Agroforest Syst (2009) 76:591604 DOI 10.

1007/s10457-009-9202-5

Analysis of information used in the management of plant genetic resources: a case study from northwestern Mato Grosso, Brazil
Jorge L. Vivan Peter H. May s H. H. da Cunha Walter S. de Boef Lu Charles R. Clement

Received: 24 April 2008 / Accepted: 3 January 2009 / Published online: 6 February 2009 Springer Science+Business Media B.V. 2009

Abstract Evaluation and monitoring are critical to agroforestry (AFS) project management, especially if they aim to contribute to use and conservation of biodiversity and plant genetic resources. A methodology to analyze information used in decision-making processes was developed and applied in a biodiversity conservation project in the Brazilian Amazon. Quality of information gathered at landscape, AFS, species (Bactris gasipaes Kunth, both wild and cultivated

J. L. Vivan (&) W. S. de Boef Centre for Agricultural Sciences, Plant Genetic Resources Post-Graduate Program, Universidade Federal de Santa polis, SC 88040-900, Brazil Catarina, Floriano e-mail: jlvivan@terra.com.br Present Address: J. L. Vivan Rua Maestro A. J. Ramos, 200/201, Torres, RS 95560-000, Brazil P. H. May Department of Development, Agriculture and Society (DDAS/UFRRJ), Universidade Federal Rural do Rio de Janeiro, Av. Presidente Vargas, 417, 98 andar, Rio de Janeiro, RJ 20071-030, Brazil L. H. H. da Cunha BioCon Environmental Consultancy, Torres, RS 95560-000, Brazil C. R. Clement nia, Instituto Nacional de Pesquisas da Amazo ncias Agrono micas, o de Pesquisas em Cie Coordenac a Cx. Postal 478, Manaus, AM 69011-970, Brazil

varieties) and genetic diversity levels in three dimensions was analyzed. The information at the landscape level was good, while that in the organizationalinstitutional and socio-economic dimensions was acceptable; information gaps were serious in the genetic-ecological dimension. Ecological and economic functionality assessment based on indicators built upon reported administrative actions suggests that information related to conservation played a greater role in decision-making and management than information associated with use and development. The application of the methodology proved instrumental for enhancing efcacy of decision-making within an adaptive management approach to plant genetic resources use and conservation. Keywords Evaluation and monitoring Information Functionality Adaptive management Amazonia Bactris gasipaes

Introduction Biodiversity use and conservation projects face a major dilemma in reconciling development with maintenance of habitats and viable ecosystems. One of the most important reasons is the perception in many conservation projects that humans are external to ecosystems. This perception induces a failure to recognize and incorporate interdependencies and

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feedbacks that exist between ecological and social dynamics (Gunderson 2000), andparticularly in the context of plant genetic resources (PGR)humans role in evolutionary processes. In this context, biodiversity management processes should be focused primarily on behavioral change, rather than on biophysical processes (Grumbine 1997). The current article aims to contribute a practical methodology for evaluating projects that use the conservation-throughuse of PGR approach. We dened this approach as the maintenance of agricultural biodiversity present within and between populations of many species used directly in agriculture or used as sources of genes, in the habitats where such diversity emerged and continues to grow (Brown 2000). Moreover, we understand that as this approach concentrates its attention on the crops of interest to the farmers () in consequence () the farmers production system becomes a determinant of the magnitude of genetic resources that is conserved (Clement et al. 2007). The article aims to develop and analyze the application of a method that contributes to the analysis of projects that propose ecosystem-level conservation, with an emphasis on the management of agroforestry systems (AFS) and forest fragments within this conservation-through-use approach. The focus is on the structure of information used in biodiversity projects that aim to manage ecosystems, their species and genetic resources. The methodology seeks to evaluate the information produced and/or available to the project that is used to make decisions in terms of use and conservation, identifying in the process high quality indicators for both ecological and economic functionality of project actions. Critically, the method offers an integrated focus on ecological and genetic, socio-economic and organizational-institutional information to be gathered by a project and how to analyze it. This is a critical feature in biodiversity projects, and a way to possibly reduce costs for monitoring (Grumbine 1997). The article presents a synthesis of the method, its scientic and empirical bases, and its application in a biodiversity project in northwestern Mato Grosso, Brazil. Its implications are appraised for the case in terms of conservation-through-use of PGR in AFS and forest fragments, as well as regarding the applicability of the method as a practical tool for analysis of projects in similar contexts that involve the concept of adaptive management.

