Targeting watershed protection in the Guapiaçu-Macacu region of the Atlantic Forest, Brazil: An environmental and economic assessment of the potential for a payment for ecosystem services scheme

Kölne Sch i en zu Ingenieu - und Na u wissenscha lichen Fo schung Band 1/2015 Ta ge ing wa e shed p o ec ion in he Guapiaçu-Macacu egion o he A lan ic Fo es , B azil: An en i onmen al and economic assessmen o he po en ial o a paymen o ecosys em se ices scheme Vanesa Rod íguez Osuna Kölne Sch i en zu Ingenieu - und Na u wissenscha lichen Fo schung Band 1/2015 Ta ge ing wa e shed p o ec ion in he Guapiaçu-Macacu egion o he A lan ic Fo es , B azil: An en i onmen al and economic assessmen o he po en ial o a paymen o ecosys em se ices scheme Inaugu al-Disse a ion zu E langung des Dok o g ades de Na u wissenscha en in Koope a ion mi de Uni e si ä Leipzig o geleg on Vanesa Rod íguez Osuna im Jah 2015 Be eu du ch: P o . D . Ha mu Gaese Ins i u ü Technologie und Ressou cenmanagemen in den T open und Sub open Technische Hochschule Köln P o . D . Jü gen Hein ich Fakul ä ü Physik und Geowissenscha en Uni e si ä Leipzig P o . D . Jan Bö ne Zen um ü En wicklungs o schung Uni e si ä Bonn This esea ch was unded by In e na ional Pos g adua e S udies in Wa e Technologies (IPSWaT) schola ship p og amme (2010-2013), an ini ia i e o he Ge man Fede al Minis y o Educa ion and Resea ch (BMBF) Acknowledgemen s Acknowledgemen s This disse a ion was accomplished be ween 2010–2014 wi h he suppo o a PhD schola ship om he Ge man Minis y o Educa ion and Science (BMBF), o which I am e y g a e ul (specially M s. Pa isius), ia he IPSWaT p og amme. In addi ion, his esea ch was pe o med wi hin he scope o he DINARIO (Clima e Change, Landscape dynamics, Land use and Na u al Resou ces in he A lan ic Fo es o Rio de Janei o) p ojec . I ha e he deepes g a i ude o P o . D . Ha mu Gaese o his in aluable cons an mo al, scien i ic, and ins i u ional suppo h oughou he whole disse a ion p ocess. I especially wan o hank D . Rachel Ba dy P ado (my co-supe iso o Emb apa Soils in B azil) o he scien i ic suppo , aluable guidance and con ibu ions h oughou he en i e disse a ion p ocess. P o . D . Bö ne was also highly in ol ed in he mos impo an s ages o his esea ch and I am e y g a e ul o all o his e y aluable con ibu ions and expe ise. I am also e y hank ul o P o . D . Hein ich who p o ided accompanimen and suppo du ing my disse a ion e o . I am e y g a e ul o he suppo o he Ge man pa ne s o he DINARIO p ojec , especially Udo, Juan Ca los, Die ma , Jens, San iago, Annika, and Da a. My wo k in B azil would no ha e been possible wi hou he suppo o DINARIO´s B azilian pa ne , Emb apa Soils, he e o e I am especially hank ul o hei MP2 Team, pa icula ly Rachel, Rica do T ippia, and Joyce Mon ei o. I am also ex emely hank ul o Lenilson Biaza i ( om he Ru al Wo ke s Union) o his ex ao dina y engagemen and echnical suppo du ing ield campaigns. In addi ion, I g ea ly app ecia e he echnical suppo om Nicholas Locke (REGUA Associa ion Di ec o ), Thab a Ma os de Ma a om he Ci y Council o Cachoei as de Macacu, Jocemi Da Sil a (Chie echnical ex ension o ice o EMATER in Cachoei as de Macacu), Deme al Pe ei a de Sousa (P esiden o ALAF), Eng. Veiga and o he echnical s a om he s a e wa e u ili y company (CEDAE—Imunana La anjal) and pa icula ly o all o he a me s who en iched his s udy wi h hei aluable ime and coope a ion. I since ely app ecia e he ins i u ional suppo om ITT, especially om La s Ribbe, who enabled me o p esen some o my esea ch esul s a se e al in e na ional con e ences. I am also e y hank ul o he In e na ional O ice o he Cologne Uni e si y o Applied Sciences o g an ing me a schola ship o pa icipa e in addi ional in e na ional con e ences. Acknowledgemen s Du ing he i s phase o my disse a ion, I was wo king in he company ‘sequa gGmbH’ and I am uly hank ul o my colleagues he e o he mo al suppo du ing his phase. I uly app ecia e he suppo o my men o D a. Balcáza , who suppo ed my e o s o cope wi h he in e phases o PhD and wo k wi hin he amewo k o he MINTTalen e P og amme a he Cologne Uni e si y o Applied Sciences and he Associa ion o Ge man Enginee s (VDI). This was a one yea ins i u ionalised, ex e nal, equal gende , one- o-one men o ing p og amme wi h he objec i e o suppo ing young women om MINT a eas (Ma hema ics, In o ma ics, Na u al Sciences and Technical A eas) o de eloping leade ship skills and acili a ing he ansi ion om academic s udy o he wo k o ce. Thank you o my colleagues a he Cen e o De elopmen Resea ch (ZEF) in Bonn, especially hose om he p ojec “Shaping en i onmen al policies o sus ainable opical o es bioeconomies” o you mo al and scien i ic suppo , especially du ing he las phase o his disse a ion. I am e y g a e ul o many o hei lo e and suppo , especially S e an and my ma es Gaby, Ma kus, Till, Juliana, Ve o, Zuu a, Wi ag, Tekalegn, Islam, Siggy, and Meghan. All o his academic and ins i u ional suppo could only ha e been achie ed due o he cons an lo e and suppo om my amily in Boli ia (especially my mum and dad, And ea and Manuel Alejand o), whom I deeply lo e and owe all my dedica ion o his p ocess. I dedica e his disse a ion o he memo y o my Mamá Guichi, my g andmo he , who le his ea h on Sep embe 2013 o join my g and a he , Papá Es eban, bo h o whom I mos admi e and know hey would be p oud o see me accomplishing his impo an s ep in my li e, which kep me long away om home. Howe e , hey always ga e me all he inspi a ion, lo e and suppo I needed o make his possible. Con en s i Con en s Acknowledgemen s ............................................................................................................ i Con en s .............................................................................................................................. i Tables ................................................................................................................................ iii Figu es ............................................................................................................................... i Ac onyms .......................................................................................................................... i Abs ac ............................................................................................................................ ii Resumo .............................................................................................................................. ix Resumen ............................................................................................................................ xi Zusammen assung ......................................................................................................... xiii 1. In oduc ion .................................................................................................................. 1 Backg ound and mo i a ion o he s udy ................................................................ 1 1.1. Resea ch ques ions, objec i es, and hypo hesis .................................................... 3 1.2. Thesis o ganisa ion ................................................................................................. 8 1.3. 2. Backg ound and Concep ual F amewo k .................................................................. 9 Ecosys em se ices: impo ance o human well-being and a concep ha links 2.1. economic and ecological sys ems ................................................................................. 10 Wa e shed se ices: classi ica ion ........................................................................ 14 2.2. Sus ainable ecosys em se ices managemen ..................................................... 15 2.3. 2.3.1 Paymen o ecosys em se ices as a mechanism o sa egua ding sus ainable ecosys em managemen ......................................................................... 18 2.3.2 Economic alua ion o ecosys em se ices ................................................... 22 2.3.3 Examples o he economic alua ion o wa e shed se ices and ac i i ies mos a ec ed by hei deg ada ion............................................................................. 26 The supply o wa e shed se ices: a ming sys ems and hei oppo uni y cos s . 32 2.4. The demand o wa e shed se ices ..................................................................... 36 2.5. Rele an legisla ion, policy ools, and land-use based op ions o he managemen 2.6. o wa e shed se ices in B azil ...................................................................................... 43 Concep ual amewo k .......................................................................................... 47 2.7. Con en s ii 3. Me hods ....................................................................................................................... 50 S udy a ea............................................................................................................. 50 3.1. Wa e shed se ice supply assessmen me hods .................................................. 58 3.2. 3.2.1 Fa ming sys em and oppo uni y cos analyses ............................................. 58 3.2.2 En i onmen al condi ions ha in luence he p o ision o wa e shed se ices: ulne abili y o wa e esou ces ................................................................................. 62 3.2.3 Iden i ica ion o p io i y a eas o imp o ing wa e shed se ice p o ision ...... 63 Me hods o he assessmen o he po en ial demand o wa e shed se ices ..... 64 3.3. 4. Resul s and Discussion ............................................................................................. 65 Wa e shed se ice supply assessmen : a ming sys em analysis ........................ 65 4.1. Wa e shed se ice supply assessmen : cos -bene i and oppo uni y cos s 4.2. analyses ......................................................................................................................... 76 4.2.1 Pe cei ed land-use and wa e quali y changes in he Ba a al, Caboclo, and Manuel Alexand e s udy si es .................................................................................... 82 4.2.2 Pe cep ions ega ding wa e quali y and quan i y in he Ba a al, Caboclo, and Manuel Alexand e s udy si es .................................................................................... 86 The Manuel Alexand e Ri e wa e shed as a e e ence si e ................................ 89 4.3. Vulne abili y o wa e esou ces in he Guapiaçu-Macacu wa e shed .................. 90 4.4. Analysis o en i onmen al and economic c i e ia o wa e shed se ice 4.5. conse a ion and imp o emen in he Guapiaçu-Macacu wa e shed ............................ 93 Demand o wa e shed se ices in he Guapiaçu-Macacu wa e shed: wa e 4.6. ea men ........................................................................................................................ 96 Ma ching supply and demand o wa e shed se ices: is demand g ea enough o 4.7. jus i y a ‘paymen o wa e shed se ices’ scheme in he Guapiaçu-Macacu wa e shed?.. ................................................................................................................ 104 5. Conclusions and Ou look ........................................................................................ 108 6. Re e ences ................................................................................................................ 113 APPENDICES ...................................................................................................................... 1 Appendix I. Summa y o PWS p og ammes in he A lan ic Fo es , B azil ........................... 1 Appendix II. Ini ial semi-s uc u ed su ey ......................................................................... 14 Appendix III. Ag icul u al calenda , mean yields, and a m p ices a he s udy si es ......... 22  Tables iii Tables Table 1.1: Speci ic objec i es, esea ch ques ions, and da a analysis me hods ................ 5 Table 2.1: Classi ica ion o wa e shed se ices ................................................................ 14 Table 2.2: Mone a y alua ion me hods o ecosys em se ices ...................................... 24 Table 2.3: Examples o he economic alue o wa e shed se ices .................................. 28 Table 2.4: Me opoli an a eas in he USA ha ha e a oided he cos s o wa e il a ion plan cons uc ion h ough wa e shed p o ec ion ............................................. 30 Table 2.5: Examples o economic ac i i ies mos a ec ed by he loss o wa e shed se ices ............................................................................................................ 31 Table 2.6: Selec ed PWS ela ed schemes wo ldwide ...................................................... 39 Table 2.7: Managemen p ac ices and coo dina ion equi emen s o ecosys em se ices ela ed o wa e shed p o ec ion ........................................................................ 45 Table 2.8: Sus ainable land managemen p ac ices ha enhance wa e shed se ices .... 46 Table 4.1: Gene al household cha ac e is ics in he Ba a al and Caboclo s udy si es ...... 68 Table 4.2: Household c op p oduc ion cha ac e is ics a he Ba a al and Caboclo s udy si es .................................................................................................................. 72 Table 4.3. Fe ilise applica ion a es o each o he ypical c ops in he Rio de Janei o s udy a ea ........................................................................................................ 73 Table 4.4: Key cha ac e is ics o he s udy a ea a ming sys ems in he s a e o Rio de Janei o, B azil .................................................................................................. 74 Table 4.5: Summa y o es ima ed annual p o i s o a ming sys ems in he s udy a ea .... 77 Table 4.6: Wa e u ili y in ake cha ac e is ics in he lowe Guapiaçu-Macacu wa e shed . 97 Table 4.7: Wa e ea men cos s and cha ac e is ics a he La anjal T ea men Uni (CEDAE), Rio de Janei o, B azil ...................................................................... 99 Table 4.8: A oided cos s based on u bidi y le els and annual chemical ea men cos s a he La anjal T ea men Uni (CEDAE), 1998–2011 ........................................ 100 Table 4.9: Tu bidi y measu emen s om ele en si es in he Guapiaçu-Macacu wa e shed ....................................................................................................................... 102 Table 4.10: Main physical and chemical a iables measu ed a he ele en sampling si es in he Guapiaçu-Macacu wa e shed ............................................................... 103 Figu es i  Figu es Figu e 1.1: Resea ch amewo k showing he sequence o speci ic objec i es and esea ch ques ions in pu sui o he o e all esea ch goal ............................. 7 Figu e 2.1: Ecosys em se ice ca ego ies and hei linkages wi h human well-being .... 13 Figu e 2.2: To al economic alue o ecosys em se ices ............................................... 23 Figu e 2.3: Bo om-up app oach o he assessmen o ecosys em se ices ................. 33 Figu e 3.1: The Guapiaçu-Macacu wa e shed wi hin he s a e o Rio de Janei o .......... 50 Figu e 3.2: Land use in he Guapiaçu-Macacu wa e shed ..................................................................................................................... 