Native Forest Tree Conservation in Tropical Agroforests: Case Study of Cacao Farms in the Atlantic Forest of Southern Bahia, Brazil

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COLUMBIA UNIVERSITY

2012

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ABSTRACT

Native forest tree conservation in tropical agroforests: Case study of cacao farms in the Atlantic Forest of southern Bahia, Brazil

Meghan M. McGinty

Agroforests are model systems for ecological conservation in tropical agricultural

landscapes because they integrate biodiversity conservation and rural livelihoods.

Whether agroforests are long-term solutions for conserving biodiversity in agricultural landscapes may depend sapling regeneration of native forest trees in agroforests. In this dissertation, I ask two main questions: are native forest trees regenerating in agroforests and if so, what are the ecological and social drivers? I tested the influence of potential seed sources from both the landscape and parent trees found in the agroforest. I also examined how a set of social factors affected native forest tree regeneration. The social drivers I tested include tree management and use, land tenure and state-restricted rights to harvest native timber. I found that a number of native pioneer species are regenerating at relatively high frequencies and abundances. I also found that many secondary native forest tree species are also regenerating although their sapling are found less frequently and at lower abundances. Most primary forest tree species present as adults are not regenerating and lacked sapling in the agroforests. The influence of the ecological factors was limited. The main drivers of native forest tree regeneration on farms are the understorey management and the rural extension services that assisted farms obtain state-restricted rights.

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TABLE OF CONTENTS

List of tables and figures…………………………………………………………ii

Acknowledgements……………………………………………………….………iv

Dedication……………………………………………………………….….…….v

Introduction……………………………………………………………………….1

Chapter 1: Tree management and the diversity of native forest trees in tropical shaded perennial crop agroforestry systems: A review ……………………………………4

Chapter 2: #$%&'(!)*+(,%!%+((!-*.,(+'$%&*.!&.!%+*/&-$0!$1+&-40%4+(2!!%8(!-$,(!*)!-$-$*!

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Conclusion………………………………………………………………………………….135

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LIST OF TABLES AND FIGURES

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CHAPTER TWO

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CHAPTER THREE

Table 1: Internationally and Brazilian federally listed and legally protected native forest trees species found in the cocoa agroforests of the Atlantic coastal forest of southern Bahia, Brazil.

Table 2: Summary of analysis of environmental policies that affect native forest tree management in cocoa agroforests in the Atlantic coastal forest of southern Bahia, Brazil in June 2011

Table 5: Parameter estimates for regression model predicting the species richness of native forest tree saplings (n=56 participants nested in n=20 farms, R2= 0.12, RMSE=0.42, p=0.17)

Figure 1: Regression model predicting the species richness of native forest tree saplings (n=56 participants nested in n=20 farms, R2= 0.12, RMSE=0.42, p=0.17) with three categorical variables: contact with law enforcement, prohibited to harvest native timber and legal rights to harvest native timber.

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ACKNOWLEDGEMENTS

I want to acknowledge all the collaborators that made this project possible. In particular I would like to thank Dr. Wayt Thomas, Dr. Christine Padoch, Dr. Maria Uriarte and Dr. Regina R.H.

Sambuichi. I would also like to acknowledge the Department of Ecology, Evolution and

Environmental Biology and the Institute for Latin American Studies at Columbia University in

New York City in addition to the Instituto Cabruca, Floresta Viva and the State University of

Santa Cruz (UESC) in southern Bahia, Brazil for their institutional support.

I also want to acknowledge my mother Patricia J. McGinty for her unfailing support and my aunt Kelly Burnett for her encouragement me to become a biologist.

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DEDICATION

I dedicate this PhD dissertation to all the farmers who took the time to open themselves up to share their experiences, opinions, concerns, stories, families and farms with me. I also dedicate this PhD dissertation to the native forest trees of southern Bahia, Brazil for all of their magnanimous beauty.

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! ! ! DE!

CHAPTER TWO

! ! IWIYJ2!#$%&'(!)*+(,%!%+((!-*.,(+'$%&*.!&.!%+*/&-$0!$1+&-40%4+(2!!%8(!-$,(!*)!-$-$*!$1+*)*+(,%! ,6,%(7,!&.!%8(!9%0$.%&-!-*$,%$0!+$&.)*+(,%!*)!,*4%8(+.!;$8&$(18$.!>?!>-@&.%6!"w

1 Department of Ecology, Evolution and Environmental Biology, 1200 Amsterdam Ave, 10th Floor Schermerhorn Extension, Columbia University, New York NY 10027 * Corresponding author !

! ! ! DO!

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&7/*+%$.%!)*+(,%!-*'(+!G(%V((.!+(7.$.%!/+&7$+6!)*+(,%!)+$17(.%,!Pi*8.,!"aaaR?!

91+&-40%4+$0!0$.5!4,(,!,4-8!$,!9:M!%8$%!$00*V!)*+!%8(!/(+,&,%(.-(!$.5!.$%4+$0!+(1(.(+$%&*.!

*)!7$%4+(!)*+(,%!,/(-&(,!$+(!-+&%&-$0!%*!%8(!-*.,(+'$%&*.!*)!%8+($%(.(5!.$%&'(!)*+(,%!%+((,!&.!

%8&,!0$.5,-$/(!PK*0&7!$.5!38&$+(00*!ASSDR?!

W.!%8&,!,%456

%8(!+(0$%&'(!&7/*+%$.-(!*)!%8(!5&,%+&G4%&*.!$.5!$G4.5$.-(!*)!-*.[,/(-&)&-!$540%!%+((,!$%!%8(!

)$+7!,-$0(

$-%&'&%&(,!&.!5(%(+7&.&.1!%8(!5&'(+,&%6!$.5!$G4.5$.-(!*)!.$%&'(!)*+(,%!%+((!,/(-&(,?!We hypothesized:

(1) Higher levels of landscape scale native forest tree cover will positively influence sapling species richness and abundance of most common regenerating native forest tree species.

! ! ! ZA!

(2) The abundance of con-specific adults at the farm (stand) will positively influence

sapling abundance of regenerating native forest tree species.

(3) Tree management activities in these farms will have the most significant influence on

species richness and abundance for the most common regenerating native forest tree species

relative to the ecological variables.!

51%0,-$!