Making well-informed decisions on use and conservation requires (1) monitoring and interpretation of results, (2) sharing these among stakeholders, and (3) consideration of different levels (from landscape to genetic resources) and dimensions (socio-economic, organizational-institutional, genetic-ecological) in which the project acts. Within a framework of adaptive management, monitoring is embedded through ongoing review and modication of assumptions, strategies and operating structures. This will occur to the extent that knowledge evolves responding to the problems posed and management impacts, whether anticipated or fortuitous (Holling 1995). This system of feedback and continuous evaluation is critical for projects where social and ecological systems appear to be in conict or where mechanisms for feedback do not exist. Ideally, the resultant pattern of biodiversity use will contribute to both conservation and development objectives (Salafsky et al. 2001). Agroforestry systems are commonly promoted as a strategy for complementary use and conservation within biodiversity conservation projects worldwide. This is the case in northwestern Mato Grosso, where AFS are integrated as subsystems of small-scale farmers productive activities. Their overall conguration consists of sequential arrangements of species of herbaceous, bush and tree species, evolving into perennial systems with a multi-strata structure. This category of AFS converges with the denition of Schroth et al. (2004) of agroforests based on understory tree crops with a more closed or open canopy, depending on the species that is the economic centerpiece of the system. In the projects universe, this portfolio is dominated by coffee (Coffea canephora), cocoa (Theobroma cacao) and peach palm (Bactris gasipaes). In this case, management of AFS and forest fragments in buffer zones of Protected Areas (Indigenous Lands, Conservation Units) seeks to reduce the probability of destructive impacts on biodiversity from the regional baseline trend toward permanent conversion to pastures and annual monocropping systems. To be effective, AFS management needs to involve PGR management, considered as genetic materials in traditional varieties and modern cultivars, as well as wild relatives of agricultural species and other wild species used for food (FAO 1996). The research presented in this article seeks to generate input for the development of a monitoring system that informs its stakeholders about how

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project actions contribute to the management and conservation of a portfolio of PGR in AFS and adjacent forest fragments. The approach considers a multilevel perspective of conservation-through-use of selected species, including wild and cultivated genetic diversity, within their associated natural and anthropogenic environments. The expectation is that practical and theoretical results can, through application in additional biodiversity projects, serve as an instrument for analysis of project interventions in biomes such as the Amazon and the Atlantic forest of Brazil. The research was conducted within the context of the project entitled promoting biodiversity conservation and sustainable use in the frontier forests of northwestern Mato Grosso (May and Vivan 2006). The project is nanced by the global environment facility (GEF) and implemented by the United Nations Development Program in partnership with State Secretary of Environment, the Mato Grosso Rural Research and Extension Corporation (EMPAER), Non-Governmental Organizations and Municipal Agricultural Secretariats for the period 20012009. The total project area covers 10.8 million hectares. The AFS component of this project is the focus of the analysis, as this component promoted the demonstration of AFS in a mosaic of land uses that may enable the formation of conservation corridors. Promotion of AFS, timber and non-timber forest products use and management, identication and creation of Conservation Units and Protected Areas, promotion of sustainable economic activities in Indigenous Lands, all form part of the projects strategy. The palm Bactris gasipaes (pupunha or peach palm) is a central species in the AFS strategies within the project area. It was introduced principally for the production of hearts of palm (palmito). The cultivated guas region of Peru (Mora variety is from the Yurima et al. 1997). Since project inception in 2003, Urp more than 650,000 seedlings of this variety have been distributed, accounting for more than 50% of all AFS tree seedlings distributed. Jointly with the project, the Mato Grosso state government promoted robusta coffee and peach palm to be interplanted with woody species. To illustrate the impact at the local level, in na the state and municipal the municipality of Ju governments purchased nine tons of peach palm seed from farmers of the Rural Association Organized for Mutual Assistance (AJOPAM) for distribution among

farmers throughout the region interested in their cultivation (Nunes 2007). A wild relative of peach palm, B. gasipaes variety chichagui Type 1, was observed in the project region (Clement et al. 2006). Consequently, AJOPAM advised its members to avoid planting seed production palms in the proximity of forest fragments that contain these wild peach palms. AJOPAM aims thereby to prevent introgression between wild and seed producing individuals, as had been observed in Ecuador (Couvreur et al. 2006), since this may augment occurrence of thorns or affect the quality of the heart-of-palm. Understanding how information about peach palm contributes to decision-making can enlighten similar processes with other species, such as cocoa, cupuac u (Theobroma grandiorum) and Brazil nut (Bertholletia excelsa).

Materials and methods Conceptual research framework The research conducted involves a systematic and comparative analysis of facts, processes and incidents that seeks to generate propositions and hypotheses about the conservation-through-use of PGR. This approach is meant to generate grounded theory (Pandit 1996). To this end, both quantitative and qualitative data related to actions, results and processes within the project are collected. Data analysis is oriented to contribute to informed management of biodiversity projects. The analysis leads to propositions that can help to understand, in this case: (1) how decisions are made on conservation-through-use of PGR in AFS and managed forests (considering peach palm as a model species); and (2) what components of ecological and economic functionality are more relevant to understand success/vulnerability of demonstration units (AFS in farms). The development and application of the methodology involves the following ow of activities (Fig. 1): (1) denition of the biodiversity project and its demonstration units (municipalities, AFS) to be analyzed; (2) development of a protocol for data collection, classication and organization; (3) organization of the data in chronological order and by categorical dimension; and (4) construction of the indicators and their comparison with those identied

