Community-Based Social Marketing for Atlantic Forest Restoration in Brazil

Material Information

Community-Based Social Marketing for Atlantic Forest Restoration in Brazil
Christ, Benjamin
Place of Publication:
[Gainesville, Fla.]
University of Florida
Publication Date:
Physical Description:
Project in lieu of thesis

Thesis/Dissertation Information

Master's ( Master of Sustainable Development Practice)
Degree Grantor:
Univeristy of Florida
Degree Disciplines:
Sustainable Development Practice
Committee Chair:
Schmink, Marianne C
Committee Members:
Cullen, Laury, Jr


terminal project
Field Practicum Report


In Brazil’s state of São Paulo, the Atlantic Forest biome retains a small fraction of its original area due to various cycles of economic activity. Organizations like IPÊ â€“ Instituto de Pesquisas Ecológicas are concerned with reforesting this biome not only to enhance biodiversity, but also to protect essential ecosystem services like the production of water for the Cantareira Reservoir System. Over 80% of remaining Atlantic Forest fragments in the state of São Paulo exist on private lands, so engaging rural producers in reforestation is essential for IPÊ to meet its institutional goals. However, legal constraints due to Brazil’s Forest Code and financial challenges may complicate producers’ ability or willingness to reforest their lands. To establish producer “buy-in” to environmental programs like reforestation, this practicum project explored community-based social marketing’s (CBSM) capacity to enhance IPÊ’s program design and development of appropriate programmatic marketing. The CBSM framework identified potential barriers and benefits to rural producers’ participation in environmental programs through direct contact with the community. This was achieved through conducting 190 semi-structured interviews with rural producers in Nazaré Paulista, Piracaia, and Joanópolis, as well as two focus groups. Referring to IPÊ’s successful largescale reforestation in Pontal de Paranapanema, producers’ education levels and income ranges were used as factors for statistical testing. Data analysis identified five barriers for rural producers’ increased involvement in Atlantic Forest restoration: limited information flow; low membership in community organizations that support local agriculture; skepticism of government; lack of extension services; and a lack of economic incentives. A benefit, producers’ pride as protectors of water in the Cantareira region, was also identified. These findings served as a base for specific recommendations to IPÊ for the design of appropriate incentives to foster producers’ “buy-in” to their environmental programs. These included creating an institutional “dream map” of the Cantareira region to guide reforestation activities, increasing IPÊ’s institutional presence in the region, mitigating the costs of reforestation through agroforestry schemes, focusing on priority areas, and using producers’ pride as a catalyst. To counter limitations identified in this study, using political ecology as a lens to evaluate IPÊ’s past successes in the Cantareira and other regions may enhance the CBSM process by identifying further constraints on producers’ decision-making. The results of this study suggest that CBSM may effectively improve IPÊ’s program development, and a successful adoption of this technique may inspire other organizations wishing to achieve community-driven Atlantic Forest restoration in other regions of Brazil.
General Note:
The MDP Program is administered jointly by the Center for Latin American Studies and the Center for African Studies.

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University of Florida Institutional Repository
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University of Florida
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Community B ased Social Marketing for Atlantic Forest Restoration in Brazil Benjamin Christ A Field Practicum Final Report submitted in partial fulfillment of the requirements for a Master of Sustainable Development Practice degree University of Florida Gainesville, FL December 2016 Committee Members: Dr. Marianne Schmink (Chair) Dr. Laury Cullen Jr. (Member)


2 TABLE OF CONTENTS Acknowledgements ................................ ................................ ................................ ................................ ...... 3 List of Tables and Figures ................................ ................................ ................................ ............................. 4 Acronyms and Key Terms ................................ ................................ ................................ ............................. 5 Abstract ................................ ................................ ................................ ................................ ........................ 6 Introduction ................................ ................................ ................................ ................................ .................. 7 Contextual Background ................................ ................................ ................................ ................................ 8 Contextual/Conceptual Framework ................................ ................................ ................................ .......... 18 Methods ................................ ................................ ................................ ................................ ...................... 21 Results ................................ ................................ ................................ ................................ ......................... 28 Discussion ................................ ................................ ................................ ................................ ................... 38 Conclusion ................................ ................................ ................................ ................................ .................. 47 References ................................ ................................ ................................ ................................ .................. 48 Appendix 1 : Questions of Semi Structured Interviews (Portuguese and English) ................................ ... 51 Appendix 2 : Focus Group Discussi on Guide (Portuguese ) ................................ ................................ ........ 56 Appendix 3 : Special Survey Questions (Portuguese) ................................ ................................ ................ 59


3 ACKNOWLEDGEMENTS This Master of Sustainable Development Practice practicum project brought many success. I would first like to thank Dr. Marianne Schmink (University of Florida) and Dr. Laury Cullen Jr. ( IP) for their continuous guidance throughout this experience, and Dr. Bette Loiselle (UF TCD) and Dr. Glenn Galloway (UF MDP) for their support. IP Instituto de Pesquisas Ecolgicas served as my host organization and became my home for several months while in Brazil. Thank you to Suzana and Claudio Padua for facilitating my arrival, and to Andrea Pupo Bartazini for providing me with many opportunities to participa activities. This project would not have been possible without the research team that spent countless hours driving through Nazar Paulista, Piracaia, and Joanpolis. I would like to extend a huge thank you to Ryan C. Richards (Georg e Mason University), Lizandra Mayra Gasparro, Marcela Beraldo, Dayene Paulino, C sar Godoy, Ruan Gomes, and Mauro (Prefeitura de Joan polis ) help with organizing focus groups in Joanpolis. UF cArthur Student Travel fund and the UF provided funding for this project Finally, thank you to my husband, Ely Wagner da Paz, for his unending comprehension and support, and to all my friends and family for believing in this pro ject. Benjamin Christ


4 LIST OF FIGURES AND TABLES Figure 1: Deforestation of the Atlantic Forest in the state of So Paulo Figure 2: The Cantareira Reservoir System Figure 3: IP Figure 4: I P Figure 5: IP Figure 6: Contextual/Conceptual Framework Figure 7: Action Framework for Practicum Project Figure 8: Map of Municipalities of Nazar Paulista, Piracaia, and Joanpolis Figure 9 : Focus Group Questions in English Figure 10: Special Survey Questions (English) Presented to IP Team Members Figure 11: Interview Responses Information Sources per Education Level Figure 12: Interview Responses Information Sources per Income Range Fi gure 13: Interview Responses Agricultural Activity per Income Range Figure 14: Quote from Special Survey of IP Team Members Figure 15: Offsetting the Initial Costs of Reforestation through Agroforestry t Management Decisions Figure 17: Revised Contextual/Conceptual Framework Figure 18: Quote from Special Survey of IP Team Members Table 1: Descriptive Responses of Semi structured Interviews Table 2: Chi square Test Results Table 3: Chi square Test Results Table 4: One way ANOVA Results


5 ACRONYMS AND KEY TERMS MDP Master of Sustainable Development Practice TCD Tropical Conservation and Development IP Instituto de Pesquisas Ecolgicas Forest Code Legal Reserve ( Portuguese: reserva legal ) a unit of land conservation on a private property that may be sustainably exploited PPA Permanent Preservation Area (Portuguese: APP rea de preservao permanente consist of high risk areas, such as springs, streams, and slopes. CAR (Portuguese: cadastro ambienta l rural ) a mandatory, online rural property CATI (Portugese: Coordenaria de Assistncia Tcnica Integral ) the state of So Casa de Agricultura present in every municipality in the state of So Paulo


6 ABSTRACT In state of So Paulo the Atlantic Forest biome retains a small fraction of its original area due to various cycles of economic activity. Organizations like IP Instituto de Pesquisas Ecolgicas are concerned with reforesting this biome not only to enhance biodiversity, but also to protect essential ecosystem services like the production of water for the Cantareira Reservoir System. Over 80% of remaining Atlantic Forest fragments in the state of S o Paulo exi s t on private lands, so engaging rural producers in reforestation is essential for IP to meet its gness to reforest their lands. T o establish this practicum project explored community (CBSM) development of appropriate pr ogrammatic mark eting. The CBSM framework identified potential in environmental programs through direct contact with the community. This was achieved through conducting 190 semi structured interviews w ith rural producers in Nazar Paulista, Piracaia, and Joanpolis, as well as two focus groups. Referring to IP cal testing. Data restoration: limited information flow ; low membership in community organizations that support local agriculture ; skepticism of government; lac k of extension services ; and a lack of economic identified. These findings served as a base for specific recommendations to IP for the design of appropriate incentives to foster producer included creating of the Cantareira region to guide reforestation activities, costs of pride as a catalyst. To counter limitations identified in this study, using political ecology as a lens to evaluate IP a and other regions may enhance the CBSM making. The results of this adoption of this technique ma y inspire other organizations wishing to achieve community driven Atlantic Forest restoration in other regions of Brazil.


7 Introduction The Masters of Sustainable Development Practice (MDP) program at the University of Florida, part of the Global Association of MDP programs, aims to train a new generation of development practitioners through a blend of theory and practice. A cornerstone ex perience of the MDP program is the development and execution of a practicum project in partnership with a development organization outside of the United States. This experience grants students the opportunity to put into practice concepts learned in the cl assroom while still rendering a valuable service for the host organization. This particular practicum project was developed in conjunction with IP Instituto de Pesquisas Ecolgicas (Institute for Ecological Research) a Brazilian non governmental org anization ( NGO) in the state of So Paulo that carries out environmental projects and educational activities for local communities. One area where IP is extremely active is the Brazilian Atlantic Forest, a highly devastated yet biodiverse ecosystem that e ncompasses So Paulo state and much of the Brazilian coast. The reforestation and eventual linkage of Atlantic several programs. Aside from the protection of biodi versity, IP is also concerned with promoting the production of water on rural properties, which depends on essential ecosystem services rendered by healthy stands of forest. Thi s initiative gained renewed importance after the severe drought So Paulo expe rienced between 2013 and 2015 T he purpose of this practicum project was to introduce community based social ntal program creation. CBSM allows for the identification of barriers and benefits of specific behavior change, which in this case, concerned the participation of rural producers in environmental programs that promote Atlantic Forest restoration and the protection of water resources. D ata collection and analysis within the CBSM framework a imed to categorize rural producers based on relevant barriers and benefits to their participation. Barriers, such as the cost of restoration, should be overcome with corresponding benefits, like opportunities for alternative sources of income though agroforestry systems that incorporate timber and non timber forest products (NTFPs) Ideally, CBSM would allow IP to more effectively market their environmental programs to specific groups of producers appealing to their needs and t o promote overall participation. The following section of this report explains major concepts and issues addressed throughout the research process, contentious Forest Code, and a deeper descript ion of community based social marketing. The report then continues with the presentation of the contextual/conceptual framework that guid ed data collection and analysis This is followed by a breakdown of the research methodologies used for data collection and a detailed presentation of results The discussion of these results takes an opportunity to reflect on how limitations to the research methods could be improved upon, and continues with specific recommendations as to how IP could integrate research results Finally, the report finishes with overall conclusions organized by the main objectives of the practicum.


