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Orientador: Mario Luiz Teixeira de Moraes / Coorientador: Luciana Duque Silva / Coorientador: Antonio Rioyei Higa / Banca: Maria Aparecida Anselmo Tarsitano / Banca: Maria Jose Brito Zakia / Resumo: A sustentabilidade é um tema de bastante repercussão dentre a comunidade científica, governantes, meios de comunicação e sociedade atualmente, pois surge como um novo modelo de desenvolvimento que garante condições de sobrevivência para as próximas gerações devido aos alarmantes níveis de degradação que meio ambiente vem apresentando principalmente com maior conscientização dos problemas desde a década de 1970. Portanto a necessidade de desenvolver meios para aferir a sustentabilidade representa um desafio para os pesquisadores da área. Neste trabalho foram analisados o desempenho econômico e ambiental de dois sistemas produtivos: produção de eucalipto e três espécies frutíferas do Cerrado em Reserva Legal no estado do Mato Grosso do Sul: o pequi, mangaba e araticum com horizonte de sete anos para os dois sistemas e em seguida foi realizada uma análise conjunta da produção de eucalipto integrada com a reserva legal manejada denominada de "fazenda florestal" para avaliação da sustentabilidade em nível de paisagem. Para analise econômica avaliou-se a TIR (taxa interna de retorno), o VPL (valor presente futuro), a RB/C (razão benefício custo) e o IL (índice de lucratividade), para as espécies do cerrado foram avaliados o VPL e RB/C e os índices de lucratividade. O desempenho ambiental foi realizado através da análise emergética: os dois sistemas foram avaliados por meio dos seguintes índices: Tr (Transformidade), EYR (Taxa de rendimento emergético), EIR (taxa de investimento emergético), ELR (taxa de carga ambiental), %R (renovabilidade), EER (taxa de intercâmbio ) e ESI (índice de sustentabilidade emergética). A produção de eucalipto apresentou o VPL de R$1.927,37 ha -1, com 13% de TIR, RB/C de 1,61 unidades e IL foi de 61,43%. O projeto mostrou-se... (Resumo completo, clicar acesso eletrônico abaixo) / Abstract: Sustainability is a topic of strong repercussion among the scientific community, governments, media and society currently, it appears as a new development model that ensures survival conditions for future generations due to the alarming levels of environmental degradation that has shown mainly to more awareness of the problems since the 1970s. Therefore the need to develop means to measure sustainability represents a challenge for researchers. The present study analyzes the economic and environmental performance of two production systems: eucalyptus production and three fruit species in the Cerrado Legal Reserve in Mato Grosso do Sul: pequi, mangaba and araticum horizon of seven years for the two systems and was then carried out a joint analysis of eucalyptus production integrated with the legal reserve managed called "farm forestry" to assessment of sustainability at a landscape level. For the economic analysis evaluated the IRR (internal rate of return), NPV (present value of future), RB / C (benefit-cost ratio) and IL (profitability index), while for the species of the cerrado were evaluated NPV, RB / C and profitability index. Environmental performance was achieved through the emergy, the two systems studied were evaluated for the following indexes: Tr (processed), EYR (emergy yield rate), EIR (emergy investment rate), ELR (environmental loading rate), % R (renewability), EER (exchange rate) and ESI (emergy sustainability index). The production of eucalyptus presents the NPV of R$ 1.927,37 ha -1, with 13% IRR, RB/ C of 1, 61 units and IL was 61, 43%. The project proved to be economically viable and profitable. Due to the mining activity carried out in the Legal Reserve not involve deployment and maintenance costs, this activity was more profitable and viable (NPV of R$ 20.144,83 ha -1... (Complete abstract click electronic access below) / Mestre

Made available in DSpace on 2014-06-11T19:29:42Z (GMT). No. of bitstreams: 0 Previous issue date: 2012-02-14Bitstream added on 2014-06-13T18:39:36Z : No. of bitstreams: 1 dourado_cl_me_ilha.pdf: 1521551 bytes, checksum: b9a941412aef825cc64cdfe39e6fcdc9 (MD5) / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) / A sustentabilidade é um tema de bastante repercussão dentre a comunidade científica, governantes, meios de comunicação e sociedade atualmente, pois surge como um novo modelo de desenvolvimento que garante condições de sobrevivência para as próximas gerações devido aos alarmantes níveis de degradação que meio ambiente vem apresentando principalmente com maior conscientização dos problemas desde a década de 1970. Portanto a necessidade de desenvolver meios para aferir a sustentabilidade representa um desafio para os pesquisadores da área. Neste trabalho foram analisados o desempenho econômico e ambiental de dois sistemas produtivos: produção de eucalipto e três espécies frutíferas do Cerrado em Reserva Legal no estado do Mato Grosso do Sul: o pequi, mangaba e araticum com horizonte de sete anos para os dois sistemas e em seguida foi realizada uma análise conjunta da produção de eucalipto integrada com a reserva legal manejada