Orientadores: Carlos Alfredo Joly, Leila da Costa Ferreira / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Filosofia e Ciências Humanas / Made available in DSpace on 2018-08-21T07:50:55Z (GMT). No. of bitstreams: 1 Drucker_DeboraPignatari_D.pdf: 15081110 bytes, checksum: 0c65dea1ad9b4b55cc2b8108b82d6544 (MD5) Previous issue date: 2012 / Resumo: No Brasil, há numerosas instituições e cientistas que produzem conhecimento sobre nossos ecossistemas e muito já se sabe sobre nossa diversidade biológica. Novas descobertas e orientações para a tomada de decisão baseadas em conhecimento científico podem ser feitas pelo uso da informação que já existe, mas que em grande parte está dispersa, mal documentada e inacessível aos interessados. Uma integração é, portanto, necessária e pode ocorrer tanto por meio da consolidação de dados de estudos semelhantes, de forma a expandir escalas temporais e espaciais de análise, como pela associação de conhecimentos gerados por estudos com diferentes abordagens. Novas tecnologias computacionais que permitem lidar com informações de procedência diversa e características heterogêneas podem contribuir para representar o estado atual do conhecimento do sistema terrestre e para comunicar esse conhecimento entre os diversos atores interessados. Nessa direção, os objetivos deste estudo foram analisar o sistema de informação desenvolvido para o Projeto Temático Biota Gradiente Funcional, como estudo de caso para a integração de dados ecológicos e de biodiversidade, e também discutir as aplicações e limitações desse sistema para a conservação e gestão ambiental. Para isso, proponho um arcabouço para investigar uma infraestrutura de informação sobre biodiversidade e discuto o potencial dessa infraestrutura como objeto-ponte entre ciência e processos de tomada de decisão em conservação e gestão ambiental; analiso também as características de dados ecológicos, boas práticas para documentá-los e algumas ferramentas existentes para gerenciá-los, de forma a promover a integração do conhecimento ecológico, descrevo as etapas de desenvolvimento do sistema de informação para o Projeto Temático Biota e o analiso pelas lentes do arcabouço de investigação proposto. O sistema foi eficiente para gerenciar os dados e metadados do Projeto fornecidos pelos pesquisadores. Foi possível recuperar a informação por consultas integradas tanto ao catálogo de metadados, pelo uso de palavras-chave, quanto à base de dados, pela seleção de variáveis e de parâmetros temporais e espaciais. A possibilidade de consultar qualquer variável de interesse, independentemente da associação com uma entidade taxonômica, configura um sistema de informação sobre biodiversidade original e inovador. No sistema estudado, a base de dados é verdadeiramente genérica: a única restrição é a exigência da informação espacial. Os resultados permitiram concluir que avanços em ferramentas computacionais para gerenciar dados de biodiversidade e ecossistemas permitem análises que potencializam o valor de dados coletados em pesquisas individuais. Para perpetuar iniciativas de desenvolvimento tecnológico, como a do sistema aqui investigado, é necessário empreender mais esforços, no sentido de se promoverem os arranjos institucionais, legislativos e administrativos que atuam como alicerces da infraestrutura da informação e conferem sustentabilidade dos sistemas a médio e longo prazo. Além disso, é preciso capacitar recursos humanos no uso e desenvolvimento desses recursos tecnológicos e promover a sensibilização dos atores envolvidos, a fim de tornar o compartilhamento e a curadoria de dados uma prática amplamente realizada / Abstract: There are numerous scientists and institutions that produce knowledge about Brazilian ecosystems, and a lot is already known about the biological diversity therein. New findings and guidelines for decision making based on scientific knowledge can be made by using information that already exists, but is largely dispersed, poorly documented and inaccessible to users. It is therefore necessary to integrate biodiversity information, which may occur by consolidating data from similar studies in order to expand temporal and spatial analysis scales, or by associating knowledge generated by studies with different approaches. New computer technologies are continuously developed by information scientists, providing opportunities for the Biodiversity Informatics field to improve its capacity of making sense of the growing amount of heterogeneous data of diverse provenance, thus contributing to represent the current state of knowledge on the Earth's Systems and to communicate this knowledge among the various stakeholders. This study aimed at analyzing the information system developed for the Thematic Project Biota Functional Gradient as a case study on biodiversity and ecological data integration, and at discussing the applications and limitations of this system for conservation and environmental management. To this