN treatments. However, labile C increased linearly with application rate (R2 = 0.53) from 7 to 11% of Corg. This also applied for labile N (3.5 to 4.9% of Nt). The higher contents of Corg in DYN treatments existed since 1982, when the first sampling was conducted for all individual treatments. Contents of Corg between DYN and FYM treatments con-verged slightly since then. Furthermore, at least 30% of the difference in Corg was located in the passive pool where a treatment effect could be excluded. Therefore, the reported differences in Corg contents existed most likely since the beginning of the experiment and, as a single factor of biodynamic agriculture, application of bio-dynamic preparations had no effect on SOM stocks. (iii) Stocks of SOM, light fraction organic C (LFOC, ρ ≤ 2.0 g cm-3), light fraction organic N and Cmic decreased in the order FYMH > FYML > MSIH, MSIL for all sampling dates in 2008 (March, May, September, December). However, statistical significance of treatment effects differed between the dates, probably due to dif-ferences in the spatial variation throughout the year. The high proportion of LFOC on total Corg stocks (45 – 55%) highlighted the importance of selective preservation of OM as a stabilization mechanism in this sandy Cambisol. The apparent turnover time of LFOC was between 21 and 32 years, which agreed very well with studies with substantially longer vegetation change compared to our study. Overall, both approaches; (I) the combination of incubation, chemical fractionation and simple modelling and (II) the density fractionation; provided complementary information on the partitioning of SOM into pools of different stability. The density fractionation showed that differences in Corg stocks between FYM and MSI treatments were mainly located in the light fraction, i.e. induced by higher recalcitrance of the organic input in the FYM treatments. Moreover, the use of the combination of biological, chemical and mathematical methods indicated that effects of fertilizer rate on total Corg and Nt stocks may be short-lived, but that the effect of fertilizer type may persist for longer time spans in the sandy Cambisol.

Effects of tillage on processes of organic matter sequestration

To increase the organic matter (OM) content in the soil is one main goal in arable soil management. The adoption of tillage systems with reduced tillage depth and/or frequency (reduced tillage) or of no-tillage was found to increase the concentration of soil OM compared to conventional tillage (CT; ploughing to 20-30 cm). However, the underlying processes are not yet clear and are discussed contradictorily. So far, few investigations were conducted on tillage systems with a shallow tillage depth (minimum tillage = MT; maximum tillage depth of 10 cm). A better understanding of the interactions between MT implementation and changes in OM transformation in soils is essential in order to evaluate the possible contribution of MT to a sustainable management of arable soils. The objectives of the present thesis were (i) to compare OM concentrations, microbial biomass, water-stable aggregates, and particulate OM (POM) between CT and MT soils, (ii) to estimate the temporal variability of water-stable aggregate size classes occurring in the field and the dynamics of macroaggregate (>250 µm) formation and disruption under controlled conditions, (iii) to investigate whether a lower disruption or a higher formation rate accounts for a higher occurrence of macroaggregates under MT compared to CT, (iv) to determine which fraction is the major agent for storing the surplus of OM found under MT compared to CT, and (v) to observe the early OM transformation after residue incorporation in different tillage systems simulated. Two experimental sites (Garte-Süd and Hohes Feld) near Göttingen, Germany, were investigated. Soil type of both sites was a Haplic Luvisol. Since about 40 years, both sites receive MT by a rotary harrow (to 5-8 cm depth) and CT by a plough (to 25 cm depth). Surface soils (0-5 cm) and subsoils (10-20 cm) of two sampling dates (after fallow and directly after tillage) were investigated for concentrations of organic C (Corg) and total N (N), different water-stable aggregate size classes, different density fractions (for the sampling date after fallow only), microbial biomass, and for biochemically stabilized Corg and N (by acid hydrolysis; for the sampling date after tillage only). In addition, two laboratory incubations were performed under controlled conditions: Firstly, MT and CT soils were incubated (28 days at 22°C) as bulk soil and with destroyed macroaggregates in order to estimate the importance of macroaggregates for the physical protection of the very labile OM against mineralization. Secondly, in a microcosm experiment simulating MT and CT systems with soil <250 µm and with 15N and 13C labelled maize straw incorporated to different depths, the mineralization, the formation of new macroaggregates, and the partitioning of the recently added C and N were followed (28 days at 15°C). Forty years of MT regime led to higher concentrations of microbial biomass and of Corg and N compared to CT, especially in the surface soil. After fallow and directly after tillage, a higher proportion of water-stable macroaggregates rich in OM was found in the MT (36% and 66%, respectively) than in the CT (19% and 47%, respectively) surface soils of both sites (data shown are of the site Garte-Süd only). The subsoils followed the same trend. For the sampling date after fallow, no differences in the POM fractions were found but there was more OM associated to the mineral fraction detected in the MT soils. A large temporal variability was observed for the abundance of macroaggregates. In the field and in the microcosm simulations, macroaggregates were found to have a higher formation rate after the incorporation of residues under MT than under CT. Thus, the lower occurrence of macroaggregates in CT soils cannot be attributed to a higher disruption but to a lower formation rate. A higher rate of macroaggregate formation in MT soils may be due to (i) the higher concentrated input of residues in the surface soil and/or (ii) a higher abundance of fungal biomass in contrast to CT soils. Overall, as a location of storage of the surplus of OM detected under MT compared to CT, water-stable macroaggregates were found to play a key role. In the incubation experiment, macroaggregates were not found to protect the very labile OM against mineralization. Anyway, the surplus of OM detected after tillage in the MT soil was biochemically degradable. MT simulations in the microcosm experiment showed a lower specific respiration and a less efficient translocation of recently added residues than the CT simulations. Differences in the early processes of OM translocation between CT and MT simulations were attributed to a higher residue to soil ratio and to a higher proportion of fungal biomass in the MT simulations. Overall, MT was found to have several beneficial effects on the soil structure and on the storage of OM, especially in the surface soil. Furthermore, it was concluded that the high concentration of residues in the surface soil of MT may alter the processes of storage and decomposition of OM. In further investigations, especially analysis of the residue-soil-interface and of effects of the depth of residue incorporation should be emphasised. Moreover, further evidence is needed on differences in the microbial community between CT and MT soils.

Learning achievements of farmers during the transition to market-oriented organic agriculture in rural Uganda

Organic agriculture requires farmers with the ability to develop profitable agro-enterprises on their own. By drawing on four years of experiences with the Enabling Rural Innovation approach in Uganda, we outline how smallholder farmers transition to organic agriculture and, at the same time, increase their entrepreneurial skills and competences through learning. In order to document this learning we operationalised the Kirkpatrick learning evaluation model, which subsequently informed the collection of qualitative data in two study sites. Our analysis suggests that the Enabling Rural Innovation approach helps farmers to develop essential capabilities for identifying organic markets and new organic commodities, for testing these organic commodities under varying organic farm management scenarios, and for negotiating contracts with organic traders. We also observed several obstacles that confront farmers’ transition to organic agriculture when using the Enabling Rural Innovation approach. These include the long duration of agronomic experimentation and seed multiplication, expensive organic certification procedures and the absence of adequate mechanism for farmers to access crop finance services. Despite prevailing obstacles we conclude that the Enabling Rural Innovation approach provides a starting point for farmers to develop entrepreneurial competences and profitable agro-enterprises on their own.