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1 Research design: Technical literature review Theoretical sampling, with selection of practical cases 2 Data collection: Develope rigorous protocol for data collection, while generating a data base for the case Fieldwork, overlapping data collection and analysis 3 Ordination of data: Organize data into categories and files

4 Data analysis: Analysis: build an consolidate indicators and categories from data and literature Compare results and theory between subcases Reiterate to theoretical saturation in order to produce propositions on the phenomena and processes studied. 5 Literature comparison: Compare the emerging propositions with existing theories

Fig. 1 Framework for analyzing decision-making processes about plant genetic resources in agroforestry systems and managed forests, adapted from Pandit (1996)

through literature review and existing data. The analysis undertaken encompasses dimensions that refer to the following thematic areas: (a) organizational-institutional; (b) socio-economic; and (c) genetic-ecological. Indicators, in turn, are tools to monitor progress and reveal emerging problems (Brown and Brubaker 2002). Indicators are groupings of observable phenomena that permit quantitative and/or qualitative valuation, whether directly or through one or more descriptors (quantities and/or qualities grouped for an indicator). This process of comparison between theory, practice and accumulated project data generated three matrices for the strategic analysis of information: (a) a matrix adapted from Salafsky et al. (2001) for organizational-institutional aspects within an adaptive management approach (Holling 1995); (b) a matrix for socio-economic information adapted rez et al. (2004) from a model developed by Ruiz-Pe for the analysis of vectors affecting sustainability of use and conservation of ecosystems with non-timber forest products (NTFP); and (c) a genetic-ecological matrix using a set of key references from landscape ecology to genetic aspects of peach palm (Mora Urp et al. 1997; Clement et al. 2004, 2006; Cornelius et al. 2006; Couvreur et al. 2006). Jarvis et al. (2000) and Clement et al. (2007) were reviewed for information on in situ conservation. Brown and Brubaker (2002) provided a general overview on indicators for PGR. Indicators for functionality analysis were built upon the same framework described in Fig. 1. When

opportunities to improve upon indicators for information and functionality were exhausted, step 4 was concluded. The process resulted in a set of integrated (ecological, economic) indicators able to represent both quantitative and/or qualitative data, with some of them applied at multiple levels of analysis (Table 1). Principal component analysis (PCA; Valentin 2000) explored the indicators relevance for explaining differences between subcase functionality. The analysis was concluded during step 5 with a comparison of results for both information availability and functionality indicator relevance. During this step, results were contrasted with theory and literature, permitting us to draw conclusions. The complete set of information indicators and descriptors, resulting frequency tables, PCA functionality analysis (graphics, eigenvalue tables), and full descriptions of indicators and scales adopted for the indicators used are available on request from the lead author. Analysis of the quality of information The projects information sets were evaluated with respect to their temporal, socio-ecological and geographical coverage. This analysis was performed for the following levels: (1) landscape, (2) AFS, (3) model species (peach palm) and (4) genetic aspects of both cultivated and wild peach palm varieties. The scale used ranged from 0 to 1, where: 0 = absent; 0.25 = incomplete; 0.5 = partial; 0.75 = sufcient; and 1 = complete. The resulting scores were grouped

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Agroforest Syst (2009) 76:591604 Table 1 Indicators and levels of analysis for ecological and economic functionality analysis of conservation through use of plant genetic resources in agroforestry systems and managed forests under the GEF-PNUD project, northwestern Mato Grosso, period 20012007, using peach palm (Bactris gasipaes Kunth) as a model species

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Indicators

Level of application Lan AFS For Spp Gen

Remaining forest cover (%) Municipal area in Protected Areas category [Conservation Units ? Indigenous Lands] (%) Municipality area in Indigenous Lands (%) Forest converted (km2) per year per person Shape of the forest fragments/AFS plots Proximity to Protected Areas (km) Integrity (composition and structure of the forest fragments) Non-timber forest products being used Pattern of fragmentation (distribution on the area) Non-timber product uses Land in AFS (% of the total area) Native species regeneration in the AFS Structure of vegetation (vertical prole) Trends in income Household demographic trend Behavior and adaptation of the cultivated key species in the AFS Cultivated species compatibility with multiple stores in the AFS Uses of wild species Time cycle expectation of investment return Phenotypic diversity of the cultivated variety Apparent genetic variability (cultivated variety)

Legal Reserve (considering Amazons 80% request of the farm area)

Lan, landscape level; AFS, agroforestry system at farm level; For, forest fragments at farm level; Spp, model species level; Gen, genetic aspects of the model species level