end, I propose a framework for investigating biodiversity information infrastructures and discuss their potential as boundary objects between science and decision making in conservation and environmental management; analyze the characteristics of ecological data, the best practices to document them and some existing tools to manage them in order to promote the integration of ecological knowledge; describe the stages of development of the information system for the Thematic Project Biota and discuss it through the lens of the proposed analytical framework. The information system was efficient to manage data and metadata provided by researchers. Information retrieval was possible by querying the metadata catalog based on keywords, and by querying the database system based on the selection of variables and parameters of space and time. The ability to query any variable of interest, regardless of association with a taxonomic entity, set up an original and innovative information system on biodiversity. In the studied system, the database is truly generic: the only restriction is the mandatory requirement for spatial information. The results showed that advances on computational tools for managing biodiversity and ecosystem data enable analyses that maximize the value of data collected in individual surveys. To perpetuate technological development initiatives such as the system investigated here, it is necessary to undertake further efforts in order to promote institutional arrangements, legislation and administration that act as foundations for information infrastructures and provide sustainability over time. Furthermore, it is necessary to train human resources in the use and development of technological tools, and to promote awareness and a collaborative culture between the actors involved in order to make data sharing and curation widely adopted practices / Doutorado / Aspectos Biológicos de Sustentabilidade e Conservação / Doutor em Ambiente e Sociedade

Cette recherche porte sur le Nevado de Toluca (Mexique), espace protégé où l’objectif de conservation des ressources forestières, tout en étant difficilement atteint, met en question les conditions d’existence des populations rurales. On étudie les dynamiques territoriales qui découlent de ces tensions. La question porte donc essentiellement sur la confrontation entre la conservation forestière telle qu’elle est portée par les autorités publiques d’une part, et d’autre part, les besoins vitaux des populations agricoles affectées par les politiques suivies. L’hypothèse principale est que les politiques de conservation forestière n’atteignent pas les objectifs de gestion fixés parce qu’il n’y a pas une vision globale dépassant les approches sectorielles des institutions en présence, et surtout parce que l’avis des paysans n’est pas assez pris en compte faute d’une connaissance approfondie des sociétés rurales. Pour rétablir cette connaissance, la méthode de recherche a consisté principalement, outre la documentation mobilisée, en de nombreux entretiens avec les habitants de plusieurs localités du Nevado, avec différents acteurs institutionnels et avec des experts forestiers qui participent à la conservation de cet espace protégé. À l’aide du logiciel TXM, ces entretiens ont fait l’objet d’une analyse quali-quantitative de type « textométrique ». Parmi les principaux résultats obtenus, on retiendra notamment le fait que les populations locales ont des représentations sociales très contrastées de leur milieu tout en ayant une pleine conscience des enjeux écologiques. Elles ressentent les restrictions d’usage, en particulier du bois de feu, comme une injustice sociale. Cependant, des configurations socio-spatiales et des dynamiques territoriales originales existent, et dépendent du contexte géographique, en particulier des phénomènes de proximité spatiale et sociale. La cohésion sociale des groupes importe et sera d’autant plus forte que ses membres partagent les mêmes valeurs culturelles, y compris religieuses. On constate également que l’éloignement de la ville produit paradoxalement des dynamiques endogènes d’organisation qui peuvent aussi constituer une base pour une politique de protection intégrée en dépit des contraintes de vie au quotidien. Au total, cette thèse propose une réflexion sur l’arbitrage à faire entre la conservation forestière et les impacts socio-économiques que cela provoque sur les populations rurales les plus démunies et esquisse des pistes de conciliation. Elle invite à penser la justice environnementale comme le fruit de l’innovation sociale. / This research concerns the Nevado de Toluca (Mexico), a protected area where the goal of forest conservation, while being hardly reached, calls into questions the livelihoods of rural populations. Territorial dynamics which ensue from these tensions are examined. The question concerns essentially the confrontation between the forest preservation such as it is carried by the public