53 Figu e 3.3: Ele a ion and soil classes in he Guapiaçu-Macacu wa e shed ................... 54 Figu e 3.4: Cha ac e is ic landscape ea u es o he h ee Guapiaçu-Macacu sub- wa e sheds: Manuel Alexand e (le ), Ba a al (uppe igh ), and Caboclo (lowe igh ) .................................................................................................. 56 Figu e 3.5: Fa ming sys em analysis s eps .................................................................... 58 Figu e 3.6: P epa a o y wo k o he household su ey e o ha included p esen a ions o local p oduce s on he esea ch sampling goal and s a egies wi h scien is s om Emb apa Soils ...................................................................... 59 Figu e 3.7: Weigh ed s a e and p essu e indica o s based on consul a ion wi h hyd ological expe s o he assessmen o he ulne abili y o wa e esou ces in he Guapiaçu-Macau wa e shed .............................................. 63 Figu e 4.1: C op p oduc ion a eas isi ed du ing he ield su ey .................................. 66 Figu e 4.2: Banana p oduc ion a he Ba a al s udy si e ................................................. 70 Figu e 4.3: Typical landscapes a he Caboclo s udy si e .............................................. 72 Figu e 4.4: Spa ial oppo uni y cos s in BRL pe hec a e o he ‘ag icul u e’ (c op p oduc ion) and ‘pas u e’ land uses wi hin each o he Guapiaçu-Macacu sub-wa e sheds. The whi e a eas co espond o land uses o he han c op o li es ock p oduc ion ...................................................................................... 79 Figu e 4.5: Repo ed pe cep ions on changes in wa e quali y and quan i y in he Ba a al (N=29 esponses) and Caboclo (N=24 esponses) s udy si es .................... 87 Figu e 4.6: Typical ipa ian landscape in he Manuel Alexande Ri e wa e shed ......... 89 Figu e 4.7: Wa e esou ce ulne abili y among he sub-wa e sheds o he Guapiaçu- Macacu wa e shed ....................................................................................... 91 Figu es  Figu e 4.8: P io i isa ion o he sub-wa e sheds o he Guapiaçu-Macacu wa e shed o imp o ing o main aining wa e shed se ices .............................................. 94 Figu e 4.9: The Imunana channel is he main sou ce o he public wa e supply in he Guapiaçu-Macacu wa e shed ....................................................................... 97 Figu e 4.10: Dis ibu ion o sampling si es in he Guapiaçu‐Macacu wa e shed (Co ego Aleg e/UTM Zone 23S) .............................................................................. 101  Resumen xii Con base en los cos os de a amien o, la disposición a paga de la compañía es a al de aguas po los se icios ambien ales hid ológicos se á insu icien e pa a compensa a los p oduc o es u ales po enuncia a sus ac i idades ag ícolas pa a mejo a la p o isión adicional de se icios ambien ales híd icos. Los esul ados sugie en que los cos os de los cambios en la cobe u a del suelo a una escala eque ida pa a mejo a la calidad de agua p obablemen e excede án el cos o de in e siones adicionales en el a amien o de agua pa a el suminis o público. Incen i os mone a ios condicionados a ajus es especí icos de los sis emas de p oducción pod ían ene un papel complemen a io en la mejo a de los se icios ambien ales híd icos. Sin emba go, el análisis de la disposición a paga solo se concen ó en cos os de a amien o con p oduc os químicos y sólo en un se icio ambien al, de una amplia gama de se icios ambien ales p o is os po la ege ación na u al en la cuenca de Guapiaçu-Macacu (i.e. man enimien o de la calidad del agua pa a el suminis o de agua po able). O os se icios ambien ales p o is os po la cobe u a o es al incluyen el secues o y almacenamien o de ca bono, mode a el impac o de e en os climá icos ex emos, egulación del lujo híd ico, así como de la p o ección de la biodi e sidad y la belleza escénica. Inclui esos se icios ambien ales adicionales en la ecuación de la disposición a paga p obablemen e cambia á las conclusiones de es a e aluación a a o de acciones conse acionis as adicionales, sea a a és de pagos po se icios ambien ales (PSA) o a a és de o os ins umen os de polí ica. Es e es ue zo con ibuye al conocimien o de una c ecien e li e a u a cien í ica sob e como la combinación de in o mación económica y ambien al espacialmen e explíci a puede se u ilizada pa a o ece una isión aliosa sob e la iabilidad de implemen a esquemas de PSA a la escala de cuencas hid og á icas. Además, los esul ados de es e es udio pueden se i a inicia i as sob e conse ación de cuencas y a polí icas públicas en o as cuencas del bioma del bosque a lán ico al acili a la ocalización de incen i os pa a la conse ación a a és de una ges ión cos o-e ec i a de cuencas hid og á icas. Zusammen assung xiii Zusammen assung De Schu z on Wasse essou cen in de Guapiaçu-Macacu Region im a lan ischen Regenwaldbiom B asiliens: Eine Bewe ung de ökologisch- ökonomischen Po en iale eines P ojek s on Zahlungen ü Ökosys em- Diens leis ungen („Paymen s o Ecosys em Se ices“) Die In ensi ie ung on Landnu zung und U banisie ungsp ozessen sind U sachen ü den Rückgang on Ökosys em-Diens leis ungen im Einzugsgebie des Guapiaçu-Macacu im Bundess aa on Rio de Janei o. Ein sinn olles Ins umen zu lang is igen Wasse e so gung de e wa 2,5 Mio. Wasse e b auche könn en Kompensa ionszahlungen ü Landwi e diese Region sein, wenn diese au ih e landwi scha liche P oduk ion e zich en. So kann die na ü liche Vege a ion im Fluss- Einzugsgebie wiede he ges ell und dami die Ökosys em-Diens leis ung „Lie e ung on saube em T inkwasse “ e hal en we den. Diese S udie ha die Kos en ü Landnu zungsände ungen kalkulie , die de Ve besse ung on Ökosys em-Diens leis ungen bezüglich de Wasse quali ä dienen könn en. Diese Kos en wu den e glichen mi de geschä z en Kos en e meidung aus de Wasse au be ei ung ü die ö en liche T inkwasse e so gung, welche ein Indika o ü die Zahlungsbe ei scha ü hyd ologische Ökosys em-Diens leis ungen (Wasse quali ä ) da s ell . Oppo uni ä skos en, die beim Wandel de Landnu zung zuguns en e besse e Wasse quali ä en s ehen, sind anhand on Haushal sda en landwi scha liche Be iebe kalkulie wo den. Diese Wandel is ein P ozess, de mi hohe Wah scheinlichkei zu Ve besse ung de Wasse quali ä (gemessen als Reduk ion de T übung) du ch Ve inge ung de E osion bei äg . Die geschä z en Oppo uni ä skos en wu den au das Einzugsgebie übe agen, basie end au Landnu zungsklassi izie ungen und eine Vulne abili ä sanalyse de Wasse essou cen, um p io i ä e Zonen ü Maßnahmen im Be eich Wasse essou cenmanagemen zu iden i izie en. Um die po en ielle Nach age nach hyd ologischen Ökosys em-Diens leis ungen zu e mi eln, wu den Da en de ö lichen Wasse au be ei ungsanlage (Haup e b auche on Wasse ) sowohl zu Wasse quali ä als auch bezüglich de Au be ei ungskos en analysie . Es wu de gezeig , dass eine Reduk ion de acke baulichen Landnu zung zum E hal on Ökosys em-Diens leis ungen hohe Oppo uni ä skos en im Un e suchungsgebie , nahe de S ad Rio de Janei o, mi sich b ing . Im Gegensa z dazu bes ehen im Be eich de Viehzuch einige kos engüns ige Op ionen zu E hal ung on hyd ologischen Ökosys em- Diens leis ungen. Ande e Op ionen beinhal en die Implemen ie ung on Bodenkonse ie ungs echniken; pe manen e und e izien e Schu z e osionsan ällige Gebie e; Schu z und Wiede he s ellung de Gale iewälde sowie die E hal ung on Vege a ion an den Wasse quellen und die Umse zung noch nachhal ige e landwi scha liche P ak iken. Solche Maßnahmen haben das Po en ial, die Sedimen - Zusammen assung xi  und Näh s o ein äge in den Wasse kö pe di ek zu eduzie en und dami gleichzei ig die Kos en de T inkwasse au be ei ung zu e inge n. Da on ausgehend, dass die Zahlungsbe ei scha des s aa lichen Wasse be iebes de Höhe de Wasse au be ei ungskos en en sp ich , eichen die Ausgleichszahlungen ü den E hal on Ökosys em-Diens leis ungen nich aus, um die landwi scha lichen Oppo uni ä skos en zu decken. Finanzielle An eize können jedoch wei e hin eine e gänzende Rolle bei de Ve besse ung solche Ökosys em-Diens leis ungen spielen, wenn sie mi spezi ischen Regulie ungen exis ie ende P oduk ionssys eme e knüp we den. Die Analyse de Zahlungsbe ei scha in diese A bei basie lediglich au den Au be ei ungskos en on Chemikalien ü die Ve besse ung de Wasse quali ä . Wei e e posi i e E ek e du ch die Wiede he s ellung des na ü lichen Ökosys ems wu den nich explizi un e such . Diese Ökosys em-Diens leis ungen um assen die Kohlens o seques ie ung du ch die Vege a ion, die Ab luss egulie ung du ch eine e höh e Wasse speiche kapazi ä de Böden, die E hal ung de Biodi e si ä und den E holungswe de Na u . Diese zusä zlichen Diens leis ungen de Ökosys eme in dem Zahlungsbe ei scha sausgleich zu e assen, könn en das Ve häl nis on Kos en und Nu zen zuguns en zusä zliche Schu zak ionen e ände n. Dies kann du ch die Zahlung ü Ökosys em-Diens leis ungen ode ande e poli ische Maßnahmen e olgen. Diese S udie leis e einen Bei ag zu wissenscha lichen Diskussion, wie die Kombina ion aus äumlich explizi en ökonomischen und ökologischen In o ma ionen e wende we den können. Ziel is es, einen nu zba en Einblick in die Du ch üh ba kei on PES-P ojek en au de Skala on Fluss-Einzugsgebie en zu e hal en. Dies is wich ig, um sachkundige En scheidungs indungsp ozesse zu un e s ü zen, un e Be ücksich igung de ökonomischen Spiel äume des Wasse essou cenmanagemen s im Guapiaçu-Macacu Gebie ode ähnlichen Regionen. Die E gebnisse diese S udie dienen zu Un e s ü zung on Ini ia i en zu nachhal igen Nu zung on Wasse essou cen. Wei e hin hel en die E gebnisse diese A bei de Poli ik bei de Se zung on geziel en An eizen zu Bewah ung on Ökosys em-Diens leis ungen in ande en Einzugsgebie en des a lan ischen Regenwaldes du ch ein kos ene ek i es und in eg ie es Managemen on Wasse essou cen.  Chap e 1. In oduc ion 1  1. In oduc ion Backg ound and mo i a ion o he s udy 1.1. One o he g ea es en i onmen al challenges o ou ime is o e e he end o on-going deg ada ion o ecosys ems while mee ing inc easing demands o ood and biomass (MEA 2005; THOMAS & CALLAN 2010). Popula ion and economic g ow h a e also inc easing he demand o wa e esou ces and simul aneously ampli ying p essu e on he ecosys ems ha deli e wa e shed se ices (PORRAS ET AL. 2008). Fu he mo e, clima e change is inc easing he p essu e on na u al and an h opogenic sys ems h ough he impac s o clima e ex emes, which ha e undamen al implica ions o wa e esou ce demand and a ailabili y (MEA 2005; IPCC 2012; UNEP 2012). The deg ada ion o ecosys em se ices ep esen s a loss o la gely unde alued na u al capi al asse s (MEA 2005; MONTES 2007; TEEB 2009). Essen ial economic sec o s depend on hese and o he o ms o na u al capi al, which oge he cons i u e an essen ial pilla o sus ainable de elopmen (TEEB 2009). While he e is gene al ag eemen among scien is s and conse a ion p ac i ione s ha land-use choices in luence wa e shed se ice p o ision, he magni ude and na u e o he e ec s a e highly con ex speci ic and a e poo ly unde s ood in opical o es en i onmen s (CALDER 2005; VAN NOORDWIJK 2005; PORRAS ET AL. 2008; VEIGA 2008). Land and wa e linkages a e challenging o manage because wa e shed se ices ha e a common good cha ac e is ic (PORRAS ET AL. 2008), and he e o e a e o en pe cei ed as ‘ ee’ and a e gene ally unaccoun ed o in mone a y e ms (TEEB 2009). As a esul hey a e o en deg aded and o no e lec ed in adi ional economic measu es such as GDP (COSTANZA ET AL. 1997; FAO 2007; TEEB 2009). Land-use pa e ns and land managemen p ac ices by ups eam landholde s in a wa e shed la gely de e mine he quali y and quan i y o a ailable wa e downs eam (PORRAS ET AL. 2008). Fo example, unsus ainable land use and ag icul u al p ac ices by ups eam landholde s can esul in nega i e hyd ological side-e ec s o ex e nali ies, such as inc eased sedimen a ion downs eam (MEA 2005; VEIGA 2008). Consequen ly he design o policy measu es o encou age a me s o adop wa e shed conse a ion measu es and, a he same ime main ain o e en inc ease p oduc i i y has become a majo issue o esea che s, na u al esou ce manage s, and conse a ion p ac i ione s. Chap e 1. In oduc ion 2  Se e al policy op ions a e a ailable o enhance incen i es o he supply o ecosys em se ices. A command-and-con ol egula o y app oach, such as he p ohibi ion o o es clea ing, has long been he p e e ed policy s a egy o many go e nmen s o he con ol o en i onmen ally ha m ul land-use changes (FAO 2007; PORRAS ET AL. 2008; BÖRNER & VOSTI 2012). Mo e ecen ly, mechanisms based on economic incen i es o ma ke s o ecosys em se ices a e being inc easingly implemen ed as cos -e ec i e and complemen a y ools o p omo ing ecosys em se ice conse a ion (FAO 2007; ENGEL ET AL. 2008; PORRAS ET AL. 2008). These incen i e-based mechanisms include paymen s o ecosys em se ices (PES) and paymen s o wa e shed se ices (PWS), wa e quali y ading ma ke s, and ecip ocal o in-kind ag eemen s (BENNETT ET AL. 2013). Be ween 2001 and 2011 La in Ame ica egis e ed a ansac ion alue o 528.9 million USD in such in es men s co esponding o 3.4 million hec a es o o es (BENNETT ET AL. 2013). PWS p og ammes a e conside ed o be he as es g owing and mos ma u e among all o he PES schemes cu en ly implemen ed in La in Ame ica (STANTON ET AL. 2010; BALVANERA ET AL. 2012; BENNETT ET AL. 2013). PWS e o s in La in Ame ica ypically in ol e compensa ing u al ups eam ag icul u al p oduce s o p o ec ing and/o es o ing na u al o es ecosys ems o na u al highland g asslands (pá amo) (GRIEG-GRAN ET AL. 2005; VEIGA & GALVADÃO 2011; PRIA ET AL. 2013). Ta ge ed ecosys ems a e ypically loca ed in s a egic wa e p oduc ion a eas, such as headwa e s, ipa ian o es s, o wa e in ake poin s o public po able wa e supplies (VEIGA & GALVADÃO 2011; PRIA ET AL. 2013). The e is, howe e , li le e idence in he pee e iew li e a u e o he e ec i eness o such schemes o mee ing conse a ion and de elopmen goals (see PATTANAYAK ET AL. 2010; ARRIAGADA ET AL. 2012). In B azil PWS e o s a e expanding and he e a e al eady 848 ecosys em se ice supplie s in he A lan ic Fo es egion alone, mainly o ganised o suppo ed by he Na ional Wa e Agency´s Wa e P oduce P og amme (SANTOS ET AL. 2010; VEIGA & GALVADÃO 2011). As o 2012, 41 PWS p ojec s had ei he been implemen ed o we e in p epa a ion ac oss an a ea o app oxima ely 40,000 ha. Se e al PWS p ojec s a e s a egically loca ed in p io i y conse a ion a eas o he A lan ic Fo es o close o signi ican u ban se lemen s (VEIGA & GALVADÃO 2011). Among he eigh p ojec s ha had al eady been implemen ed in 2009, a pilo ini ia i e was iden i ied in he Guandu wa e shed, which supplies po able wa e o he ci y o Rio de Janei o. A second p ojec in he s a e o Rio de Janei o is cu en ly unde de elopmen in he T ês Picos S a e Pa k in he Municipali y o Cachoei as de Macacu (GUEDES & SEEHUSEN 2011). This s a e Chap e 1. In oduc ion 3  pa k is loca ed in he moun ainous a ea o he Guapiaçu-Macacu wa e shed (GMW), which is he geog aphical ocus o his s udy. This wa e shed supplies po able wa e o almos 2.5 million inhabi an s o i e municipali ies, including he ci y o Ni e oi (PEDREIRA ET AL. 2009). The main d i e s o wa e esou ce deg ada ion in his wa e shed a e u banisa ion, in ensi e