@$62&+.*$(+

2 o o The coastal forest in southern Bahia covers about 14,000 km located between 14 18' and 15 20'

S latitude and 39o and 39o36' W longitude in northeast Brazil. The regions’ elevation ranges from

50 m to 1000 m above sea level mostly on latosol and podzol soils (Sá et al. 1982). It extends inland between 100 and 200 km along the entire coastline, gradually transitioning from a dense sub-montane ombrophilous forest and then to a semi-deciduous moist forest due to gradually diminishing rainfall as well as changes in the soils and the topography creating many eco-tones and high endemism (Martini et al. 2007; Thomas et al. 2008). The average monthly temperature is 24°C, with a relative humidity often above 80%, and an average annual rainfall from 1800 mm to 2200 mm (Sá et al. 1982). The landscape is a mosaic of pasture, forest and dominated by

agricultural land with agroforests (Saatchi et al. 2001). The cocoa agroforests occupy the most

fertile soils (Martini et al. 2007).

@*$(+.("(<$*-)>++

9!%*%$0!*)!A"!)$+7,!V(+(!,(0(-%(5!V&%8!%8(!1*$0!*)!-$/%4+&.1!%8(!(-*0*1&-$0!5&'(+,&%6!*)!%8(!

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1+*V&.1!+(1&*.!)+*7!($,%!%*!V(,%!$.5!.*+%8!%*!,*4%8

! ! ! ZB!

+(1&*.?!The farms were located in one of 15 municipalities in the southern part of the state of

Bahia: from Mascote in the south, Itubera to the north, Ipiau to the west and Ilheus and Itacare to the east and all the municipalities in between. :*+!($-8!)$+7

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! &1$.8%$!

! Representation of farms in the region: We sampled 21 farms, both estate farms (n=17) and agrarian reform settlements that have divided the land among many farming families (n=4)

(Table 1). Estate farms are farms owned by landowners who do not conduct labor on the farm and often do not live on the farm full-time. Sharecroppers or employees carried out manual labor on estate farms. Sharecroppers farmed nine (9) of the 17 estate farms and employees farmed the other eight (8) estate farms. Farm size ranged widely from 20 ha to 5000 ha. A multi-national corporation owned the 5000 ha farm (with sharecroppers); the next largest farm was an agrarian reform settlement with 913 ha. Excluding the outlier and the two farms that did not report size, average farm size (n=18) was 361 ha. These farms are representative of the size of farms in the cocoa-growing region of southern Bahia, Brazil because 80% of all properties in the region are large-scale (>50 ha) PW;@J!ASSaR?

! ! ! ZE!

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DBc!*)!%8(!%*%$0!.47G(+!*)!%+((,!,$7/0(5?!!!900!%8(,(!+(1(.(+$%&.1!.$%&'(!)*+(,%!%+((!,/(-&(,!

! ! ! ZO!

V(+(!(&%8(+!)$,%[1+*V&.1!/&*.((+,!%8$%!N4&-T06!%$T(!$5'$.%$1(!*)!-$.*/6!1$/,!*+!,(-*.5$+6!

*+!/+&7$+6!)*+(,%!,/(-&(,!%8$%!/+*54-(!$G4.5$.%!V&.5[5&,/(+,(5!,((5,?!

+I8(!+$.1(!&.!$G4.5$.-(,!*)!$00!&.5&'&54$0,!7($,4+(5!*.!$00!)$+7,!)*+!%8(!

+(1(.(+$%&.1!.$%&'(!)*+(,%!%+((!,/(-&(,!*--4++&.1!*.!t!E!)$+7,!V$,!)+*7!B"!PJ#<#1#)2#+

467(1"#+Cham.R!%*!BDZ!PK#6%*)*#+,6.<-)(1:*.+(Bong) Steud.R!&.5&'&54$0,!P%=>?@!/R?!I8(!

,/(-&(,!%8$%!V(+(!7*,%!$G4.5$.%!&.!%8(!$540%!,&=(!-0$,,!$-+*,,!$00!)$+7,!V(+(!Senna multijuga (L. C. Rich.) H. S. Irwin!$.5!E(21("#+

-2-1#$#!Y?!P%=>?@!/R?!I8(!5(.,&%6!*)!%8(,(!+(1(.(+$%&.1!,/(-&(,!5&))(+(5!1+($%06!G(%V((.!

,&%(,!+$.1&.1!)+*7!$!7$\&747!*)!DS!$540%!&.5?`8$!)*+!L"<%-1)(#+*1*<61#)#!Casar.!%*!D!

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+(1(.(+$%&.1!.$%&'(!)*+(,%!%+((!,/(-&(,!*--4++&.1!*.!t!E!)$+7,!V$,!"E!&.5?`8$!!

I8(!,/(-&(,!V(!)*4.5!*.!$%!0($,%!E!)$+7,!8$5!5&))(+(.%!,&=(!-0$,,!5&,%+&G4%&*.,!

P%=>?@!/R?!!M/(-&)&-$006

PI$G0(!AR?!I8+((!/&*.((+!,/(-&(,!PCestrum laevigatum, Cecropia spp. and Alchornea iricurana) $.5!$.!($+06!,(-*.5$+6!,/(-&(,!Bauhinia fusconervis also showed high stem densities. The other .$%&'(!)*+(,%!%+((!,/(-&(,!V8*,(!,$/0&.1,!V(+(!)*4.5!&.!$%!0($,%!E!*)!%8(!

,$7/0(5!)$+7,!8$5!0*V(+!,$/0&.1!,%(7!5(.,&%&(,!$.5!&.-045(5!Trema micrantha (L.) Blume,

Schizolobium parahyba (Vell.) Blake, Senna multijuga, Jacaranda puberula, Cedrela odorata,

Plathymenia foliosa), all pioneer and secondary forest species. However, the average sapling abundance of the early and late secondary regenerating native forest tree species (Schizolobium parahyba, Jacaranda puberula, Cedrela odorata, Plathymenia foliosa ) was a single individual/ha. +

! ! ! Zb!

1. HYPOTHESIS 1: Higher levels of landscape scale native forest tree cover will positively influence sapling species richness and abundance of most common regenerating native forest tree species.

I8(!)$+7,!,$7/0(5!P.QA"R!V(+(!7*,%06!,4++*4.5(5!G6!.$%&'(!)*+(,%!%+((!-*'(+!P&.-045&.1!

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V&%8!$!7($.!*)!ac?!!#(&%8(+!*)!%8(,(!'$+&$G0(,!,&1.&)&-$.%06!&.)04(.-(5!.$%&'(!)*+(,%!%+((!