Size of population of the cultivated variety grown in the whole farm Fragmentation and potential gene ow for the cultivated variety Size of the population of the wild variety in AFS Fragmentation and potential gene ow for to the wild variety Pattern of fragmentation and potential for introgression

by relative frequency (rf %) into three categories: gaps (notes = 0), low marks (B0.5) and desirable status of information (note C 0.5). This interpretation was conducted in light of the projects context, trajectory and focus. The resulting conguration of information reects the projects a priori monitoring priorities. The organizational-institutional dimension addressed only indicators at the landscape and AFS levels because the project did not set species priorities for the AFS. The indicators included the following, where (n) provides the number of descriptors included in the analysis: (a) Logical framework (4); (b) Bench mark (4); (c) Monitoring plan (6); and (d) Actions (4). The socio-economic dimension also

used indicators only at the landscape and AFS levels, guided by peach palm as a model species, as over time it developed a major ecological and economic role in ongoing project AFS/forest management strategies. The indicators were: (a) Farm family prole (3); (b) Prole of activities and income (6); (c) Production-to-consumption chain (3); (d) Barriers to production and processing (10); and (e) Political and organizational vectors affecting production (4). The genetic-ecological dimension analyzed indicators at all four levels. The indicators were: (a) GIS Information (11); (b) Production systems and functional biodiversity (13); and (c) A set of indicators covering autoecology, adaptation to low-input systems and AFS, and genetic aspects of the model species (15).

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Matrices were contrasted to understand mutual relations, coherence and complementarities between information sets. Data matrices and analysis are available on request from the lead author. Analysis of ecological and economic functionality Qualitative and quantitative data accepted by the information quality analysis were converted into composite indicators, whose scale ranged from: 0 = absent; 0.1 = minimum value; 0.25 = low value; 0.5 = average value; 0.75 = satisfactory value; and 1 = high value. The indicators covered ve progressive and complementary levels: (a) landscape at municipality, (b) AFS at farm, (c) forest fragments at farm, (d) model species, and (e) genetic aspects of the model species (Table 1). The scale was adjusted using class intervals based on the extreme values of each aspect evaluated. The data were explored using PCA with the program MVSP 3.1 (Kovach 2007). PCA analysis focused on the two axes that explain most of the variation in the indicators being explored at different sites at each level. The resulting ordination was interpreted in the light of the history of each sampling unit (municipality, AFS) and the nature of the indicators involved in terms of the goals of conservation-through-use. Data matrices and output are available on request from the lead author. Location and sampling strategy The projects information system was the primary data source for analysis. At the farm level, the AFS analyzed and reported in the information system consist of areas between 2.5 and 18 ha on farms varying from 5 to 50 ha. These areas combine canopy species serving multiple purposes, mostly timber trees, fruit trees and some annual crops. The project considers these areas as demonstration units and their owners are considered innovative farmers. The units were selected from a total area of about 1,000 ha in AFS managed by 800 families in six municipalities (Nunes 2007). Around 80% are located in 11 agrarian reform settlements; 20% are individual family farmers that settled earlier in the area. In addition to the project archives, data sources included, key actor interviews and data related to the

region and accessible to the general public, e.g., online governmental databases regarding a range of socio-ecological aspects about the project region. Data availability conditioned the number of samples included for each level of functionality. Interviews and specic consultations provided complementary data, helping to clarify topics or different possible interpretations of project reports. In chronological terms, the study was delimited by the information available in the period from 2001 until 2007, and in socio-ecological and geographical space to the six municipalities where the project operates.

Results and discussion Quality of information Organizational-institutional information The indicators with acceptable results (over 0.5) reveal a high level (landscape, AFS/farm level) focus for the organizational-institutional dimension. No information gaps were found. The landscape level focus had, however, some important consequences, as monitoring of AFS/farm was mostly a product of short-term consultancies. This monitoring focused on evaluation of achieved goals, an approach that gives little attention to data that support sustainability at the AFS/farm level, a level that is emphasized by Grumbine (1997). As a positive feature, strategies for monitoring and information dissemination were used, such as on-farm visits, short courses and other capacity building activities for innovative farmers and partners; executing these events account for about 20% of the total resources of the projects AFS Component (UNDP 2001). This is ve times the average share of resources devoted to communication and training by conservation projects in Latin Amerguez et al. 2007). This is ica during 19921997 (Rodr important because these investments tend to promote resilience and conservation within social networks in an adaptive strategy of communication and training (Salafsky et al. 2001; Holling 1995). Socio-economic information Information gaps represent on average less than 10%. However, gaps and insufcient information summed

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45.3% for the descriptors Barriers to production and processing and Prole of activities and income, revealing a fragility to the understanding of pupunha role in the production systems. Moreover, sources of economic information at AFS/farm level were mostly based on qualitative socio-economic information (Dubois 2002; Vivan et al. 2007). The low average value in Diagnosis of production-to-consumption chain reects the fact that marketing partnerships were stimulated by the hearts-of-palm processing industry focused on a single regional processor as anchor. This led to a reduced project priority toward the collection of quantitative data on the hearts-of-palm production chain. A well-informed production chain data-base, with information on regional, national and foreign markets, would be critical to inform public policies related to this species as a means to achieve greater sustainability through diversication in response to market uctuations and opportunities. Genetic-ecological information Information gaps were identied for the following descriptors: GIS generated information and autoecology, adaptation and genetic aspects. Concerning the model species (peach palm), a signicant information gap was found for the descriptor that represents Production systems functional biodiversity. It can be assumed that the vulnerabilities in this dimension originate from a combination of the landscape level focus and dependence on partners for local data collection. AFS/farm monitoring material is mostly qualitative. It originates from short term consultancies, a series of farm assessments executed by the state extension service, EMPAER. Considering the model species, a survey of peach palm survival, planting systems and adaptation was produced with the assistance of the Executive Board for Cocoa Production Planning (CEPLAC), restricted . to the municipality of Aripuana Ecological and economic functionality Landscape level The analysis included all six municipalities that harbor demonstration AFS sites and six indicators to explore use and conservation functionality status. The