8 Contextual Background Geographical Context : the Atlantic Forest and Severe Drought The arrival of the Portuguese in Brazil at the turn of the 16 th Century brought drastic changes to The Atlantic Forest in particular was immensely affected and only 12.5 % of its original area remains after pervasive deforestation driven by various economic booms S o Paulo state serves as an example of rampant deforestation, as seen in Figure 1 (Victor et al. 2005) From a conservation perspective, this is exceedingly high biodiv ersity of plants, birds, amphibians, and arthropods, many of which are now endangered or extinct due to habitat loss (Hance 2016). While such negative effects of deforestation have been understood for quite some time, recent changes in climatic activity ha ve shed light on yet another: rampant deforestation across Brazil contributes to drought in the southeast portion of the country (Campari and Barreto 2014). The interior of So Paulo state, located in southeastern Brazil, is a priority for environmental research, due to the existence of Atlantic Forest fragments and freshwater resources such as streams and springs. Located within this region, the Piracicaba River Basin is home to the Atibainha reservoir, which together with the Cachoeira and Jagua ri Jacar e reservoirs comprise the Cantareira System that supplies water to approximately 12 million people in the states of So Paulo and Minas Gerais ( Figure 2) management company, Sabesp, a state controlled entity that is publicly traded in New York and S everal Atlantic Forest fragments in this region, i n addition to harboring the aforementioned endangered species of flora and fauna provide another important ecosystem service: the p rotection and provision of water resources (IP 2014) This essential role of the Atlantic Forest southeastern region experienced a severe drought between the years of 2013 and 2015, which Figure 1 : Deforestation of the Atlantic Forest in the state of S o Paulo from ancient times, before the arrival of the Portuguese, to 2000. Percentages indicate estimated forest cover. Image from Victor et al. 2005. Estimated Forest Cover Primitive Situation


9 caused the water level in the Cantareira reservoir system to fall to only 3.5% capacity in October of 2014, jeopardizing water security of the millions of people that depend on it (Sabesp 2016). Brazil supply, yet natural disaster events are drought related (Tierney 2011). The complex nature of drought often places it as a hidden risk with the potential to become a silent public health disaster, an issue thoroughly studied dry Northeast region (Sena et al. 2014). In 2005 and more re cently in 2010, however, even the Amazon basin experienced marked droughts that caused some rivers in the area to become unnavigable. At the time, scientists identified climate change as a dryness ( Nature 2010) The aforementioned 2013 2015 drought was the worst the nation had seen since 1930, and particularly affected the southeast region that includes the states of So Paulo and Rio de Janeiro. (Davies 2014). Both Brazilian and world consumers saw commodity prices soar during this period, but the adverse effects of the drought were not limited to the economy. Cases of dengue fever in Brazil rose 57% in January of 2015, with the government putting at least part of the blame on the drought (EFE 2015). Perhaps t he most visible effect of the 2013 2015 drought was the steadily falling water levels of important reservoirs, particularly the Cantareira System, which supply water to millions of residents in the states of Minas Gerais, Rio de Janeiro and So Paulo (Sabe sp 2016 ). drought, blaming poor administration for Experts further connected the drought in southeast Brazil to deforestation of the Amazon and the Atlantic forests and its subsequent impacts on climate (Campari and Barrto 2014). However, a media blitz surrounding the falling water levels of the Cantarei s attention to reforestation occurring around the reservoir, some of which was coordinated not by the government, but rather by NGOs like IP Figure 2 : The Cantareira Reservoir System encompasses five large river basins in the state of So Paulo Brazil Image source :


10 IP Instituto de Pesquisas Ecolgicas IP western So Paulo state, but the organization has grown to practice a more holistic approach to resolving environmental issues. In 2016, IP Instituto de Pesquisas Ecolgicas is a multidimensional NGO headqu artered in Nazar Paulista operating in several regions across Brazil, providing environmental education to communities and professional development for researchers in addition to the implementation of numerous environmental projects. The nservation model appears in Figure 3. accredited graduate school, ESCAS, provides professional training for new and veteran students in a variety of environmental areas. Whether in the field or in the classroom, its institutional mission is reflected in all of its activities: innovative models for biodiversity conservation that promote socioeconomic benefits through science, education, and sustainable projects and programs greatly vary, two recent ini tiatives were particularly pertinent to the development of this practicum experience: Semeando gua and Nascentes Verdes Rios Vivos both of which concluded in 2015 The removal of forests is a main cause of the loss of many ecosystem services like provi sion of water quality /quantity and reduced biodiversity in the region of the Cantareira Reservoir System One means of mitigating this problem lie s in reforesting areas around rivers and their headwaters, and in implementation of soil conservation measures on agricultural lands. To address the issues of deforestation and loss of ecosystem services IP carried out the project Semeando gua (Sowing Water) in the states of So Paulo and Minas Gerais, working alongside rural producers in the municipali ties of Mairipor, Nazar Paulista, Joanpolis, Piracaia, Vargem, Itapeva, Extrema and Camanducaia. In these regions properties of participating families were strategically selected in order to conserve existing bodies of water and biodiversity. Such prop erties in addition to containing important headwaters, possess Atlantic Forest fragments that harbor many species in danger of extinction and which form a forest corridor between the Serras da Cantareira and Mantiqueira. In association with these landown ers, Semeando gua sought to influence best land use practices that would contribute to the conservation of water resources (forest restoration and land use management). In addition, it coordinated environmental education activities with local communities about the important role cities play in the environment, as well as how it is possible to conserve the remaining environment. Figure 3 : IP and community participation surrounding species biology, but holistically incorporates processes leading up to the support and creation of essential public policies.


11 The project Nascentes Verdes Rios Vivos (Green Springs, Living Rivers) included reforestation around important water resources on private properties research, community involvement and environmental education initiatives wit h residents and local decision makers, emphasizing the importance of regional water and biodiversity. Actions include d diagn osis of priority areas for reforestation, recovery of riparian areas by planting nearly 60,000 native seedlings (150 hectares) and participatory forums and environmental education activities for the community and surrounding area s Both Semeando gua and the Nascentes program represent attempts at small scale reforestation in the Cantareira region focused on protecting important headwaters of the reservoirs. With the conclusion of these projects, IP continues its mission to elaborate effective interve ntions that help both the environment and surrounding communities. Its goal to enact meaningful changes in society in order to conserve the Atlantic Forest and protect important erests of participants. Due to various factors, however, this is not always an easy task. The following two subsections will examine the legal aspects of reforestation as well as other challenges facing Atlantic Forest restoration. The Evolution of The Brazilian Forest Code a piece of federal legislation that mandates specific requirements and limits to the use of forests, denominates areas of high environmental and social importance as reas de preservao permanente (PPA per manent preservation areas), which include springs, streams, and slopes. The 2012 update to the Forest Code placed restrictions on the deforestation allowed on p rivate properties, and obligated landowners to refor est around or along PPAs that did not meet r equirements. In order to app ropriately manage information on private lands, rural landowners must register their property through the governmental Cadastro Ambiental Rural (CAR rural environmental registry). This must occur by January 1, 2018 or rural la ndowners face reduced access to loans and other financial resources (Sicar 2016). evolution over time. The Brazilian Forest Code first originated in 1934 (Decreto 23.793/1934) as a result of rapid expansion of coffee plantations in the southeast region of the country. It is important to note that the driving force behind this decree was not primarily conservation, but rather to maintain timber and fuel sou rces closer to economic hubs like So Paulo and Rio de Janeiro (Ferreira 2014). In this first rendition of the Forest Code, landowners were obligated to maintain 25% of s rivers, lakes, and slopes served as the inspiration for the modern interpretation of the PPA. Later in 1965 (Lei 4.771/65) and 1986 (Lei 7.511/86) the Forest Code was updated to ty. These newer versions of the law solidified the definition of a PPA and increased the amount of mandatory reforestation around springs, rivers, and lakes. For example, along rivers less than 200 meters wide landowners had to maintain at least 30 meters of forest on both sides, while those greater than


12 200 meters wide should have forest borders equal to their widths (Lei 7.511/86). Conservationists championed other aspects of reforestation in this update to the law, which from that point required refores tation to be conducted using native species only. During this period, another important conservation unit was defined that, together with the PPA, aimed to protect Reserva Legal or legal reserve, is defined as a portion of landh olding that is required to be covered with native vegetation but may be sustainably used for economic purposes (Lehfeld 2015). Starting in 1996, the Forest Code passed through several provisionary measures and was eventually linked to an Environmental Cri mes Law (Lei 9.605/98). This important step turned many administrative infractions into punishable crimes, permitting state and federal surveillance units to apply hefty fines to preexisting infractions, as well as granting them the power to create new reg ulations regarding the maintenance of legal reserves (Ferreira 2014). political lobby for more flexibility in the Forest Code (De Agostinho 2013). After more than a decade of debate in B 12.651/12, Ferreira 2012). To the dismay of many Brazilian and global conservationists, the update reduced the goal of obligatory reforestation from 500,000 km 2 to 210,000 km 2 granting amnesty to landowners who had deforested illegally before 2008 (Soares Filho 2014). While the agribusiness lobby likely sees this as a victory, continued deconstruction of the Forest Code would ultimately harm agriculture, which depen ds on healthy forests to regulate environmental processes (WHRC 2 014). The law also establishes streamlined requirement s for the approval of legal reserves on rural properties depending on the biome in which they are located, with properties in the Atlanti c Forest needing 20% of total property area to be dedicated to legal reserves (Sicar 2016). Depending on how they are managed, up to 50% of legal reserve forests may consist of non native timber species such as Eucalyptus One possible victory for envir onmentalists came in the form of the CAR registration system This national undertaking requires all rural landowners to register property details in an online system to guide political and conservation decision making. These self reported details include but are not limited to information about forest size and composition present on properties, delimitation of PPAs and legal reserves, the existence of important water resources, and types of native vegetation and agriculture (Soares Filho 2014). Property de tails, once uploaded, would pass through a form of auditing similar to income tax declarations at the state level, and would then be consolidated into a national database. Given that more than 5.2 million rural properties may exist in Brazil, this system c arries the potential to provide unprecedented 2014). Part of the registration process requires the establishment of a property level management plan, aiming to meet legal reserve and PPA forest requirements and establishment of required fencing within twenty years of implementation Failure to register properties in the CAR would result in landowners having reduced access to credit through banks and other financial institutions (Sicar 2016). D ue to delays in implementation, rural landowners were unable to begin registering in the system until 2014. As previously mentioned, t hey now have until January 1, 2018 to finalize their registration.


13 In an effort to simplify the registration process, the 2012 Forest Code demands that each Brazilian state create a Programa de Regularizao Ambiental (PRA), or Environmental Regularization Program, to carry out and enforce aspects of the law. In the state of S o Paulo the government office in charge of enforcing CAR registration is CATI Coordenaria de Assi s tncia Tcnica Integral A branch of CATI i s present in nearly each municipality in the form of Casas de Agricultura, which provide various forms of assistance to producers. Since the beginning of 2015, these branches have offered free CAR registration assistance to rural landowners in their respec tive municipalities. CATI also provides assistance to rural landowners, especially regarding the complicated process of reforesting PPAs and maintaining legal reserves, an essential step to mitigating the effects of severe drought. The following section wi ll highlight the difficulties surrounding successful, wide scale reforestation in the state of So Paulo and the resulting burden placed on both NGO s operating in the environmental sector, as well as on rural producers. Challenges to Reforestation in the State of So Paulo Enlarging and eventually connecting forest fragments are often two main goals of reforestation projects. From an ecological perspective, this is essential to maintaining viable populations of flora and fauna and exposure to light and wind, diseases, and invasive species (Gascon and Lovejoy 1998). As an organization, IP s model for wide scale reforestation of the Atlantic for Pontal de Paranapanema, the extreme western municipality of So Paulo where the NGO was born. As shown in Figure 4 this conceptual map takes i nto considerati on information on local rural properties as well as proximity to PPAs and existing forest fragments to calculate where reforestation efforts would be most efficient and effective (Nascimento et al. 2012). The results of its development guided the creation largest reforestation corridor seen in Figure 5 which after ten years of effort, links two main remnants of Atlantic Forest in the Pontal de Paranapanema region. Dr. Laury Cullen Jnior, an ecologist associated with the cr eation of the Dream Map, stated: Figure 4 Paranapanema encompasses ecological and property data in order to estimate the best approach for reforestation efforts. (Image from Nascimento et al. 2012). Figure 5 hectare corridor connecting two main Atlantic Forest fragments, the largest in Brazil. (Image from IP 2016).


14 everyone involved: large landowners meet their legal environmental responsibilities, which is attractive to them financially. Local communities also benefit financially from the sale of nursery seedlings to the reforestation program. Importantly, these efforts also restore the environmental services that all humans need opment Goals, Brazil aims to restore 12 million hectares of forest by 2030, an effort that would cost approximately $14 billion USD (Instituto Escolhas 2016). This cost considers seed production, manual labor, and the particularly costly establishment of r equired fencing around reforestation plots, among other factors. The consideration of these costs becomes more tangible when broken down into smaller categories, as seen in Wells (1992). Direct costs are reflected by values appearing in official budgets, s uch as those associated with the establishment and long term maintenance of reforestation plots. Indirect costs are less obvious, and may include damage done to crops by native wildlife that inhabit forest stands. Depending on the placement of legal reserv es or established forests around PPAs, indirect costs may be borne by more than one property (Wells 1992). Opportunity costs reflect what is lost when a producer decides to establish or expand a legal reserve or forest around a PPA. For example, expanding the size of a forest fragment to meet legal requirements may mean that valuable cattle pasture is given up in the process. Much research has gone into reducing the costs associated with Atlantic Forest restoration initiatives, and many potential strategi es have already been largely implemented in Establishing economic benefits to counter costs is key, as laid out in Brancalion et al. (2012). Restoration strategies can offer producers opportunities for profit through the intermixi ng of cash crop timber, such as Eucalyptus and the production of non timber forest products (NTFPs). Eucalyptus is already very common among rural producers in southern Brazil, and despite high rates of groundwater absorption from evapotranspiration, prop the raw material for constructing fences (Stape et al. 2010). NTFPs have already been successfully employed by IP in its Caf com Florestas (Coffee with Forests) prog ram. Since 2001, this intervention has promoted the growth of shade grown coffee among recuperating forest stands, providing an alternative source of income to participating producers (IP 2015). Allocating the necessary space for reforestation may also present a challenge to producers, as mentioned above when discussing opportunity costs. Expanding legal reserves or reforesting around PPAs might require producers to minimize pasture used for cattle. One means of overcoming this is the introduction of a r otational or Voisin grazing strategy (Undersander et al. 2002). This strategy divides pastureland into raze, while other productive ca pacity of dairy cattle, while providing a number of ecological benefits such as increased soil protection due to higher biomass. When planned appropriately, this system does f smaller size (Undersander et al. 2002).