ag icul u e, and he elimina ion o ipa ian ege a ion. Decision make s need eliable da a and sui able ools o make mo e in o med, scien i ically-based en i onmen al managemen decisions in o de o main ain o imp o e aluable wa e shed se ices. Recogni ion o he alue o ecosys em se ices (including wa e shed se ices) can con ibu e o a mo e anspa en decision-making p ocess (MEA 2005; CHEN ET AL. 2008; TEEB 2009). Iden i ying and measu ing such alues ha e begun o eed policy de elopmen p ocesses in wha has become an inc easing end wo ldwide, especially wi h ega d o wa e shed se ices (DAILY & MATSON 2008; STANTON ET AL. 2010; GUEDES & SEEHUSEN 2011). This can esul in oppo uni ies o sa e cos s h ough imely o a ge ed ac ion (TEEB 2010a). Managing wa e shed se ices equi es solid knowledge abou : (1) he cos s o p o iding an addi ional uni o wa e quali y o quan i y (supply side), and (2) he willingness o wa e use s o pay o an addi ional uni o wa e quali y o quan i y (demand side). The economic aspec s o wa e shed se ices supply and demand a e pa icula ly poo ly unde s ood and many PWS ini ia i es ha e begun ope a ing wi hou quan i a i e knowledge o such pa ame e s (MARTIN-ORTEGA ET AL. 2012). Mo eo e , mos wide- scale PES o PWS p og ammes lack igo ous e alua ions o hei conse a ion e ec s (PATTANAYAK ET AL. 2010; MITEVA ET AL. 2012) and o en ail o accoun o design ea u es o ien ed o make PWS schemes e icien (ENGEL ET AL. 2008; PATTANAYAK ET AL. 2010). Resea ch ques ions, objec i es, and hypo hesis 1.2. The o e all goal o his esea ch was o con ibu e o he unde s anding o he economic and en i onmen al aspec s ha in luence he p o ision o landscape-scale hyd ological ecosys em se ices (he ea e e e ed o as wa e shed se ices) based on ci cums ances in he GMW o Rio de Janei o, B azil. Speci ically, his esea ch concen a ed on he wa e shed se ice o wa e quali y main enance in e ms o u bidi y educ ion o he po able wa e supply. Fac o s ha in luence wa e ea men cos s ( ela ed o he demand o se ices) based on land-use change we e also analysed. Imp o ed knowledge o bo h Chap e 1. In oduc ion 4  he cos s o p o iding addi ional wa e shed se ices h ough land-use and land-co e change (supply) and he willingness- o-pay (demand) o wa e shed se ices is necessa y o enable an in o med decision-making p ocess in he con ex o he GMW. Main esea ch hypo hesis: I he cos s o con e ing cu en land uses o o es co e ac oss a ming sys ems in he GMW (ecosys em se ice supply) a e g ea e han wha he main wa e shed se ice bene icia y (wa e acili y company) is willing o pay (ecosys em se ice demand) hen a PWS scheme will no be iable. To ul il his goal and es he esea ch hypo hesis, speci ic objec i es and ques ions we e o mula ed ha a e p esen ed in a esea ch ma ix desc ibed in Table 1.1 and Figu e 1.1. An o e iew o da a sou ces and assessmen me hods o each esea ch ques ion and objec i e a e also p esen ed in Table 1.1. Each me hod is desc ibed in g ea e de ail in Chap e 3. Chap e 1. In oduc ion 5  Table 1.1: Speci ic objec i es, esea ch ques ions, and da a analysis me hods Speci ic objec i es Resea ch ques ions Da a sou ces and me hods 1. To calcula e he economic cos s o con e ing cu en land uses o o es co e ac oss a ming sys ems o he GMW RQ1: Wha a e ypical a ming sys ems wi hin selec ed sub-wa e sheds o he GMW? 1.1 How do hei o m, in ensi y, and p o i abili y a y?  Fa ming sys em analysis based on semi-s uc u ed a me su eys  Cos -Bene i Analysis/Oppo uni y Cos analyses  Spa ial mapping o he oppo uni y cos s o o es conse a ion  Ex apola ion o he mean oppo uni y cos s a he p oduce ( a ming sys em) le el o he wa e shed le el using A cGIS spa ial analysis ools 2. To de e mine he key en i onmen al condi ions ha de e mine he p o ision o wa e shed se ices (wa e quali y) o he public wa e supply RQ2: Whe e is land-use change mo e likely o ha e a key u u e ole in he imp o emen o wa e shed se ices? 2.1 In which a eas o he GMW a e wa e shed se ices highly ulne able o land-use change?  Seconda y spa ial da a on he ulne abili y o wa e esou ces in he GMW Chap e 1. In oduc ion 6  3. To es ima e he a oided cos s o imp o ing wa e quali y o he p ima y downs eam use : he public wa e supply p o ide (S a e Wa e and Sewage Company) RQ3: Wha a e he ea men cos s o he wa e supply company associa ed wi h imp o ing wa e quali y pa ame e s such as u bidi y? 3.1 How ha e he wa e ea men cos s and key wa e quali y indica o s om he GMW changed o e he las decade?  Expe in e iews o he S a e Wa e and Was e Wa e Company echnicians  A oided Cos analysis 4. To iden i y p io i y a eas o wa e shed se ice (wa e quali y) p o ec ion and imp o emen RQ4: Is a PWS scheme mo e cos -e ec i e han o he land-use based op ions o enhancing wa e quali y wi h espec o u bidi y? 4.1 I no , wha a e o he easible op ions?  De e mine he spa ial dis ibu ion o p io i y a eas o he p o ision o wa e shed se ices by o e laying land uses, he oppo uni y cos s o land-use con e sion, and he ulne abili y o wa e esou ces in he GMW  Li e a u e e iew on key c i e ia o iden i ying p io i y a eas o wa e shed se ice p o ec ion and imp o emen  Li e a u e e iew on he bes managemen p ac ices o imp o e wa e shed se ices Chap e 1. In oduc ion 7  ENVIRONMENTAL CONDITIONS MANAGEMENT OPTIONS Figu e 1.1: Resea ch amewo k showing he sequence o speci ic objec i es and esea ch ques ions in pu sui o he o e all esea ch goal 2. To de e mine he key en i onmen al ac o s ha a ec he p o ision o wa e shed se ices O e all esea ch goals: o be e unde s and he economic and en i onmen al aspec s ha de e mine wa e shed se ice p o ision wi h pa icula ocus on wa e quali y in e ms o u bidi y educ ion o he po able wa e supply. To analyse he ac o s ha in luence wa e ea men cos s ( ela ed o se ices demand) based on land-use changes. To imp o e unde s anding o bo h he supply and demand o wa e shed se ices in o de o be e in o m he decision-making p ocess wi h ega d o wa e shed managemen in he con ex o he GMW. 2.1 Whe e is land-use change mo e likely o ha e key u u e impac s on wa e quali y? 4.1. I no , wha a e o he easible op ions? DEMAND SUPPLY 4. To iden i y p io i y a eas o wa e shed se ice conse a ion and imp o emen 3. To es ima e he a oided cos s o imp o ing wa e shed se ices ele an o he main downs eam wa e use 1. To calcula e he economic cos s o land-use con e sion o o es co e ac oss a ming sys ems in he GMW 1.1 How do hei o m, in ensi y, and p o i abili y a y? RQ1. Wha a e ypical a ming sys ems in hese sub- wa e sheds o he GMW? RQ2. In which a eas a e wa e esou ces highly ulne able? 3.1. How ha e wa e ea men cos s in he GMW changed o e he las decade? RQ4. Is a PWS scheme o his wa e shed se ice mo e cos - e ec i e han o he measu es o p o ec ing o enhancing wa e quali y? RQ3. Which land-use ac o s a e ele an o wa e ea men cos s? Chap e 2. Backg ound and Concep ual F amewo k 14  wa e quali y o human consump ion is conside ed a ‘p o isioning’ se ice, is used h oughou his documen . Table 2.1: Classi ica ion o wa e shed se ices Wa e shed se ice classi ica ion Sou ces P o isioning se ices Wa e a ailabili y: esh wa e pu i ica ion In ol es wa e quali y main enance, including biological pu i y as well as sedimen load (including bo h sedimen a ion and e osion con ol) DUDLEY & STOLTON 2003; TEEB 2010a Regula ing se ices Regula ion o wa e lows, including lood p e en ion MEA 2005; DAILY ET AL. 2009; TEEB 2010a Wa e supply “P o ision o wa e o consump i e use (e.g. po able, i iga ion, and indus ial use).” DE GROOT ET AL. 2002 Was e ea men Fo es s il e dus pa icles om he ai , and we lands and o he aqua ic ecosys ems can emo e an h opogenic o ganic was e om ela i ely la ge olumes o wa e he eby ac ing as ‘ ee’ wa e pu i ica ion plan s. DE GROOT ET AL. 2002 Rega dless o he classi ica ion ype he e a e se e al essen ial wa e shed se ices p o ided by o es ecosys ems:  Fo es s ac as na u al wa e il e s and s o age sys ems, whe e ee oo s and lea li e acili a e ainwa e in il a ion and help e ain soil humidi y (CWP & USFS 2008; VEIGA 2008).  Heal hy o es and we land ecosys ems a e conside ed e y e ec i e a egula ing wa e low and imp o ing wa e quali y (TEEB 2010a,b; RUSSI ET AL. 2013). Main aining wa e quali y includes he con ol o sedimen , nu ien s (pa icula ly phospho ous and ni ogen), chemicals, and salini y (TEEB 2010b). These ecosys ems egula e wa e lows by helping main ain g ound wa e and wa e ables du ing d y seasons o d ough yea s and con olling loods h ough he con ainmen and abso p ion o wa e when p ecipi a ion is excessi e (FAO & Chap e 2. Backg ound and Concep ual F amewo k 15  CIFOR 2005; CWP & USFS 2008; KFOURI & FAVERO 2011). In addi ion, o es ecosys ems can emo e pa hogenic mic obes, seques e and con e ino ganic ions, and ans o m pe sis en o ganic pollu an s (TEEB 2010b).  Fo es s enhance s eam quali y and wa e shed heal h by educing s o m wa e uno and pollu an s deli e ed o eshwa e sys ems (CWP & USFS 2008; VEIGA 2008). Speci ically, ipa ian o es s con ol e osion and bo h sedimen and nu ien loads, as well as o he di use sou ces o wa e pollu ion, hus helping o main ain wa e quali y (FAO 2005; KFOURI & FAVERO 2011). E en hough hese ecosys em se ices a e o g ea alue o human popula ions, hei deg ada ion has been inc easing conside ably (MEA 2005). One o he p ima y easons o his end is he ac ha mos ecosys em se ices ha e adi ionally been conside ed public goods and hei p o ision is challenged by he combined e ec s o popula ion and economic g ow h and la ge global in eg a ion (FAO 2007). The e a e, howe e , se e al op ions o add essing his challenge. Sus ainable ecosys em se ices managemen 2.3. Conside ing he impo ance o ecosys em se ices o human well-being and en i onmen al heal h, i is a challenge o manage such se ices in a sus ainable manne , bu his can be accomplished h ough se e al app oaches. MEA (2005) iden i ied i e ypes o ac ions ha con ibu e o he achie emen o sus ainable ecosys em se ices managemen , including: 1. Ins i u ional and go e nance—Changes ela ed o en i onmen al go e nance and ins i u ional amewo ks a e o en necessa y o enable he undamen al condi ions needed o e ec i e ecosys em managemen . 2. Economics and incen i es—In e en ions o e e ec i e ins umen s o egula ing he use o ecosys em goods and se ices. 3. Social and beha iou al—These ac ions conside aspec s ela ed o popula ion policy; public educa ion; communi y, women, and you h empowe men ; and om ci il socie y. 4. Technological—The de elopmen and dissemina ion o echnologies ha help imp o e esou ce use e iciency o dec ease he impac s o d i e s o ecosys em se ice deg ada ion. Chap e 2. Backg ound and Concep ual F amewo k 16  5. In o ma ion-based—App op ia e ecosys em managemen is o en limi ed due o a lack o comp ehensi e knowledge o ecosys em complexi y and by he ailu e o use exis ing in o ma ion adequa ely. Since he loss o na u al capi al is pa ly a ibu ed o he exclusion o ecosys em se ices om adi ional economic measu es such as GDP (COSTANZA ET AL. 1997; FAO 2007; TEEB 2009), he e is a majo challenge ha can be me h ough he applica ion o economic policies and incen i es o es ablishing hei alue. Fo example, his can be achie ed by es ablishing ma ke s2 o ecosys em se ices, and by a ge ing he mone a y and inancial in e es s o selec ed social ac o s (MEA 2005). Ma ke de elopmen o ecosys em se ices elies on in ensi ying he coope a i e and hie a chical a angemen s be ween bene icia ies and p o ide s o be able o plan g oup paymen s a egies and o add ess he p oblem o ‘ ee ide s’3 (LANDMILLS & PORRAS 2002). A legal amewo k is gene ally equi ed o he adop ion o economic ins umen s, which a e dependen on he pa icula socio-economic si ua ion (MEA 2005). P omising economic ins umen s and ma ke -based app oaches wi h he po en ial o con ibu e o he sus ainable managemen o ecosys em se ices include:  Taxes o use ees o ac i i ies ha ha e nega i e ex e nal cos s (ex e nali ies)— Fo example, axing excessi e applica ion o e ilise s (MEA 2005).  C ea ion o ma ke s such as cap-and- ade sys ems—Ecosys em se ices ha ha e been conside ed ee goods, as is o en he case o wa e , end o be used ine icien ly, howe e , es ablishing ma ke s o ecosys em se ices incen i ises hei conse a ion and enhances he economic e iciency o ecosys em se ice alloca ion (TEEB 2009). This is mo e easily achie ed when he e a e exis ing and e ec i e suppo ing legal and economic ins i u ions. Ne e heless, al hough ma ke s can imp o e he e iciency o esou ce use, hey can nega i ely a ec speci ic use g oups. Combining egula ed emission caps wi h ma ke mechanisms o ading pollu ion igh s has o en been shown o p o ide an e icien way o 2 Ma ke is de ined he e as “an ac ual o nominal place whe e o ces o demand and supply ope a e, and whe e buye s and selle s in e ac (di ec ly o h ough in e media ies) o ade goods, se ices, con ac s o ins umen s, o money o ba e ” (WUNDER 2013). 3 F ee ide s a e hose ha bene i om a se ice wi hou paying o i (FAO 2007; THOMAS & CALLAN 2010). Chap e 2. Backg ound and Concep ual F amewo k 17  dec easing emissions ha a e ha m ul o ecosys em heal h (MEA 2005; TEEB 2009).  Paymen o ecosys em se ices (PES). These schemes a e es ablished o enable indi iduals, en e p ises, o he public sec o o pay esou ce owne s o he speci ic ecosys em se ices desi ed (MEA 2005). The ocus o PES schemes o p og ammes a ies acco ding o hei pu pose. Fo example, he main ocus o PES is o en o suppo and imp o e ecosys em managemen , while some PES schemes also a emp o educe po e y. Wi hin PES, paymen s o wa e shed se ices (PWS) a e hose schemes ha pa icula ly ocus on hyd ological ecosys em se ices o wa e shed se ices (ASQUITH & WUNDER 2008). PWS a e gene ally linked o wa e supply, a ailabili y, and/o quali y (FAO 2004). In his con ex PWS schemes a e in ended o encou age landowne s o adop p ac ices ha con ibu e o e osion con ol o he p o ec ion and/o es o a ion o na u al ecosys ems ha do so na u ally, especially o es s loca ed in s a egic wa e p oduc ion a eas (FAO 2004; VEIGA & GALVADÃO 2011). No mally, hese schemes a e ini ia ed when wa e use s ecognise he exis ence o a posi i e ex e nali y. Such an ex e nali y o en occu s when u al a me s implemen o es es o a ion and conse a ion measu es; hus he scheme seeks o incen i ise o p o ide compensa ion o ca ying ou such ac i i ies. In his o m a mone a y incen i e is p o ided o he p oduce s o engaging in p ac ices ha secu e he p o ision and conse a ion o wa e shed se ices (VEIGA & GALVADÃO 2011).  Schemes p omo ing consume p e e ences o be exp essed h ough ma ke s. Consume s can mo i a e p oduce s o engage in mo e sus ainable p ac ices in o he ways in he absence o e ec i e egula ion by he go e nmen . This is he case o many exis ing ce i ica ion schemes o sus ainable ishe ies, ag icul u e, and o es y p ac ices, including biodi e si y- iendly ag o o es y p ac ices and p oduc s such as bi d- iendly shade-g own co ee (MEA 2005; WUNDER 2006; TEEB 2009).  