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.$%&'(!)*+(,%!%+((!-*'(+!]DAc!P%=>?@!7R?!

2. HYPOTHESIS 2: The abundance of con-specific adults at the farm (stand) will positively influence sapling abundance of regenerating native forest tree species. g(!(\$7&.(5!%8(!+(0$%&*.,8&/!G(%V((.!,$/0&.1!5(.,&%6!$.5!-*.[,/(-&)&-!$540%,!5(.,&%6?!!I8(!

.47G(+!*)!-*.[,/(-&)&-!$540%,!)*4.5!&.!%8(!,$7(!8(-%$+(!$,!%8(!,$/0&.1,!8$5!$!,&1.&)&-$.%!

/*,&%&'(!())(-%!*.!,$/0&.1!$G4.5$.-(!*)!%V*!*)!%8(!+(1(.(+$%&.1!.$%&'(!)*+(,%!%+((!,/(-&(,!

)*4.5!*.!$%!0($,%!E!)$+7,2!,(-*.5$+6!)*+(,%!,/(-&(,!Senna multijuga and Jacaranda puberula!

P%=>?@!:).

7) HYPOTHESIS 3: Tree management activities in these farms will have the most significant influence on species richness and abundance for the most common regenerating native forest tree species relative to the ecological variables.!

! ! ! Za!

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Practices!! Total Adult Sapling Total Total No. of LV.(+[! #LIJ2!W)!)$+7(+,!5*!#LI!4,(! NFT NFT NFT NFT NFT farmers M&=(! ID ,8&/!*)! Y$G*+! 8(+G&-&5(F! H$+'(,%!)&+(V**5?! M(0(-%&'(06!-0($+!*.-(!$!6($+?! 125.50 110.75 62.00 201 17.81 U 3 MI>! #K! MIY! H$+'(,%!)&+(V**5?! M(0(-%&'(06!-0($+!*.-(!$!6($+?! 120.23 78.61 73.57 264 13.73 B 3 FKWX! ZAS! MH3! H$+'(,%!)&+(V**5!$.5!%&7G(+?! F0$.%!.$%&'(!%+((,! M(0(-%&'(06!-0($+!*.-(!$!6($+?! 107.54 103.07 27.10 92 19.39 C 2 MI>! a"B! MIYK! H$+'(,%!%&7G(+?! M(0(-%&'(06!-0($+!V&%8!8(+G&-&5(! 92.14 108.50 15.50 112 28.31 N 2 FKWX! AEb! J>F! %V&-(!$!6($+?! M(0(-%&'(06!-0($+!B!%&7(,!$!6($+?! 89.08 98.50 48.00 110 12.28 E 2 FKWX! #K! J>F! F0$.%!.$%&'(!%+((,?! ZF! *.-(!$!6($+?!!H$+'(,%!)&+(V**5?! F0$.%!.$%&'(!%+((,?! M(0(-%&'(06!-0($+!%V&-(!$!6($+?! 80.15 147.16 29.68 174 17.74 D 2 MI>! EAZ! MIY! H$+'(,%!%&7G(+?! 30($+!-*7/0(%(06!V&%8!8(+G&-&5(! 75.72 78.55 11.50 83 11.13 J 2 FKWX! EaS! J>F! B!%&7(,!$!6($+?! M(0(-%&'(06!-0($+!*.-(!$!6($+?! 74.34 47.16 59.50 108 23.96 G 4 MI>! ZDS! MIY! H$+'(,%!)&+(V**5?!

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M(0(-%&'(!-0($+!V&%8!8(+G&-&5(! 71.80 72.57 11.00 115 18.72 A 4 FKWX! bSS! MH3! %V&-(!$!6($+?!!H$+'(,%!%&7G(+?! F0$.%!.$%&'(!%+((,?! M(0(-%&'(06!-0($+!%V&-(!$!6($+?! 66.40 66.10 8.25 79 14.64 L 2 FKWX! AZ! J>F! H$+'(,%!)&+(V**5?!F0$.%!.$%&'(! %+((?! M(0(-%&'(06!-0($+!*.-(!$!6($+?! 66.16 66.16 na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Species Family Relative No. No. Total Total Mean Guild Seed Use regeneration farms farms no. no. of sapling disper- (# farms with with where adults saplings stem saplings/# adults saplings density on sal farms with present present farms adults) where present (ind./ha) Cestrum Solanaceae pioneer birds insect repellant laevigatum 3.00 4 12 20 154 13 Trema Ulmaceae pioneer birds firewood micrantha 1.00 15 15 73 90 6 Cecropia spp. Cecropiaceae pioneer birds, none 1.00 16 16 81 167 10 bats Alchornea Euphorbiaceae pioneer birds carpentry iricurana 0.60 10 6 78 157 26 Rutaceae early Zanthoxylum 0.75 4 3 16 3 1 sp. 1 secondary Senna Caesalpinniaceae early wind firewood multijuga 0.62 13 8 124 22 3 secondary Aegiphila Verbenaceae early bird boxes, tools sellowiana 0.42 12 5 77 45 9 secondary Mimosoideaceae early wind carpentry Albizia 0.40 10 4 56 24 6 polycephala secondary Papilionoideaceae early Lonchocarpus 0.40 10 4 34 21 5 cultratus secondary Anacardiaceae early fauna tools Tapirira 0.33 9 3 46 10 3 guianensis secondary Bauhinia Caesalpinnianceae early gravity none fusconervis 1.50 10 15 74 271 18 secondary

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Schizolobium Caesalpinniaceae early wind boxes, cages parahyba 0.60 10 6 30 8 1 secondary Jacaranda Bignoniaceae late wind construction puberula 1.67 6 10 11 20 2 secondary Plathymenia Mimosoideaceae late gravity construction, furniture foliosa 0.75 12 9 121 23 3 secondary Bignoniaceae late wind construction Sparattosperma 0.67 3 2 14 4 2 leucanthum secondary Papilionoideaceae late gravity construction Centrolobium 0.57 7 4 43 38 10 robustum secondary Phytoloccaceae late wind construction, medicine Gallesia 0.56 9 5 20 15 3 integrifolia secondary Cedrela Meliaceae late wind construction odorata 0.33 18 6 57 20 3 secondary Annonaceae late fauna, tools, edible 0.22 9 2 23 7 4 Rollinia spp. secondary birds Lauraceae late birds construction, furniture 0.17 12 2 36 5 3 Nectandra sp. 1 secondary Euphorbiaceae late Aparisthmium 0.08 13 1 46 2 2 cordatum secondary Lecythidaceae mature wind construction Cariniana 0.33 9 3 19 5 2 legalis Lecythidaceae mature fauna, construction, edible 0.27 11 3 20 5 2 Lecythis pisonis bats Papilionoideaceae mature wind construction Pterocarpus 0.18 11 2 24 3 2 rhorii Elaeocarpaceae mature birds construction Sloanea 0.13 8 1 14 2 2 obtusifolia &