na and PCA analysis grouped the municipalities of Ju at the favorable end of axis 1 (accounting Aripuana for 64% of the variation; Fig. 2). This is the result of higher values of the indicators Conservation Units ? Indigenous Lands, Percent of Indigenous Lands, and lower absolute values for Forest converted (km2) per person per year. On axis 2 (21% of the variation) a group was formed by the municipalna and Castanheira, with the municipality ities of Ju in an intermediate position. This of Cotriguac u ordination relates to lower values for Juruena, for the indicators Legal Colniza and Aripuana Reserve index, Uses of non-timber forest products (NTFP) and Forest converted (km2) per person per year. The economic-ecological functionality evaluated by these six indicators demonstrates that effective conservation at the landscape level, attributable to viable habitats for the wild variety of peach palm, depends on the Total area in Indigenous Lands, Conservation Units ? Indigenous Lands, total area of forest fragments, and to a lesser extent, the Legal Reserve index, the uses of NTFP and the land use na and Aripuana have higher chances index. Both Ju of harboring functional habitats for wild peach palm, despite their low total area in forest fragments within the productive landscape. What denes these municipalities important role in conservation is the higher proportion of area in Indigenous Lands61 and 25%

Fig. 2 Principal component analysis of the economic-ecological functionality at landscape level with six variables and six municipalities in the northwest of Mato Grosso, showing the importance of the indicators (length of arrows), its inuence in dening the priorities 1 and 2 (direction of the arrow in relation to their respective axis) and positioning of the municipality in eigen-space that represents the functionality

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of their territories, respectively. By summing Indigna stands enous Lands with Conservation Units, Ju out with 69% of its territory in Conservation Units. relates to The intermediate position for Cotriguac u the fact that 17% of its territory is in Indigenous Lands, with 15% in Conservation Units, summing 32% in Protected Areas. The indicator Forest converted (km2) per person per year was contrasted with the average number of cattle/inhabitant to explore possible relationships. The region has 4.67.5 times more cattle/inhabitant than the average for the Brazilian Amazon region, which is 3 cattle/inhabitant (Fearnside 2005). However, no signicant correlation was found (r = 0.06). Castanheira, for example, leads the list with 46.5 cattle/inhabitant, but had an index of Forest converted (km2) per person per year lower than Juruena, which has 2.6 times fewer cattle/inhabitant. Large variations in the rate of deforestation were mostly linked to macroeconomic factors, such as the availability of capital and the rate of ination. Such information is particularly relevant for medium and large cattle ranches that invest in herd expansion (Fearnside 2005). Our hypothesis for the lack of correlation between cattle and forest converted is that deforestation in this set of municipalities responds to more complex productive arrangements and stimuli. Castanheira was settled before Juruena and nearly exhausted its possible frontier before any of the other municipalities, so the lapse of time since occupation (i.e., deforestation was rapid early on) is a very important descriptor to be included in further studies. Such analysis must be complemented with indicators having uniform effect across space, as demographic trends, meat prices oscilation and public policies for cattle ranching having little effect. Moreover, the economic activities that catch decision-makers interest on socio-environmental grounds as valid potential competitors with cattle ranching, such as AFS and NTFP products, are still poorly evaluated and understood in the region. As 80% of the participants in the project live in 11 agrarian reform settlements, the project invests in monitoring systems designed to incorporate such areas in environmental licensing, as well as to demarcate Legal Reserves on larger farms, both required by law but until recently unenforced. However, the indicator Legal Reserve indexwhich reects the proportion of farmland whose reserves