15 Paulo is essential considering 79.9% of the area of forest fragments lies on private property (Uezu 2016). Given the distinct challenge of navigating the costs borne by rural producers participating in Atlantic Forest restoration and overarching legal requirements IP must consider the way in which they approach potential participants of their environmental programs. Community based social marketing may serve as an effective approach, providing a framework d benefits to participation. The next sub section will present a deeper introduction into CBSM as well as successful examples of CBSM utilized in environmental interventions. Community based Social Marketing Environmental programs that target community involvement are often concerned with increasing awareness and directing relevant stakeholders to adopt desired behaviors. Communi ty based social marketing is an approach specifically designed to accomplish this task. Pragmatic in nature, it uses both quant itative and qualitative data to help project planners to better understand their target audiences, identify barriers to behavior change, and develop specific strategies to overcome these barriers (McKenzie Mohr 2011). A s a derivative of social psychology, CBSM promotes the idea that programs can be more effective if carried out at the community level, involving direct contact with people. It does not require the adoption of a specific form of data collection, but chosen methods should adhere to the philosophy of facilitating direct interaction between organizations and potential participants. T he process of CBSM can be divided into five ste ps. Step 1 Selecting Behaviors : through needs assessments of the community or literature review, specific sustainable behaviors must be selected in order to establish a new program or improve an existing one. Step 2 Identifying Barriers and Benefits : why will some members of the community not likely adopt a given behavior, and what would motivate them to eventually do so? Through interviews, focus groups, and surveys, information must be gathered to identify these barriers and understand how to maximize t he benefit of adopting specific behaviors. Step 3 Developing Strategies : data gathered in Step 2 are analyzed and integrated into the development of a strategy. Direct personal involvement of both program planners and the target audience is essential if a given strategy will promote behavior change. Step 4 Piloting : p rior to broad implementation, a given strategy should be tested with a small portion of the community or group of potential participants. Through this process, more effective measures and app roaches may be identified. Additionally, if successful, this may incentivize funders to support a wider implementation of a given strategy. Step 5 Broad Scale Implementation and Evaluation : this final step involves the ongoing evaluation of an implemented program or strategy. Information obtained through an established monitoring and evaluation process should be used to continuously refine the delivery of the program.


16 For the sake of this practicum, focus was placed on steps 2 and 3 of the CBSM process: identifying barriers and benefits of program participants and developing strategies to address their needs. Contrary to traditional information based campaigns or top down interventions planned by governments, the CBSM process aims to enhance natural and human resources through grass roots efforts (McKenzie Mohr 2011). The result of the CBSM process is the formation of a developmental and operational strategy, which when applied effectiv ely, improves the target population. stakeholders. In other words, to approach fosters willingness to adopt a behavior t hat could range from a specific action like reduced water usage to increased participation in an environmental program that promotes Atlantic Forest restoration. Although it is a relatively new concept, CBSM has been successfully employed in a number of su stainability related situations around the world. Kennedy (2010) highlights the benefits of integrating concepts of CBSM to the establishment of environmental regulation, which often depends on understanding behaviors at the individual level. Just as th e industrial sector has developed rigorous models to understand decision making, integrating a deeper understanding of behavior at the individual level can lead to more effective environmental regulation. Community based social marketing may serve as a mea ns to identify specific individual barriers, therefore allowing regulators to design impactful messages that seemingly minimize the cost of behavior change (Kennedy 2010). Felter (2013) followed the CBSM method to identify several barriers for homeowners in Central Florida with automated irrigation systems to adopt water conservation practices. These barriers were then addressed in campaigns to achieve improved water conservation. CBSM has also been implemented to advance forest restoration in different areas of the world. In Thailand, development practitioners implemented concepts of CBSM in order to guide the creation of reforestation plots around small communities (Hafner 1995). The Community Forest Project responsible for this engaged the community to better understand planting preferences, leading to a more successful program. Additionally, direct contact with farmers along the Redwood River in Minnesota helped develop strategi es for best management practices, leading to a healthier ecosystem (Beran and McGrath 2003). Within the context of this practicum project, the CBSM process served as a guide to establishing methods for data collection and their subsequent analysis in ord er to identify barriers the methods section of this report the chosen forms of data collection promoted direct i nteraction with rural producers in the Cantar eira region Practicum Objectives In order to contextualize the activities of this MDP practicum project, it is important to consider the main research question at hand. What barriers exist for rural landowners in the Cantareira region


17 restoration and protection of water resources? The following objectives guided data collection and their subsequent analysis: Explore the advantages of community based social ma rketing to improve environmental education a nd extension programs at IP Identify possible barriers and benefits to rural landowner participation in forest restoration programs through the collection of quantitative and qualitative data Utilize findings f programmatic marketing and extension activities Tropical Conservation and Development program


18 Contextual/Conceptual Framework The contextual/conceptual (CC) framework presented in Figure 6 is the model which guided considerations as to how IP might utilize community based social marketing to better steps presented in the previous section, the framework illustrates a slightly condensed and cyclical approach for this practicum, in dashed boxes as well as phases carried out by the organization itself i n round, solid ovals Phase 1: Selection of Desired Behaviors within the context of this practicum, it was assumed that desired landowner behaviors were previously selected by IP. Based on the rural landowner participation in environmental programs served as the principal desire d behavior. Figure 6: The community based social marketing approach forms a cycle, taking into consideration the institutional limitations of the implementing organization as well as external pressures. Phase 1 Selection of desired landowner behaviors Phase 2 Identification of barriers and benefits of behavior Phase 3 Development or adjustment of programs that consider landowner barriers and benefits Phase 4 Wide scale implementation External Pressures Climatic change, shifting laws and regulations, economic opportunities, education, political instability, forms of information attainment Ongoing M&E Application of Community based Social Marketing Institutional Limitations


19 Phase 2 : Identification of Barriers and Benefits this phase represents the core practicum work accomplished in partnership with IP. Rural landowner barriers and benefits of participation in environmental programs were explored through a mix ed methods approach, which consisted of semi structured interviews, focus groups, and the subsequent data analysis. The methods and analysis section s of this report further detail these processes. Phase 3: Program Development or Adjustment the third pha se was completed after data analysis, but will ideally continue into the future. It encompassed the consideration of barriers and benefits identifie d in the second phase, and the suggested incorporation into of ways to address them External pressures that may consideration when formulating these suggestions. Phase 4: Wide Scale Implementation after piloting new or redesigned programs, IP may impleme nt programs on a larger scale. It is important to note, however, that this fourth phase would be fluid, constantly modified by ongoing monitoring and evaluation, as represented in the CC framework. As program personnel monitor changes in the needs of rural producers because of shifting external pressures, new desired landowner behaviors may be selected. Thus, as shown in the framework, community based social marketing becomes a cycle, reflecting the changing needs of rural producers in the Cantareira region of So Paulo. The CC framework also considers external factors that may influence aspects of the CBSM process. External factors are those that are not immediately controllable by rural landowners or ipate in environmental programs or even the possibility for such programs to occur. Brazilians have faced much uncertainty for the past few years, with the 2013 2015 drought representing only one section of a multi faceted problem h slumped significantly in 2014 (Gibney 2015). Even more, a n unprecedented corruption scandal, involving many businesses and politicians linked to the state oil company Petrobras, created a cascade of doubt for investors, further exacerbating ancial woes (Financial Times 2015). Former President Dilma Rousseff significantly cut funding to scientific research before being removed from office on May 12, 2016 due to impeachment proceedings, casting a haze of uncertainty over the feasibility of con tinued research in different sectors across Brazil (Escobar 2015). As an organization, IP has already identified economic incentives as an important variable Valladares Padua et al. 2002 ). Thus understanding factors like household income could influence how IP approaches certain environmental programs, as more years of education might affect their abilit y to integrate new environmental concepts and technologies ( Giavanopoulou et al. 2011 ). Another factor that must be addressed is that, when designing programs for rural landowners, IP and other organizations must consider the means of accessing informatio n in isolated regions as well as landowners preferred means in other areas. For example, not all landowners may have access to the Internet or can depend on signage posted in community hotspots. Understanding the dynamics of information attainment among rural producers would be critical in spreading environmental information and developing effective advertising.


20 Finally, it is essential to consider possible institutional limitations of IP that may hinder its ability to carry out the CBSM process These might include a high tur nover rate of program personnel, a lack of necessary resources to carry out a given project, or funding issues, particularly during the economic crisis. Ideally, however, the CBSM process would allow IP to design environmental prog rams that are naturally attractive to landowners, limiting the need of costly recruitment practices that may undermine financial sustainability.


21 Methods Mixed Methods Approach of a methodology for identifying barriers and benefits to rural producers participating in environmental programs. The researchers adopted a mixed methods approach for this project, meaning both qualitative and quantitative techniques were utilized in order to increase the method approaches to research may better access the co mplexities of the social experience, resulting in better explanations and generalizations of data (De Lisle 2011). The data collection process and subsequent analysis were divided into three main steps, as noted in the action framework below (Figure 7). Semi structured interviews were conducted with rural landowners, and two focus groups were also carried out throughout the practicum. Figure 7 : The main research methods of this project are embedded into a modified community based social marketing approach in dashed boxes. Ovals represent phases that have been or may be carried out by IP in the future. Phase 1 of CBSM Selection of desired landowner behaviors Phase 2 of CBSM Identification of barriers and benefits of Step 1 190 semi structured interviews with rural producers in Nazar Paulista, Piracaia, and Joanpolis Step 2 Two focus groups with rural producers in Joanpolis Step 3 Quantitative and qualitative data analysis to identify barriers of participation in environmental programs Phase 3 of CBSM Suggestion of adjustment s to programs that consider landowner barriers and benefits ; generation of final report and CBSM handbook Phase 4 of CBSM Wide scale implementation Action Framework for MDP Practicum


22 Data were analyzed using appropriate quantitat ive and qualitative methods, which are explained later in this section. In addition, a special survey was elabora ted in order to understand IP perspective of the implications of this project. These processes resulted in the generation of this repo rt, as well as the creation of a handbook about community based social marketing for IP and the governmental Casas de Agricultura ( in development ). Study Area The municipalities of Nazar Paulista, Piracaia, and Joan polis were selected to serve as st udy sites for this project based on recommendations from IP (Figure 8). They represented areas with varying levels of exposure to IP rotation for soil conservation, and environmental education programs. Semi structured Interviews with Rural Producers programs, the study adopted semi structured interviews as a method to identify not only sociodemographic and economic information (quantitative), but also more open ended q uestions that allowed rural producers to elaborate their feelings and perceptions (qualitative) (Asia Forest Network 2002). These responses were recorded using the smartphone survey application Magpi (version 5.4.8) which allowed for immediate data upload to a private server upon conclusion of each interview. In order to interact effectively with rural producers in the selected municipalities, Figure 8: The municipalities of Nazar Paulista, Piracaia, and Joan polis are all located in the state of So Paulo in southeastern Brazil. (Image source: Google Earth)


23 six Brazilian researchers from IP assisted two graduate students from the United States with carrying out the semi structured interviews. These researchers were trained over a period of two weeks prior to piloting the interviews. The pilot study was conducted with ten producers appr opriate wording of questions in Portuguese, question order, interview length, and overall clarity. The final version of the interview consisted of 31 questions elaborated by the researchers and professionals at IP and generally lasted under one hour. The interview encompassed properties, CAR registration status, agricultural information, perceptions of drought, and access to sources of information ( see Appendix 1 for the s cript and full list of questions in original Portuguese and English translation). Over a period of 92 days beginning in September 2015, 190 rural producers participated in the study within the municipalities of Nazar Paulista, Piracaia, and Joanpolis. The researchers obtained the contact information of initial participants in Nazar Paulista, Piracaia, and Joanpolis through CATI and these interviews were pre arranged by telephone. After the interview, rural producers usually recommended their neighbors to participate in the study, facilitating the recruitment process. The researchers also studied maps of the municipalities and selected neighborhoods for door to door interviews. This resulted in a non random, snowball approach to obtaining participants. Once at the household, interviewers requested to interview the individual who self reported to be in charge of agricultural activities. Interviews only Upon arriving at a property, the researchers requested to speak with the person in charge of agricultural activities. The interviews were alw ays conducted in groups of at least two researchers ; one directly conversed with the rural producer by following a standard script and the other recorded responses in the Magpi survey application. Understanding and learning to respect social traditions b ecame an integral factor of conducting successful interviews. When first starting the semi structured interview process, the Brazilian members of the research team recommended taking time to gain the trust of landowners before presenting interview question s. This often consisted of chatting over coffee or structured interview. Focus Groups with Rural Producers The researchers organized focus groups with rural producers in order to furt her understand certain factors that may influence their ability or willingness to participate in environmental programs that promote reforestation and the protection of important water resources on their properties. Questions to guide the discussions were generated based on initial insights from the semi structured interviews, which were all reviewed by professionals at IP and CATI. This full discussion guide can be found in Appendix 2 in original Portuguese. Given time and logistical restrictions, resear chers facilitated two focus groups in the municipality of Joanpolis where the majority of semi structured interviews were conducted. Officials of the coalition of organic growers. The two groups were divided into men and women and conducted within the households of respective members of the group.