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CHAPTER THREE TITLE Potential for increased conservation policy effectiveness: native forest tree habitat in cocoa farms in southern Bahia, Brazil

AUTHOR Meghan M. McGinty Department of Ecology, Evolution and Environmental Biology, 1200 Amsterdam Ave, 10th Floor Schermerhorn Extension, Columbia University, New York NY 10027

ABSTRACT Governments have become increasingly involved in natural resource management, particularly through environmental policies that dictate the conservation of species and natural habitat. This research project explores the potential effects of environmental policies on how farmers manage native forest trees on cocoa farms in the tropical Atlantic coastal forest of southern Bahia, Brazil. An analysis of the policies affecting native forest tree conservation on farms in the region indicate they fail to address non-conventional land uses like cocoa agroforests that are both agriculturally productive and important habitat for threatened species. The results indicate that rural extension services are crucial to both farmers’ understanding of the complicated policies but also to law compliance.

Farmers that received education and assistance from rural extension agents were more likely to manage native forest trees in their cocoa agroforests. Specifically, those farmers that received assistance with the bureaucratic processes of law compliance conserved a greater species diversity of regenerating native forest trees. Environmental policies that are not complemented with rural education and assistance with law compliance are not likely to protect threatened habitat and species.

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INTRODUCTION Privately owned land is the site of the most difficult disputes over natural resources in the tropics (Brannstrom 2005; Schmitt et al. 2009; Yee and Ralisch 2007). In the cocoa- growing region of the Atlantic coastal forest of southern Bahia, Brazil this is particularly the case because privately owned land represents all of the threatened habitat types and

80% of the land area (Araújo et al. 2004; Schiavetti et al. 2010). High quality timber hardwoods are the region’s most symbolic trees and the most at risk. Dozens of tree species are in danger of extinction, and some 430 native plant species are associated with the valued timber species, ranking the Atlantic coastal forest of southern Bahia in the worldwide top most threatened and biological diverse habitats (Martini et al. 2007; Myers et al. 2000; Santos et al. 2007; Thomas et al. 2008). The quantity and quality of habitat for native forest tree species have been steadily dwindling because the region’s fertile soils have been ideal for growing cocoa (Theobroma cacao Sterculiaceae) (Johns 1999;

Lopes et al. 2009; Ministerio de Meio Ambiente 2002). The remaining Atlantic coastal forest only occupies 5% to 10% of its original extent (Saatchi et al. 2001).

Conservation practices on private land have become progressively more noteworthy (Cocklin et al. 2007; Fischer et al. 2010; Lehrera and Becker 2010).

However, we have limited understanding of how different environmental policies and institutional strategies are implemented, not to mention their success (Gotmarka et al.

2009; Newton et al. 2009). The degree to which people understand the policy and have experienced its consequences will determine the effectiveness of any policy effort

(Fischer and Bliss 2007). Landowners are likely to behave dependent on the knowledge they have about what is legally allowed and whether there are consequences for breaking

! ! ! ! ! JK! the law (Fischer and Bliss 2007; Marcussen and Speirs 1998). In this research project, I investigate punitive conservation policies in relation to the species richness of native forest tree saplings in agroforests to understand their potential for forest conservation in tropical agricultural landscapes.

Tropical agroforests with perennial crops, common in tropical agricultural landscapes, are often maintained by tree management practices that remove native forest trees and suppresses their re-growth in favor of non-native crops (McNeely and Schroth

2006; Schroth et al. 2004; Whitmore 1997). Many agroforestry practices have detrimental effects on native forest trees, including a decrease of landscape forest cover (Zomer et al.

2009), low stand-level species diversity (Johns 1999; Sambuichi 2002), and soil erosion

(Montagnini et al. 1995). Presently an average cocoa agroforest in southern Bahia may only have 85 native forest tree species greater then 10 cm diameter at breast height

(DBH) in a single hectare but the majority have <40 species (Sambuichi 2006) McGinty and Sambuichi unpublished data), compared to the natural forests which may contain over 300 species of native forest trees of the same size (Martini et al. 2007; Murray-

Smith et al. 2008; Thomas et al. 2008). This number may continue to decline if the regeneration of native forest tree species is suppressed through agroforestry management practices (Johns 1999). This region and the cocoa agroforests provide an ideal opportunity to examine the conservation of national and international policies that protect threatened and endangered native forest tree species and prohibit the suppression of the regeneration of legally protected trees. To provide context for the research, I briefly summarize the history of conservation policy in Bahia, Brazil.

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Background on conservation policy in southern Bahia, Brazil

Two main sets of policies directly affect how landowners of forested land are legally allowed to manage native forest trees of the Atlantic coastal forest of southern

Bahia, Brazil: 1) Lists of protected tree species including international lists (the

International Union for Conservation of Nature (IUCN) Red List and the Convention on

International Trade of Endangered Species (CITES) and the Brazilian federal list (Lista

Oficial de Especies da Flora Brasileira Ameacadas de Extincao, LOEFBAE) and 2)

Brazilian federal environmental policies including the Forest Code of 1965 (O Codigo

Florestal) and the New Atlantic Forest Law of 2006 (Nova Lei da Mata Atlantica, Federal

Law Number 11.428, passed on December 22, 2006.)

The IUCN Red List and the CITES list are internationally protected species protected by the United Nations (UN) governing body while the LOEFBAE is a list of

Brazilian flora protected by the Brazilian federal government. Species can be added, removed or re-categorized over time based on their vulnerability. I complied a list of native forest tree species from the Atlantic coastal forest of southern Bahia, Brazil that may be found naturally regenerating in cocoa agroforests of southern Bahia, Brazil by cross-referencing the three lists and the New York Botanical Garden (NYBG) herbarium

(Table 1.) For example Dalbergia nigra (Vell.) Allemao ex Benth. (listed as category I in the CITES list), Cariniana legalis (Mart.) Kuntze and Cedrela odorata L. (listed as category III on the CITES list) are all listed legally protected species historically found in cocoa agroforests in southern Bahia, Brazil (Johns 1999).