had been demarcatedwas relatively less important than other indices to show efforts to impede deforestation among municipalities, which appears contradictory. But this result in fact reects differential effectiveness of these instruments on distinct types of farm units. On the one hand, 80% of the deforestation registered between May and July 2007 outside of Protected Areas in northwestern Mato Grosso occurred in areas lacking environmental licenses (UFMG 2007). This reinforces the projects presupposition that licensing inhibits deforestation. On the other hand, a small proportion (about 12%) of all deforestation registered in rural properties during this period occurred in agrarian reform settlements (IMAZON 2007), of which 50% in Legal Reserves and Permanent Preservation Areas (UFMG 2007). With only one settlement out of eleven licensed until 2008, the impacts of licensing in deforestation inhibition are at best inconclusive. The importance of Indigenous Lands for habitat conservation is in agreement with the equally positive evaluations by Nepstad et al. (2006). This importance is even further reinforced by data on accumulated deforestation in the project region between 1992 and 2005. Of the 15,000 km2 of forest converted in this period, only 0.14 and 0.69%, respectively, occurred in Indigenous Lands and Conservation Units. Outside of the Indigenous Lands and Conservation Units, small and medium-scale farmers occupy 55% of the areas without legal protection in the region, and are responsible for only 19% of the detected sites of deforestation under 10 ha in extent (UFMG 2007), a gure that the project aims to reduce even further with its AFS strategy. AFS at farm level The PCA of AFS at farm level included 12 farmers and 11 indicators. On axis 1 (33% of the variation), nine farms were distinct from the other three farms because the rst group had higher values for the indicators Non-timber agroforestry products uses and Trend of AFS income. On axis 2 (20% of the variation) three farms showed higher values for the indicators Forest converted (km2) per person per year, (meaning less demand for forest per year) and lower values for AFS Fragmentation and Shape pattern of AFS (which means more fragmentation and poor shape patterns). It must be stressed that the

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method demands that absolute data is converted to a valuation scale, implying that for indicators as deforestation a lower absolute value to be represented by a higher scale value. This analysis suggests that Non-timber agroforestry products uses and Trend of AFS income are responsible for most of the distinction among the farms, with a majority of the farmers inside the positive group because of better conservation indicators: less forest converted (km2) per person per year ? more area dedicated to AFS, less Fragmentation of AFS and better shape pattern of AFS (more compact plots) (Fig. 3). The relevance of AFS economic data to understand differences among innovative AFS at farm level is apparent here. Project qualitative data for these indicators suggest that a majority of farms is enhancing income generation and uses from AFS by intercropping with annuals, mainly vegetables for nearby markets, and by including products with rapid returns in AFS. Examples of 14 year return cycles include peach palm used for hearts-of-palm, coffee (Paullinia cupana). Other slightly and guarana longer-maturing examples are cupuac u, cocoa and (Euterpe oleracaea), which produce fruit whose ac a frozen pulp is sold in regional markets. Brazil nut, timber and resin-producing species are included for

Fig. 3 Principal component analysis of economic-ecological functionality at agroforestry systems (AFS) in farms level with nine variables and twelve AFS in the northwest Mato Grosso, showing the importance of the indicators (length of arrows), its inuence in dening the priorities 1 and 2 (direction of the arrow in relation to their respective axis) and positioning of the municipality in eigen-space that represents the functionality. The code adopted for the AFS in farms is what follows: Wald Coln is: Wald, abbreviation of the name of the farmer and Coln, abbreviation of the municipality where the farm is located

long-term returns, but within the new AFS they have not yet reached the stages of production and commercialization. Access to markets, transport infrastructure and knowledge were linked to farmers perceptions of AFS success in a survey carried out in in 2005. On the other hand, lack of Aripuana synchronicity between delivery of nancial resources, time of planting and technical assistance was linked to failure (De Almeida 2005). This shows the importance of information for exploiting opportunities and niche markets for AFS products, as discussed by Smith et al. (1998) and Russell and Franzel (2004), while emphasizing the role of the organizational and institutional arrangements. The analysis reveals that AFS economic data must be a priority for the projects future. Campbell and Luckert (2003) describe a wide array of participatory techniques that can help in a monitoring strategy to clarify the role that native species play in AFS and farmers economic and capitalization strategies. The challenge for decision-making is illustrated by the . Cattle are a main source of example of Aripuana income for the agrarian reform settlers, attaining up to US$ 14,500 in gross income per year per household (De Almeida 2005). Evaluation and demonstration of the competitiveness of AFS in economic terms must be a priority, and will therefore be compared to these gures, an important factor both in raising awareness and as a tool for decision-making to prevent or reverse the permanent conversion of forest to pasture. The importance of the indicators relating to conservation (Pattern of Fragmentation and Shape of AFS) and use (Land use index ? AFS) refers to the connectivity between forest fragments and AFS. These aspects can determine the potential ux of seeds between AFS and forest, and contribute to both ecological and economic functioning of AFS. There is no data available about the integrity of forest fragments on these farms. However, their importance for AFS is clear from the fact that up to 50% of tree species listed in AFS are native species introduced or managed intentionally by farmers from spontaneous regeneration, mainly for timber, for shade or fertilization purposes. Thus, further monitoring should conrm that this practice is a common feature among the farmers mosaics where AFS is being promoted. If the connectivity and integrity have the necessary scale for biodiversity conservation, there is potential habitat being conserved (McNeely and Schroth 2006).