24 Figure 9 lists the thirteen main questions that guided the conversation during both focus suggested questions 11 13 to address the fact that environmental education was not explicitly explored in the semi structured interviews. The focus groups were conducted on November 26, 2015 and lasted approximately one hour each. A Brazilian member of th other researchers took detailed notes. Researchers also attained participant permission to record each conversation using an Olympus WS 821 digital voice recorder. Af ter the conclusion of each focus group, the researchers compiled notes and revised them for discrepancies through an initial analysis of the digital recordings. 1 What do you imagine Joan believe it will change? How? 2 What do you think about the future of water in this region? 3 Do you believe there is a relationship between drought and human activity? What is this relationship? 4 5 What other elements/people are necessary for drought prevention to be successful? 6 How do you evaluate reforestation plans determined by law? 7 Do any of you/do you know of anyone that uses part of their property for Eucalyptus plantations? What are the advantages and disadvantages of this type of cultivation? 8 Do you believe choosing a specific type of cultivation can generate environmental impacts? What would they be? 9 What could the municipal government do to improve the life of rural prod ucers? In this question, you could suggest both actions from the mayor (executive power) and local laws approved by the Chamber of Alderman (legislative power). 10 What means of communication do you consider useful and effective to obtain information a bout the environment (aside from Globo Rural )? 11 Why is environmental education important in environmental preservation? 12 Do you believe the environmental problems we experience today were aggravated by a lack of knowledge? 13 Do you believe the youth of Joanpolis have access to environmental education? What could be done to expand it? Figure 9: The focus group questions presented to participating men and women in Joanpolis.


25 Special Survey of IP Members of the Research Team Throughout the data collection process, the benefits and challenges associated with institutional and bi national collaboration became a frequent topic of conversation between IP members of the research team an d those from the United States. As a result, an anonymous online survey was created using the Survey Monkey website to better capture the opinions of team members directly associated with IP. Beyond the benefits of collaboration, the research team also wa The survey consisted of four specific questions as well as an open opportunity for six team members to inclu de any other information or comments they wished to share anonymously (Figure 10). The list of questions in original Portuguese can be found in Appendix 3 Data Analysis The overall goal of data analysis fell in line with the desired outcome of the CBSM pr ocess: to understand how different groups of rural producers perceived specific barriers and benefits to participating in environmental programs related to Atlantic Forest resotration Quantitative data analysis consisted of the evaluation of numerical and categorical responses obtained throughout the semi structured interview process. An advantage of using the Magpi survey application was that this program automatically sorted respons es into a Microsoft Excel spreadsheet. Exploratory analyses were conducted in Excel in order to provide a baseline between municipalities. 1 activities in the Cantareira region? If possible, cite examples. 2 In your opinion, did this research contribute to your professional development? If so, explain in what w ay this project was beneficial to you. 3 Do you believe this project provided any benefits for rural producers in the short term? And what about in the long term? Briefly explain your response. 4 This research project brought together participants from different institutions and, moreover, from different countries. How would you evaluate cultural differences in the realm of scientific research? Do you think this favored or hindered the developm ent of this project? Why? Figure 10: The questions of a special survey presented to IP members of the research team, in English.


26 education level as relevant factors that may influence barriers and benefits to their participation in environmental programs. Thus, in depth statistical analysis explored the semi structured interview responses of household income range and education level as differentiating factors. During the interviews, researchers presented the concept of income in terms of the number of minimum wages earned by all inhabitants of the p national minimum wage of R$788.00 as a baseline (approximately $210 USD using the November 26, 2015 exchange rate). Categories included less than one minimum wage, one to three minimum wages, four to ten, and more tha n ten minimum wages earned by all inhabitants of the property per month. This was done to make participating producers more comfortable answering question about household economics that may have otherwise been interpreted as invasive. Participants were als o asked to report how many years of education they had education model. Less than or equal to nine years of education equated to producers having up to a complete prim ary education. Ten through twelve years meant the producer had up to a complete secondary education. Finally, greater than twelve years signified that the producer had at least some higher education. The researchers coded the Excel spreadsheets in order to export to IBM SPSS Statistics (Version 24). Quantitative r esponses obtained from the interviews were either categorical in property in hectares). In order to analyz e these different forms of data, the SPSS platform allowed for two appropriate statisti square test of categorical data declared income ran ge and education level served as independent variables, and were compared to other categorical responses, such as whether or not a property was CAR registered The Chi square tests measured the significance and direction of association between variables us ing a 95% confidence level. environmental programs, a one factor analysis of variance (ANOVA) with fixed effects was conducted to explore whether household income range is a function of various quantitative responses, such as property size. The researchers conducted this analysis under the hypothesis that quantitative responses vary significantly among income ranges. of quantitative responses do not vary between income ranges At least one varies significantly between income ranges the variance associated with mean difference between groups (between group variability) and v ariance occurring within the groups themselves (within group variability). To supplement ANOVA r multiple comparisons to further understand variation between and within g roups.


27 Qualitative responses from the two focus groups were organized and analyzed through a thematic analysis process following methods described in Braun and Clarke (2006). The digital voice recordings used to compile detailed notes provided partially transcrib ed records of both conversations. A coding process was followed to identify thirteen overarching themes, which matched the questions presented previously in Figure 9, and participant responses were sorted into these categories using Microsoft Excel. A simi lar process of thematic analysis was followed to understand the special survey responses from IP members of the research team. Again, team the survey shown in Fig ure 10. Limitations of Methods Through the methods presented above, the researchers hoped to identify barriers and benefits analyses using household income range and education level as factors aimed to categorize producers into groups, allowing for organizations like IP to better market relevant interventions. It is important to bear in mind that the main purpose of this research was exploratory in nature, and other methods that fall within the CBSM framework surely exist. However, the researchers do identify several limitations associated with the chosen methods of this project. Regarding the semi structured interview, a non random snowball approach to se lecting participants was used, and recruitment was limited to rural properties accessible from roads that vehicles could handle, resulting in a selection bias and rendering the sample non representative some suspicion from landowners may have influenced their responses. Additionally, more than one family member often participated in the interview process, which may have skewed results in the sense that a single interview may have captured multiple confl icting perspectives. R ecorded responses were based solely on the words of interviewed producers, so specific socioeconomic and property data were not verified through the review of official documentation. Finally, the statistical analysis of research resul ts also suffered certain limitations. Adding layers of complexity to certain tests, such as levels of education or income ranges, caused sample size to be an issue. In the case of the one way ANOVA, a small sample size may have led to a Type II error in hy pothesis testing, meaning that the results incorrectly failed to reject the null hypothesis. Regarding the focus groups, logistical difficulty and limited time prohibited the creation of more groups, and the producers that participated were a ll members of an organic grower coalition in Joanpolis. Taking this into consideration, opinions expressed in the focus group may have been biased and not accurately reflected all rural producers in the Cantareira region and In addition these producers should have taken part in the semi structured interview which would have served as an interesting point of comparison.


28 Results This section will present the findings from the semi structured interviews, focus groups, and the special survey conducted with IP members of the research team. The first subsection will provide a general overview of semi structured interview responses as well as the results of corresponding statistical analyses. Following this, results will be presented on the basis of groups and special survey. Semi structured Interview Results In order to identify barriers and benefits of rural landowners from participating in environmental programs offered by IP, 190 semi structured interviews were conducted between September and December of 2015. Eighty five interviews occurred in the municipality of Joanpolis, 42 in Nazar Paulista, and 63 in Piracaia. Over 15% (n=30) of these responses were given by wo men. Table 1 highlights averages of important sociodemographic, economic, and property related data. Table 1: descriptive responses from semi structured interviews conducted in Nazar Paulista, Piracaia, and Joanpolis. All responses represent averages. N. Paulista Piracaia Joanpolis Total Sociodemographic Information Age 56.1 52.6 54.5 54.2 Education (Years) 7.3 9.4 6.4 7.6 Household and Economic Information Household Size 3.8 4.4 3.6 3.9 On farm Laborers 2.3 2.9 3.2 2.9 Family Laborers 1.5 1.4 2 1.7 Permanent Workers 0.8 1.4 1.2 1.1 Temporary Laborers 0.4 0.4 0.3 0.4 Property, Reforestation, and CAR Registration Property Size (Ha) 36.7 42.2 43.9 41.8 Pasture Size (Ha) 19.8 24.4 22.1 22.4 % Pasture 59.6% 67.8% 65.1% 64.8% % Forest Cover 18.6% 12.8% 17% 15.98% Hectares of Original Forest 8.3 7.7 10.1 8.9 Hectares of Planted Forest 0.1 0.4 0.4 0.3 Growing Eucalyptus 33.3% 17.5% 34.1% 28.4% Property CAR Registered 31% 58.7% 67.1% 56.3% Property has Legal Reserve 74.4% 50.8% 65.9% 62.1% Member of Community Org 19% 15.9% 15.3% 16.3% Involved in IP Activity 23.8% 9.5% 9.4% 12.6% Household size was approximately four individuals and was defined as the number of people permanently living on a given property, and the number of on farm laborers were broken down into family laborers (1.7) permanent workers (1.1) and temporary hired laborers (0.4) R ural property characteristics captured in the int erview seem to be similar in most aspects


29 between Nazar Paulista, Piracaia, and Joanpolis. On average, rural producers dedicated more than half of their property to pasture and only 16% in forest It is important to point out that percent forest cover r eflected total area, and did not imply that this forest cover was composed of native species, comprised a legal reserve, nor was located around PPAs ; less than 9% was Responses from Nazar Paulista displayed an apparent l ower education activities. The latter is likely due to IP Paulista, provoking an increased institutional presence in the community. Interestingly, a low number of producers in all municipalities claimed to be part of community organizations that provide support to local agriculture. The variations in these results encouraged the researchers to analyze data based on educatio n level and income in order to provide greater insight into the barriers and benefits of rural producers participating in environmental programs. square test provided a first step to better understanding semi structured interview responses, as seen in Table 2 on the next page. Out of the 190 landowners interviewed, 68.4% (n=130) reported having up to a complete primary education, 15.3% (n=29) reported having up to a complete s econdary education, and 16.3% (n=31) declared having at least some higher education. As mentioned in the previous section, statistical analysis suffered from small sample sizes, which may have attributed to most results being statistically insignificant. H owever, at least two ts were asked if they understood the importance of the Cantareira sy stem (p=0.994) and if they felt certain agricultural practices could negatively affect the system itself in terms of water quality or quantity (p=0.255) For these questions, responses did not vary significantly between education levels meaning that prod ucers across all education levels understood the importance of the Cantareira system and believed that certain agricultural practices could impact the system In addition, the researchers asked producers what forms of media/communication served as their pr imary source of environmental information. One response with a significant result was p =0.016) ; affirmative responses were associated with higher levels of education. wa s also significant, and supplementary information gai ned from the interview suggests that smartphone messaging applications like WhatsApp also provide d certain producers with environmental information. The distribution of these information source responses across education level can be seen below in Figure 1 1. In addition to questions about information sources, the researchers also asked about the status of CAR registration and reasons for maintaining the forest fragments currently located on their properties. Producers could select f rom the following reasons: required by law; that de forestation provided no benefit; that the forests pr ovid e soil and water protection; aesthetic reasons ;