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Brazil has a long history of environmental policies that influence how landowners may legally manage native forest trees on their land in the Atlantic coastal forest of southern Bahia, Brazil. The Forest Code of 1965 requires that all landowners in Brazil have a documented and government registered legal reserve (Reserva Legal, RL) of forest occupying > 20% of the property and forested areas of permanent protection

(Areas de Protecao Permanente, APPs) covering all steep slopes and water sources, no exceptions. The New Atlantic Forest Law of 2006 builds on the Forest Code by additionally regulating the management of native forest trees outside of the RL and APPs.

Unfortunately and most importantly to this study, the policy fails to address agricultural land uses that maintain native forest trees and are habitat for the regeneration of legally protected tree species. On one hand the law states it does not apply to agricultural land but on the other hand the law clearly prohibits the suppression of the regeneration of protected species, many of which are found in cocoa agroforests in southern Bahia. The policy is very difficult to interpret in relation to such unconventional land uses. However, non-compliance with these environmental policies is punished with fines over US$ 1,000. An analysis of the environmental policies and the lists of protected species that apply to cocoa farms in the Atlantic coastal forest of southern Bahia, Brazil is summarized in Table 2.

This set of policies primarily employs control by law (legal instruments) and does not incorporate any of the complementary conservation policy tools proposed by Wynne

(1998). The government has employed very little educational outreach, limited economic instruments and scant persuasion through advocacy as strategies to inform the public or make the policy more effective. With such a difficult to interpret set of environmental

! ! ! ! ! JJ! policies, the extent to which these policies may be effective at conservation may depend on people’s understanding of the law and whether they have experience with law enforcement (Marcussen and Speirs 1998).

I assess the impacts of environmental policies, including the listed species and the

New Atlantic Forest Law, which may have affected native forest trees in cocoa agroforests in this region. To do this, I compare the species richness of native forest tree saplings, collected through forest surveys, on farms where farmers have different understandings of the policy and different experiences with law enforcement. Unlike other research projects, I did not investigate management intensity (McGinty and

Sambuichi unpublished data), food security (Johns and Sthapit 2004), attitudes (Fischer and Bliss 2007), economic costs (Naidoo et al. 2006), or biodiversity (Paillet et al. 2010).

I focus this research on saplings of native forest trees because they represent the potential for longevity of native forest canopy in an agricultural landscape, such as the Atlantic coastal forest in southern Bahia, and the long-term conservation value of agroforest land uses like cocoa agroforests (Guariguata et al. 1995; Johns 1999; Rolim and Chiarello

2004).

Specifically, I investigate two question and test associated hypotheses:

(1) To what degrees do cocoa farmers understand the law? What aspects of the law are misunderstood? The hypothesis is that farmers’ understanding of the law and enforcement experiences will be correlated.

(2) To what degree has the policy led to enforcement events with farmers? The hypothesis is that farmers who understand the law and have had law enforcement

! ! ! ! ! ?FF!

experiences will manage higher species richness of native forest tree saplings in the

sampled cocoa agroforests.

METHODS

Study site

I selected the cocoa-growing region of the Atlantic coastal forests in southern Bahia,

Brazil as a study area because it is an internationally recognized priority conservation

spot for Atlantic coastal native forest trees (Myers et al. 2000). Additionally, it is a region

with a particularly high level of biodiversity and a agricultural system that includes

protected native forest tree species (Martini et al. 2007; Murray-Smith et al. 2008;

Sambuichi and Vidal 2008; Thomas et al. 2008) The cocoa-growing region of southern

Bahia is also an exemplar context to research to an increasingly important topic in

conservation policy: weak governance of strict punitive environmental laws.

2 The coastal forest in southern Bahia covers about 14,000 km . It extends inland

between 100 and 200 km along the entire coastline, gradually changing its natural

characteristics as it moves inland. The regions’ elevation ranges from 50 m to 1000 m above sea level mostly on latosol and podzol soils. It is a legally protected moist transition zone between the tropical coastal restinga forests on sandy soils to the east and the dry tropical caatinga to the west (Centro dos Recursos Ambientais 2001). From the east heading west inland, it gradually transitions from a dense sub-montane ombrophilous forest and then to a semi-deciduous moist forest due to gradually diminishing rainfall as well as changes in the soils and the topography creating many eco-tones and high endemism (Martini et al. 2007; Thomas et al. 2008). The landscape is a mosaic of pasture,

! ! ! ! ! ?F?! forest and dominated by agricultural land with agroforests (Saatchi et al. 2001). The cocoa agroforests occupy the most fertile soils (Martini et al. 2007). A few hundred years ago, a large diversity of hardwoods of extremely high quality timber including Dalbergia nigra (Vell.) Allemao ex Benth. Cariniana legalis (Mart.) Kuntze and Cedrela odorata

L. were commonly found in the cocoa agroforests but humans quickly over-exploited their timber resources (Johns 1999). Presently most cocoa agroforests lack any signs of these historically harvested hardwood species (Johns 1999; Sambuichi and Vidal 2008).

The entire study area is designated as the Central Corridor of Atlantic Forest (Corredor

Central da Mata Atlantica (CCMA)) established by the Bahia state (CONAMA

Resolution 240_1998)(Ministério do Meio Ambiente 1999).

Sample selection

In collaboration with a team of researchers twenty cocoa farms were sampled to capture the ecological diversity of the region. The sampled cocoa farms are dispersed throughout the region. A 1-hectare plot was sampled in 4 sub-plots dispersed within each farm to capture the effects of elevation gradients on tree communities. Between 2 to 5 people were selected and interviewed for each farm. In cases where one person worked on the farm but another one owned the land, both the owner and worker were interviewed. In the cases of family farmers living on agrarian reform settlements, the farmer for each sampled plot was interviewed. Farm supervisors were also interviewed on farms with sharecroppers. Two sets of data were gathered: 1) individual interviews and 2) tree surveys at the farm level.

! ! ! ! ! ?FE!

Interviews

I interviewed a total of 56 farmers using semi-structured individual interviews. In the interviews I explored the farmers’ knowledge about the law and experiences with law enforcement. Interviews with research participants ranged from 1-5 hours each, after hiking into the cocoa agroforest, allowing us to converse about the tree species while viewing their habitat. Understanding of the law was determined by asking questions about three aspects of the law: (1) Whether farmers believed they had legal rights to harvest native timber, (2) Whether the law has different regulation for different species and (3) Whether the law has different regulation for different tree products.