Remo ing subsidies o en i onmen ally ha m ul ac i i ies. Combined global subsidies o he ag icul u al, ishe ies, ene gy, anspo a ion, and o he sec o s o al up o almos one illion USD annually (TEEB 2009). Mo e han a hi d o hese subsidies encou age ossil uel p oduc ion and consump ion (TEEB 2009). Chap e 2. Backg ound and Concep ual F amewo k 18  In addi ion o ma ke -based ools o ecosys em conse a ion, a common policy app oach is imposing command-and-con ol egula ions. This app oach consis s o he design and implemen a ion o egula o y ins umen s such as p ohibi ing en i onmen ally ha m ul ac i i ies, c ea ing p o ec ed a eas, and o he legal measu es (WUNDER 2006). In de eloped coun ies many wa e shed p o ec ion p og ammes ha e ocused on e ec i e legal land p o ec ion in si ua ions whe e he command-and-con ol app oach can be implemen ed sa is ac o ily. In de eloping coun ies, howe e , he e ec i eness o command-and-con ol ools is equen ly limi ed due o weak ins i u ions and poo go e nance, especially in ag icul u al on ie a eas (WUNDER 2008). 2.3.1 Paymen o ecosys em se ices as a mechanism o sa egua ding sus ainable ecosys em managemen PES schemes a e inc easingly being p oposed as local p ojec s and a e o en suppo ed by in e na ional coope a ion as a means o managing he ade-o s be ween ag icul u al land uses and wa e shed se ices in a cos -e ec i e manne . One pe cei ed bene i o his app oach is ha i is an economic app oach ha is ele an o bo h wa e esou ce and biodi e si y conse a ion goals (FAO 2007; WUNDER 2007). Since he las decade his ool has been gaining impo ance among scien is s and p ac i ione s wo king on ecosys em and/o biodi e si y conse a ion e o s (MURADIAN ET AL. 2013). PES is expec ed o ha e he po en ial o mobilise inno a i e means o inancial suppo o sus ainable ecosys em managemen and simul aneously con ibu e o o he complemen a y goals such as po e y educ ion and/o ag icul u al de elopmen (FAO 2007). This can be achie ed by linking he in e es s o landowne s and ex e nal ac o s (e.g. wa e use s) h ough he p o ision o compensa ion in o de o add ess ade-o s o in e nalise en i onmen al ex e nali ies be ween hose s akeholde s (WUNDER 2008). In his way PES schemes migh acili a e inc eases in he quali y and quan i y o se ices p o ided by ecosys ems ha had no p e iously been suppo ed by mone a y incen i es om he bene icia ies (FAO 2004; STROBEL ET AL. 2007). The mos impo an p inciple in PES is ha he ansac ion is olun a y, whe eby a buye o use (se ice demand) pays he p o ide (se ice supply) o he con inuous p o ision o a well-de ined ecosys em se ice (LANDMILLS & PORRAS 2002; WUNDER 2008; PAGIOLA ET AL. 2010). Addi ionally, he bene icia y o use ’s willingness- o-pay (WTP) is o en es ima ed o assess he demand o a gi en ecosys em se ice (FAO 2004). In he case o wa e shed p o ec ion, ecosys em se ice p o ide s a e commonly ups eam Chap e 2. Backg ound and Concep ual F amewo k 19  ag icul u al p oduce s and po able wa e use s he bene icia ies. Ano he impo an ea u e o PES is ha he p o ision o he desi ed ecosys em se ice is secu ed and moni o ed (WUNDER 2008). The p emise o PES is ha he landowne (ecosys em se ice p o ide ) and he bene icia ies ha e di e gen in e es s and ha unless he la e compensa es he o me , he e is a h ea o he con inued p o ision o he se ice (FAO 2007). A key aspec o PES is ha paymen s can be s opped, educed, o suspended in he case o non-compliance (condi ionali y p inciple) on behal o he se ice p o ide (WUNDER 2008). This can be a he e icien , bu migh c ea e p oblems i conse a ion cos s a e high (WUNDER 2008). Ano he c i ical aspec o conside when implemen ing a PES scheme is land enu e. In a eas whe e he legal p ope y igh s o he owne s o he o es ha p o ides he se ice a e no clea ly de ined a PES scheme is unlikely o be easible (LANDMILLS & PORRAS 2002; FAO 2007; WUNDER 2013). Due o i s adap i e na u e i is a gued ha PES can achie e ai and “ lexible conse a ion ou comes” (WUNDER 2013). Cos -e ec i e PES schemes, howe e , equi e a cau ious design app oach ha elies on he pa icula cha ac e is ics o he ecosys em se ice being p o ided, as well as he local biophysical and socio-economic con ex s (FAO 2007; TEEB 2010a). Fu he mo e, he e a e ce ain p econdi ions o implemen ing PES schemes ha emb ace cul u al, in o ma ional, economic, compe i i e, and ins i u ional aspec s (WUNDER 2008). Cul u al aspec s need o be ca e ully conside ed because PES schemes can only unc ion i he ecosys em se ice p o ide s a e su icien ly mo i a ed by he paymen s ecei ed and ha hey do no conside hem as socially inapp op ia e (WUNDER 2008; 2013). Mo eo e , PES should in ol e some le el o us be ween he se ice use s and p o ide s, whe e mu ual con ac compliance can be expec ed and misconcep ions abou in en ions (i.e. unan icipa ed espassing by he use s on he se ice p o ide s’ land) do no ake place (WUNDER 2008). No mally, a b oke is equi ed o deal wi h con lic ing in e es s be ween se ice p o ide s and use s (LANDMILLS & PORRAS 2002; WUNDER 2008). PES in ol es ansac ion cos s and demands a ela i ely in ensi e in o ma ion ga he ing p ocess. Such cos s end o be high du ing he ini ial phase o implemen ing PES schemes. These en ail p ice nego ia ion, ecosys em se ice baseline assessmen , sys em design, e c. (WUNDER 2008). In he case o he Pinampi o wa e shed in Ecuado s a -up Chap e 2. Backg ound and Concep ual F amewo k 20  cos s we e 69 USD ha-1, while ecu en ansac ion cos s du ing he ope a ing phase we e only 1.6 USD ha-1 (WUNDER & ALBÁN 2008). When PES schemes a e p ope ly o ganised, i is possible o o e come cons ain s ha could hinde hei success ul implemen a ion. Fo example, dono unding could de ay high s a -up ansac ion cos s in ce ain cases. This is only ealis ic when PES schemes p o e o be cos -e ec i e and sus ainable once hey a e ope a ional. In he case o wa e shed p o ec ion, apid biophysical assessmen me hods can educe he high cos s o es ablishing baselines (WUNDER 2008). One economic p econdi ion o PES is ha he e is a posi i e ex e nali y. This means ha he e is compensa ion o he landowne o he se ice p o ided o he bene icia ies (FAO 2007; KFOURI & FAVERO 2011). In his sense, a PES scheme can become an addi ional income sou ce o pa icipa ing landowne s who a oid using he a eas esponsible o he p o ision o he desi ed ecosys em se ice and he ea e o go comme cial p oduc ion in hese a eas (KFOURI & FAVERO 2011). A second economic p econdi ion o PES o unc ion is ha he bene i s mus be g ea e han he cos s o p o iding he ecosys em se ice (i.e. ha he ecosys em se ice use ’s WTP o he gi en ecosys em se ice mus be g ea e han he se ice p o ide ’s OCs) (WUNDER 2013). In his case OCs a e unde s ood as he o egone bene i s o ca ying ou one ac i i y in a ou o ano he , o gi ing up hei ini ial p e e ed land-use plan (UGALDE 1996; FAO 2004; MEA 2005; FAO 2007; WUNDER 2008; WINPENNY ET AL. 2010). Since OC analyses a e an impo an elemen o he assessmen o ecosys em se ice p o ision wi hin PES p og ammes (WUNDER 2008) special a en ion is gi en o OCs in Sec ion 2.4. The supply o wa e shed se ices: a ming sys ems and hei oppo uni y cos s. ENGEL ET AL. (2008) iden i ied key aspec s o assessing he e ec i eness and e iciency o PES p og ammes, which a e also alid o PWS schemes. Among hese, i is desi able ha he PES scheme: pe o ms be e han he al e na i e ‘business-as-usual’ scena io, conside s ‘addi ionali y,’ a oids ‘leakage,’ and achie es long- e m imp o emen s in ecosys em se ice p o ision. In his case he e m ‘addi ionali y’ e e s o he adop ion o p ac ices ha would no be implemen ed in he absence o he PES p og amme (ENGEL ET AL. 2008). In o he wo ds PES schemes lack addi ionali y when hey pay o he implemen a ion o p ac ices ha would ha e o he wise been adop ed (e.g. due o en i onmen al egula ions) wi hou he p og amme (FERRARO & PATANAYAK 2006). Chap e 2. Backg ound and Concep ual F amewo k 21  ‘Leakage’ in his sense e e s o a oiding undesi able p ac ices in he PES in e en ion zone, bu ha can be implemen ed in a eas ex e nal o he p og amme (ENGEL ET AL. 2008). Long- e m imp o emen s in ecosys em se ice p o ision (pe manence) should be achie ed as a esul o PES, which includes ime ames beyond he PES p og amme and ‘a e paymen s end’ (ENGEL ET AL. 2008). Some au ho s a gue ha PES schemes depend on he economic alua ion o ecosys em se ices (MURADIAN ET AL. 2013). O he s a gue ha “e en a se ice o in ini e alue can be p o ec ed h ough cos -p iced PES, as s ic ly speaking, we don´ need o know wha he se ice is wo h, as long as we know ha we wan o keep i ” (WUNDER 2013). In his disse a ion he economic alua ion o ecosys em se ices is iewed as an ins umen ha can suppo PES design (e.g. by helping o de e mine se ice paymen s), wi hou being a s ic equi emen o PES implemen a ion (WUNDER 2013). 2.3.2 Economic alua ion o ecosys em se ices The e ha e been impo an de elopmen s in he economic alua ion o ecosys em se ices o e he pas wen y yea s, al hough he e emains much o be accomplished (STROBEL ET AL. 2007; TEEB 2009). In his sense he economic alua ion o ecosys em se ices has become an essen ial ool o inc easing public awa eness abou he alue o en i onmen al and biodi e si y p o ec ion (MEA 2005; FAO 2007; STROBEL ET AL. 2007). Economic alua ion includes he iden i ica ion and economic quan i ica ion o he nega i e impac s esul ing om ecosys em deg ada ion o he loss o ecosys em se ices (TEEB 2009). Economic alues a e no a na u al p ope y o ecosys ems and hey a e usually closely ela ed o he numbe o bene icia ies and he speci ic socio-economic con ex (TEEB 2009). COSTANZA ET AL. (1997) calcula ed he economic alue o he whole biosphe e conside ing 17 global ecosys em se ices o 16 biomes a a minimum o 33 illion USD annually. Economic alua ion can help make ecosys em conse a ion inancially sus ainable. Valua ion can signi ican ly suppo conse a ion e o s by iden i ying, measu ing, and demons a ing he mos impo an bene i s o a oided losses o he bene icia ies associa ed wi h a speci ic ecosys em se ice. Fo his eason alua ion is a s a egy ha can help con ince decision make s o alloca e he necessa y esou ces o ecosys em conse a ion (PAGIOLA ET AL. 2004). Economic alua ion can con ibu e o he spa ial de e mina ion o whe e ecosys em se ices could be p o ided a a lowe cos han al e na i e a i icial in e en ions (e.g. o Chap e 2. Backg ound and Concep ual F amewo k 22  wa e pu i ica ion, po able wa e p o ision, lood con ol, e c.). The alua ion p ocess equi es an ecological unde s anding o hese se ices oge he wi h app op ia e mone a y alua ion me hods (TEEB 2009). The a ionale behind his endea ou is o be e unde s and he complexi ies in ol ed in socio-ecological ela ionships, o make he manne in which humans in luence ecosys em se ice alue explici , and o exp ess such alues in uni s ha can be inco po a ed in o public decision-making p ocedu es (TEEB 2009). The e a e se e al app oaches o de e mining he alue o bene i s and se ices p o ided by ecosys ems. A e y common app oach o es ima ing he alue o ecosys em se ices is he concep o o al economic alue (Figu e 2.2). This app oach conside s he ull ange o economic alues ha socie y a ibu es o each land use. Figu e 2.2: To al economic alue o ecosys em se ices Sou ce: PAGIOLA ET AL. 2004  Di ec use alues—a e hose de i ed om goods o se ices wi h an es ablished ma ke alue, which usually imply bene i s like commodi ies, uel wood, imbe , non- imbe o es p oduc s, ec ea ion, educa ion, and ou ism (PAGIOLA ET AL. 2004; FAO 2007). Mos o hese belong o he MEA (2005) ca ego y o p o isioning se ices and hei alua ion is gene ally ela i ely simple (FAO 2007).  Indi ec use alues—a e hose ha socie y a ibu es indi ec ly om ecological unc ions such as wa e shed p o ec ion, pollina ion, pes con ol, and soil e ili y (TEEB 2010a).  Op ion alues—a e he bene i s o p ese ing po en ial u u e di ec o indi ec use o he esou ces o se ice o onesel (op ion alues) o o o he s (beques alues) (PAGIOLA ET AL. 2004). Biodi e si y conse a ion is commonly comp ised o op ion alues (FAO 2007).  Non-use, exis ence o passi e use alues—a e hose ha do no imply he u ili y o ecosys ems. These a e in insic alues a ibu ed o he ecosys em simply because Chap e 2. Backg ound and Concep ual F amewo k 23  hey exis and he e o e need o be conse ed o u u e gene a ions, such as pa icula habi a s o endange ed species (PAGIOLA ET AL. 2004; FAO 2007). When sus ainably managed he o al economic alue o ecosys ems is o en highe han he economic e u ns gene a ed om con e ing na u al ege a ion o ag icul u e, clea - cu logging, o o he in ensi e uses (MEA 2005). Fo example, in 1998 he ne p esen alue o p o ec ing wa e quali y in he Ca awba Ri e (USA) o i e yea s was es ima ed a 346 million USD. To illus a e he alue o wa e pu i ica ion by we lands, in 1992 i was es ima ed ha abou hal o he o al economic alue o he Danube Ri e loodplain could be a ibu ed o i s ole as a nu ien sink (MEA 2005). Es ima ing he alue o ecosys em se ices is complica ed because he e a e no ma ke s o many o hem. Howe e , he e a e se e al ways o es ima e hei alue in mone a y and non-mone a y e ms. The e a e se e al app oaches o mone a y alua ion, such as: e ealed-p e e ence, s a e-p e e ence, cos -based, and bene i ans e . Non-mone a y alua ion can include measu es o a i udes, p e e ences, and in en ions; decision science app oaches; ecosys em bene i indica o s; biophysical anking me hods; and ci ic alua ion (LIU ET AL. 2010). Some o he mos ele an me hods a e p esen ed in Table 2.2. The key di e en ia ing aspec be ween mone a y and non-mone a y me hods is whe he he app oach uses di ec obse a ion o beha iou (i.e. e ealed-p e e ence app oaches) o esponses o hypo he ical ques ions (s a e-p e e ence app oaches) such as: “How much would you be willing o pay o ...?” o “Wha would you do i …?” (LIU ET AL. 2010). On occasions when he ecosys em se ice is di icul o alue using hese app oaches, i may be possible o es ima e he alue using he eplacemen o a oided cos me hod. Ne e heless, such cos -based app oaches should be used ca e ully as he esul ing alues do no measu e economic alue because hey do no ely on p e e ences (LIU ET AL. 2010). In cases whe e a mo e imely and cos -e ec i e alua ion p ocess is desi ed he bene i ans e app oach is o en applied. Bene i ans e is based on he analysis o one o mo e p e ious s udies ha de e mined he alue o simila se ices in compa able loca ions. Subsequen ly, he alues ob ained in he o iginal s udies a e adap ed and ans e ed o ano he geog aphical loca ion and/o ime. This app oach is speci ic o he se ice ha is being alued. Some se ices ha e a high deg ee o ans e abili y, such as ca bon seques a ion a ce ain scales, howe e , he alue o se ices a he local le el such as lood con ol migh ha e much mo e limi ed ans e abili y (LIU ET AL. 2010). Chap e 2. Backg ound and Concep ual F amewo k 30  ele a ed concen a ions o suspended pa icles and solu es ha d ain in o local wa e bodies (BATCHELOR ET AL. 1998). Changes in land co e such as he con e sion o o es o ag icul u al land uses end o accele a e e osion p ocesses, inc ease supe icial uno , and inc ease sedimen concen a ions in i e s ha esul s in downs eam sil a ion (MEA 2005; FAO 2007). Con e sion o o es co e o u ban land uses also inc eases uno , which in u n aises he concen a ions o pollu an s and educes he empo al eliabili y o eshwa e sys ems (e.g. lowe long- e m g oundwa e echa ge) (MEA 2005). The con e sion o undis u bed na u al ecosys ems o o he land uses can se e ely educe he capaci y o p o ide essen ial ecosys em se ices (POWER 2010). Wa e shed se ice p o ision in ag icul u al a eas is de e mined a he pa cel le el due o land-use decisions made by indi idual ag icul u al p