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Another point of future interest is to analyze the role of trees in the land use system at farm level. The AFS evaluations did not include indicators associated with the general incorporation of trees in the farming system, nor plantations of exotic timber species in monoculture, such as teak (Tectona grandis), nor mixtures of two or three species. These forms of tree planting and management, however, are being incorporated into innovative farmers strategies and should be judged within an ecological and economic context. One example is a farmer with a total of 50 ha that includes 12 ha of native forest, 20 ha of AFS, 10 ha of pasture, 2 ha of commercial horticulture and 6 ha of mixed use. This farm could be characterized as what Wiersum (1994, 2004) calls a Forest garden, or a set of agroforestry systems, forests and anthropogenic forests managed as a distinct category of land use. Forest fragments at farm level Ten forest fragments at farm level were evaluated with ten indicators. On axis 1 (48% of the variation) higher values for the indicator Total area of forest fragments and lower values for Connectivity of forest fragments with Protected Areas separated two farms as distinct from the other eight farms. On axis 2 (11% of the variation) higher values for Integrity of forest fragments, Pattern of distribution and Shape of forest fragments formed a group of four farms distinct from the remaining six farms. A majority of eight farms had less forest cover but better connectivity with Protected Areas. Moreover, forest fragment integrity, shape of the forest fragments and their pattern of distribution on the farm are important to distinguish the conguration of farms forest cover. At least 50% of the farms unite these desirable qualities for forest fragment conservation, indicating that the group has innovative strategies that are maintaining apparently functional forest fragments. As the projects targeted public occupies 55% of the territory outside Protected Areas, it is essential to understand why innovative farmers are keeping their forest fragments intact instead of converting them to pasture or other uses. Even though no information was available about forest fragment integrity, participating farmers mentioned that 55% of the AFS woody species originated from forest fragments, i.e., they are native tree species. Also, Guarino et al.

(2002) suggest the importance of identifying whether plant genetic resources inside private or communal areas represent those inside Protected Areas, thus dening strategies for conservation-through-use. The analysis suggests a ow of PGR between AFS and forest fragments that are important to farmers strategies for the composition and structure of AFS. This can be a reason to keep forest fragments functional and connected to AFS. With better data on forest fragments both inside and outside Protected Areas, the method has the potential to respond adequately to this demand, resulting in betterinformed decision-making by farmers, project managers and conservation policy makers.

Key-species level Eight cases and four indicators were used for the PCA analysis addressing the conservation and use of peach palm. On axis 1 (48% of the variation) a group of three farms was distinct from a fourth, with the others in an intermediate position. This ordination reects the fact that the rst group has higher values for Adaptation (behavior and adaptation of cultivated peach palm), Income (trend of income from cultivated peach palm) and Insertion in the AFS (compatibility of cultivated peach palm with multistory AFS). On axis 2 (32% of the variation) the poorer farm on axis 1 was distinct from two of the better farms from axis 1, while the remaining farms were in an intermediate position. This ordination also reects the high values for Adaptation and Income for the better farms. It can therefore be concluded that functionality at the key-species level depends primarily on these two indicators. This conguration for decision-making is coherent with a universe of settlers originating from regions that do not have the custom of consuming peach palm. Instead, these farmers look upon peach palm as a potential cash crop. Peach palm allows a return in the short term; it bears fruits quickly (35 years) or produces hearts-of-palm one and a half years after et al. 1997). These are important planting (Mora Urp features for an AFS species. Other features promoting the cultivation of peach palm are that it is also tolerant of acid soils, can cope with open canopy AFS structures, and has few problems with pests and diseases (Clement et al. 2004).

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601

Genetic aspects level The high proportion of information gaps at the genetic level (between 40 and 80%) impeded the use of PCA. However, an interpretative analysis used na, reports of two illustrative locations, AJOPAM-Ju a farmer organization, and the Department of Agri . The reports were culture, Municipality of Cotriguac u compiled from interviews with personnel responsible for technical assistance in peach palm programs. They offer technical guidance and describe the contexts in these two municipalities (Table 2). The interviewees did not provide information on three of the indicators selected for analysis: Size of population of the species/wild variety; gene ow and fragmentation of the wild variety and pattern of fragmentation and potential for introgression. These indicators relate directly to the goal of preventing introgression and are important gaps in the AFS/farm level data that emphasize the need to obtain information on forest fragments and the presence of the wild variety. The variable in common among the locations is guas, Peru, which is the source of reproducYurima tive material used in plantations in the project region between 1996 and 1998. AJOPAM has an adult population of 130 thousand peach palms. They were selected in a nursery for spinelessness; 90% of na, farmers producers received these seedlings. In Ju and AJOPAM technicians characterized ve varieties. The resulting F1 showed high color diversity (between red and yellow), fruit size (small to medium), 10% presence of spines, and 10% without offshoots. One farmers variety had small fruits, with