denominada de “fazenda florestal” para avaliação da sustentabilidade em nível de paisagem. Para analise econômica avaliou-se a TIR (taxa interna de retorno), o VPL (valor presente futuro), a RB/C (razão benefício custo) e o IL (índice de lucratividade), para as espécies do cerrado foram avaliados o VPL e RB/C e os índices de lucratividade. O desempenho ambiental foi realizado através da análise emergética: os dois sistemas foram avaliados por meio dos seguintes índices: Tr (Transformidade), EYR (Taxa de rendimento emergético), EIR (taxa de investimento emergético), ELR (taxa de carga ambiental), %R (renovabilidade), EER (taxa de intercâmbio ) e ESI (índice de sustentabilidade emergética). A produção de eucalipto apresentou o VPL de R$1.927,37 ha -1, com 13% de TIR, RB/C de 1,61 unidades e IL foi de 61,43%. O projeto mostrou-se... / Sustainability is a topic of strong repercussion among the scientific community, governments, media and society currently, it appears as a new development model that ensures survival conditions for future generations due to the alarming levels of environmental degradation that has shown mainly to more awareness of the problems since the 1970s. Therefore the need to develop means to measure sustainability represents a challenge for researchers. The present study analyzes the economic and environmental performance of two production systems: eucalyptus production and three fruit species in the Cerrado Legal Reserve in Mato Grosso do Sul: pequi, mangaba and araticum horizon of seven years for the two systems and was then carried out a joint analysis of eucalyptus production integrated with the legal reserve managed called farm forestry to assessment of sustainability at a landscape level. For the economic analysis evaluated the IRR (internal rate of return), NPV (present value of future), RB / C (benefit-cost ratio) and IL (profitability index), while for the species of the cerrado were evaluated NPV, RB / C and profitability index. Environmental performance was achieved through the emergy, the two systems studied were evaluated for the following indexes: Tr (processed), EYR (emergy yield rate), EIR (emergy investment rate), ELR (environmental loading rate), % R (renewability), EER (exchange rate) and ESI (emergy sustainability index). The production of eucalyptus presents the NPV of R$ 1.927,37 ha -1, with 13% IRR, RB/ C of 1, 61 units and IL was 61, 43%. The project proved to be economically viable and profitable. Due to the mining activity carried out in the Legal Reserve not involve deployment and maintenance costs, this activity was more profitable and viable (NPV of R$ 20.144,83 ha -1... (Complete abstract click electronic access below)

In this study, farm forestry decision criteria were elicited by adopting a behavioral decision-making study approach from households in ten Peasant Associations of the study district. Major decision objectives, available alternatives, constraints, and the likelihood of the chance events were elicited through a questionnaire survey, participatory observation, detailed discussion, and review of archival information. It was found that farmers generally, plant various tree and shrub species for meeting various household needs and for generating cash incomes. The goal of cash generation is for sustenance of livelihoods through fulfillment of various basic obligations and overcoming unforeseen contingencies. The three most economically important tree/shrub species were eucalypts, coffee, and t?chat. Eucalypt wood covers nearly all the construction needs and constitutes a substantial part of the fuelwood consumptions. Coffee and t?chat are vital sources of cash income and makeup an important part of daily diets. Growing of eucalypts for cash income is mainly constrained by lack of access road, low farm gate prices, high competition with food crops for soil nutrients and moisture, and shortage of land and labor. The household uses and cash values of coffee are generally, undermined by high incidence of berry disease and lack of manure. Financial benefits of t?chat are weakened by high local tax rates. The logistic regression analysis confirms that agro-ecological zone, sex of household head, number of eucalypt trees owned, and age of household head represent important explanatory variables that explain farmers readiness to expand eucalypt woodlots. The model so constructed correctly predicted 84.1 % of the households that established additional eucalypt woodlots mainly for cash generation. The total number of eucalypt trees owned by households is significantly related to the attitude of the household head towards eucalypts, wealth status, and landholding size of the household. Financial viability of eucalypt woodlots was assessed through both methods of conventional economic calculations and Chayanovian calculations. Both methods confirmed the highly lucrative markets of eucalypt poles as compared to agricultural crop production. This is mainly because of lack of access to more profitable production techniques and low productivity of agricultural crops per unit area. Otherwise, farm gate prices of eucalypt poles are far from being attractive and outperforming that of agricultural crops.