30 did not vary signifi cantly across education levels. From this step of dat a analysis, the researchers environmental information were television and the Internet, and that reasons for maintain on property forests did not vary significantly between groups of participants. square test using participants, 5.3% (n=10) reported earning less than one minimum wage per m onth, 50% (n=95) reported earning between one and three minimum wages, 33.7% (n=64) earned between four and ten minimum wages, and 11.1% (n=21) reported earning more than ten minimum wages per month. and sources of informati on, television and Internet were the most important overall; two responses yielded statistically significant results comparing respondents with different income ranges : Internet (p=0.001) and television (p=0.017). As Figure 12 shows on page 32 the proportion of producers claiming TV as their main source of environmental information decreases as income range increases, shifting toward higher Internet Table 2: the results of Pearson's Chi square test, with producers' education level as the independent variable. Marked* asymptotic significance results are significant on a 95% confidence level. Questions Regarding Producers' Knowledge and Information Sources Pearson's Chi square df Asymptotic Significance (2 sided) Cantareira Importance 0.11 2 0.994 Impact of Ag on Cantareira 2.73 2 0.255 Sources of Enviro Info: Internet 2.44 2 0.295 Newspaper 8.25 2 0.016 Neighbors 0.68 2 0.711 Family 2.05 2 0.358 Community Orgs 1.008 2 0.604 TV 0.39 2 0.819 Radio 3.19 2 0.202 Signage 5.15 2 0.076 Other 9.11 2 0.010 Questions Regarding Reforestation and CAR Registration Pearson's Chi square df Asymptotic Significance (2 sided) Property CAR Registered 3.27 2 0.194 Property has Legal Reserve 1.28 2 0.527 PPAs Forested and Fenced 5.35 4 0.253 Reasons for Maintaining Forest: Law 0.56 2 0.756 No Other Benefit 1.002 2 0.606 Soil & Water Protection 5.03 2 0.081 Beauty 4.41 2 0.11 Other 1.28 2 0.527


31 usage at higher income ranges. This dynamic likely provoked the statistical significance of both variables. Table 3: the results of Pearson's Chi square test, with producers' household income range as the independent variable. Marked* asymptotic significance results are significant on a 95% confidence level. Questions Regarding Producers' Knowledge and Information Sources Pearson's Chi square df Asymptotic Significance (2 sided) Cantareira Importance 3.96 3 0.265 Impact of Ag on Cantareira 6.41 3 0.093 Sources of Enviro Info: Internet 15.51 3 0.001 Newspaper 1.41 3 0.701 Neighbors 0.98 3 0.804 Family 1.11 3 0.774 Community Orgs 1.69 3 0.637 TV 10.18 3 0.017 Radio 2.104 3 0.551 Signage 1.005 3 0.8 Other 4.23 3 0.237 Questions Regarding Property, Reforestation, and CAR Registration Pearson's Chi square df Asymptotic Significance (2 sided) Property Slope 18.46 6 0.005 Water & Forest Used on Property 0.39 3 0.94 Experienced Water Problems 6.28 3 0.099 Property CAR Registered 5.27 3 0.153 Property has Legal Reserve 6 .31 3 0.097 PPAs Forested and Fenced 9.08 6 0.169 Reasons for Maintaining Forest: Law 7.73 3 0.052 No Other Benefit 2.86 3 0.412 Soil & Water Protection 3.08 3 0.378 Beauty 4.03 3 0.258 Other 4.82 3 0.185 Questions Regarding Household Economics Pearson's Chi square df Asymptotic Significance (2 sided) Named Successor 4.18 3 0.242 Investments in Last Five Years 10.73 3 0.013 Farm Growth in Last Five Years 13.25 3 0.004 Accessed Credit in Last Five Years 7.05 3 0.07


32 Questions regarding property characteristics, reforestation, and CAR registration only resulted in one statistically significant response. Property slope (p=0.005), classified as low/medium/high, varied accordingly to income ranges. P roperties earning one to three or four to ten minimum wages had flatter land, whereas the extreme income ranges had more variability in slope. This might be attributed to two factors. The limited purchasing power of poorer landowners may prevent them from obtaining flatter land s, while higher income properties may depend less on agricultural activity, rendering slope as a less important factor. On the other hand, properties falling within the middle income ranges may depend more on agricultural activity, making slope a more dete rminant factor. Other property Whether producers actively used water and forest resources on their property did not vary significantly with income, nor did i f they experienced water problems during the 2013 2015 drought. Forest related responses were also statistically insignificant. For example, producers were asked if all, some, or none of the PPAs located on their properties (such as streams and springs) we re properly surrounded by forests and fenced in and if their properties contain a designa ted legal reserve (p=0.169). The results showed that producers with different income ranges live on properties with varying degrees of slope, but the survey did not ca pture a significant difference in the way they use the land. Finally, questions concerning household economics yielded statistically significant results. I nvestments made around the farm or household (p=0.013) or an increase in agricultural activity with in the past five years (p=0.004) were more frequent for respondents from the higher income ranges. Based on the interview responses, income range did not have a statistically significant effect on producers having accessed credit within the past five years (p=0.07) or if he/she had officially declare d a successor to the property (p=0.242) The researchers inquired producers about established successors to better understand the future activities of these properties. To explore deeper effects of producers participate in environmental programs, one way ANOVA tests compared the four income ranges as the independent variable to various numerical responses from the semi structured interviews. As mentioned in the meth ods section of this report, these tests were conducted under the null hypothesis that mean responses would not vary significantly between income ranges. Table 4 below presents the results of all ANOVAs, with corresponding F statistics and significance leve ls. Both property size [F(3,186) = 6.065 = p=0.001] and pasture size [F(3,186) = 3.618 = p=0.024] were significantly correlated with income range at a 95% confidence level, with both measures being larger at higher income. In addition to these measures, th e number of family laborers [F(3,186) = 3.036 = p=0.03] and the number of hired laborers [F(3,186) = 3.745 = p=0.012] also varied significantly with income level. For the former, the number of family laborers was higher for producers in the four to ten inc ome range, while the number of hired


33 workers was highest for producers earning more than ten minimum wages per month. Based on these results, the researchers reject ed the null hypothesis since the mean responses varied significantly between income ranges f or more than one category. Therefore, the results confirmed that producers with higher incomes are more likely to participate in environmental programs In summary, statistical analyses were able to identify certain factors that may influence the barriers and benefits of rural producers participating in environmental programs that promote Atlantic Forest restoration. Education level may have bearing on the forms of information appropriate for certain producers, but the results of these tests suggested an even greater influence of income level on various factors. The varying levels of economic power of producers in the Cantareira region might suggest that ec onomic incentives such as agroforestry may increase participation in environmental programs. Research that IP has conducted in Pontal de Paranapanema confirmed the importance of economic incentives for producers involved in large scale Atlantic Forest res toration projects (Valladares Padua et al. 2002). Identifying Barriers and Benefits A key step in data analysis was to integrate findings from all research participants, including the findings from focus groups and the special survey of team members from IP. This subsection aims to synthesize these responses on the basis of barriers and benefits of rural producers participating in environmental prog rams, one of the main objectives of CBSM. In turn, this process may allow for the targeted marketing of incentives to particular categories of rural producers, facilitating the establishment of buy in among potential program participants. The two focus g roups in Joan polis allowed the researchers to gather meaningful qualitative responses from producers of that municipality that added to the interpretation of semi structured Table 4: the results of one way ANOVA, with producers' household income range the independent variable. Marked* significance results are significant on a 95% confidence level. Results marked with Means df (between groups) df ( within groups) F Significance Property Size (Ha) 41.8 3 186 6.06 0.001 Pasture Size (Ha) 22.4 3 186 3.61 0.014 % Pasture 64.8% 3 186 2.37 0.071 % Forest Cover 15.98% 3 186 2.02 0.112 Hectares of Original Forest 8.9 3 186 1.98 0.117 Hectares of Planted Forest 0.3 3 186 0.45 0.714 Household Size 3.9 3 186 1.34 0.26 Number of On farm Labor 2.9 3 186 15.18 0.000 Number of Family Laborers 1.7 3 186 3.03 0.03* Number of Permanent Workers 1.1 3 186 22.72 0.000 Number of Temporary Laborers 0.4 3 186 3.74 0.012 % of Income from Off farm Activity 60.26% 3 186 0.68 0.565


34 interview results. Only one participant out of both focus groups was not born int o the farming tradition, as she was originally from the city and had married a rural producer, and all participants were associated with the cultivation of organic produce. In addition to these response sets, obtaining IP cess through the special survey was essential. Participating team members from IP could evaluate the effectiveness of the research while bearing in mind certain institutional limitations. In total, the researchers identified five barriers and at least one benefit to rural producers of the Cantareira region participating in environmental programs that promote Atlantic Forest restoration. Barrier 1 Information Flow : t he results of this research support the idea that understanding the attainment and flow of information among rural producers should be taken into consideration when creating and marketing environmental programs. Producers living on high income properties may rely more on the Internet for environmental information, but this may serve as a bar rier for low income properties if organizations like IP depend too much on their websites social media, or e mail for program announcements. Focus group participants reiterated comments made by many producers in the semi structured interviews: the WhatsA pp messaging service is gaining a larger user base in rural areas especially as smartphones become more affordable. When spreading essential environmental information, this messaging service and the dominance of television should be taken into account in order to reach wider a udiences. The fact that most producers cited the television program Globo Rural as a source of environmental information presents yet another barrier, as this national program is not regionally specific. In other word s, producers may not necessarily glean applicable knowledge when watching this program unless regionally specific information is incorporated Spreading awareness and knowledge are cornerstone concepts of environmental education and rural extension. IP is one of many organizations conducting this type of work in the Cantareira region, yet focus group participants expressed that environmental education could either be a barrier or benefit for producers participating in environmental programs, depending on i ts quality The producers generally recognized that environmental education could be difficult to implement, but that it was necessary to change the perspectives of many people nowadays. Successful environmental education, according to participants, occurs in situ in a workshop fashion, with knowledgeable professionals teaching practical skills that have a positive impact on the environment. They felt that more environmental education opportunities exist today than in the past, but it is still not enough, e specially for young people who will be decision makers in the future. In short, if properly implemented and made widely available, environmental education can have a catalyzing effect on the local community that instills a sense of appreciation for not onl y the environment itself, but for programs that support its conservation. Barrier 2 Low Membership in Community Organizations : Table 1 revealed that only 16.3% of rural producers in Nazar Paulista, Piracaia, and Joanpolis claimed participation in a community organization that provides support to local agriculture. These organizations may have included the municipal Casas de Ag cooperatives. Additionally, community organizations were rarely cited as a main source of environmental information. The focus groups carried out in Joan polis conducted with producers who were members of a n organic coalition, were organized through collaboration with


35 the local Casa de Agricultura. Despite this initiative, not a single participant mentioned CATI as an important resource for their agricultural activities. Finally, only 12.6% of semi structure d interview participants had been involved in some type of activity planned by IP, suggesting that Barrier 3 Skepticism of G overnment and Program Efficacy : p articipa nts of the focus groups questioned the fairness of legal forest requirements, which according to their view, overburden ed smallholder producers yet provide d loopholes for agricultural industries. They also mentioned that reforestation efforts, when complet ed, often end up abandoned and overrun by cattle with time. In addition, participants of the focus groups claimed they saw few benefits for completing Forest Code mandated CAR registration, reinforcing the concept of skepticism acting as a barrier to parti cipation in reforestation programs and compliance with environmental regulations. Even at the municipal level of government, participants expressed skepticism over the creation of polici es that affect rural producers. Nearly all members of the focus groups expressed frustration that local politicians never visit rural homesteads, which leads them to elaborate policies and regulations without understanding the reality of rural living. If t hey were to connect with the rural community, local politicians may better understand that steps need to be taken to su p port the rural lifestyle. Such measures would include improving the quality of rural roads so producers could better access markets, and making an earnest effort to support agricultural activity. Barrier 4 Lack of Extension : interacting with producers through the semi structured interviews and focus groups revealed varying opinions of factors relating to Atlantic Forest restoration, n amely their perceptions of Eucalyptus in the Cantareira region. An interesting opinion on Eucalyptus identified throughout the data collection process was that both focus group and semi structured interview participants tended to associate a lack of water on their properties to poorly planted Eucalyptus stands. When cultivation centered around springs, fast growing Eucalyptus solution to this barrier, one woman suggested that appr opriate agricultural strategies should be more widely circulated among rural producers of the region in the form of rural extension Still, when asked to describe the future of Joanpolis, focus group participants painted a picture closely linked to econo mic activity. One man told a story about the economic cycles he had seen in his life, with coffee production being replaced by cattle, and nowadays cattle is slowly being replaced by Eucalyptus t. Another man commented that there are more taxes than incentives for producers to keep living on the farm, and the way television portrays life in the city is very at tractive. Both groups envision Joanpolis with a spreading area of urbanization, with ag ricultural activity condensed around Eucalyptus production as a means of income.