oduce s based on he ela i e bene i s o e u ns ha can be ob ained om among al e na i e ac i i ies (FAO 2007). This in ol es a se ies o dimensions ha a e illus a ed in he concep o a ming sys ems in Figu e 2.3. A a ming sys em is conside ed o be a basic uni ha can be comp ised o a ew dozen o up o millions o households and ha includes he esou ces (land, labou and capi al) used wi hin his uni (BEETS 1990; DIXON ET AL. 2001). Such sys ems ypically ha e compa able esou ce bases, en e p ise pa e ns, household li elihoods, and limi a ions (DIXON ET AL. 2001). Each indi idual household has pa icula cha ac e is ics esul ing om hei esou ce endowmen and amily condi ions. Independen ly o hei size, each a ming sys em is o ien ed owa ds ood p oduc ion and mee ing household objec i es h ough he managemen o a ailable esou ces wi hin a gi en social, economic, and ins i u ional con ex . Fa ming sys ems a e no mally engaged in mu ually dependen p ocesses including he p oduc ion, ha es , and pos -ha es ea men o c ops and li es ock (DIXON ET AL. 2001). Va ious na u al (geog aphical), echnological, economic, cul u al, and ins i u ional componen s o he speci ic con ex in luence a ming sys ems (Figu e 2.3). In his hesis a a ming sys em is conside ed a social g oup (gene ally a g oup o households) in which he economic en i onmen has he g ea es in luence on a me decisions and hus de e mines land-use decisions wi hou excluding all o he ele an ac o s ha a e essen ial o p oducing goods and se ices. This a ionale is based on he high deg ee o in eg a ion among a me s and ma ke s in he s udy a ea, which has inc easingly mone ised ag icul u al income, inpu s, and labou (FORERO 2002; GAESE 2009). Chap e 2. Backg ound and Concep ual F amewo k 31  Figu e 2.3: Bo om-up app oach o he assessmen o ecosys em se ices Rega ding he economic con ex , access o ma ke s and p ice a ios in luences a me decisions on inpu pu chases, he iming o p oduc sales, and en e p ise pa e ns. Mo eo e , he a ailable economic and social in as uc u e in u al a eas is essen ial o de e mining anspo cos s and he a ailabili y o se ices. O he ac o s such as in o ma ion and educa ional se ices in luence household decisions and s a egies in he same manne . A ailable echnologies de e mine he na u e o he p oduc ion and p ocessing o ag icul u al p oduc s and na u al esou ces (DIXON ET AL. 2001). The ac o s ha de e mine he ecosys em se ices p o ided by a ming sys ems ha e se e al dimensions. The e a e changes ha can inc ease he ou pu o an ecosys em se ice, howe e , changes can also a ec a numbe o o he se ices in ei he a posi i e o nega i e way (FAO 2007). Fa me s ypically choose he combina ion o p oduc ion p ac ices ha maximises hei well-being based on conside a ion o hei exis ing asse s and hei access o esou ces and oppo uni ies (FAO 2007). Fa me s seldom adop changes in land use o ag icul u al p ac ices ha a e a ou able o he en i onmen in he absence o mo i a ional policy measu es, such as incen i es o Chap e 2. Backg ound and Concep ual F amewo k 32  command-and-con ol measu es. Fo example, se ing aside ag icul u al land o p ese e o es o e o es co e can esul in he p o ec ion o enhancemen o wa e quali y, biodi e si y p ese a ion, and ca bon seques a ion se ices; howe e , such decisions ep esen lowe e u ns o he a me ’s household (FAO 2007). Fa ming sys ems can make majo con ibu ions o he mi iga ion o h ea s o wa e quan i y and quali y. Recip ocally, mo e sus ainable land uses in combina ion wi h e enues om wa e managemen se ices could help achie e sus ainable and p o i able a ming sys ems. Mo e sus ainable a ming sys ems can gene a e a wide a ie y o ecosys em se ices. Wi hou economic incen i es o ensu ing ha hese se ices a e p o ided, mo e sus ainable land uses a e e y likely o emain economically una ac i e o land owne s. Mos PWS schemes in de eloping coun ies a e guided by a ‘land-based’ app oach, whe eby se ice p o ide s a e paid o imp o e hei land managemen p ac ices, which a e expec ed o esul in he desi ed wa e shed se ices, a he han being paid o he ac ual se ice deli e y (PORRAS ET AL. 2008). Rega dless o he app oach, wa e shed se ice p o ision is ine i ably linked o land-use decisions (FAO 2007). Consequen ly, wa e shed se ice p o ision analyses o en equi e cos -bene i analyses o ag icul u al p oduc ion sys ems in o de o de i e OC es ima es. The concep o OCs4 is conside ed essen ial in many mode n economic analyses (IPCC 2001). In he case o PWS analyses, OCs a e mos equen ly used o exp ess he cos s o p o iding addi ional wa e shed se ices. In he con ex o wa e shed se ices OCs ep esen any bene i s o egone by a a me by con e ing exis ing land uses o al e na i es ha con ibu e o wa e shed se ice deli e y. The OCs calcula ed om main aining o es co e can con ibu e signi ican ly o he cos e ec i e design o o es conse a ion schemes because he o es conse a ion cos s o a me s in a speci ic a ea can be assessed (BÖRNER ET AL. 2009). Ideally, PWS schemes a e designed so ha , a minimum, paymen s compensa e landowne s o he OCs o addi ional se ice p o ision. The ex en o which such paymen s a e quan i a i ely app op ia e o no depends on he al e na i e land-use op ions in each gi en a ea (PAGIOLA ET AL. 2010). 4 “This cos measu es he economic alue o ou pu s, goods, and se ices ha would ha e been possible o p oduce elsewhe e wi h he esou ces used o p oduce he las uni o good X” (IPCC 2001). Chap e 2. Backg ound and Concep ual F amewo k 33  In gene al e ms, ecosys em se ice p og ammes ha in ol e changes in land use end o be mo e e ec i e whe e he OCs o ag icul u al land uses a e low (FAO 2007). In a eas whe e land is abundan o he e a e g ea e o - a m employmen oppo uni ies ha educe u al popula ions, he po en ial o se aside land o non-ag icul u al uses is g ea e (FAO 2007). Whe e land is sca ce and labou is eadily a ailable he ade-o s be ween ag icul u al and non-ag icul u al se ices a e highe , no mally esul ing in highe OCs ela i e o land-use con e sion (FAO 2007). The concep o OCs is highly ele an o common mechanisms o assessing ecosys em se ices such as REDD+ and PES, and can also be a e y use ul measu e o he aba emen o CO2 emissions (e.g. in he con ex o a oided de o es a ion). OC analyses p o ide insigh s in o he d i e s o de o es a ion because highe OCs end o be associa ed wi h highe de o es a ion le els (WBI 2011). Calcula ing OCs is also use ul o de e mining easonable compensa ion o hose who change hei land-use p ac ices as pa o a gi en o es conse a ion p og amme such as REDD+, and o assess whe he such p og ammes p o ide su icien incen i es o conse e o es s. Fo example, in a eas wi h high OCs (i.e. con e ing high alue ag icul u al sys ems such as soybean, palm oil o ca le) on p oduc i e soils i is mo e di icul o schemes o p o ide su icien incen i es o es o e o conse e o es s (WBI 2011). The demand o wa e shed se ices 2.5. Demand e e s o he cu en bene icia ies o he deli e y o wa e shed se ices. The assessmen o demand includes accoun ing o he esou ces a ailable o p o ec ing and conse ing wa e shed se ices (GUEDES & SEEHUSEN 2011). Demand o ecosys em se ices, especially om ag icul u e, will g ow due o inc eases in hei sca ci y and alue (FAO 2007). A signi ican sou ce o inancial suppo o PWS schemes in de eloping coun ies comes om unding o de elopmen assis ance om he in e na ional public sec o (PORRAS ET AL. 2008). A key p o ide o his unding is he Global En i onmen al Facili y (GEF), which ac s as a buye on behal o se ice use s o conse ing global public se ices. App oxima ely 108 million USD ha e been made a ailable as Wo ld Bank (WB) loans and 52 million USD as GEF g an s espec i ely o WB/GEF-suppo ed PWS p ojec s (FAO 2007). Fo example, he Wo ld Bank has p o ided loans o suppo he de elopmen and implemen a ion o well-known PES p og ammes in Mexico and Cos a Rica (FAO 2007). Chap e 2. Backg ound and Concep ual F amewo k 34  In ol emen o he p i a e sec o in paying o ecosys em se ices is g owing, including in he con ex o co po a e social (and en i onmen al) esponsibili y e o s (TEEB 2010c). Depending on he sou ce o unding PES schemes can be classi ied in o wo b oad ca ego ies: use - inanced and go e nmen -d i en (ARRIAGADA & PERRINGS 2009). Small-scale PES wa e shed p o ec ion p ojec s (use - inanced) a e inc easing, especially in La in Ame ica. While PES was o iginally concei ed o concen a e on achie ing en i onmen al ou comes (WUNDER 2013), go e nmen al ini ia i es end o ha e mul iple goals (i.e. also inco po a ing po e y alle ia ion, egional de elopmen o poli ical objec i es) (WUNDER 2008). P i a ely-d i en and use - inanced PES schemes (o in his case PWS), such as e o s by he F ench wa e company Vi el, end o incen i ise olun a y ac ions o dec ease wa e pollu ion esul ing om ups eam land uses such as li es ock p oduc ion. This company has p o ided incen i es o a me s o change hei land managemen p ac ices in o de o educe ni a e concen a ions in sp ing wa e (PERROT-MAÎTRE 2006). The changes in ag icul u al p ac ices included he elimina ion o maize cul i a ion o animal odde and he applica ion o associa ed ag ochemicals, he educ ion o li es ock densi ies, and he mode niza ion o a m acili y cons uc ion o minimise nu ien uno (FAO 2007). A simila example o a p i a ely-d i en ini ia i e in Ge many is an e o by he Bionade Co po a ion oge he wi h he NGO ‘T inkwasse wald e.V.’ (Fo es D inking Wa e Associa ion) o unde ake e o es a ion ac i i ies o imp o e g oundwa e echa ge (BENNETT ET AL. 2013). Examples o go e nmen al PWS e o s in La in Ame ica include he PES p og amme in Cos a Rica, he Na ional P og amme o Hyd ological En i onmen al Se ices in Mexico (PSAH), and he B azilian Socio-en i onmen al Fede al De elopmen P og amme o Ru al P oduc ion (P oambien e)5 p og amme (FAO 2007; WUNDER 2008). The PES p og amme in Cos a Rica pays ups eam landowne s o p ese e o es s o e osion con ol and includes p i a e sec o en i ies ha pay o wa e shed se ices, including: hyd oelec ic companies, a bee b ewing company, Flo ida Ice and Fa m, and he Wo ld Bank (FAO 2007; ECOSYSTEM MARKETPLACE 2010). The p og amme in Mexico is inanced om wa e use ees and paymen s a e made acco ding o o es ype. The p ice  Chap e 2. Backg ound and Concep ual F amewo k 35  paid was based on he OCs o land wi h he assump ion ha maize p oduc ion would be an al e na i e use o conse a ion. In his case conse ed a eas o cloud o es and mesophilous o es ecei e highe paymen s han simila a eas o empe a e o es (ECOSYSTEM MARKETPLACE 2010). P oambien e p o ides a me s wi h subsidised c edi o a ming p ac ices ha a e belie ed o enhance ecosys em se ice deli e y (BÖRNER ET AL. 2007). Examples o PWS e o s o a iable scales a e summa ised in Table 2.6. Some go e nmen -d i en PWS p og ammes ha pay u al p oduce s o conse a ion ac i i ies on hei p ope ies in he B azilian A lan ic Fo es egion include: ‘Bolsa Ve de’ in he s a e o Minas Ge ais, ‘P odu o ES de Água’ in he s a e o Espí i o San o, and ‘Mina D’água’ in he s a e o São Paulo (GUEDES & SEEHUSEN 2011). These ac i i ies include he p o ec ion o es o a ion o na i e ege a ion wi h a ocus on headwa e s and ipa ian o es s (GUEDES & SEEHUSEN 2011; VEIGA & GALVADÃO 2011). In gene al all PWS schemes in he A lan ic Fo es egion ob ain unding om public sou ces as well as om Basin Commi ee cha ges o wa e use. Few cases in his egion in ol e p i a e ini ia i es. A use ee sys em can be an e ec i e app oach o e icien wa e esou ce use. Such use ee sys ems ha e been implemen ed in he wa e sheds o he Pi acicaba, Capi a i and Jundiaí (PCJ) i e s in he s a e o São Paulo wi h app oxima ely 8.8 million bene icia ies (VEIGA & GALVADÃO 2011). In his si ua ion, an In e -Municipal Basin Commi ee was o med o manage a wa e shed p o ec ion und and con ibu ions o he und come om municipal wa e u ili y budge s. Chap e 2. Backg ound and Concep ual F amewo k 36  Table 2.6: Selec ed PWS ela ed schemes wo ldwide Case, Coun y En i onmen al Se ices Buye Selle Ta ge ing C i e ia Paymen Scheme Go e nmen -Financed P og ams En i onmen al Quali y Incen i es P og amme, USA (CLAASSEN ET AL. 2008) Wa e shed p o ec ion, biodi e si y conse a ion (benign ag icul u e & ag icul u al land e i emen ) US go e nmen US a me s Pa icipan s a e selec ed based on en i onmen al bene i s and cos index Annual cash paymen . A ese ed p ice is based on he en al alue o land adjus ed o i s p oduc i e capabili y Conse a ion Rese e P og amme, USA (CLAASSEN ET AL. 2008) Wa e shed p o ec ion, soil conse a ion, wildli e p o ec ion and ca bon seques a ion (benign ag icul u al p ac ices and ag icul u al land e i emen ) US go e nmen US a me s Pa icipan s a e selec ed based on en i onmen al bene i s and cos index Annual cash paymen . A ese ed p ice is based on he en al alue o land adjus ed o i s p oduc i e capabili y PES P og amme (Cos a Rica)1 (ECOSYSTEM MARKETPLACE 2010) Wa e -based ecosys em se ices ma ke s The public sec o (s a e powe co po a ion “Compañía Nacional de Fue za y Luz” - CNFL) and he public u ili y o he own o He edia Land owne s Annual cash paymen s o na u al egene a ion, o es p ese a ion, and new o es plan a ions. Con ac s can also pay pe ee o ag o o es y con ac s. Na ional P og amme o Hyd ological En i onmen al Se ices (PSAH ) Mexico2 (ECOSYSTEM MARKETPLACE 2010) Wa e shed / paymen o hyd ological se ices p o ided by o es s The unds o his p og amme a e designa ed by Cong ess o he Na ional Fo es y Commission (CONAFOR) Fo es land holde s o 'ejidos' (communi y held land) Applica ions a e quali ied acco ding o an e alua ion o he isk o de o es a ion and wa e sca ci y, as well as social c i e ia in o de o en oll a eas wi h highe social and en i onmen al bene i s. The p ice paid has been de e mined by he go e nmen based on he oppo uni y cos o he land and depending on he o es ype Chap e 2. Backg ound and Concep ual F amewo k 37  Case, Coun y En i onmen al Se ices Buye Selle Ta ge ing C i e ia Paymen Scheme Wo king o Wa e P og amme, Sou h A ica (TURPIE ET AL. 2008) Wa e shed and we lands p o ec ion (clea ing in asi e alien plan s) P e iously unemployed indi iduals ha ende o con ac s o es o e public o p i a e lands Depa men o Wa e A ai s and Fo es y, wa e managemen agencies The p og amme p io i ise a eas using ecological and social a ionales Cash paymen s o con ac o s s a ha ha e been p e iously unemployed Use -Financed P og ammes The Vi el (Nes lé Wa e s) wa e shed p o ec ion p og amme, F ance (ARRIAGADA & PERRINGS 2009) Wa e shed p o ec ion (bes p ac ices in dai y a ming) Vi el Dai y a me s (27 a me s en olled) Cash paymen s a e based on new a m in es men and he cos o adop ion o new a ming p ac ices Los Neg os, Boli ia (ASQUITH & WUNDER 2008; ARRIAGADA & PERRINGS 2009) Wa e shed and biodi e si y p o ec ion (cloud o es and pá amo conse a ion) Pampag ande municipali y, US Fish and Wildli e Se ice San a Rosa a me s (46 landowne s) In kind (beehi es supplemen ed o honey p oduc ion) plus echnical assis ance Pimampi o, Ecuado (WUNDER & ALBÁN 2008; ARRIAGADA & PERRINGS 2009) Wa e shed p o ec ion Me e ed u ban use s (20% ee) Households in Nue a Amé ica Coope a i e Pa icipan selec ion has ocused on Nue a Amé ica because i is loca ed nea he wa e in ake Th ee di e en ia ed cash paymen s acco ding wi h o es ype 1Volun a y con ac s a e channelled by he Nacional Fund o Fo es Finance (FONAFIFO), a mixed p i a e-public body unde he di ec ion o he Minis y o En i onmen . 