In this study, farm forestry decision criteria were elicited by adopting a behavioral decision-making study approach from households in ten Peasant Associations of the study district. Major decision objectives, available alternatives, constraints, and the likelihood of the chance events were elicited through a questionnaire survey, participatory observation, detailed discussion, and review of archival information. It was found that farmers generally, plant various tree and shrub species for meeting various household needs and for generating cash incomes. The goal of cash generation is for sustenance of livelihoods through fulfillment of various basic obligations and overcoming unforeseen contingencies. The three most economically important tree/shrub species were eucalypts, coffee, and t?chat. Eucalypt wood covers nearly all the construction needs and constitutes a substantial part of the fuelwood consumptions. Coffee and t?chat are vital sources of cash income and makeup an important part of daily diets. Growing of eucalypts for cash income is mainly constrained by lack of access road, low farm gate prices, high competition with food crops for soil nutrients and moisture, and shortage of land and labor. The household uses and cash values of coffee are generally, undermined by high incidence of berry disease and lack of manure. Financial benefits of t?chat are weakened by high local tax rates. The logistic regression analysis confirms that agro-ecological zone, sex of household head, number of eucalypt trees owned, and age of household head represent important explanatory variables that explain farmers readiness to expand eucalypt woodlots. The model so constructed correctly predicted 84.1 % of the households that established additional eucalypt woodlots mainly for cash generation. The total number of eucalypt trees owned by households is significantly related to the attitude of the household head towards eucalypts, wealth status, and landholding size of the household. Financial viability of eucalypt woodlots was assessed through both methods of conventional economic calculations and Chayanovian calculations. Both methods confirmed the highly lucrative markets of eucalypt poles as compared to agricultural crop production. This is mainly because of lack of access to more profitable production techniques and low productivity of agricultural crops per unit area. Otherwise, farm gate prices of eucalypt poles are far from being attractive and outperforming that of agricultural crops.

Based on Socio-economic Field Laboratory concept, we put forward the need to amplify locally-embedded innovation to address nationwide challenges. The WoodCluster project (2017-2021) aimed to seek solutions to close the national wood supply gap based on farm-wood production in East African countries. Towards achieving the objective, one of the project activities is the implementation of Field School. A field school is understood as a practical element of a thematic study course module, supplementing theoretical teaching. It shall provide the opportunity for students to learn and test research methods in a practical manner and get in contact with the local community to exchange knowledge. It serves as a framework that requires adaptation to the local research demand and context, with its cultural, socio-economic, and environmental features. Two field schools within the framework of the project were conducted in Tanzania in 2018 and in Ethiopia in 2019. The focus of the field school was on local-level wood production from smallholder farmers and market dynamics, but the guideline can be adapted to other thematic areas. Based on the experiences within the WoodCluster project in East Africa, this guideline elaborates the theoretical fundaments, steps, methods, and examples in conducting socio-economic field schools with local communities and graduate students.:Content iii Acknowledgements iv Summary ii 1. Introduction 1 1.1 Justification: Why a Field School and a Guideline? 