a thin and brous mesocarp, in very large bunches, and about 10% of plants with spines, and may represent introgression between cultivated and wild guas. plants in Yurima External vectors also inuenced the populations of seed trees of peach palm between 2001 and 2002: a rise in the prices of coffee and cattle shifted the work force and reduced interest in planting peach palm. In , seed trees were cut for sale of fresh Cotriguac u hearts-of-palm on the local market to generate cash for buying barbed wire, posts and cattle, and were not replanted or managed again. Meanwhile, AJOPAM managed to keep farmers in the market by selling other products (Brazil nuts, honey, fruits, and coffee) and maintained, with the help of the UNDP, a smaller but efcient sale of peach palm seeds. As the interest in peach palm resumed between 2004 and 2005, fueled by the release of funding for a peach palm na, the UNDP project processing industry in Ju supported investments in marketing and purchase of seeds and plants from nurseries, as well as training courses for technicians in the region, and AJOPAM/ na farmers beneted most in contrast to CotJu , as they had kept their peach palm seed-trees. riguac u A hypothesis to be tested by lling the information gaps is the inuence of local organizations (AJO ) in PAM, Department of Agriculture of Cotriguac u maintaining seed-trees through cycles of crisis, and the role of the organizations technical advice on the potential for introgression in the face of the presence of the wild variety in the surrounding forests. As information gaps are lled in the wake of demand by the regionally emergent hearts-of-palm industry, they can make good use of selection protocols already

Table 2 Indicators for genetic aspects in conservation through use of Bactris gasipaes, adapted from two reports of cases, 2007, northwestern Mato Grosso Indicators Phenotypic diversity of cultivated peach palm na AJOPAM Ju Greater diversity of colors and sizes of fruits and presence/ absence of spines Seeds from plants selected by local producers from materials with the possibility of pollination by wild populations 450 mother trees Populations less than 50 m apart 6 mother trees Populations more than 500 m apart Agric Dept. Cotriguac u Much uniformity in color and size of fruits and in the presence/absence of spines

Apparent genetic variability

Size of the cultivated population at farm level Gene ow and fragmentation for cultivated peach palm in AFS

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developed for participatory improvement methods designed to balance genetic gain against genetic erosion (Cornelius et al. 2006).

Conclusions The projects landscape level orientation is providing some strategic value for project macro strategies. However, information gaps at the AFS/farm, model species, and genetic levels are limiting the understanding of functionality and decision-making being done by farmers and local technicians. These information gaps reect the formal information system and suggest that decision-making at the AFS/farmer level is being made but not reported by the project, reducing possibilities for decision-making analysis. This is a source of management structure vulnerability that needs to be resolved, since including local level criteria for decision-making into public policies is an objective for demonstration projects with a participatory approach. Protected Areas and Indigenous Lands are proving their role and functionality in conservation at the landscape level. Deforestation trends and cattle/capita ratios are not linearly related, implying that deforestation responds to different and multiple congurations of vectors. These results warn that there is no silver bullet to be used as a guarantee for conservation. Concessions for logging, commercial collection of NTFPs and even traditional use of Indigenous Lands are subject to dynamic changes inuenced by surrounding vectors, and these will have decisive inuences on the resources they shelter. This fact reinforces the need to keep monitoring with ecologically and economically integrated criteria in progressive levels from the landscape to the individual farmer. The aim must be to use better what is known, to identify what is unknown or uncertain, and to evaluate the consequences of current actions and contexts. Only then will it be possible to identify appropriate strategies to reduce losses of plant genetic resources, knowledge about their use and conservation, as well as habitats in different levels, from farms to landscapes. Less available information for the social and economic dimension (use) contributed to accentuate the importance of the ecologic dimension

(conservation) in the decision-making analysis at AFS/farm level. The identied gaps are vulnerabilities in the economic basis for decision making, constituting an indication for future monitoring. The reported use of reproductive plant materials from forest fragments and their management in AFS suggests that important services are being provided by forest fragments. Consequently it is justied to increase monitoring and develop strategies that assess the role of private forest fragments and their potential contribution to conservation. At the genetic level of analysis, AJOPAMs peach palm management is resulting in acceptable standards for maintaining diversity and seed production oriented to the hearts-of-palm industrys demand. A more detailed formal description and review of farmers populations of seed trees will enable a more critical analysis of the status of the cultivated species. The analysis is pointing to a major role for local organizations and accumulated social capital, with markets playing an important role in the future management of cultivated peach palm diversity in the region. The method adopted in this study to assess the quality of information and to analyze ecological and economic functionality offers a contribution to the adaptive management of the northwestern Mato Grosso ecosystems. The emphasis is on the analysis of information for decision-making in agroforestry systems and forest fragments within a conservationthrough-use approach. The method is fullling its goal of providing an overview of priority issues for decision-making in use and conservation of PGR at different levels, including that of the model species (peach palm). Species that have wild relatives in the surrounding forests, and are economically important for the AFS/farm strategies, such as cocoa and Brazil nut, are likely to generate results similar to those of peach palm. The method enabled an analytical process that used fragmented information of both quantitative and qualitative natures. These are real life sources for participatory project evaluation when research is not a specic goal within the projects context and structure. Besides the operational success of the method, the ongoing use of the results within the project, along with application on other contexts will allow for a future evaluation of its real potential as an adaptive management tool.

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