2Mexico is wo king o de elop olun a y paymen s om wa e use s o supplemen he unding gi en by he go e nmen unde he Wo ld Bank/GEF En i onmen al Se ice P ojec . Chap e 2. Backg ound and Concep ual F amewo k 38  PWS schemes in B azil a e expanding and he e a e al eady 848 ecosys em se ice p o ide s in he A lan ic Fo es egion who a e ecei ing annual paymen s ha ange om 10 o 577 BRL (4.5 o 257.2 USD) pe hec a e mon hly (VEIGA & GALVADÃO 2011). As o 2010, 40 PWS p ojec s had been iden i ied in he egion, ha collec i ely co e an a ea o a ound 40,000 ha (VEIGA & GALVADÃO 2011). In 2011 hese p ojec s we e in di e en s ages o de elopmen : 8 we e being implemen ed; 20 we e unde de elopmen , and 12 we e in he design s age. An o e iew o hese p ojec s is p esen ed in Appendix I based on conside a ion o he alua ion me hod used, he alue paid, ele an de ailed case s udies, limi a ions, and ecommenda ions o PWS schemes in he A lan ic Fo es egion. These e o s include he p og amme o paymen s o es o ing ipa ian a eas in São Paulo, he Wa e Conse e p ojec , he Wa e P oduce p ojec , he P oduce s o Wa e and Fo es s p ojec , and he Economic Valua ion o p icing wa e in T ês Picos S a e Pa k. The majo i y o hese p ojec s a e concen a ed in sou heas B azil (28 P ojec s), ollowed by se en in he sou h, and only i e in he no h and no heas o he coun y. Se e al p ojec s a e s a egically loca ed in p io i y conse a ion a eas o he A lan ic Fo es o close o signi ican u ban se lemen s (VEIGA & GALVADÃO 2011). Thi een p ojec s a e loca ed in signi ican wa e supply sys ems ha p o ide la ge u ban cen es wi h po able wa e , such as Guandu in Rio de Janei o and owns nea he ci ies o São Paulo, B asilia, Campo G ande, Vi ó ia, and Palmas (VEIGA & GALVADÃO 2011). Fi y se en pe cen o all PWS p ojec s in he A lan ic Fo es a e in a eas o semi-deciduous seasonal o es s and omb ophilous mixed o es s, 13% a e in sa annah a eas, and 30% a e in ansi ion a eas among mixed omb ophilous o es , s eppes, and sa annahs (VEIGA & GALVADÃO 2011). Mos PWS p ojec s in he A lan ic Fo es a e led by municipal go e nmen s and in some cases by wa e supplie s, NGOs, and he Na ional Wa e Agency (ANA). Some PWS p ojec s ha e been suppo ed h ough public policies o s a es such as Espi i u San o, Minas Ge ais, and São Paulo. The s a e o Rio de Janei o go e nmen has al eady eached ad anced discussions ega ding PWS legisla ion (VEIGA & GALVADÃO 2011). Chap e 2. Backg ound and Concep ual F amewo k 39  Rele an legisla ion, policy ools, and land-use based op ions 2.6. o he managemen o wa e shed se ices in B azil Rele an legisla ion o he assessmen o wa e shed se ices can be ound in he B azilian Na ional Law on Wa e Resou ces (Law No. 9433/97), which is po en ially a basis o es ablishing wa e shed se ice ma ke s and pe mi ing cha ges le ied on use s o wa e consump ion as is al eady p ac iced in se e al s a es (VEIGA 2008). This app oach is based on he ‘pollu e pays’ p inciple o ans e paymen s om he ‘use s/pollu e s’ o he ‘p o ec o s’ o sp ings and ipa ian o es s. Ano he impo an ool o assessing he ela ionships be ween o es co e and wa e shed se ices is o eseen in A icles 47 and 48 o he Na ional Sys em o Conse a ion Uni s ‘Sis ema Nacional de Unidades de Conse ação’ (SNUC)6. SNUC is he B azilian law go e ning p o ec ed a eas and i o esees paymen s o conse a ion uni s o ecosys em se ices. Un o una ely implemen a ion o A icles 47 and 48 o he law has been delayed due o he lack o co esponding egula ions (STROBEL ET AL. 2007). The ‘ecological’ o ‘g een’ ax o he ci cula ion o me chandise and se ices ‘Impos o sob e a Ci culação de Me cado ias e Se iços’ (ICMS)7 is ano he ele an economic incen i e ha is being used o suppo managemen cos s o he p i a e na u al he i age ese es. This policy ool is in ended o inc ease he economic a ac i eness o c ea ing new p i a e p o ec ed a eas as well as o imp o e he managemen o exis ing ese es (VEIGA 2008; MARQUES 2009). The ICMS has al eady been implemen ed in 11 B azilian s a es, including: Pa aná, Minas Ge ais, São Paulo, Rio de Janei o, Ma o G osso do Sul, Amapá, Ma o G osso, Rio G ande do Sul, Pe nambuco, Rondônia, and Tocan ins (VEIGA 2008). Each s a e has speci ic en i onmen al c i e ia ha de ine he p opo ion payable o he 25% ha he municipali ies can ob ain om his ax (VEIGA 2008). Fo example, he s a e o Pa aná pionee ed his ype o ool and since hen he numbe o p o ec ed a eas wi hin he s a e has inc eased by 165% (MARQUES 2009). 6 The Na ional Sys em o Conse a ion Uni s (SNUC) ins i u ed by Law 9985/2000 wo ks unde he p o ec o - ecei e p inciple, indica ing ha hose who p o ec na u al esou ces should ecei e a inancial ewa d o hei s ewa dship (STROBEL ET AL. 2007). Chap e 3. Me hods 46  3. Me hods S udy a ea 3.1. The s udy a ea lies wi hin he 1,265 km² Guapiaçu-Macacu wa e shed (GMW) loca ed in he Se a do Ma moun ain ange in he s a e o Rio de Janei o (Figu e 3.1). This moun ain ange is conside ed a dis inc biogeog aphical egion (RIBEIRO ET AL. 2009) wi hin he A lan ic Fo es and is conside ed a high-p io i y conse a ion a ea due o i s high le els o biodi e si y (CEPF 2001). His o ically he A lan ic Fo es biome has been cha ac e ised by high de o es a ion a es (DEAN 1997), esul ing in nume ous isola ed and dispe se o es agmen s in a landscape domina ed by ag icul u e (RIBEIRO ET AL. 2009; NEHREN ET AL. 2013). The A lan ic Fo es supplies 135 million people wi h wa e (PRIA ET AL. 2013); howe e , a me e 11% o 16% o he o iginal o es co e emain (RIBEIRO ET AL. 2009). Figu e 3.1: The Guapiaçu-Macacu wa e shed wi hin he s a e o Rio de Janei o Sou ce: Modi ied om RODRÍGUEZ OSUNA ET AL. (2014) Chap e 3. Me hods 47  Key geog aphical cha ac e is ics o he s a e o Rio de Janei o include s eep moun ains, isola ed inselbe gs,8 a a ied coas al opog aphy, and an asso men o land-co e ypes (NEHREN ET AL. 2013). Remaining o es co e in he s a e o Rio de Janei o and pa icula ly in he GMW (Figu e 3.2) is a ela i ely high al i udes. Fo es co e mos ly emains on s eep slopes ha a e inapp op ia e o ag icul u e, while he oo hills and lowlands a e domina ed by ag icul u al land co e ypes (STROBEL ET AL. 2007; NEHREN ET AL. 2013). In 2008 he land co e /land use composi ion o he GMW consis ed o 48.8% o es co e (in all s ages o g ow h), 41.4% pas u e, 4.4% c op p oduc ion, and 5.4% a combina ion o u ban a eas, wa e bodies, ba e soil, ock ou c op, and mang o e o o he we lands (FIDALGO ET AL. 2008). The soils o he GMW a e he esul o a combina ion o he li hology (gneisses/g ani e) o he highly dissec ed elie , he Holocene clima e, and dense o es co e . The main soil ypes a e cambisols, e alsols, ac isols, lu isols, and gleysols (NEHREN 2008). Allu ial soils ( lu isols) a e especially ound in he plains o he GMW, cambisols a e ound in a eas wi h g ea e elie , and gleysic soils a e ound in he downs eam eaches ha de eloped due o seasonal looding (Figu e 3.3). The e a e ou p incipal na u al ecosys ems in he s udy a ea: opical ain o es (dense omb ophilous o es s); mang o e; ma sh and o he we lands (pionee o ma ions); and highland g asslands (UFF & PETROBRAS 2007). 8 A ec onic upli beginning in he ea ly C e aceous and ending in he Oligocene esul ed in he Se a do Ma and Se a da Man iquei a moun ain anges. The upli was associa ed wi h a ious olcanic in usions and ex ended pe iods o in ense e osion and wea he ing ha esul ing in isola ed inselbe gs and pedimen s among he pediplains ac oss di e en al i udinal g adien s (NEHREN ET AL. 2013). Chap e 3. Me hods 48  Figu e 3.2: Land use in he Guapiaçu-Macacu wa e shed Chap e 3. Me hods 49  Figu e 3.3: Ele a ion and soil classes in he Guapiaçu-Macacu wa e shed Sou ce: FIDALGO ET AL. (2008) & LUMBRERAS (2010). In: PENEDO ET AL. (2011) Mos o he i e s and c eeks in he GMW o igina e in T ês Picos S a e Pa k, wi h he emainde o igina ing in he Se a dos Ó gãos Na ional Pa k and he Pa aíso S a e Ecological S a ion. The Macacu and Guapiaçu i e s o igina e wi hin he s a e pa k and cons i u e he main componen s o his wa e shed (STROBEL ET AL. 2007). The in ake poin o he public wa e supply is loca ed in he lowe GMW a he Imunana channel and is managed by he s a e wa e u ili y company (CEDAE). The Imunana channel joins he Macacu wi h he con luence o Guapiaçu and Guapimi im i e s. The channel was buil in he 1940s o d ain he equen ly looded i e basin o ag icul u e and o mala ia con ol (STROBEL ET AL. 2007). In addi ion o he Imunana channel, he na u al meande ing Chap e 3. Me hods 50  i e channel has been eplaced by s aigh ened, deepened, and ex ended channels ha oge he ha e con ibu ed o he d as ic educ ion o we lands in he wa e shed (DA COSTA ET AL. 2007). The e is egional clima e a ia ion wi hin he GMW. The coas al a ea in he sou hwes expe iences lowe p ecipi a ion a es and highe empe a u es han he moun ain ange in he no heas (PENEDO ET AL. 2011). This is e lec ed among dis inc loca ions: in he s a e o Rio de Janei o a an al i ude o 5 m (asl) he mean annual empe a u e is 23°C and mean annual p ecipi a ion is 1,093 mm; whe eas in No a F ibu go a 856 m (asl) in he moun ains he mean annual empe a u e is 18°C and mean annual p ecipi a ion is 1,246 mm (NEHREN 2008). Mean annual p ecipi a ion ac oss he GMW anges om 1,200 mm o 2,750 mm (ANA 2011), wi h an annual pa e n ha peaks du ing summe (Decembe h ough Feb ua y) and eaches i s minimum alues du ing he win e (June h ough Augus ) (PENEDO ET AL. 2011). In 2010 he e we e a o al o 54,273 inhabi an s in he municipali y o Cachoei as de Macacu in he GMW, gi ing i a popula ion densi y o 56.9 people pe squa e kilome e (IBGE 2010). The e a e a ious domes ic, indus ial, and ag icul u al demands on he wa e supply in he GMW as a esul o he high wa e quali y om he main i e s (STROBEL ET AL. 2007). A new pe ochemical complex (COMPERJ) unde cons uc ion in he lowe eaches o he wa e shed is expec ed o u he inc ease bo h wa e demand and p essu e on na u al esou ces in he s udy a ea (PEDREIRA ET AL. 2009). Th ee sub-wa e sheds o he GMW (Figu e 3.4) a e ea u ed as s udy si es in his esea ch: (I) Manuel Alexand e, (II) Ba a al, and (III) Caboclo. Each o hese sub- wa e sheds con ains di e en combina ions o he p incipal land-co e /land-use ypes ( o es , c op p oduc ion, and pas u e), which oge he accoun o app oxima ely 95% o he o al wa e shed. These h ee GMW sub-wa e sheds wi h signi ican ly di e en composi ions o hese p e ailing land uses we e selec ed o a compa ison o he a iabili y o ag icul u al p o i abili y and he e ec s o land-co e composi ion a iabili y on wa e quali y ( u bidi y). Chap e 3. Me hods 51  Figu e 3.4: Cha ac e is ic landscape ea u es o he h ee Guapiaçu-Macacu sub-wa e sheds: Manuel Alexand e (le ), Ba a al (uppe igh ), and Caboclo (lowe igh ) Sou ce: RODRÍGUEZ OSUNA ET AL. (2014) (I) The Manuel Alexand e sub-wa e shed is a well-p ese ed landscape wi h a high p opo ion o o es co e (87%) loca ed in he Guapiaçu Ecological Rese e (REGUA) (FIDALGO ET AL. 2008; PEDREIRA ET AL. 2009). This GMW sub-wa e shed se ed as a e e ence si e due o he ela i ely undis u bed na u al o es ecosys em. Mos o his sub-wa e shed is p o ec ed by an NGO called REGUA, which is inancially suppo ed by he B azilian A lan ic Fo es T us (BART), an o ganisa ion whose s a ed mission is he p o ec ion o he A lan ic ain o es o he uppe Guapiaçu i e wa e shed. This mission is p ima ily accomplished by pu chasing p ope ies o enla ge exis ing p o ec ed a eas. (II) In 2008 he land-co e composi ion o he Ba a al sub-wa e shed consis ed o a mosaic o o es agmen s (69%), pas u es (28%), and c op p oduc ion (4%) (FIDALGO ET AL. 2008). Pe ennial c ops such as banana p edomina e in he uplands, whe eas annual c ops (cassa a, maize, beans and o he ege ables) a e dominan in he la e lowlands. Fo es agmen s a a a ie y o di e en successional s ages a e ound in highe ele a ion a eas. (III) The p edominan land co e in he Caboclo sub-wa e shed is o es (81%), ollowed by pas u e (14%), and c op p oduc ion (3%) (NAEGELI 2010). Ag icul u al sys ems in he Caboclo s udy si e a e conside ably mo e in ensi e han in he Ba a al sub-wa e shed and Chap e 3. Me hods 52  a e mainly loca ed along he loodplain. Mos o he cul i a ed c ops a e annuals such as maize, cassa a, beans, and o he ege ables. The highe ele a ions o he Caboclo s udy si e a e wi hin T ês Picos S a e Pa k whe e ag icul u al ac i i ies a e es ic ed o he bu e zone. Bo h he Ba a al and Caboclo sub-wa e sheds ha e unde gone simila his o ical exploi a ion cycles ha ha e esul ed in widesp ead de o es a ion, o es agmen a ion, o es deg ada ion, and in ense soil e osion (NEHREN ET AL. 2013). Chap e 3. Me hods 53  Wa e shed se ice supply assessmen me hods 3.2. 3.2.1 Fa ming sys em and oppo uni y cos analyses The collec ion o con ex ual in o ma ion began wi h in o mal con e sa ions wi h local expe s and key in o man s (Figu e 3.5 and Figu e 3.6) in o de o lea n abou gene al local condi ions and p oduc ion pa e ns, and as a basis o he selec ion o ep esen a i e a ms. Essen ial in o ma ion ga he ed h ough his p ocess included: he mos commonly cul i a ed c ops, c op seasonali y and p oduc i i y, li es ock cha ac e is ics, ag icul u al managemen p ac ices, a iabili y o esou ce a ailabili y, and p oduc ion cons ain s (STRÖBEL ET AL. 1987). Figu e 3.5: Fa ming sys em analysis s eps Chap e 3. Me hods 54  Figu e 3.6: P epa a o y wo k o he household su ey e o ha included p esen a ions o local p oduce s on he esea ch sampling goal and s a egies wi h scien is s om Emb apa Soils9 To calcula e he OCs associa ed wi h he p o ision o wa e shed se ices acco ding o he di e en land-use ypes, cos -bene i analyses o he ep esen a i e a ming sys ems in he egion we e pe o med. De ailed indi idual budge s o all ac i i ies o each a ming sys em we e de eloped o his analysis (see BEETS 1990) ha summa ised he e enue 9 Emb apa is he B azilian Company o Ag icul u al Resea ch, a echnological inno a ion company linked o he Minis y o Ag icul u e, Li es ock, and Food Supply ha ocuses on p omo ing knowledge and echnology wi hin B azilian ag icul u e. Wi hin Emb apa he e is an Emb apa Soils uni and speci ically scien is s om he a ea o Geo echnologies and En i onmen al Moni o ing we e in ol ed in his esea ch. Chap e 3. Me hods 55  and cos in o ma ion. The ac i i y budge s we e la e agg ega ed o calcula e he mean a e o e u n o each land-use ype (WBI 2011). C op budge s we e la e compa ed o o icial cu en p oduc ion cos s es ima ed by he Ru al Ex ension and Technical Assis ance Agency (EMATER) o he s a e o Rio de Janei o. The a ge popula ion included households ha p ac iced c op p oduc ion in he Ba a al and Caboclo sub-wa e sheds o he GMW. Household su eys we e conduc ed du ing wo ield isi s in 2011 and 2012 wi h he suppo o key local p oduce s, EMATER o he municipali y o Cachoei as de Macacu, he ci y council, and scien is s om Emb apa Soils. Expe in e iews o he di ec o and o he s a membe s o he REGUA ese e in he Manuel Alexand e sub-wa e shed we e conduc ed o be e unde s and he land-use his o y and managemen p ac ices in he s udy a ea. An in en o y was c ea ed o de ine he sample popula ion using an indi ec census echnique ollowing FORERO (2002). This p ocess consis ed o a pa icipa o y mapping exe cise based on ecen sa elli e