Understanding of the enforcement consequences of non-compliance were examined by asking whether farmers had (1) Experienced any contact with law enforcement agents

(informational contact or enforcement), (2) Received punishment for breaking the law,

(3) Been prohibited from harvesting native timber.

Tree sapling data

Tree data was collected in 1 ha on 20 farms in 2010. All native forest tree saplings

! 1.5 meters tall and " 10 cm DBH were measured for its diameter at breast height

(DBH) and identified. Most tree individuals were identified in the field and a sample was collected and identified in the UESC herbarium and/or by local experts.

The species richness of saplings represents both the suitability of habitat for multiple species to regenerate and the tree management practices of the farmers (Okuda et al. 1997; Pinedo-Vasquez et al. 2001). In tropical forests with very high levels of biodiversity like the Atlantic coastal forest of southern Bahia, Brazil, it is common for

! ! ! ! ! ?FI! botanists of under-studied habitats to be restricted to identifying trees to the genus or even family level of the nomenclature hierarchy when reproductive structures are unavailable (Martini et al. 2007). Therefore I use species richness based on some morpho-species, identified to families or genera, in an attempt to capture the potential habitat for the naturally regenerating native forest trees.

The species richness was calculated for native forest trees greater than 1.5 meters tall but less than 10 cm DBH considered the sapling size class. Most species are rare and many species in our plots presented only a single individual. For these reasons, we used

EstimateS software to calculate Chao’s 1 estimate of diversity based on the abundance data in addition to the low density of rare species, which increased the estimate of species richness (Chao et al. 2009; Gotelli and Colwell 2001). The maximum, minimum and mean values for species richness across all sampled farms were calculated. For hypothesis testing, the logarithm was estimated of species richness values to normalize the distribution of the values.

Data analysis

I answered my two questions by analyzing the farmers’ responses from the interviews. The proportion of farmers who accurately understood the various aspects of the law was calculated. Aspects of the law that were understood by a small proportion of farmers were determined. Additionally, the proportion of farmers who had informational and punitive experiences with law enforcement was also calculated. These proportions were compared to determine if the majority of farmers understand the law and have had law enforcement experiences.

! ! ! ! ! ?FL!

Hypothesis testing can be summarized in two main analyses: (1) Chi-square test

(aka Likelihood ratio, when comparing two dichotomous categorical variables) to determine if any of aspects of the farmers’ understanding of the law or experience with law enforcement are correlated with each other and (2) Mixed regression model of 56 farmers nested in 20 farms testing the significance of the influence of categorical interview responses on the continuous numerical logarithm of species richness of tree saplings, to determine the influence of farmers’ understanding of the law and experience with law enforcement on the species richness of native forest tree saplings.

RESULTS

Representation of farms in the region

I sampled 20 farms, both estate farms (n=16) and agrarian reform settlements that have divided the land among many farming families (n=4). Estate farms are farms owned by individuals who do not conduct labor on the farm and often do not live on the farm full- time. Sharecroppers or employees carry out manual labor on estate farms. Sharecroppers farmed eight (8) of the 16 estate farms and employees farmed the other eight estate farms.

Farm size ranged widely from 20 ha to 5,000 ha. A multi-national corporation owned the

5,000 ha farm (with sharecroppers); the next largest farm was 913 ha. Excluding the outlier and the two farms that did not report size, average farm size (n=17) was 361 ha.

These farms are representative of the size of farms in the cocoa-growing region of southern Bahia, Brazil because 80% of all properties in the region are large-scale (>50 ha) (Brazilian Institute of Geography and Statistics, IBGE.) The sample captured a wide

! ! ! ! ! ?FG! range of species richness values for saplings ranging from 0 to 73.6/ha, with a mean of

24.0/ha and a standard deviation of 21.7/ha.

Understanding of the law and experiences

The majority of research participants do not understand the conservation policy (Table

3). Five participants accurately stated they both had rights to harvest native timber and knew that the farm had the required Reserva Legal (RL). The other nine (16%) participants stating they had rights either did not know if the farm had an RL or stated that it did not. The 74% of participants that responded they did not have rights to harvest native timber either were aware that they failed to comply with the legal RL requirement or were not allowed permission by their supervisors or the landowner. Two farmers claimed they did not know if they had rights to harvest native timber. A quarter of the participants said they did not know if there are different laws for different forest tree products. However, the majority of participants (63%) answered affirmative and knew that timber harvest is prohibited, not the harvest of other non-timber forest tree products.

The least understood aspect of the law was how different conservation policies apply to different native forest tree species. Most farmers, in error, cited that all native trees are equally protected, and 5 stated they did not know whether there are different laws for different tree species. The few that accurately understood that were able to identify that

“noble” high-quality timber species have more strict policies on use but that “white” or poor quality wood species, mostly pioneer species, can be cut.

Regarding contact with policy enforcement agents, the majority of participants that had contact with law enforcement agents were either informational visits or

! ! ! ! ! ?FK! landowners who had sought out the enforcement agents for information, permits or complaints. The three participants that had received punishment were reported to the authorities by their neighbors and fined for illegal clearing of the forest. The participants that had been prohibited at some point to harvest native timber included the three that received punishment and the others were employees and sharecroppers whose bosses had prohibited the practice.

The result of the first hypothesis test is that understanding the conservation policy does have a correlation to experiences with law enforcement. Participants that understand there are different policies for different native forest tree species are significantly more likely to also understand there are different laws for different forest tree products and have had contact with a law enforcement agent (Table 4). Also, having contact with law enforcement is significantly correlated to having received punishment for harvesting native timber. This is a more obvious result since to receive punishment there has to be some contact with law enforcement. Interestingly, having legal rights to harvest timber and having been prohibited to harvest native timber do not correlate to any of the other aspects of understanding or experiences with the law.

Impacts of understanding of the law on native tree sapling species richness

The results of the second, and last, hypothesis test is that understanding of legal rights to harvest native timber and contact with law enforcement had the largest effects on the sapling species richness of native forest trees in cocoa agroforests. To select variables for the standard least squares regression model, I first tested the significance of each individual variable on the species richness of native forest tree saplings with

! ! ! ! ! ?F>!