36 Barrier 5 Lack of Economic Incentives : research results suggest that both low income and high income producers in the Cantareira region face economic barriers to participating in Atlantic Forest restoration. Semi structured interview results yielded important information on property size, pas ture size, and types of agricultural activity practiced on a significant effect of income range on both property and pasture size, with higher income properties being significantly larger (Table 4). The agricu ltural activities of producers that participated in the semi structured interviews is presented in Figure 13 sorted by income range. Activity did not significantly vary between income ranges, and the dominance of cattle for both dairy and meat production appeared in all categories. Recalling the concept of opportunity cost, what a producer must give up if he/she opts to results. Reforestation around PPAs or ex panding a legal reserve on smaller, low income properties may represent a significant opportunity cost for producers with limited land to cultivate The owners of higher income properties, on the other hand, may prefer to purchase compensatory reforestatio n plots in other areas of the Atlantic Forest in order to continue with the status quo on their lands. Evenmore, these same producers may simply feel that the penalty for not reforesting does not outweigh the potential benefits of continuing their current operations. Both of these situations highlight the need of economic incentives that meet the needs of both low income and high income producers in the Cantareira region. Benefit Pride as Protectors of Water : As presented earlier in this report, the Brazilian Forest Code directs restoration efforts through the establishment of legal reserves and reforestation around PPAs, such as streams and springs. In the region of the Cantareira Reservoir System, the protection of these water resources on private lands is particularly important. Several focus group participants focused on the moral obligation of rural producers to protect these water resources, because in doing so, the benefits extend beyond their properties all the way to the beneficiar populations do not share the burden of this responsibility, the researchers identified an underlying benefit of promoting forest restoration to protect PPAs: pride. Even producers partic ipating in semi structured interviews expressed pride in the number of springs and streams tours of properties before conducting interviews.


37 From an institutional perspective, the special survey given to team members from IP resulted in valuable feedback related to the identification of barriers and benefits presented above Community based soc ial marketing promotes the establishment and maintenance of close contact between potential program participants and the implementers of a given intervention and survey results reaffirmed that the research process achieved exactly that. Team member respon ses highlighted how the data collection process had begun to bridge a gap between IP and the rural producers of the region, an essential step to understanding their needs as potential participants in environmental programs. One response effectively summar ized these pe rspectives, as seen in Figure 14 Whether the research process had brought short and long term benefits to rural producers in the Cantareira region was the subject of another question on the survey. Many team members mentioned the simple act of listening to rural producers giving them a voice and allowing them to tell their stories was a major short term benefit. In addition, marketing IP as a source of support for producers in the region could serve as both a short term and long term benefi t, since gained their trust. To conclude, the researchers selected methods of data collection that fell in line with tenet of establishing direct contact with rural producers The analysis of semi structured interview and focus group results based on income range revealed potential barriers and benefits to their participation in environmental programs that promo te Atlantic Forest restoration in the Cantareira region. Given the methodological limitations presented in the last section, however, this process certainly did not capture all potential barriers and benefits. As an organization, IP has largely focused on promoting program participation through the offering of economic incentives, and the results of this research support this strategy. I f IP were to adopt CBSM as a framework for program creation, data collection should aim to capture a more complete under standing of the complex reality of rural producers living around the Cantareira Reservoir System The next section will revisit the and revise it base d on the results of this study. Then the researchers will present specific recommend ations as to how IP could integrate findings from the CBSM process. Finally, the concept of political ecology will be integrated into the CBSM process through the creation of a socioeconomic matrix that visualizes other constraints that may in environmental programs that promote Atlantic Forest restoration. trabalho, descobrimos particularidades locais, proprietrios que no conheciam a instituio (o que nos ajudar no posicionamento da marca IP) e aqueles que tem grande interesse em participar de projetos, inclusive com reas para restaurao T eam Member from IP Figure 14 : During the project, we discovered local peculiarities, landowners who did not know the institution (which will help us in positioning the IP brand) and others with great interest in participating in projects, includi ng those with areas for forest restoration.


38 Discussion Overcom ing Barriers and Capitalizing upon Benefits What does it take for a smallholder family in Piracaia to actively reforest the springs located on their property? The law says they have to do it and the local NGO says they should do it. Superficially, the decision may seem simple, but sever al barriers stand in their way. These barriers run the full gamut: mental, economic, and even physical. Extending the forest around a certain springs means their dairy cattle will have less past ure for grazing, and who will pay for all that fencing and its maintenance ? Maybe the NGO or CATI will help, but they have heard this story before : t Rural producers in the full gamu t of education levels and income ranges in the Cantareira region are likely asking similar, yet different questions that reflect their particular needs Information flow, low membership in community organizations skepticism of government and program efficacy lack of extension and a lack of economic incentives are five barriers on a long list of challenges that may prevent rural producers from actively participating in environmental programs. The results of this particular study just scr atched the surface, but it needs. Achieving this final and key element of the CBSM process, however, requires taking the time to truly understand the reality of potential program participants. In doing so, organizations like IP gain the potential to overcome barriers and capitalize upon existing benefits Through p roducers themselves the means to transform what were once challenges into opportunities. must comply with particular restrictions such as relevant laws and regulations. The act of limitations set in place by the Brazilian Forest Code. While the 2012 updates to the legislation received significant criticism from the international community, many environmental professionals view certain aspects, particularly the potential of the CAR d atabase, as an unparalleled opportunity to generate term environmental restoration (De Agostinho 2013). Understandi As previously stated, producers in the Atlantic Forest must develop a strategy to dedicate 20% of their total property area to legal reserves (Sicar 2016). However, producers who are unable or unwilling to achieve this are permitted to purchase equivalent areas of protected land elsewhere within the Atlantic Forest biome, compensating what is missi ng on their properties (Lehfeld et al. 2015). This may serve as a barrier for producers with higher incomes to invest in on property reforestation to enlarge existing legal reserves and restore PPAs, particularly if purchasing compensatory protected areas is cheaper than the costs associated with reforestation. Through relevant economic incentives, organizations like IP may overcome this barrier to on property restoration, or the purchasing of compensatory land may be coordinated to promote contiguous, eco producers in some fashion, either on or off property, will be essential in achieving large scale restoration in the Cantareira region.


39 Additionally, interaction with the ru ral producers of the Cantareira region revealed Eucalyptus as a contentious crop. On the one hand, the non native, fast growing tree is seen as a contributor to local drought. On the other hand, it provides an easy source of cash flow on an incremental bas is. In the Cantareira region, the demand for Eucalyptus charcoal is particularly high as a source of cooking fuel for the extremely large number of pizzerias in Greater So Paulo (Kumar et al. 2016). Throughout the research process, large and obvious stand s of Eucalyptus were particularly noticed in Nazar Paulista and Joanpolis, and the focus group participants expressed the belief that the industry would only continue to grow. The Forest Code does allow for up to 50% of legal reserve area to consist of non native species like Eucalyptus provided environmental agency IBAMA ( Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renovveis ) O rganizations l ike IP should seek to view this as an opportunity to incentivize improved planting techniques that both mitigate environmental degradation and conform to legal requirements For example, in both the interviews and focus groups, producers claimed planting Eucalyptus around PPAs caused them to desiccate. Research conducted by Stape et al. (2010) suggested improper planning of Eucalyptus near water sources may in fact lead to water scarcity due to the its fast growing cycle. Teaching producers how to properly intermix Eucalyptus among native species or to benefits for them to participate in environmental programs that promote Atlantic Forest restoration. The general insights above regardin producers in the Cantareira region are essential to understanding the recommendations to IP elaborated by the researchers. These specific institutional recommendations are discussed in the next subsection. In Recommendation 1 Creation of a Cantareira Region Dream Map : IP has carried out small scale Atlantic Forest restoration in the Cantareira region with programs like Semeando gua and Nascentes Verdes Rios Vivos. These programs engaged the community through educational activities and opportunities to participate in the creation of reforestation plots. However, IP scale reforestation is more accurately represented by its efforts in the region of Pontal de Paranapanema, where the establishment of a Dream Map guided the argest reforestation corridor. A Dream Map of large scale Atlantic Forest restoration in the Cantareira region would serve as a guide to all of IP Paulista, Piracaia, Joanpolis, and other municipalities by highlighting priority areas for reforestation The idea of this map, which integrates the proximity of PPAs, property borders, and existing forest fragments, largely mirro rs the information already gathered by the CAR database which now is publicly available Thus, IP may represent another stakeholder in the effort for all producers in the Cantareira region to register their properties in the CAR system and to make use of that information as a planning tool


40 Recommendation 2 Increased Institutional Presence : institutional presence in the Cantareira region would be to foster a closer relationship with governmental rural extension. Monitoring facilitating this registration process by encouraging dialogue betwe Cantareira region. As of March 2016, 77.9% of properties in the state of S o Paulo had completed CAR registration (Sicar 2016). Only 56.3% of producers that participated in this stu dy reported having completed the CAR. An example of success can be seen in Caxias do Sul in the state of Rio Grande do Sul, where local producers originally viewed CAR registration as being suspicious and not worth carrying out. After facilitated discussio ns between the municipal government and local landowners, the city achieved 100% CAR registration (Fundao SOS Mata Atlntica 2016). Institutional presence must also promote communication within communities by considering the means of communication read ily accessible to particular producers. Collaborating with television programs like Globo Rural in order to divulge regionally specific recommendations for rural producers could be effective, and Internet based communication may be appropriate for prod ucer s of higher income ranges. Still, facilitating community discussions that bring together different rural producers, CATI agents, and representatives of community organizations that support local agriculture may most effectively promote the spread of knowle dge within communities. This would be essential in overcoming the barriers of skepticism and lack of extension presented earlier. Recommendation 3 Mitigate Costs of Reforestation through Agroforestry : t he programs as a potential barrier. A small landowner with low income may prefer to maintain a large pasture and dedicate the remaining property to Eucalyptus pr oduction as a secondary source of income, rather than engaging in reforestation The financial gain from the aforementioned agricultural activities would overcome the risk of losing access to credit due to legal penalties. Thus IP must provide other economic incentives s current strategy. An effective method to garner the interest of producers would consist of a system of land management that combines the cultivation of agricultural crops with t he formation and continued maintenance of forest stands. Agroforestry incorporates these ideas and was successfully adopted by IP in Pontal de Paranapanema, a model that could be replicated in the Cantareira region. This approach may include but is certai nly not limited to the implementation of rotational grazing to c ompensate for lost pasture size, guidance on how to manage non native cash crops like Eucalyptus and the adoption of non timber forest products as a supplementary source of income. As briefly introduced in an earlier section, NTFPs represent a broad range of products naturally present in forests which may be sustainably exploited, such as fruits, nu ts, fibers, resin s, and dyes (CIFOR 2016). These suggestions represent a bundle of options that could be applied differentially to high and low conjunction with payment for ecosystem service (PES) schemes from the Brazilian government to further offset the costs of participating in reforestation programs. PES schemes provide payments to individuals who promote natural processes that benefit society; for example, the


41 prot ection sources of water or contribution to carbon storage through tree planting. Brancalion et al. (2012) demonstrated how certain agroforestry techniques, PES, and Eucalyptus timber harvesting could work together to provide income from reforestation plots (Figure 15). Applying the CBSM framework to identify the specific economic needs of producers in the Cantareira region would be critical to striking a balance between the private interest of generating income through agricultural activ ities and the public interest of reforesting PPAs and legal reserves. Recommendation 4 Focus on Priority Areas : c onsidering the enormous scale of desired restoration in the Cantareira region I P must inevitably focus its resources on priority areas, where reforestation will connect many fragments into contiguous corridors. An important may point out important regions that have not established property mana gement plans. IP could apply the CBSM methods, presented above, in these regions in order to offer specific incentives that meet the needs of these producers. Depending on the level of interest, IP could open a public bidding to these producers in order to select a single property to implement pertinent strategies such as those previously mentioned. The producer would gain the economic benefits of the agroforestry model, while IP would essentially gain an interactive classroom to demonstrate the benefits of such measures to neighboring landowners. This example of success could contribute to the mitigation of skepticism towards CAR registration, environmental regulations, and the overall effectiveness of reforestation activities. Recommendation 5 Use P ride as a Catalyst : f inally, as discussed in the previous section, pride was an important benefit identified during the semi structured interviews and focus groups. Rural producers share a sense of pride for being both producers of agricultural products an d protectors of the Cantareira Reservoir System, which supplies water to millions of residents Figure 15 : The initial costs of reforesta tion at the beginning of the x axis is offset over a number of years through the implementation of timber harvesting, non wood forest products, PES schemes, and other agroforestry techniques. Image from Brancalion et al. (2012).