authorities on one hand, and on the other hand, the vital needs for the agricultural populations affected by the followed policies. The main hypothesis is that policies of forest preservation do not reach the expected results because there is no global vision exceeding the sectorial approaches of institutions in presence, and especially because the opinion of the farmers is not enough taken into account, due to lack of a thorough knowledge of the rural societies. To restore this knowledge, the research method consisted mainly, besides the mobilized documentation, of numerous interviews with the inhabitants of several localities of Nevado, with the various institutional actors and with the forest experts who participate in the preservation of this protected space. Using the TXM software, these interviews were analysed employing a quali-quantitative analysis on the “textometric” type. Among the main obtained results, we shall hold in particular the fact that the local populations have very contrasted social representations of their environment while having a full consciousness of the ecological challenges. They feel the limitations of use, in particular some wood of fire, as a social injustice. However, socio-spatial configurations and original territorial dynamics exist, and depend on the geographical context, in particular the phenomena of spatial and social proximity. The social cohesion of the groups is important and will be all the stronger as his members share the same cultural values, including religious ones. We also notice that the distance of the city produces paradoxically endogenous dynamics of organization which may also be a basis for an integrated protection policy in spite of the constraints of everyday life. All in all, this thesis suggests a reflection around arbitration between the forest preservation and the socioeconomic impacts on the rural poorest population groups. She invites to think of the justice environmental as of the fruit of the social innovation.

There is growing acknowledgement that forests and forest products are central to rural livelihoods, but their role in lifting households out of poverty remains contentious. This study tested the assertion by proponents of forest based poverty alleviation that changing conditions in the use and management of forests and forest products has created opportunities for poor rural households to lift themselves out of poverty. The study used detailed annual income data from various household sectors in two contrasting sites in Zambia, namely Mufulira and Kabompo districts, analyzing the relative contribution of forest income to household livelihood, the effect of household wealth status on forest use, factors driving household participation in forest product trade, and the influence of distance to urban markets on trends in the use of forest products. The study found that forest based activities play a central role in the livelihoods of households in the two study sites, contributing close to half of total household income, and dwarfing the contribution of agricultural sectors such as cropping and livestock rearing which are generally regarded as the main income sources for rural households. Forest based sectors were also found to be particularly valuable sources of household cash, often coming at critical times to meet basic needs. The findings also revealed that without the contribution of forest income, the proportion of households that would fall below the poverty line would increase sharply in both study sites. Wealthier households earned higher magnitudes of both subsistence and cash income from forest based activities than their poorer counterparts. Even the share of total household income coming from forest based activities was also higher among these better-off households, confirming that these activities are lucrative and they are improving the wealth status of households. Household participation in forest product trade was found to be influenced by demographic factors such as number of productive household members, age and the education level of the household head. Economic factors such as the level of income from wage labour, household poverty level, and ownership of key assets such as a bicycle were found to be important. Distance of homestead from the forest was also found to be an important contextual variable. The influence of urban demand on the use of forest products by rural households was significant in the study area. Although local sales played an important part as a source of cash for households, the most preferred channels for trade were linked to urban markets, either through roadside markets, middlemen or direct sales to urban buyers. The study concluded that with improved local organization and support for product development and marketing, some forest based activities provide a viable poverty alleviation option for poor rural households who otherwise have limited economic opportunities to escape poverty.