1 1.2 Background of the WoodCluster project 1 2. Theoretical fundaments: Constructivist and action-oriented approaches in human-ecosystem interaction 2 2.1 Human-ecosystem interaction: the social-ecological co-evolution model as framework 2 2.2 A constructivist perspective: development, action and sustainability 3 2.3 Action Research and Social Learning 3 3. Planning phase: What has to be done? 4 3.1 Study site selection and needs assessment 4 3.2 Resources and specifications for overall organization and students’ group work 5 4. Implementation phase: How to do? 7 4.1 Overall program 7 4.2 Student research group work 9 4.3 Engaging and communicating results to local communities 10 5. Post-field school phase: Reporting & Evaluation 12 6. Further reading 13 7. Bibliography 14 8. Appendix: WoodCluster student group tasks and materials 15 8.1 Farm mapping 15 8.2 Woodlot inventory: 17 8.3 Value chain and market analysis 21

Eastern African countries have been confronted with forest landscape degradation and the consequently growing gap between the supply and demand of wood products. Small-scale farmers growing trees on farm have been increasingly acknowledged as a major wood supplier. Value chain analysis studies pointed out the challenges faced by the smallholders, as they are commonly engaged in informal wood markets, associated with weaker bargaining power and market asymmetry. From the Social and Solidarity Economy lens, collective action approaches through farmers’ organizations can counter the challenges of individual smallholders, while facilitating the upgrading of wood value chains. Thus, the objective of this dissertation was to analyze the (potential) roles of forest farmers’ organizations (FFOs) in wood value chain upgrading, with two case studies in Ethiopia and Tanzania. Through a systematic literature review worldwide, the study first sought to provide a knowledge base for FFO research grounded on (i) the policy context within which FFOs operate, and (ii) the typology of their performance with reference to resource mobilization, commercialization of wood products and benefit sharing mechanisms. Value chain analyses of wood products from smallholders each in Ethiopia and Tanzania were the point of departure for the empirical work, consequently treated as the case studies. A collective of smallholders and individual smallholders were embedded as the units of analysis in the two independent case studies. The two-country study setting permitted the analytical generalization of collective action approaches to value chain upgrading and the development of a research agenda and policy recommendations. Grounded on the value chain upgrading approach, FFO business models were co-developed to assess the interlinkages between the business model and (i) the organizational governance and (ii) the implications on wood value chain upgrading. Participatory workshops with existing farmers’ organizations were conducted to co-develop the business models, while focus group discussions and key informant interviews served to frame and triangulate the contextual conditions. Semi-structured household interviews were employed to examine the perception of FFOs and the main factors influencing farmers’ willingness to participate. Binary logistic regression analysis and descriptive statistics were employed in tandem with thematic analysis to analyze the data. The global review represented 57 FFOs distributed globally across 20 countries, which were manifested as associations, cooperatives, and small- and medium-sized enterprises. Research in FFOs has gained scholarly traction in the last three decades, emphasizing the emerging trend of smallholders managing forest farm forestry plots across the tropics. The review revealed three categories of FFOs, depending on the extent of the organization’s product portfolio, the value addition captured at the organizational level, and the linkages to market channels. The empirical findings revealed that southern Ethiopia and southern Tanzania had contrasting regulatory framework for the establishment of FFOs. Given the existing foreign donor program targeted at smallholders in Tanzania, institutional and financial start-up support exist. In both cases, farmers were able to envisage an FFO business model that would allow product and process upgrading of wood value chains. The FFO was perceived differently across the two cases. The Ethiopian case study referred to it as a tree marketing cooperative, which shall facilitate the