ANOVA analyses. Based on the results of the ANOVA tests and the Chi-square tests

from the previous hypothesis, I selected the variables that were most likely to

significantly influence species richness and least likely to be correlated with other

predictor variables in the model. The most robust regression model included three

categorical variables: contact with law enforcement, prohibition to harvest native timber

and having rights to harvest native timber (n=56 participants nested in n=20 farms, R2=

0.12, RMSE=0.42, p=0.17; Table 5; Figure 1). Of the three different predictor variables in the model, contact with law enforcement had the most significant influence of native forest tree sapling species richness (Table 5).

DISCUSSION

The results show that two outreach activities show great potential to increase the long- term viability of native forest tree canopies in cocoa agroforests in southern Bahia. These are 1) holding informational workshops and rural extension education outreach activities, and 2) providing landowners with legal rights to harvest native timber. This is consistent with previous research that demonstrates the importance of complementary implementation strategies for conservation policies to influence sustainable land use management (Fischer and Bliss 2007; Gotmarka et al. 2009).

High-quality native timber species are viewed as vanishing heritage from forest and farmlands of a long time ago by most of the participants. Historically over-exploited native forest trees from the region that are now legally protected are so rare that they have taken on a noble, nostalgic and increased value to farmers. Luxury, tropical hardwood native forest tree species may fall into the rarity paradox where rare species have higher

! ! ! ! ! ?FM!

(market) value than common species are often caught in a fatal loop of (black market) exploitation. The participants of this research project acknowledge that their ability to recognize the seedlings of these highly valued native forest tree species is very limited.

Therefore they feel constrained in their ability to know whether such species are naturally regenerating in their agroforests, let alone allow such species to mature into canopy trees.

There is a chance, however, that this is an easy excuse used by participants to fail to identify their cocoa agroforests as potential habitat for legally protected species. This possibility makes unenforced, punitive, conservation policies potentially ineffective if they provide perverse incentives to destroy habitat of protected native forest tree species in agricultural areas.

Perverse incentives to destroy protected species habitat, especially in agriculturally productive areas are tragic flaws in endangered species conservation policies (Lueck and Michael 2003; Polasky et al. 1997; Wade et al. 2010). By putting species preservation before landowner rights and interests at whatever the cost, punitive policies may exacerbate conflict between people and conservation goals with deleterious consequences (Lindquist 2003; Stroup 1995). These type of policies can actually provide perverse incentives for a landowner to reduce the conservation value of their property

(Polasky et al. 1997). This is may be a result of environmental laws that do not capture the local contexts of agricultural practices and institutional capacity. The New Atlantic

Forest Law policy fails to address the cocoa agroforest land use realities of the southern

Bahia, Brazil priority conservation region. This is an example of how poor regulation and weak governance limits the ability of scientific research to inform policy (Ashley et al.

2006; Blundell and Gullison 2003). In particular, this research project highlights how

! ! ! ! ! ?FJ! confusion can surround policies that fail to address local land-use realities and are not explained efficiently to landowners.

Even though the vast majority of participants sampled had no contact with law enforcement agents and did not understand that legally protected native forest trees have different policies than other native trees, the results suggest there is potential for information and education about conservation policies to increase their effectiveness.

Farmers that attend lectures, workshops or seek out information may manage a higher species richness of native forest tree saplings in their cocoa agroforests. There is enormous potential for alternative policy tools described by Wynne (1998) such as motivation through understanding and persuasion through advocacy. Although these strategies appear to have great potential at increasing conservation policy effectiveness, the government does not appear to have the capacity to conduct such complementary policy practices. Informing and educating participants about the nuances of complex conservation policies may be better employed by non-government agencies. In particular, in southern Bahia, it has been suggested that private organizations can play an essential role in forest conservation on private land (Schiavetti et al. 2010). In addition to education extension, obtaining and understanding legal rights to harvest native timber also shows potential to conserve native forest trees in cocoa agroforests in southern

Bahia.

This research project provides evidence that those farmers who have legal rights to harvest native timber may be incentivized to manage a higher species richness of native forest tree saplings on their farms. By providing legal rights to harvest native timber to those landowners who comply with all the conservation policies, the

! ! ! ! ! ??F! government is providing and an economic incentive. Economic instruments are another one of the alternative conservation policy tools proposed by Wynne (1998). Obtaining and understanding legal rights to harvest native timber however, is not an easy task.

These rights may specifically be restricted by the state, but often the politics of inconsistent laws and enforcement are also important (Nygren 2004). In tropical forest regions, there is often a conflict between the law and its practical implementation as well as local interpretations or understandings of rights to native tree resources. Biodiversity conservation policies in landscape mosaics composed of tropical rainforest remnants and agricultural patches may be most effective if they emphasize the development of institutional capacity to offer tangible incentives for the management of in-farm biodiversities.

Without alternative conservation policy tools, landowners are likely to remain confused about how they are legally allowed to manage native forest trees and perversely incentivized to suppress the natural regeneration of legally protected native forest tree species in their agroforests. Additionally, continued erosion of native forest tree species diversity is likely in southern Bahia, like other historically agriculturally productive forests (Dawson et al. 2007; Lawrence 2004). Conservation of protected tree species in tropical agroforests like cocoa agroforests and their habitats in forests like the Atlantic coastal forest of southern Bahia also has significant impact on engendered fauna

(Acharya 2006; Faria et al. 2007; Raboy et al. 2004; Rice and Greenberg 2000). The importance of educational rural extension and clearly communicated rights to native forest tree timber resources will arguably increase as strict punitive conservation laws

! ! ! ! ! ???! continue to pass in regions where agricultural practices suppress the growth of legally protected native forest tree species.

CONCLUSIONS

Results from this research lead to two conclusions about conservation policy and two conclusions about the impacts on the long-term conservation of native forest species private land. Conservation policies that fail to recognize and address agricultural land uses that provide habitat for legally protected species will not only be extremely difficult to understand for landowners but will also present logistical challenging to implement and enforce for governments. Also, literal interpretation of such tragically flawed conservation policies would mean farmers would be legally obliged to abandon agriculturally productive areas that are habitat for protected species to allow the forest to regenerate without compensation from the government. However, the conservation policies are unlikely to have such an impact. The influence of conservation policy on the natural regeneration of legally protected species will greatly be enhanced if rural extension agents could educate landowners about the nuances of the policy and assist them with law compliance so they can take advantage of the economic incentives buried in the law. The incentive to legally harvest native species for on-farm use has the potential to be an excellent policy tool but must be complemented by effective monitoring in addition to being very cautiously utilized in regions of weak governance and insufficient law enforcement.

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! ! ! ! ! ??J!