Cette étude offre une vision de la conservation par zonage des écosystèmes forestiers en République Démocratique du Congo, plus précisément dans la réserve de Luki, en province de Bas Congo. L'équilibre entre les besoins des populations locales et les objectifs de conservation est reconnu aujourd'hui comme l'un des principaux défis du domaine de la conservation. Les acteurs de conservation tentent actuellement de concilier les objectifs de conservation et de développement à travers de « projets de conservation intégrés ».<p>L'objectif de notre étude est de mener une réflexion sur les problèmes rencontrés par les gestionnaires d’une aire protégée dans la mise en œuvre de la stratégie de conservation par zonage.<p>Nous avons d'abord travaillé sur l’identification des modes d'appropriation et de gestion des terres, avant et après l'implantation de l'aire protégée. Nous avons procédé à l’analyse des modalités de prise en compte des structures endogènes dans la mise en œuvre des stratégies de conservation appliquées. Pour ce faire, nous avons mené des entretiens avec des personnes ressources, des acteurs au sein des populations locales, des personnes choisies en fonction de la représentativité qu’elles incarnent. Les résultats de ces entretiens ont été couplés aux relevés de terrain réalisés dans le but de cartographier les parcours de déplacement des populations en identifiant les éléments humains d'occupation de l'espace.<p>Nous avons ainsi identifié et cartographié l'état de la réserve de Luki en termes de surfaces exploitées avant et après l'implantation de l'aire protégée. Ce travail nous a conduit à découvrir les inconforts fonciers subis par les populations lors de l'implantation de l'aire protégée. Des situations d’inconfort le plus souvent ignorées par les acteurs de conservation.<p>Après l’étude sur les modes d'appropriation et de gestion des terres, l’analyse des modalités de prise en compte des structures endogènes et la cartographie des espaces exploités, nous avons poursuivi la recherche par l’examen des effets du zonage sur le développement et sur la conservation. L'évaluation des effets du zonage sur le développement a été faite sur base des données socio-économiques relatives aux activités introduites par les projets. L'évaluation des effets du zonage sur la conservation a été faite grâce au logiciel Envi 4.6, par l'analyse de trois images satellites. Ces observations ont été mises en parallèle avec les résultats des entretiens et des enquêtes par questionnaires effectués auprès des populations de la réserve. Les entretiens ont porté sur la carbonisation du bois et sur la chasse du gibier, deux activités que nous avons jugées destructrices de la réserve.<p>Les résultats de nos enquêtes montrent que les structures endogènes de gestion de la terre n’ont pas été impliquées, ni dans la création de la réserve, ni dans la mise en œuvre du zonage. Il existe pourtant un comité de concertation avec un représentant de la population, mais celui-ci n’est pas représentatif de l’ensemble des lignages. Les éléments qui caractérisent l’occupation de l’espace par les populations avant la création de la réserve n’ont pas non plus été pris en compte. Dans un tel contexte, les objectifs de conservation sont difficiles atteints à cause du manque d’appropriation du zonage par les acteurs locaux. Le zonage est motivé par la conservation et la conformité au modèle de réserve de la biosphère, le souci de développement socioéconomique restant secondaire. Le premier zonage réalisé en 1937 a initié des pratiques de gestion favorables à la conservation forestière, mais les effets socioéconomiques qui en ont découlé, ont contribué à accélérer la dégradation de la forêt. Le nouveau zonage effectué en 2004 n’a pas davantage permis de maîtriser la dégradation qui s’accélère encore.<p>L’étude débouche sur de suggestions permettant aux aménagistes de prendre en compte les besoins des populations locales avant tout intervention d'aménagement. / Doctorat en Sciences / info:eu-repo/semantics/nonPublished

This research assesses the state of sustainability of State indigenous forests in the Eastern Cape and provides recommendations to improve their sustainability. The Eastern Cape Indigenous Forest Management Audit (ECIFMA) report of 2009 provided the primary data for this assessment (DAFF, 2009). The research was inspired by the fact that the global challenge of forestry destruction and degradation where the extent of forests is being reduced at an alarming rate of 6% annually. It became essential for global leaders to develop policies and strategies that sought to promote sustainable forest management. The monitoring of sustainability of forests was only possible through use of globally and nationally developed sets of criteria and indicators. Eleven forest estates responsible for the management of State indigenous forests in the Eastern Cape were selected for this research. The choice was influenced by the availability of audit data from the ECIFMA report of 2009. This report contained performance information of 41 indicators under 18 criteria for monitoring sustainable forest management as extracted from the PCI&S assessment checklist developed for monitoring the sustainability of indigenous forests in South Africa (DWAF, 2005). The data was refined using the MCA methods (ranking and scoring) as described by Mendoza and Prabhu (2000). These methods yielded to the determination of the performance of indicators of forest sustainability. It was thus important to conclude the research by responding to the following questions: • What is the state of sustainability of the State indigenous forests in the Eastern Cape? • What recommendations could be made to improve the sustainability of State indigenous forests? It was found that the State indigenous forests were not managed in a sustainable manner. The research report is concluded by providing concrete recommendations to improve forest sustainability.