production of members’ woodlots and the commercialization of wood products of members and non-members alike at a timber yard in a nearby urban area. The Tanzanian case study termed it as a tree growers’ association, which shall facilitate the production of members’ wood and non-wood products, and the commercialization of members’ sawn timber to existing traders. Achieving functional upgrading would necessitate concerted efforts by various governmental and non-governmental stakeholders. The household interviews revealed that 74% (n = 185) and 90% (n = 190) of smallholders would be willing to participate in an FFO in the Ethiopian and Tanzanian case, respectively. In Ethiopia, farmers perceived it as a collective wood marketing enterprise. A relatively small group size with substantial monetary contribution characterize farmers’ preferences to undertake a joint business on wood marketing. In Tanzania, the perception of a tree growers’ association centered on social learning elements to improve wood production and find alternative buyers, while regulating fire incidences. In both cases, the significant factors influencing farmers’ willingness to participate were (1) household socio-economic characteristics, e.g. household head’s age group or household size; and (2) experiences with tree growing activities, e.g. price satisfaction in the last sales or difficulty in market access. The synthesis permitted the derivation of the following conceptual assertion: that FFOs have the potential in upgrading the wood value chains, as long as farmers can envision a business model of an FFO that accommodates the factors influencing farmers’ willingness to participate. Overall, the study demonstrates the changing narratives of farmers’ organizations in the study countries and contributes to the commons-cooperative alliance theory – the integration of collective action and cooperative management. Furthermore, the key findings provide the groundwork to springboard future research avenues, specifically to test the derived assumptions, and recommendations for policy and development. / Die ostafrikanischen Länder sind mit der Degradierung der Waldlandschaft und der daraus resultierenden wachsenden Kluft zwischen Angebot und Nachfrage nach Holzprodukten konfrontiert. Kleinbauern, die auf ihren Höfen Bäume anbauen, werden zunehmend als wichtige Holzlieferanten anerkannt. In Studien zur Analyse von Wertschöpfungsketten wurde auf die Herausforderungen hingewiesen, mit denen die Kleinbauern konfrontiert sind, da sie in der Regel auf informellen Holzmärkten tätig sind, die mit einer schwächeren Verhandlungsposition und Marktasymmetrie verbunden sind. Aus der Sicht der Sozial- und Solidarökonomie können kollektive Handlungsansätze durch Bauernorganisationen den Herausforderungen einzelner Kleinbauern begegnen und gleichzeitig die Aufwertung von Holzwertschöpfungsketten erleichtern. Ziel dieser Dissertation war es daher, die (potenzielle) Rolle von Waldbauernorganisationen (FFOs) bei der Aufwertung von Holzwertschöpfungsketten anhand von zwei Fallstudien in Äthiopien und Tansania zu analysieren. Durch eine systematische weltweite Literaturrecherche versuchte die Studie zunächst eine Wissensbasis für die FFO-Forschung zu schaffen, die sich auf (i) den politischen Kontext, in dem FFOs agieren, und (ii) die Typologie ihrer Leistungen in Bezug auf Ressourcenmobilisierung, Kommerzialisierung von Holzprodukten und Mechanismen zum Gewinnausgleich stützt. Ausgangspunkt für die empirische Arbeit waren Wertschöpfungskettenanalysen von Holzprodukten von Kleinbauern in Äthiopien und Tansania, die folglich als Fallstudien behandelt wurden. Ein Kollektiv von Kleinbauern und einzelne Kleinbauern wurden als Analyseeinheiten in die beiden unabhängigen Fallstudien eingebettet. Der Rahmen der Zwei-Länder-Studie ermöglichte die analytische Verallgemeinerung von kollektiven Handlungsansätzen zur Verbesserung der Wertschöpfungskette und die Entwicklung einer Forschungsagenda und politischer Empfehlungen. Auf der Grundlage des Ansatzes zur Aufwertung der Wertschöpfungskette wurden gemeinsam FFO-Geschäftsmodelle entwickelt, um die Zusammenhänge zwischen dem Geschäftsmodell und (i) der Organisationsführung und (ii) den Auswirkungen auf die Aufwertung