42 in the state of So Paulo. IP understanding of rural producers in the Cantareira region may allow the organization to foster the growth of this sense of pride, transforming it into a more tangible asset, embodied in the creation of an ecological certification for producers that meet environmental and legal standards. From a consumer standpoint, purchas ing agricultural products with a certification capitalizes on the growing understanding that environmental protection is important and provides a sense of confidence as to the origin of the products (Brites 2007). For producers in the Cantareira region, a chieving environmental certification may offer greater reliability to the sale of their products (Gianoni 2015). If IP were to offer this type of environmental certification in conjunction with local municip alities, all involved institutions could benefit. The incentive for producers to not only achieve legal reforestation requirements, but in an ecologically conscious way that promotes Atlantic Forest restoration, would help municipal Casas de Agricultura an d IP meet their institutional goals. The sense of pride identified in the CBSM process suggest s that a certification appealing would be impactful. provide a united identity to producers around the Cantareira Reservoir System that promotes the important role they play as producers of water. The recommendations presented in this section took into consideration the findings of this research. Although they do no t reflect all the barriers faced by rural producers in the Cantareira region, they serve as examples as to how IP may formulate specific programs based on the CBSM process. This practicum research was exploratory in nature, yet the chosen methods identifi Forest restoration programs. A summary of the results of this practicum project as well as the suggestions mentioned above are being integrated into a short handbook developed in conjunction with IP E ntitled O Marketing Social Comunitrio para a R estaurao da Mata Atlntica na R egio da Cantareira (Community B ased Social Marketing for Atlantic Forest Restoration in the Cantarei ra Region), this small guidebook provides a general understanding of the CBSM process and how it may be applied for institutions to meet thei r particular restoration goals. It will serve as the main means of returning the results of this research to both IP and the Casas de Agricultura in Nazar Pa ulista, Piracaia, and Joanpolis. Political Ecology: A Lens for Broader Understanding The adopted research methods, despite their limitations, identified several barriers and ny of which centered results would likely have restricted effective ness. In theorizing how an organization such as IP could better understand such complexity, the researchers adopted a political ecological perspective in the interpretation of semi structured interview and focus group results. How can the biological and l egal aspects of reforestation goals coincide with the economic and social forces driving the day to day activities of rural producers? Political ecology attempts to answer such questions by connecting ecological principles with human centered concepts like social norms and political economy (Blaikie and Brookfield 1987). Through this lens of thinking, a better understanding of rural producers in the Cantareira region was established. Political


43 ecology seems to go hand in hand with community based social mar keting, as CBSM is a were to participate in an environmental program, what elements should this intervention contain in order to overcome existing barriers and capitalize on benefits? To better understand this, a socioeconomic matrix was constructed based on the results of data analysis. Schmink (1994) proposed the use of socioeconomic matrices to understand deforestation, specifically, the management decisions of forest use at the individual and small group level in Brazilian Amazonia. For this practicum, a socioeconomic matrix provided the perfect medium based social m arketing process, within a larger context of political ecolog y. The adapted matrix, Figure 16 on the next page, consists of four levels of analysis (global, national, local/regional, and household/community), each containing structural conditions that may guide decision making at the individual level. These conditions were based on information gleaned from the semi structured interviews and focus groups, as well as key factors identified through literature review. The black arrows on either side of the matr ix serve as reminders that conditions existing at each level interact and influence one another. Although the research process did not directly identify conditions operating at the global level, overarching forces such as policies established by the Worl d Trade Organization and the United Nations ultimately influence decision making at the national level, which trickle down to more local contexts. At the same time, the influence of social media could be seen as pervasive at all levels, considering its cap acity to spread global trends from the national stage all the way making. However, as the results of this research suggest, this may be more likely in households of higher income. Market forces, such as product prices due t o supply and demand as well as emerging global carbon markets may greatly influence a rural level, and local policies may also influence these decision, and within the con text of reforestation, the Forest Code places a long list of demands on individual rural producers. Additionally, the role of federal credit opportunities for producers likely plays a large role in the decision making of individuals in the Cantareira regio n, especially since failing to meet reforestation requirements may hinder credit availability. On a smaller scale, the research process explored the importance of third sector support from NGOs like IP, the catalyzing function of environmental education, and the role of local coalitions and alliances. Semi structured interview and focus group responses largely reflected conditions operating at the household level. Family size and composition, the availability of on property labor, as well as the educ ation level and income of household decision makers, are relevant concepts that environmental program implementers should take into account. The effects of gender were not captured in this study, but future applications of the CBSM process should attempt t o understand the role of gender in decision making at the household level. Results of this study reinforced that property attributes and agricultural activity like cattle grazing and Eucalyptus tain costs of forest management. This parallels the impact that the presence of PPAs, and the legality surrounding their preservation, may have on producers in the Cantareira region. Knowledge surrounding ining such information are critical factors of


44 decision services rendered by forest fragments. Atlantic Forest restoration, exist at multiple levels. The community based social marketing Figure 16 : The Socioeconomic Matrix of Decisions in the Cantareira Region (So Paulo, Brazil) Global Context Policy World Trade Organization regulations UN Sustainable Development Goals Environmental/Climate Change policies Markets Global supply/demand including carbon markets Global Trends Social media National Context Policy Forest Code Requirements Government extension services Federal aid (credit) Markets Prices Financial markets Regional/Local Context Policy Local regulations PES schemes Local roads and infrastructure Environmental education Effective rural extension Markets Regional demand for agricultural and forest products Local Dynamics Urban vs Rural relationship Third sector support Coalitions and alliances Household/Community Context Household /Individual Attributes Family size and composition Gender dynamics Education level Skepticism Pride Land Attributes Property and pasture size Agricultural activity Opportunity Costs Presence of PPAs Environmental services Family/Community Strategies Income level and employment Access to resources Access to information On property labor


45 process helped reveal the complexities surrounding the needs of these producer s, suggesting their decision making reflects many values, experiences, and constraints at the individual level. This became even more apparent after analyzing focus group responses, which highlighted many challenges faced by rural producers. The socioecono m ic matrix presented in Figure 16 is not an exhaustive list of conditions that may influence forest management decisions in the Cantareira region. However developing this matrix through a political ecological lens provided a means to capture certain comple xities missed by the research process due to methodological limitations. The CBSM approach presented earlier in this report as a contextual/conceptual framework was revised based on the major findings of this research. Figure 17 illustrates the recommended steps by which IP could achieve its institutional goals through the adoption of CBSM as a form of environmental program creation. If IP were to adopt CBSM as a form of p insights gained from former programs like Semeando gua and Nascentes Verdes Rios Vivos Adopting a political ecology approach to reflect upon these lessons lear ned may assist in the selection of more appropriate methodologies. Figure 17 also incorporates specific suggestions overcoming barriers and capitalizing upon existing benefits. Using mobile survey programs like Magpi would allow IP to gather and analyze data simultaneously, which may evolve into a form of monitoring and evaluation for program development. This should occur in tandem with IP ase its institutional presence by fostering communication and direct contact


46 with rural producers at the community level, an effort that would provide continuous feedback s environmental programs. The varied recommend ations presented above reflect the complexity of the issues facing rural producers in the Cantareira region. Thus, this practicum project also modeled the benefits of interdisciplinary and institutional collaboration, as the research team consisted of prof essionals from a variety of disciplinary backgrounds from both the United States and Brazil. One objective of this experience was to bring IP into a more formal relationship with the omplex socioenvironmental issues, such as drought or wide scale reforestation, require the involvement of ecologists, social scientists, economists, agribusiness, politicians, the community, and countless other stakeholders. The interdisciplinary makeup of the research team that conducted this practicum allowed for the development of a holistic approach to the community based social marketing process, which surely contributed to its effectiveness. Recalling the special survey conducted among research team members from IP, one response in particular described this valuable dynamic, as seen in Figure 18 below. Considering ESCAS graduate school, many opportunities exist for similar collaborative efforts to be repeated in the future. For these interactions to be as meaningful as possible, however, IP should formalize a process to receive TCD graduate students. At the same time, the TCD program at the University of Florida should seek to engage peers at ESCAS at varying levels. This may come in the form of opening meaningful dialogues on certain topics and collaborating on projects, observing the involved legal r equirements. Acredito que esta integrao entre pessoas sempre rica. Sendo de outro pas, isto fica ainda mais visvel j que as realidades de vida so bem diferentes. Para a pesquisa cientfica o ganho tambm importante, trazendo intercmbio de conhecimento, ideias, prticas, referncias bibliogrficas, etc. Com certeza favoreceu o desenvolvimento do projeto este integrao, pois, na minha opinio, quando atores diferentes se renem para trabalhar, podemos alcanar resultados mais interessantes c om as diferentes perspectivas percebidas pelos integrantes Team Member from IP Figure 18 : I believe this integration of people is always rich. Being from another country, this becomes even more visible since their realities of life are very different. F or scientific research, this gain is also important, bringing an exchange of knowledge, ideas, practices, bibliographic references, etc. This integration certainly favored the development of this project, because in my opinion, when different actors come t ogether to work, we can achieve results that are more interesting with different perspectives perceived by those involved.


47 Conclusion This practicum experience began with the question of what barriers may exist for rural Atlantic Forest restoration and the protection of water resources. Considering the fact that the l arge majority of Atlantic Forest fragments and freshwater sources of the Cantareira reservoir system fall within the boundaries of private properties, it is critical to engage rural produce r s in the restoration process. This became widely apparent during t he 2013 2015 drought that severely affected southeastern Brazil. To answer the main research question, the researchers explored the advantages of community decision making. The researchers adopted semi structured interviews and focus groups as means of data collection. Despite certain methodological limitations, the CBSM process proved hold income range served as important categorizing factors with which to analyze various data, and the consideration of both qualitative and quantitative responses provided a deeper understanding of Through further analysis, the researchers identified information flow, low membership in community organizations, skepticism of government a lack of rural extension and a lack of economic incentives as barriers to increased participation in environmental programs. A benefit, their p ride as protectors and producers of water in the Cantareira region, was also identified. This report highlights the importance of overcoming identified barriers through the proper incentives, and capitalizing on existing benefits to yield greater results. For example, the implementation of agroforestry systems may provide producers the means of offsetting opportunity costs, while uniting producers of the Cantareira under a regional certification system capitalizes on thei r pride as producers of both agricultural goods and protectors of environmental scale implementation of any given intervention should prioritize areas that most effect ively contribute to reforestation goals and serve as an opportunity to combat skepticism by setting a successful example. Approaching the CBSM process from a political ecology perspective may better experiences in the Cantareira and other regions like Pontal de Paranapanema, and select optimal data collection and analysis methodologies. Ideally, the adoption of CBSM as a form of environmental program creation will promote direct contact with rural pr oducers at the community level, which would lead to the design of appropriate incentives that meet their needs. The success of this approach may inspire other institutions in various regions of the Atlantic Forest to implement CBSM, resulting in a widespre ad offering of reforestation schemes that reflect the particular realities of rural producers all along the coast of Brazil.


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51 Appendix 1 Semi structured Interview Guide in Original Por tuguese and English Translation of Interview Questions INTRODUO Ol, meu nome ___ (entrevistador) e estou trabalhando num cadastro com o Instituto de Pesquisas Ecolgicas (IP) para aprender mais sobre prticas agrcolas e o meio ambiente aqui na re gio. Eu gostaria de falar com a pessoa que responsvel na casa (ou chefe do domicilio). Estou falando com esta pessoa? No: Pea para falar com ele(a). Se no est disponvel, pergunte para uma hora melhor para voltar. Sim: Prossiga para a prxima seo. PROCEDIMENTOS DA INVESTIGAO Eu gostaria de fazer algumas perguntas sobre sua propriedade. completamente confidencial, e eu no vou registrar a sua identidade, e esses dados no vo ser usados para nenhuma outra finalidade alm dessa pesquisa. O governo no ter qualquer acesso aos dados da sua propriedade. O levantamento vai durar mais ou menos 40 minutos, e suas respostas vo dar uma ajuda para melhorar o desenvolvimento dos programas para apoiar o manejo das florestas e terras aqui na regio. Gostaria de saber somente sua opinio. O senhor(a) tem interesse em participao nesta pesquisa? No: Agradec los e sair. Sim: Agradec los e prossiga para a prxima seo. TERMOS DE CONSENTIMENTO Este projeto inclui metodologias para proteger seu sigilo, e todos os dados sobre sua famlia e propriedade. Ns j escrevemos uma descrio do projeto e essas coisas para sua referncia ( os termos de consentimento ). Este documento tambm tem os nmeros de telefone dos pesquisadores que organizaram a pesquisa. Se voc tiver dvidas, nos avi se durante o levantamento ou depois usando estas informaes de contato. FORMATO DO LEVANTAMENTO Na primeira parte desta pesquisa temos algumas perguntas sobre seu domicilio e a produo agrcola aqui na propriedade. Na ltima parte do questionrio, vamo s te fazer algumas perguntas sobre sua propriedade e as prticas agrcolas usadas por voc.