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Rural communities have engaged in the governance and management of forest resources by developing institutions that prevent overexploitation of common-pool resources and maintain the basis of their livelihoods. Effective community forestry relies on several conditions, including secure tenure rights, an enabling regulatory framework, strong governance, and sufficient knowledge. Worldwide, customary community forests have gained legal recognition in the wake of tenure reforms with the expectation that this formalization would enhance tenure security. In Thailand, the Royal Forest Department (RFD) began in 2000 to legally recognize community forests and share formal rights and responsibilities with communities through a national co-management program. This program was further expanded to support the development of community forest networks. The RFD could not provide extension services to approximately 10,000 community forests and aimed to improve the information sharing among communities. The objective of this dissertation was to investigate whether both program elements, i.e. forest tenure formalization and community forest networking, could provide better conditions for community forests. It was of particular interest whether the formalization could enhance the security of tenure rights, which could affect the willingness of communities to invest in forest conservation. The intervention to enhance inter-communal networks is of particular relevance for the international community due to its uniqueness. A diverse set of methodological approaches was required to address each objective. A quasi- experimental design was used to analyze the effect of community forest management on deforestation and the impact of the subsequent formalization based on statistical matching and panel data analyses. Comparative case studies were investigated subsequently to better understand the relationships between formalization, tenure security, forest-related conflicts, and deforestation. Social network modeling was used to analyze how networking organizations affected the flow of information between communities. The findings indicated that community in Thailand have effectively protected their forests even before receiving legal recognition. The formalization procedure has improved the relationship between communities and RFD officials but it has not enhanced their ability to prevent forest encroachment as support from the State has been insufficient in the case of tenure conflicts. In the absence of state-led extension services, established networking organizations enabled communities to provide mutual support as indicated by the enhanced inter-communal flow of information on a provincial level. However, networking organizations still depended on external funding and support during their initial establishment. The co-sharing of forest tenure rights and responsibilities between communities and the RFD might have helped to build trust and acceptance. This study has, however, confirmed that formalization can only provide limited benefits to forest-managing communities if they remain unprotected from forest encroachment because their formal tenure rights are not being enforced. Thus, communities might become disillusioned if their rights are not protected against more powerful actors. The community forest networks have the potential to increase the political influence of these communities while also enhancing their capacity to share and develop new knowledge. However, communities require more financial resources as their responsibilities increase while their ability to generate financial returns remains legally limited. Thus, the regulatory framework can be changed to balance communal rights and responsibilities or expanded by developing financing mechanisms to fund community-based conservation activities, such as forest patrols and fire prevention measures.:Acknowledgements Summary List of Figures List of Tables 1 Enabling effective community forestry 1.1 Potential outcomes of community forestry 1.2 Conditions for effective community forestry 1.3 Policy interventions in Asia’s community forests 2 Justification and objectives 2.1 Impact of formalization on tenure security and local institutions 2.2 Impact of registration on forest loss 2.3 Impact of network administration organization on information-sharing 3 The history of community-based forest management models in Thailand 3.1 Expansion of state control over forestland 3.2 Forest Village Programs 3.3 Community forestry discourse 3.4 Community Forest Program 3.5 Conclusions 4 Designing impact evaluations for policy interventions 4.1 Quantitative impact evaluation 4.2 Qualitative impact evaluation 4.3 Social network analysis 5 The impact of community forest formalization on tenure security and forest co- management in Thailand 5.1 Abstract 5.2 Introduction 5.3 Background 5.4 Methodology 5.5 Results 5.6 Discussion 5.7 Conclusion 6 Community-based forest management moderates impact of deforestation pressure regardless of formalization in Thailand 6.1 Abstract 6.2 Introduction 6.3 Methodology 6.4 Results 6.5 Discussion 6.6 Conclusion 7 Network administrators facilitate information sharing among communal forest organizations in Thailand 7.1 Abstract 7.2 Introduction 7.3 Methodology 7.4 Results 7.5 Discussion 7.6 Conclusion 8 Synthesis, implications and outlook 8.1 Synthesis of key results 8.2 Policy implications 8.3 Future research 8.4 Critical reflections on research methodology Supplementary material for Chapter 6 Supplementary material for Chapter 7 References Supplementary material