der Wertschöpfungskette für Holz zu bewerten. Zur gemeinsamen Entwicklung der Geschäftsmodelle wurden partizipative Workshops mit bestehenden Bauernorganisationen durchgeführt, während Fokusgruppendiskussionen und Interviews mit Schlüsselinformanten dazu dienten, die Kontextbedingungen zu erfassen und zu triangulieren. Halbstrukturierte Haushaltsbefragungen wurden eingesetzt, um die Wahrnehmung der FFOs und die wichtigsten Faktoren, die die Bereitschaft der Landwirte zur Teilnahme beeinflussen, zu untersuchen. Zur Analyse der Daten wurden binäre logistische Regressionsanalysen und deskriptive Statistiken in Verbindung mit einer thematischen Analyse eingesetzt. Die globale Untersuchung umfasste 57 FFOs in 20 Ländern, die in Form von Verbänden, Genossenschaften sowie kleinen und mittleren Unternehmen organisiert sind. Die Forschung zu FFOs hat in den letzten drei Jahrzehnten an wissenschaftlicher Bedeutung gewonnen, wobei der aufkommende Trend zu Kleinbauern, die in den Tropen forstwirtschaftliche Flächen bewirtschaften, hervorgehoben wurde. Die Untersuchung ergab drei Kategorien von FFOs, je nach Umfang des Produktportfolios der Organisation, der Wertschöpfung auf Organisationsebene und der Anbindung an Marktkanäle. Die empirischen Ergebnisse zeigen, dass der Süden Äthiopiens und der Süden Tansanias unterschiedliche rechtliche Rahmenbedingungen für die Gründung von FFOs haben. Angesichts des bestehenden Programms ausländischer Geber, das auf Kleinbauern in Tansania abzielt, gibt es institutionelle und finanzielle Starthilfe. In beiden Fällen waren die Landwirte in der Lage, sich ein FFO-Geschäftsmodell vorzustellen, das eine Produkt- und Prozessverbesserung der Holzwertschöpfungsketten ermöglichen würde. Die FFO wurde in den beiden Fällen unterschiedlich wahrgenommen. In der äthiopischen Fallstudie wurde sie als Baumvermarktungsgenossenschaft bezeichnet, die die Produktion der Holzflächen der Mitglieder und die Vermarktung der Holzprodukte von Mitgliedern und Nichtmitgliedern auf einem Holzlagerplatz in einem nahe gelegenen städtischen Gebiet erleichtern soll. Die tansanische Fallstudie bezeichnete sie als eine Baumzüchtervereinigung, die die Produktion von Holz- und Nichtholzprodukten der Mitglieder und die Vermarktung des Schnittholzes der Mitglieder an bestehende Händler erleichtern soll. Um eine funktionale Aufwertung zu erreichen, bedarf es konzertierter Anstrengungen verschiedener staatlicher und nichtstaatlicher Akteure. Die Haushaltsbefragungen ergaben, dass 74% (n = 185) bzw. 90% (n = 190) der Kleinbauern in Äthiopien und Tansania bereit wären, sich an einer FFO zu beteiligen. In Äthiopien verstanden die Landwirte die FFO als kollektives Holzvermarktungsunternehmen. Eine relativ kleine Gruppengröße und ein erheblicher finanzieller Beitrag kennzeichnen die Präferenzen der Landwirte für ein gemeinsames Holzvermarktungsunternehmen. In Tansania konzentrierte sich die Wahrnehmung einer Baumzüchtervereinigung auf Elemente des sozialen Lernens, um die Holzproduktion zu verbessern, alternative Abnehmer zu finden und gleichzeitig das Auftreten von Bränden einzudämmen. In beiden Fällen waren die wichtigsten Faktoren, die die Bereitschaft der Landwirte zur Teilnahme beeinflussten, (1) sozioökonomische Merkmale des Haushalts, z. B. die Altersgruppe des Haushaltsvorstands oder die Haushaltsgröße, und (2) Erfahrungen mit Baumzuchtaktivitäten, z. B. die Preiszufriedenheit beim letzten Verkauf oder Schwierigkeiten beim Marktzugang. Die Synthese ermöglichte die Ableitung der folgenden konzeptionellen Behauptung: FFOs habe das Potenzial, die Wertschöpfungsketten im Holzsektor aufzuwerten, sofern sich die Landwirte ein Geschäftsmodell für ein FFO vorstellen können, das die Faktoren in Betracht zieht, die die Bereitschaft der Landwirte zur Teilnahme beeinflussen. Insgesamt zeigt die Studie die sich wandelnden Narrative von Bauernorganisationen in den Studienländern auf und leistet einen Beitrag zur Theorie der Allmende-Kooperation - der Integration von kollektivem Handeln und genossenschaftlichem Management. Darüber hinaus bilden die wichtigsten Ergebnisse die Grundlage für künftige Forschungsansätze, insbesondere für die Überprüfung der abgeleiteten Annahmen, sowie für Empfehlungen für Entscheidungsträger.