APPENDIX

Table 1: Internationally and Brazilian federally listed and legally protected native forest trees species found in the cocoa agroforests of the Atlantic coastal forest of southern Bahia, Brazil.

Specific Family Genus epithet Author List Annex/Category Arecaceae Euterpe edulis Mart. LOEFBAE I (Vell.) Allemao ex Fabaceae Dalbergia nigra Benth. LOEFBAE I CITES I Fabaceae Melanoxylon brauna Schott. LOEFBAE I (Martius) Lecythidaceae Cariniana legalis Kuntze IUCN Vulnerable Meliaceae Cedrela odorata L. LOEFBAE II IUCN red list Vulnerable CITES III Morpho-species from the below genera found in this study. Species were not found in current study but cited by other published source as potential species found in the Atlantic coastal forest of southern Bahia, Brazil Annonaceae Guatteria reflexa R.E. Fr. LOEFBAE II Bignoniaceae Tabebuia obtusifolia (Cham) Bureau LOEFBAE II Combretaceae Terminalia kuhlmannii Alwan & Stace LOEFBAE II IUCN red list Vulnerable Kuhlm. & Fabaceae Macherium obovatum Hoehne LOEFBAE I Fabaceae Swartzia glazioviana (Taub.) Glaz LOEFBAE I Killip ex Fabaceae Swartzia pickeli Ducke LOEFBAE I Lauraceae Nectandra micranthera Rohwer LOEFBAE II IUCN red list Vulnerable Lauraceae Ocotea cryptocarpa Baitello LOEFBAE II IUCN red list Vulnerable (Vellozo) Lauraceae Ocotea odorifera Rohwer LOEFBAE I Lecythidaceae Cariniana ianeirensis R. Knuth LOEFBAE I IUCN red list Endangered Lecythidaceae Cariniana parvifolia S.A. Mori et al. LOEFBAE I

! ! ! ! ?EF!

Lecythidaceae Eschweilera alvimii S.A. Mori LOEFBAE II IUCN red list Vulnerable W. R. Malpighiaceae Byrsonima alvimii Anderson LOEFBAE II Meliaceae Cedrela lilloi C.DC. LOEFBAE II IUCN red list Endangered Moraceae Brosimum glaucum Taub. LOEFBAE I Moraceae Brosimum glaziovii Taub. LOEFBAE II G.M. Barroso Myrtaceae Myrcia folii & Peixoto LOEFBAE I G.M. Barroso Myrtaceae Myrcia gilsoniana & Peixoto LOEFBAE I G.M. Barroso Myrtaceae Myrcia isaiana & Peixoto LOEFBAE I M.R.V.Barbosa Rubiaceae Simira gardneriana & Peixoto LOEFBAE II (Linden ex Koch) Benth. Sapotaceae Chrysophyllum imperiale & Hook. LOEFBAE II psammophila var. Sapotaceae Pouteria xestophylla (Miq.) Baehni LOEFBAE I

! ! ?E?!

Table 2: Summary of analysis of environmental policies that affect native forest tree management in cocoa agroforests in the Atlantic coastal forest of southern Bahia, Brazil in June 2011 Landowners of farms with native forest trees in cocoa agroforests in southern Bahia, Brazil: 1) Must have a forested legal reserve (RL) and forested areas of permanent protection (APPs), no exceptions. ! The size of RL and APP is negotiable for traditional communities, family farmers and landowners of small-scale (< 50ha) farms. 2) Cannot, with no exceptions, cut or suppress the growth of any legally protected tree species. ! Includes all species on IUCN red list, CITES and LOEFBAE lists 3) Can collect leaves, seeds, bark and fruits as long as maintaining trees’ function for local native fauna 4) Cannot cut or suppress native, naturally occurring trees with the following exceptions: ! Non-commercial, non-transported, on-farm use of - Firewood at 15 m2/year/family unit, preferably pioneer species - Timber at 20m2/3 years/family units with maintenance of enough tree individuals to provide function for native local fauna 5) May apply, if provide abundant detailed information including species name, location of harvest and sale, quantities of products, management plans etc, for a permit from government authorities to (reiteration: must have RL, APPs and respect the listed legally protected species): ! Clear forests, cut trees and transport and commercialize products

! ! ! ! ! ?EE!

Table 3: Summary of percentage of farmers (n=56) with affirmative responses in interviews to different aspects of understanding laws that determine native forest tree management and experiences law enforcement on cocoa farms in southern Bahia, Brazil 2010 Has legal Understands Understands Has had Has Has been rights to there are there are contact with received prohibited harvest different different law punishment from native laws for laws for enforcement for timber harvesting timber different different agents harvest timber species products Percent farmers with affirma- 26% 16% 63% 36% 5% 27% tive response (yes)

! ! ! ! ! ?EI!

Table 4: Summary of p-values of the Chi-square testing for correlation among the different aspects of understanding of the law and experience with law enforcement for cocoa farmers (n=56) in southern Bahia, Brazil 2010. Chi-square Has legal Under-stands Under-stands Has had Has received tests, n=56 rights to there are there are contact with punishment harvest native different laws different laws law enforce- for timber timber for different for different ment agents harvest species products Understands there are different laws 0.26 for different species (d.f.=2) Understands there are different laws 0.35 0.00 for different products (d.f.=2) Has had contact with law 0.32 0.02 0.10 enforcement agents (d.f.=1) Has received punishment for timber 0.71 0.81 0.41 0.07 harvest (d.f.=1) Has been prohibited for harvesting 0.17 0.24 0.24 0.13 0.71 timber (d.f.=1)

! ! ! ! ! ?EL!

Table 5: Parameter estimates for regression model predicting the species richness of native forest tree saplings (n=56 participants nested in n=20 farms, R2= 0.12, RMSE=0.42, p=0.17) Term Estimate Standard Error t- ratio P-value Intercept 1.37 0.12 11.20 0.00 Prohibited to harvest 0.05 0.07 0.82 0.42 timber [yes] Rights to harvest 0.17 0.21 0.82 0.42 timber [doesn’t know] Rights to harvest 0.15 0.12 1.28 0.21 timber [yes] Contact with law 0.14 0.06 2.21 0.03 enforcement [yes]

! ! ! ! ! ?EG!

1.5

richness Actual 0.5 Log Sapling species Sapling Log

0.75 1 1.25 1.5 Log Sapling species richness Predicted P=0.167 RSq=0.12 RMSE=0.4206

! ! ! ! ! ?EK!

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