A conservação da biodiversidade é objeto de um acordo internacional promovido pela Organização das Nações Unidas (ONU), a qual registra a redução da diversidade de espécies e ecossistemas em todo o Planeta. O Brasil é signatário da Convenção sobre Diversidade Biológica desde 1994. Sua responsabilidade se estende por biomas como a Amazônia, Pantanal, Cerrado, Caatinga, Campos Sulinos e a Mata Atlântica, além das áreas marinhas. Esta dissertação está inserida no contexto da Floresta com Araucária, situada no sul do Brasil. Associada à Mata Atlântica, ali ocorrem árvores pinheiros, imbuias, ipês, canelas e a erva-mate, além de uma variada fauna. Em processo de trocas de áreas de floresta por áreas de cultivo, há necessidade de se criar estratégias para conservar as áreas remanescentes, como é o caso daquelas existentes no município de São Mateus do Sul-PR. As argumentações para embasar este contexto de perda de biodiversidade e das externalidades provêm dos estudos de Ciência, Tecnologia e Sociedade, os quais desenvolvem conceitos relevantes para estabelecer as relações entre as ações humanas e a manutenção da biodiversidade. O objetivo geral do estudo é analisar os conflitos, as contradições e consensos que interferem na conservação da diversidade biológica e nas formas de cultivo da ervamate produzida no município de São Mateus do Sul-PR. A pesquisa é de natureza qualitativa, descritiva e bibliográfica. Os procedimentos metodológicos recorrem à análise da percepção e coleta de dados por meio de observação, entrevistas e depoimentos. Na perspectiva da conservação da biodiversidade da Floresta com Araucária com a qualidade do produto da erva-mate cultivado na região, com base em comportamentos conflituosos e contraditórios, empresas e produtores fizeram associações técnicas e científicas não satisfatórias para as expectativas da dissertação. Porém, existem contribuições e potencialidades de acordos e consensos dos atores e de conceitos dos estudos CTS que permitiram criar diferentes olhares para o pesquisador sobre seu objeto de estudo. Logo, o levantamento e análise de dados foram veículos de abertura para adentrar em ponderações entre sobrevivência e respeito ao meio ambiente. Deste modo, conclui-se que existe continuamente uma construção social dos atores que pode trazer à tona outros conceitos que contrastam com o determinismo e a utopia dos ganhos e perdas. / The conservation of biodiversity is an issue of an international agreement promoted by the United Nations, which records the reduction of diversity of species and ecosystems throughout the planet. Brazil has been a signatory to the Convention on Biological Diversity since 1994. Its responsibility extends to biomes such as the Amazon, Pantanal, Cerrado, Caatinga, Campos Sulinos and the Atlantic Forest, in addition to marine areas. This dissertation is inserted in the context of the Araucaria Forest, located in the south of Brazil. Associated with the Atlantic Forest, in this ecosystem there are trees like araucaria-pine, imbuias, ipês, canelas and yerba-mate, besides a varied fauna. In the process of exchanging forest for cultivated areas, it is necessary to create strategies to conserve the remaining areas, as is the case of those existing in the municipality of São Mateus do Sul, in Paraná State. The arguments to support this context of loss of biodiversity and externalities come from the Science, Technology and Society (STS) studies, which develop relevant concepts to establish the relations between human actions and the maintenance of biodiversity. The general objective of the study is to analyze the conflicts, contradictions and consensuses that interfere in the conservation of the biological diversity and in the forms of cultivation of yerba mate produced in the municipality of São Mateus do Sul. The research is qualitative, descriptive and bibliographic. The methodological procedures use the analysis of perception and data collection through observation, interviews and testimonials. In the perspective of the conservation of the biodiversity of the Araucaria Forest with the quality of the yerba-mate cultivated in the region, based on conflicting and contradictory behaviors, companies and producers made technical and scientific associations not satisfactory to the expectations of the dissertation. However, there are contributions and potentialities of agreements and consensus of the actors and concepts of the STS studies that allowed to create different looks for the researcher about his object of study. Therefore, the data collection and analysis were opening fields to enter into considerations between survival and respect for the environment. In this way, it is concluded that there is a continuous social construction of actors that can bring to light other concepts that contrast with the determinism and utopia of gains and losses.