52 CARACTER STICAS DA TERRA Veja o levantamento em Magpi para as questes sobre as caractersticas da terra. Qual o tamanho da propriedade? Qual poro da propriedade (%) tem declividade de mais de 25 graus? Ou, qual a poro da propriedade onde no pode usar mecanizao? Qual o maior tipo de agricultura aqui? Quais tipos de produo agrcola esto usados na propriedade? Quanto seria a por centagem de cobertura de floresta da propriedade ? Essa propriedade contm: (mata original/mata plantada (no eucalipto) /nascente/riachos/lagos/beira a represa/outra) Se sim e existe mata, por que voc a mantm? (cumprimento da lei/rea no serve para ou tro uso/proteo do solo e da agua/apreciao da beleza/outra) enxada, mouro, madeira, carne da caa) H quanto te mpo tem posse desta propriedade? E h quantos an os o proprietrio mora neste municpio? A SITUAO DE GUA NO CANTAREIRA Recentemente ocorreu uma seca aqui na regio sudeste do Brasil. A falta de chuva afetou as cidades aqui, e tambm afetou alguns produtores rurais. Pergunte ao participante se ele (ela) teve problemas com disponibilidade de gua. Se sim, teve problemas para domiclio ou para a agricultura? O Sistema Produtor de gua Cantareira um dos maiores de abastecimento para consumo humano em todo o mundo, fornecendo gua a milhes de habit antes na Regio Metropolitana de So Paulo e no interior paulista. Por causa disso, a regio Cantareira ( inclua o nome do municpio ) possui recurso s muito importante s para o estado de So Paulo e consequentemente para o Brasil. A gua das nascentes present es neste sistema assim como a gua das chuvas que escorre para as represas destinada ao abastecimento pblico sendo considerada de grande importncia para a economia e a vida paulistana. A forma como as lavouras e pastagens so manejadas pelos propriet rios rurais, bem como a manuteno de florestas nativas, so de grande importncia para o suprimento de gua para as cidades, e por isso importante que os proprietrios rurais sejam recompensados por isso, inclusive recebendo pagamentos do governo ou da s empresas de fornecimento de gua. Por isso estamos fazendo essa pesquisa, para buscar as melhores formas de recompensar os proprietrios rurais por esse servio. Pea o participante se eles j sabiam dessa conexo entre a regio e o abastecimento de gua para a cidade. O participante j ouviu falar sobre o Sistema Cantareira e sua importncia para o abastecimento de gua para a cidade e a regio? O participante acha qu e as prticas agrcolas afetam a qualidade de gua na represa?


53 Quais so as principais fontes que o proprietrio utiliza para se manter informado sobre os eventos atuais? Com o novo Cdigo Florestal de 2012, existem novas regras sobre florestas nas propriedades particulares. Os proprietrios tm que deixar floresta nas reas em morros com declividade alta, no topo dos morros, e nas beiras de rios e nascentes. Eles tambm t m que reflorestar as matas ciliares e o entorno das nascentes, se as reas no tm florestas. Essas reas, chamada reas de preservao permanente (APPs), so considerada s de grande importncia para o desenvolvimento sustentvel, manter animais, plantas e demais elementos do meio ambiente que dele dependem para sobreviver, incluindo se a o prprio homem. Tambm foram feitas mudanas n as reas de Reserva Legal, que so reas de conservao alm das APPs. As propriedades com at 4 Mdulos Fiscais agora no tem que reflorestar essas reas, mas tm que manter as florestas que existiam antes de 2008. Alm disso, os proprietrios tm que registrar as propriedades deles no Cadastro Ambiental Rural um sistema de registro do governo federal para documentar as mar gens de propriedades e os proprietrios delas para todo o Brasil. Faa as perguntas sobre o Cdigo Florestal: J est registrado n o CAR? Tem uma Reserva Legal? As APPs t m floresta? Uma outra coisa que est ocorrendo aqui na regio especulao mobiliaria, para condomnios e chcaras. O proprietrio j sofre presso para vender sua propriedade para ... O proprietrio acha que isso comum neste bairro? DADOS SOCIOECONMICOS Nesta parte do levantamento, vamos te perguntar sobre caractersticas do domiclio, e fatores sociais. Faa as questes sobre caractersticas socioeconmicas. Perguntas Demogrficas Qual o sexo do participante? Quantos anos o participante tem? O participante fez quantos anos de educao? Quantas pessoas moram nesta propriedade? Quantas delas so crianas ou aposentadas? Perguntas Financiais Qual a renda familiar mensal aqui na propriedade, no contexto do salrio mnimo? Qual a renda no agrco la no domiclio? Quantas pessoas trabalham na propriedade? Quantas so parte da famlia? Quantos so mo de obra? Perguntas sobre Acesso ao Credito


54 O participante fez investimentos novos na fazenda nos ltimos cinco anos? Cresceu nos ltimos cinco anos o tamanho de atividades agrcolas na propriedade? O participante acessou credito nos ltimos cinco anos? Qual foi a fonte? Perguntas sobre Fatores Sociais O participante scio de quais associaes na regio? O participante j participou num curso ou ativi dade do IP? ENCERRAMENTO Essas foram todas minhas perguntas para voc. Muito obrigado pela ajuda, suas respostas so muito importantes para nossa pesquisa. Translation of Interview Questions in English : 1 Property and pasture sizes (hectares) 2 What percentage of the property has a slope of more than 25 degrees? Or on how much of the property can machinery not be used? 3 What is the main type of agriculture here? 4 What forms of agriculture are practiced here on the property? 5 What is the percen tage of forest cover on the property? 6 Does this property contain: original forest/planted forest/springs/streams/lakes/or reservoir border? 7 Why do you maintain forest? 8 Do you use the forest or water on your property/ 9 How long have you owned this p roperty? 10 How long have you lived in the municipality? 11 Have you experienced water problems on your property? 12 Are you aware of the importance of the Cantareira system? 13 Do you feel that agricultural practices can affect the quality of water in the system? 14 What are your main sources of information about the environment? 15 Is the property CAR registered? 16 Does the property have a legal reserve? 17 Are the PPAs on the property forested and fenced? 18 Have you suffered pressure to sell your prope rty?


5 5 19 Is this pressure common in your neighborhood? 20 Gender of the participant 21 Age of the participant 22 Years of education 23 How many people live on the property? 24 How many of them are children or retired? 25 What is the income of the family in terms of minimum wages earned? 26 How many people work on the property? How many are family, permanent workers, or temporarily hired? 27 Have you made new investments on the property within the past five years? 28 Have the agricultural activities on the pr operty increased in the past five years? 29 Have you accessed credit in the past five years? What was the source? 30 Are you a member of any community organization in the region? 31 Have you participated in any course or activity offered by IP?


56 Appendix 2 Focus Group Discussion Guide in Original Portuguese Ttulo da pesquisa: A identificao de percepes sobre seca e reflorestamento no Brasil Agradea a participao de todos Introduo: A proposta deste bate papo entender melhor as necessidades e dificuldades dos produtores rurais da regio. Ns trabalhamos para o IP, que uma organizao no governamental localizada em Nazar Paulista, voltada para a preservao ambiental. O nosso maior desafio atualmente conhecer melhor o nosso pblico alvo ( que so os produtores rurais) a fim de auxili los na preservao do meio ambiente sem prejudicar a sua produo. A forma de pesquisa que estamos seguindo hoje se chama grupo focal, que mais ou menos uma conversa guiada por um(a) moderador(a). Vou fazer algumas perguntas abertas para o grupo, e todos vocs podem responder da forma que acharem adequada. No existem respostas corretas ou erradas. Vocs podem ver que estamos gravando essa conversa para poder analisar depois, mas os seus nomes no sero divu lgados alm das pessoas afiliadas com essa pesquisa. Entregue os Termos de Consentimento Eu gostaria de entregar os Termos de Consentimento para todos vocs. Esse termo um documento que explica de uma maneira mais detalhada as condies e direitos que vocs tm como participantes da pesquisa. Por exemplo, vocs tm direito ao sigilo do nome e direito a desistir de participar a qualquer momento. boa experincia para todo mundo. Como esta conversa ser gravada, ns pedimos para que apenas uma pessoa fale por vez, levantando a mo quando quiser fazer algum comentri o. Ningum precisa concordar com a opinio dos demais participantes, mas todos precisamos manter a cordialidade e o respeito s opinies diferentes da nossa. Para evitar alguma interferncia no meio da discusso, pedimos que coloquem o celular no modo vib ratrio e, caso necessrio atender alguma ligao, que mantenha a discrio e retorne para o debate o mais rpido possvel. Meu papel como moderador(a) guiar a conversa e os tpicos deste bate papo. Como temos apenas uma hora para esta discusso, ser m eu papel interferir quando um nico tpico se estender mais do que o tempo programado.


57 Por ltimo, mas no menos importante, o bate papo ser entre vocs. No precisam responder as perguntas diretamente a mim, mas ao grupo, para que todos possam participa r. Pergunte se algum dos participantes tem alguma dvida Comeo : Todos se apresentem dizendo o nome, o tipo/tipos de cultivo que fazem na terra, e o que os levou a se tornarem produtores rurais. Como vocs imaginam que ser a paisagem em ( nome da cidade ) daqui a dez anos? Vocs acreditam que vai mudar? Como? E daqui a 25 anos? Ainda nesse contexto, o que vocs acham sobre o futuro da gua na regio? Vocs acreditam que exista relao entre a seca e a ao humana? Qual essa relao? Qual o papel do produtor rural na preveno da seca? Que outros elementos/pessoas so necessrios para que a preveno da seca seja eficaz? Como vocs avaliam os planos de reflorestamento determinados por lei? Vocs utilizam ou conhecem algum qu e utiliza uma parte da propriedade para a plantao de Eucalipto ? Quais so as vantagens e as desvantagens desse tipo de plantio? Acreditam que a escolha de um determinado tipo de plantio pode gerar impactos ambientais? Quais? O que o governo municipa l pode fazer para melhorar a vida dos produtores rurais? Nessa pergunta, vocs podem sugerir tanto aes da prefeitura (poder executivo municipal) quanto leis locais aprovadas na Cmara dos Vereadores (poder legislativo municipal).


58 Que meios/veculos de comunicao vocs consideram teis e eficazes para obter informaes sobre meio ambiente? (Alm do Globo rural) Qual a importncia da educao ambiental na preservao do meio ambiente? Vocs consideram que os problemas ambientais que vivemos atualmente foram agravados pela falta de conhecimento? Vocs acreditam que os jovens de ( nome da cidade ) tenham acesso educao ambiental? O que poderia ser feito para ampli la? Para concluir, algum teria um conselho ou dica para dar aos jovens de ( nome da cidade ) em relao proteo do meio ambiente?


59 Appendix 3 Questions of Special Survey to Team Members of IP in Original Portuguese Essa enquete ser realizada de maneira confidencial, de modo que todas as respostas devero evitar qualquer elemento que identifique o participante. 1. Na sua avaliao, em que sentido esta pesquisa contribuiu s atividades do IP na regio do Sistema Canta reira? Se possvel, cite exemplos. 2. Na sua opinio, esta pesquisa contribuiu para o seu desenvolvimento profissional? Em caso positivo, explique em poucas palavras de que maneira este trabalho foi benfico para voc. 3. Voc acredita que esse projeto tenha trazido algum benefcio aos produtores rurais no curto prazo? E no longo prazo? Explique brevemente a sua resposta. 4. Esta pesquisa reuniu participantes de diferentes instituies e, mais que isso, de diferentes pases. Como voc avalia as diferenas culturais no mbito da pesquisa cientifica? Voc pensa que isso favoreceu ou dificultou o desenvolvimento do projeto? Por qu?