image y p o ided by he ci y council o Cachoei as de Macacu. The exe cise pe mi ed he assembly o a lis o all a ms wi hin he GMW sub- wa e sheds o in e es ha was subsequen ly alida ed ia ield isi s and local expe s who included a membe o he ag icul u al depa men o he ci y council (Cachoei as de Macacu), he p esiden o he Fa aó Fa me s Associa ion (ALAF) in Ba a al, a membe o he Ru al Wo ke s Union in Caboclo, and he di ec o o he REGUA ese e in Manuel Alexand e. Thi y- wo households we e iden i ied in Ba a al and 60 households in Caboclo, om which a o al o 78 households wi hin he wo popula ed GMW sub- wa e sheds pa icipa ed in a semi-s uc u ed su ey. No in e iews we e conduc ed in he Manuel Alexand e e e ence sub-wa e shed. The sample size was consis en wi h a minimum sample size o 25–30 households o communi ies wi h 100 o 500 amilies ollowing ANGELSEN ET AL. (2011). Two su ey samples we e conduc ed du ing he cou se o he ieldwo k. The i s su ey sample included andomly selec ed households wi hin each o he GMW sub-wa e sheds o de e mine ep esen a i e a ming sys em cha ac e is ics. Impo an selec ion c i e ia o hese a ming sys ems, as sugges ed by ZIMMER ET AL. (2009) and local expe s, included: a m size, land enu e, p oduc ion and ag icul u al managemen p ac ices, and mean a m al i ude. The design o he i s semi-s uc u ed su ey (Appendix II) conside ed key a iables o a subsequen classi ica ion p ocess, including: in o ma ion on a ming sys em o m, Chap e 4. Resul s and Discussion 62  Table 4.1: Gene al household cha ac e is ics in he Ba a al and Caboclo s udy si es Ba a al (N=32) Caboclo (N=46) Rela ionship o u al p ope y % % Wo k pu poses only 25.0 56.0 Bo h wo k and esidence 63.0 44.0 Basis o land enu e o land-use igh s % % Inhe i ed o p o isional possession ce i ica e 66.0 – Se le s (‘assen ados’ o ‘pa cei os’) – 84.0 Sha ec oppe s (‘meei o’) 19.0 5.0 P ope y keepe (‘casei o’) 9.0 – Ren e (‘a enda á io’) 3.0 – O he 3.0 11.0 Family size % % ≥4 people 87.5 74.0 ≤5 people 12.5 26.0 HH age dis ibu ion % % 15–60 yea s old 65.0 65.0 >60 yea s old 23.0 9.0 >15 yea s old 15.0 26.0 Mean pe cen age o HH membe s wo king in he ag icul u al sec o 46.0 68.0 Mean pe cen age o HH membe s ecei ing income om sou ces o he han ag icul u e 42.0 19.0 P ima y income sou ce Ag icul u e Go e nmen assis ance O - a m employmen O he % 45.0 22.0 30.0 3.0 % 68.3 7.3 21.9 2.4 Mean pa cel size Upland Lowland 1–14 ha 15–50 ha >50 ha % 81.2 12.5 6.2 % 62.5 31.2 6.2 % 100 – – Mean land use Fo es co e C op p oduc ion Pas u e % 54.0 37.9 4.9 % 34.2 47.3 15.9 % Common ese e 72.6 26.6 Dis ance o sub-wa e shed headwa e s 234 m 466 m 1,200 m Chap e 4. Resul s and Discussion 63  Fou ypes o a ming sys ems we e iden i ied in he Ba a al s udy si e and wo ypes we e iden i ied in Caboclo (Table 4.2). In Ba a al 80% o he upland a ming sys ems specialised in banana (Musa sp.) p oduc ion, which was classi ied as FS1. The emaining 20% we e mixed sys ems o cassa a (Maniho sp.) and banana, which we e classi ied as FS2. In he Ba a al lowlands whe e ag icul u e is mo e in ensi e he e we e wo addi ional a ming sys ems classi ied as FS3 and FS4 ha we e equally ep esen ed. The FS3 ca ego y includes mixed p oduc ion sys ems o cassa a, g een maize (Zea mays), yam (Colocasia sp.), and cou ge e (Cucu bi a sp.). The FS4 ca ego y consis s o he same mix o cassa a, g een maize, and yam p oduc ion, bu wi h banana ins ead o cou ge e (Table 4.2). Cassa a is he dominan c op a he Caboclo s udy si e, ollowed by g een maize, yam, and common beans (Phaseolus ulga is). Cassa a, which equi es eigh o nine mon hs om plan ing o ha es , is popula due o i s low inpu equi emen s and ela i ely s able p ices. G een maize equi es g ea e ca e and hus has highe cul i a ion cos s; howe e , i p o ides ela i ely apid e u ns because i may be ha es ed only 90 days a e plan ing. Common beans help imp o e soil e ili y h ough ni ogen ixa ion and complemen o he adi ional c ops. O he sho -cycle c ops g own in he s udy a ea include ok a (Hibiscus esculen us) and gilo (Solanum gilo). The mos common a ming sys em in he Caboclo sub-wa e shed (70%), classi ied as FS5, includes a combina ion o cassa a, yam, common bean, and g een maize p oduc ion. The o he a ming sys em ca ego y in Caboclo was FS6 ( a ian FS6a), which is a combina ion o cassa a, yam, common bean, g een maize, and ok a o gilo p oduc ion (Table 4.2). Typically wo c ops o g een maize, cou ge e, and beans can be cul i a ed each g owing season. Chap e 4. Resul s and Discussion 64  Figu e 4.2: Banana p oduc ion a he Ba a al s udy si e An ag icul u al calenda o he main c ops p oduced in he s udy a ea was gene a ed based on he household su ey esul s. The calenda includes he mos ele an local ag icul u al p oduc ion cha ac e is ics such as c op seasonali y, c op p oduc i i y, and ag ochemical applica ion scheduling (Appendix III). The in o ma ion in eg a ed in o he calenda was highly ele an o he second su ey e o in suppo o he cos -bene i analysis o he a ming sys ems in he s udy a ea and was also used as an essen ial inpu o hyd ological modelling e o s, which a e being ca ied ou in he s udy a ea wi hin he amewo k o he DINARIO p ojec . C op yields and he quan i ies and iming o ag ochemical applica ions se ed as pa ame e s o he GMW hyd ological model.12 12 San iago Penedo and Annika Künne a e comple ing hei PhD esea ch using he J2000-S model de eloped by he F ied ich Schille Uni e si y o Jena, which simula es hyd ological ac o s such as wa e quali y and quan i y, as well as nu ien anspo in he GMW as pa o he DINARIO p ojec . Chap e 4. Resul s and Discussion 65  Ag icul u e in he Ba a al uplands is less in ensi e han he lowlands in e ms o e ilise use (Table 4.2) due o he ac e ilise s a e no used o upland banana p oduc ion. The emo eness o he upland p oduc ion a eas made in ensi e p oduc ion less a ac i e ela i e o he lowlands. Lowland Ba a al ege able p oduce s applied a mean o 240 kg o e ilise pe hec a e annually. O e 70% o he households in Caboclo epo ed using e ilise s o c op p oduc ion a a mean applica ion a e o 547 kg pe hec a e annually. These alues a e consis en wi h he indings o EMATER (Table 4.3). Figu e 4.3: Typical landscapes a he Caboclo s udy si e Chap e 4. Resul s and Discussion 66  Table 4.2: Household c op p oduc ion cha ac e is ics a he Ba a al and Caboclo s udy si es Ba a al Caboclo Upland Lowland Fa ming sys em p opo ions FS1/Banana (80%) FS2/Banana and cassa a (20%) FS3/Cassa a, g een maize, yam, and cou ge e (50%) FS4/Cassa a, yam, g een maize, and banana (50%) FS5/Cassa a, yam, beans, and g een maize (70%) FS6/Cassa a, yam, beans, g een maize, and ok a o gilo (30%) Fe ilise applica ions in mean kg ha–1 130 240 547 Pes icide use (% o HH) 59 44 89 Fe ilise use (% o HH) 31 56 68 Lime applica ions o soil pH ea men (% o HH) 25 44 29 Fe ili y analysis (% o HH) 16% None Mos common pes icides He bicide: ‘Roundup’ (glyphosa e) He bicide: Roundup. O he p oduc s: ‘Decis’ (py e h oid), ‘calda sul ocálcica’ (homemade p oduc wi h insec icidal- ungicidal-aca icidal unc ion) He bicides: Roundup, ‘G amoxone’ (pa aqua ) O he p oduc s: Decis, ‘Kumulus’ ( ungicide) Mos common e ilise s NPK 20–5–20, NPK 4–14–8, and chicken manu e Ca le and poul y manu e, bone meal, NPK 10–10–10, o hophospha e, NPK 4–14–8, u ea, NPK 12–6–12, and NPK 25–20–15 Bone meal (alone o in combina ion wi h he same p oduc s used in Ba a al lowlands) P ima y e ilised c ops Cassa a (occasionally) Mos ege able p oduc ion (cassa a is he only c op ha is no e ilised) All Field p epa a ion Manual labou using hoe (‘enchada’) Mix o manual and mechanical (mic o- ac o o ac o ) Mix o manual and mechanical Li es ock p oduc ion 1–2 mules o hauling ha es ed bananas 13% o HH owned >35 bee ca le 8% o HH owned >27 bee ca le Chap e 4. Resul s and Discussion 67  Table 4.3. Fe ilise applica ion a es o each o he ypical c ops in he Rio de Janei o s udy a ea C op Fe ilisa ion pa e n Quan i y (kg ha-1) Fe ilisa ion Quan i y (kg ha-1) Banana No e ilisa ion – – – Cassa a Applica ion du ing he plan ing pe iod 200 – – G een Maize Applica ion du ing he plan ing pe iod 250 Applied on soil su ace 150 Yam Applica ion du ing he plan ing pe iod 400 Applied on soil su ace 200 Cou ge e Applica ion du ing he plan ing pe iod 900 Applied on soil su ace 900 Gilo Applica ion du ing he plan ing pe iod 900 Applied on soil su ace 900 Ok a Applica ion du ing he plan ing pe iod 300 Beans No e ilisa ion Sou ce: Modi ied om EMATER-RIO (2011a) All households su eyed in he Ba a al uplands epo ed using he bicides o weed con ol. In he Ba a al lowlands a a ie y o ag ochemicals we e used o bo h weed con ol and e ilisa ion. The common use o he bicides could be due o he local sca ci y and high cos o manual labou o weed con ol. The A lan ic Fo es Law (Law 11.428/1986) and B azilian Fo es Code (Law 12.651/2012) impose ce ain limi a ions on ag icul u al p oduc ion. The A lan ic Fo es Law p ohibi s he con e sion o seconda y o es o o he land uses. The collapse o ma ke p ices o banana (~1999–2000) led o he neglec o many banana plan a ions ha subsequen ly de eloped in o seconda y o es ha was la e abandoned en i ely in compliance wi h hese egula ions. In addi ion, he B azilian Fo es Code es ablishes ha o he A lan ic Fo es Biome, 20% o u al p ope ies need o be main ained unde pe manen o es co e as a ‘Rese a Legal.’ The B azilian Fo es Code also p ohibi s clea ing p ima y ege a ion on slopes s eepe han 45°, and along he ma gins and headwa e s o i e s and s eams, which a e classi ied as a eas o pe manen p o ec ion (APPs) (MINISTRY OF ENVIRONMENT 2005). Chap e 4. Resul s and Discussion 68  Si e p epa a ion in he Ba a al uplands was exclusi ely pe o med using manual labou wi h hoes (enchada), which can be easily used on s eep slopes and is pe mi ed unde he A lan ic Fo es Law. In lowland a eas o bo h Ba a al and Caboclo, howe e , a combina ion o manual and mechanised si e p epa a ion me hods p edomina ed (Table 4.4). Typically mechanical p epa a ion was con en ional illing pe o med wi h ei he a ac o o mic o- ac o . Mechanical illage can ei he ely on p i a e se ices o is subsidised by he municipali y. The municipali y only has a limi ed abili y o p o ide his se ice due o he ac ha he e a e only i e ac o s o he en i e municipali y, which is insu icien o mee ing all o he local demand o his se ice (pe s. comm. DA SILVA, 2011). Table 4.4: Key cha ac e is ics o he s udy a ea a ming sys ems in he s a e o Rio de Janei o, B azil Fa ming sys em Main c ops Fa m size (ha) Mean c op p oduc ion a ea (ha) Land enu e Si e p epa a ion me hods Ba a al uplands FS1 Banana 10.3 10.3 Banana Inhe i ance o p o isional (‘posse’) i le Manual FS2 Banana/ Cassa a 10.3 8.3 Banana/2.0 Cassa a Mixed manual and mechanical Ba a al lowlands FS3 Cassa a/ Yam/G een Maize/ Banana 6.0 2.0 Cassa a/2.0 G een Maize/1.0 Yam/1.0 Banana Inhe i ance o p o isional (‘posse’) i le Mechanical FS4 Cassa a/ Yam/G een Maize/ Cou ge e 6.0 2.0 Cassa a/2.0 G een Maize/1.0 Yam/1.0 Cou ge e Mechanical Caboclo (lowland) FS5 Cassa a/ Yam/Beans/ G een Maize 4.0 1.0 Cassa a/1.5 G een Maize/1.0 Yam/0.5 Bean Se le s Mechanical FS6 Cassa a/G e en Maize/ Yam/ Ok a/Gilo/Be an 4.0 1.0 Cassa a/1.5 G een Maize/0.5 Yam/0.5 Ok a o Gilo/0.5 Bean Mechanical The main di e ence in li es ock p oduc ion be ween upland and lowland Ba a al was ha mules we e he dominan li es ock in he uplands due o hei impo an ole in Chap e 4. Resul s and Discussion 69  anspo ing ha es ed bananas om he plan a ions, which a e mos ly loca ed on slopes. In he lowlands o bo h s udy si es a mino i y o households engaged in small-scale (<20) ca le p oduc ion. In he municipali y o Cachoei as de Macacu 95% o he owne s o la ge ca le a ms o ‘ azendas’ li ed o he a ms and only 30% o all p oduce s we e esiden s o he li es ock a ms whe e hey wo ked (pe sonal communica ion, Luiz Eu alio DE ALMEIDA, p esiden o local dai y en e p ise Cia do Lei e Ma apo ã Coop. Ag op. Ind. L da., 2011). Among li es ock p oduce s, a ms unde 20 ha a e conside ed small-scale and a ms abo e 400 ha a e conside ed la ge-scale (pe s. comm. DA SILVA 2011; pe s. comm. DE ALMEIDA 2011). Acco ding o municipal go e nmen ca le accina ion eco ds he en i e egis e ed he d in all h ee dis ic s o he municipali y was 27,995 animals in 2011 (5,026 in Cachoei as, 11,241 in San a Ana de Japuiba, 11,728 in Subaio) (STATE SECRETARIAT OF AGRICULTURE, CATTLE FARMING, FISHERIES & FOOD SUPPLY 2011). Ca le a e usually main ained in la ge, undi ided pas u es. Small-scale li es ock p oduce s a e concen a ed in he nea by se lemen s o Sao José da Boa Mo e, Ma ubaí, and Vecci. Bee ca le p oduc ion is concen a ed among a ew la ge-scale p ope ies. Dai y p oduce s a e concen a ed in he a eas o Papucaia and Ma ubaí whe e he e was a go e nmen dai y p ojec . An impo an cha ac e is ic o bee ca le p oduc i i y is he a e o weigh inc ease, which a ies acco ding o al i ude. Mean annual weigh gain pe head o ca le is be ween 120– 150 kg in he lowlands, compa ed o 40–60 kg in he upland o es ed a eas (pe sonal communica ion, Nicholas LOCKE, REGUA Associa ion Di ec o , 2012). This di e ence is p ima ily due o he di icul ies o main aining pas u es and p oduc i i y in a eas wi h s eep slopes. Se e al ca le p oduce s men ioned expe iencing lowe p oduc i i y (i.e. lowe cal su i al and cal weigh gain a es due o lowe pas u e p oduc i i y) a he highe al i ude pas u es. Addi ional in o ma ion on he use o ag o o es y sys ems, willingness o p oduce o he c ops, and obse a ions abou e osion we e eques ed in he su ey. The su ey esul s we e p o ided o suppo o he scien i ic g oups wi hin he DINARIO p ojec and especially he local p ojec pa ne , Emb apa Soils. This in o ma ion was no included in he analyses p esen ed because i is no highly ele an o he objec i es o his esea ch e o . Chap e 4. Resul s and Discussion 70  Wa e shed se ice supply assessmen : cos -bene i and 4.2. oppo uni y cos s analyses The es ima ed mean annual p o i s pe hec a e o ag icul u al land uses we e 4,115 BRL (1,702 USD) in Ba a al and 5,052 BRL (2,090 USD) in Caboclo (Table 4.5). Rela i e o he highlands, e u ns on ag icul u e end o be highe in he lowlands whe e p oduc ion in ensi y is highe . The e is also g ea e ag icul u al inpu use in he lowlands, especially e ilise use o comme cial c op p oduc ion. P o i s ea ned by ca le p oduce s we e app oxima ely 20, 40 and 100 BRL (8.3, 16.5 and 41.4 USD) pe hec a e annually depending on slope (Table 4.5). In some cases ope a ions belonging in he FS2 g oup (cassa a p oduc ion) in he Ba a al uplands a e no p o i able, which is p ima ily due o he ela i ely high labou equi emen s and low yields. A ea-weigh ed OCs anging om 14 o 1,660 BRL (5.8 o 686.6 USD) pe hec a e in each o he GMW sub-wa e sheds we e spa ially p ojec ed o e he s udy a ea using A cGis so wa e ools (Figu e 4.4). In e ms o a ea, li es ock pas u e is he dominan land use in he GMW. Li es ock p oduc ion had low pe hec a e p o i s ela i e o o he co e ypes. Chap e 4. Resul s and Discussion 71  Table 4.5: Summa y o es ima ed annual p o i s o a ming sys ems in he s udy a ea Main C ops Uni Ba a al Caboclo Pas u e slope ca ego ies* Upland Lowland Lowland FS1 FS2 FS3 FS4 FS5 FS6a FS6b P1 P2 P3 Banana [USD] 394.4 394.4 398.8 Cassa a –541.2 1,602.6 1,602.6 2,122.3 2,122.7 2,122.7 G een Maize (summe ) 961.9 961.9 838.2 838.6 838.6 G een Maize (win e ) 1,394.8 1,394.8 961.9 961.9 961.9 Yam 1,160.7 1,160.7 2,515.0 2,515.0 2,515.0 Cou ge e 1,474.0 Gilo 4,438.9 Ok a 4,094.4 Beans (summe ) 575.7 575.7 575.7 Beans (win e ) 617.5 617.9 617.9 Occu ence [%] 80 20 50 50 70 15 15 Typical a ea by a ming sys em (FS) [ha] 10.3 10.3 6.0 6.0 4.0 4.0 Pe hec a e p o i [USD ha–1] 394.4 213.4 1,579.8 1,759.2 1,983.8 2,181.2 2,224.3 8.1 16.2 40.6 Mean alue ex apola ed o he wa e shed le el [USD ha–1] Macacu Ri e lowlands Guapiaçú Ri e 1,669.4 2,049.5 8.1 16.2 40.6 Sou ce: Modi ied om RODRÍGUEZ OSUNA ET AL. (2014) *Acco ding o he expe in e iews, ca le weigh gains on high slope upland pas u es anged 40–60 kg pe animal in con as o lowland pas u es wi h gains o 120–150 kg; ‡ Upland ag icul u e co e ypes in he Ba a al s udy si e (FS1 and FS2) we e no de ec able by he a ailable land-use classi ica ions (FIDALGO ET AL. 2008; PEDREIRA ET AL. 2009; NAEGELI 2010), he mean pe hec a e annual p o i s o lowland ag icul u e in Ba a al we e applied (FS3 and FS4), esul ing in a mean annual pe hec a e alue o 4,114.8 BRL (1,669.4 USD). Chap e 4. Resul s and Discussion 78  4.2.2 Pe cep ions ega ding wa e quali y and quan i y in he Ba a al, Caboclo, and Manuel Alexand e s udy si es All wa e o household consump ion in he s udy a ea comes di ec ly om headwa e a eas o i e sou ces (EMATER-RIO 2011b). I was also ound ha none o he local households use ea ed wa e o d inking and ha none o he ag icul u al p oduc ion a eas a e i iga ed. All epo ed wa e use was o human consump ion and leisu e. In he s udy a ea all sewage is discha ged di ec ly in o su ace wa e bodies. All o he su ey esponden s in Ba a al conside ed he quali y o his un ea ed wa e o be ‘ e y good.’ All esponden s epo ed ha he e we e no seasonal wa e a ailabili y p oblems, howe e , h ee indi iduals men ioned ha in ecen yea s he amoun o a ailable wa e was educed om June o Augus . Some in e iewees epo ed wa e use o o he ac i i ies such as wa e ing ga dens a home and pos ha es washing o yams, which is a ma ke equi emen . O he esponses ega ding wa e use included selling wa e as ‘bo led wa e ,’ and use o dai y ca le, ish a ming, ene gy gene a ion, and poul y aising. All o he esponden s’ p ope ies we e loca ed close o wa e sou ces. In he Ba a al uplands he mean dis ance om households o hei wa e sou ces was 234 m; while in he lowlands he mean dis ance was 466 m. In Caboclo he mean dis ance be ween households and wa e s sou ces was 1.2 km2. In esponse o an inqui y abou pe cei ed changes in wa e quali y, he mos common esponse in he Ba a al s udy si e (45%) was a pe cei ed dec ease in s eam olume. Some esponden s (21%) epo ed educ ions in he ish popula ions in he i e s, and o he s epo ed changes in he annual ain pa e n (14%). A ew esponden s in Ba a al (7%) epo ed ha wa e quali y had imp o ed due o he local inc ease in o es co e om allow c op p oduc ion and pas u e a eas, while he es epo ed ha hey did no know (14%). Some esponden s, howe e , associa ed pe cei ed dec eases in wa e a ailabili y o he land-co e ansi ion om ag icul u e (p ima ily banana p oduc ion in Ba a al) o o es co e o e p e ious decades. Con a y o he pe cep ions o esponden s in Ba a al, he leading esponse in Caboclo was a pe cei ed inc ease in s eam olume (42%), while 38% epo ed dec eased s eam olume, and he es (21%) epo ed ha hey did no know. Chap e 4. Resul s and Discussion 79  Figu e 4.5: Repo ed pe cep ions on changes in wa e quali y and quan i y in he Ba a al (N=29 esponses) and Caboclo (N=24 esponses) s udy si es Fo y-eigh esponden s a bo h s udy si es epo ed hei pe cep ions ega ding he cause o changes in wa e quali y and quan i y. In Ba a al he pe cei ed educ ion o wa e quan i y was mos commonly a ibu ed (21%) o he inc eased numbe o wa e bo ling companies in he a ea and o sand ex ac ion along he i e channels (8%). Fewe esponden s a ibu ed wa e quali y o quan i y changes o clima e change (4%), de o es a ion (4%), o wa e quali y imp o emen due o inc eased o es co e (4%). The dec ease in ish popula ions was a ibu ed o he cons uc ion o a dam downs eam om he s udy a ea ha does no allow locally popula ish species such as he ‘Piaba’ o a el ups eam o spawn. The emainde o he esponden s could no explain he changes in wa e quali y o chose no o espond (13%). Some indi iduals men ioned ha a posi i e indica o o wa e quali y was he e u n o he i e o e o ‘lon a’ (Lon a longicaudis) o he GMW. In Caboclo dec eased s eam olume was mos commonly associa ed wi h clima e change (23%) ollowed by popula ion g ow h (13%), and some a ibu ed his o he cons uc ion o ec ea ional pools o esiden ial housing in ups eam a eas. The mos commonly (10%) ci ed ac o con ibu ing o he pe cei ed inc eases in s eam olumes was ‘no mo e ca le in he a ea.’ Acco ding o LOCKE (pe s. comm. 2012) he mos impo an changes in he s udy a ea ha a e linked o wa e a ailabili y and quali y o e he pas decades include: de o es a ion, excessi e emo al om sand om i e channels, inc eased e osion due 0 10 20 30 40 50 Dec ease in s eam olume Inc ease in s eam olume Less ish Change in ain pa e ns Be e wa e quali y Do no know % o esponses Response ca ego ies Ba a al Caboclo Chap e 4. Resul s and Discussion 80  he g ea e eloci y o he i e cu en due o he channeliza ion e o s, and he ex ac ion o mine al wa e by bo ling companies (o e 1,000 li es o wa e daily om he Guapiaçu i e ). These ac o s we e also men ioned as de e minan s o wa e quali y and quan i y (pe sonal communica ion, Joseph Edwa ds MATHEWS, local municipal en i onmen al con ol au ho i y di ec o , 2012). The high wa e quali y in his egion is e lec ed by mul i ude o wa e bo ling ini ia i es ha ha e been launched in ecen yea s. The e a e cu en ly 17 wa e -bo ling p ojec s in he a ea, a leas h ee o which a e loca ed along he Guapiaçu i e (pe s. comm. DA SILVA 2011; pe s. comm. LOCKE 2012; pe s. comm. MATHEWS 2012). KOSOY ET AL. (2007) iden i ied misconcep ions among common public pe cep ions (con en ional local wisdom) and scien i ic e idence ega ding he ela ionships be ween o es co e and hyd ology. In hei analyses o local pe cep ions o wa e p o ision based on h ee case s udies in Cen al Ame ica (Hondu as, Nica agua, and Cos a Rica) hey ound ha g ea e o es co e in ups eam a eas was popula ly belie ed o esul in downs eam imp o emen s o bo h wa e quan i y and quali y. JOHNSON & BALTODANO (2004) ound ha he same pe cep ion was common among u al esiden s in o he pa s o La in Ame ica, and his was also ue in opical egions wo ldwide (WILK 2000). None heless scien i ic e idence has shown ha he ela ionship be ween o es co e and wa e quan i y is complex, and ha in some cases inc eased o es co e can lead o lowe downs eam wa e a ailabili y (KOSOY ET AL. 2007). The ela ionship is highly con ex -speci ic; wa e yields om cloud o es headwa e a eas end o be g ea e han hose om mon ane o es s ha a e no in luenced by og and low clouds (BRUIJNZEEL 2005) and empi ical cases in which inc eased o es co e has esul ed in dec eased wa e a ailabili y downs eam (KOSOY ET AL. 2007). Howe e , he e is a gene al consensus on he ela ionship be ween wa e quali y and o es co e ela ionships in e ms o bo h scien i ic e idence and local pe cep ions (KOSOY ET AL. 2007), he e o e PES schemes in ended o imp o e wa e quali y h ough inc eased o es co e ha e a highe likelihood o being e ec i e han schemes ha seek o inc ease wa e a ailabili y (KOSOY ET AL. 2007). The Manuel Alexand e Ri e wa e shed as a e e ence si e 4.3. The GMW sub-wa e shed wi h he highes pe cen age o o es co e is Manuel Alexand e (89%) (FIDALGO ET AL. 2008). This si e includes a p i a e o es ese e wi h limi ed an h opogenic impac , p ima ily in he o m o bi d wa ching ela ed ou ism (Figu e 4.6). This wa e shed lies below he Se a dos O gãos moun ain ange in he s a e o Rio de Chap e 4. Resul s and Discussion 81  Janei o, which is pa o he la ge Se a do Ma ange ha is cha ac e ised by s unning landscapes o idges, peaks, alleys, and lowlands. Pa o his a ea is p o ec ed by he REGUA, a conse a ion non-go e nmen al o ganisa ion (NGO) ha was o med in 2001. REGUA is inancially suppo ed by he B azilian A lan ic Fo es T us (BART), which enables i o pu chase p ope ies om local landowne s (REGUA 2011). Figu e 4.6: Typical ipa ian landscape in he Manuel Alexande Ri e wa e shed REGUA enla ges p o ec ed a eas by pu chasing adjacen p ope ies o by nego ia ing managemen ag eemen s wi h landowne s. REGUA gene a es some income h ough he Bi d Lodge ou ism ope a ions ha p o ide se ices o 1,350 o e nigh gues s and o he day isi o s each yea , bu mos o i s ope a ing cos s a e co e ed by BART unding. REGUA’s e o es a ion ac i i ies a e inancially suppo ed by a B i ish egis e ed cha i y called he Wo ld Land T us (REGUA 2011). P esen ly REGUA owns 7,380 ha o o es and ano he app oxima ely 3,300 ha o o es a e subjec o managemen ag eemen s. The mos signi ican managemen ag eemen in e ms o scale is wi h he be e age company Schinca iol, which owns a la ge o es ed p ope y (2,500 ha) in he hea o he ese e (pe s. comm. LOCKE 2012). The 449 ha Fazenda Manuel Alexande is loca ed in his sub-wa e shed o he GMW, app oxima ely 447 ha o which a e o es ed (pe s. comm. LOCKE 2012). Chap e 4. Resul s and Discussion 82  Vulne abili y o wa e esou ces in he Guapiaçu-Macacu 4.4. wa e shed Wa e esou ce ulne abili y is de e mined by bo h an h opogenic and en i onmen al ac o s (Figu e 4.7). The assessmen o wa e esou ce ulne abili y mus he e o e ely on indica o s ha accu a ely e lec he s a us o hese ac o s. Wi h ega d o en i onmen al s a e indica o s (i.e. geomo phology, hyd ogeology, slope, he a ea co e ed by APP o es agmen s, soils, d ainage densi y, and wa e shed ci cula i y) he highe eaches o he GMW ypically ha e g ea e ulne abili y o an h opogenic p essu e han he lowlands (FERREIRA 2012). An h opogenic p essu e indica o s a e highly in luenced by human popula ion densi y, land-use p ac ices, he numbe and size o u ban se lemen s, oad densi y, and o he ac o s. The GMW sub-wa e sheds wi h mo e se lemen s and la ge human popula ions he e o e ha e ela i ely g ea e an h opogenic impac s. In e ms o popula ion he highe al i ude GMW sub-wa e sheds ha e conside ably lowe impac alues as a esul o less human se lemen (FERREIRA 2012). All ac o s (s a e and p essu e) we e weigh ed based on he esul s o consul a ions wi h hyd ological expe s by FERREIRA (2012) (see Figu e 4.7). Figu e 4.7 shows he ange o wa e esou ce ulne abili y among he GMW sub-wa e sheds wi h he da ke alues indica ing g ea e ulne abili y and he ligh e alues indica ing lowe ulne abili y. The leas ulne able GMW sub-wa e sheds a e in he lowe eaches and one o hese is a p o ec ed na u al a ea subjec o land-use es ic ions. Chap e 4. Resul s and Discussion 83  Figu e 4.7: Wa e esou ce ulne abili y among he sub-wa e sheds o he Guapiaçu-Macacu wa e shed Sou ce: RODRÍGUEZ OSUNA ET AL. (2014) Chap e 4. Resul s and Discussion 84  Analysis o en i onmen al and economic c i e ia o 4.5. wa e shed se ice conse a ion and imp o emen in he Guapiaçu-Macacu wa e shed Resul s o he analyses o en i onmen al ( ulne abili y o wa e esou ces) and economic c i e ia (OCs o wa e shed se ice p o ision) in he GMW (Figu e 4.8) we e used o p io i ise sub-wa e sheds acco ding o hei po en ial o wa e shed se ice conse a ion and imp o emen . The a ge a eas iden i ied ha e he g ea es po en ial o imp o ing wa e quali y h ough land-use con e sion ( ypically pas u e o c op p oduc ion a eas o o es ) and he lowes OCs (Figu e 4.8). Mos o he highe p io i y sub-wa e sheds ha e slopes ha a e s eepe han he mean slope alues in he s udy a ea. Chap e 4. Resul s and Discussion 85  Figu e 4.8: P io i isa ion o he sub-wa e sheds o he Guapiaçu-Macacu wa e shed o imp o ing o main aining wa e shed se ices Sou ce: RODRÍGUEZ OSUNA ET AL. (2014) Chap e 4. Resul s and Discussion 86  Demand o wa e shed se ices in he Guapiaçu-Macacu 4.6. wa e shed: wa e ea men Acco ding o mic o-economic heo y he demand o wa e ea men chemicals by wa e u ili y companies was expec ed o e lec hei WTP o wa e quali y, in his case u bidi y alues unde 5 Nephelome ic Tu bidi y Uni s (NTU) as he speci ied h eshold o human consump ion. Thus he ea men cos o each addi ional uni o u bidi y e lec s a company’s po en ial WTP o measu es ha educe u bidi y by an equal uni (see desc ip ion o he a oided cos me hod in PERMAN ET AL. 2003). The a oided cos me hod was applied o he local wa e u ili y company in o ma ion based on expe in e iews and ele an s udies (DEARMONT ET AL. 1988; REIS 2004; MEDEIROS ET AL. 2011). Tu bidi y was iden i ied as he key wa e quali y pa ame e wi h espec o ea men cos s. The main wa e ea men cha ac e is ics a e p esen ed in Figu e 4.9. Figu e 4.9: The Imunana channel is he main sou ce o he public wa e supply in he Guapiaçu- Macacu wa e shed Chap e 4. Resul s and Discussion 87  Table 4.6: Wa e u ili y in ake cha ac e is ics in he lowe Guapiaçu-Macacu wa e shed La anjal T ea men Uni (CEDAE) Municipali y o São Gonçalo D ainage a ea 1,263 km2 Fo es co e in he wa e shed 48.8 % T ea men ype Con en ional Gene al ea men phases* Cap i a ion, sedimen a ion, coagula ion, loccula ion, decan a ion, il a ion, disin ec ion, wa e luo ida ion, and pH co ec ion T ea ed wa e low A e age low in 2011 was 5.35 m3s–1 Popula ion supplied wi h po able wa e 2,000,000 Gene al chemical p oduc s used Aluminium sulpha e Al2(SO4)3; polyelec oly e, hexa luo osilicic acid H2SIF6; chlo ine Cl; calcium oxide CaO Chemical wa e ea men cos s (in 2011) 2.31 x 106 BRL (955,426.00 USD) P e- ea men wa e u bidi y, mean alue 17.10 NTU T ea ed wa e cha ac e is ics Colou : 2.50 uH Tu bidi y: 0.34 NTU To al chemical and elec ici y cos s o he wa e ea men uni Fo he ea men o 6 m3s – 1:  300,000 BRL (124,081 USD) = mon hly chemical expendi u es  100,000 BRL (41,360 USD) = mon hly elec ici y expendi u es o cap i a ion and p oduc ion Sou ce: Modi ied om RODRÍGUEZ OSUNA ET AL. (2014) *Fo u he in o ma ion on he wa e ea men p ocess see: h p://wa e .epa.go /laws egs/guidance/ sdwa/upload/2009_08_28_sdwa_ s_30ann_ ea men _web.pd The a oided cos s o a 1% educ ion in u bidi y we e es ima ed a 15,510 BRL (6,415 USD) a yea based on a mean annual ea ed wa e olume o 174,545 m3 and a mean cos o 22.2 BRL (9.2 USD) pe 1,000 m3 (Table 4.8) using CEDAE da a o he 1998– 2011 pe iod (Table 4.7). In 2001 he mean minimum u bidi y alue was 17.1 NTU and he maximum u bidi y alue in 2004 was 32.2 NTU (Table 4.7). The Pea son co ela ion coe icien o mean annual u bidi y le els and chemical ea men cos s o he 1998– 2011 pe iod was 0.4. Rela i e o o he s udies in B azil his co ela ion alue is low. The co ela ion alue o se en wa e ea men uni s in São Paulo was 0.7 (REIS 2004) and he alue based on a compa ison o 10 wa e sheds and hei ea men cos s in São Paulo was 0.9 (CABRAL DE SOUSA 2011). Chap e 4. Resul s and Discussion 94  Ce ain li es ock and g azing managemen p ac ices a e mo e likely o comp omise wa e quali y o he poin ha i is deg aded and unable o mee wa e quali y s anda ds (EPA 2013). Excluding li es ock om ipa ian a eas and imp o ing g azing managemen p ac ices ha e been shown o con ibu e o educed u bidi y in s eams (EPA 2013). Sil opas o al p ac ices can o e o he on-si e bene i s such as imp o ing pas u e p oduc i i y by cycling nu ien s and wa e om soil ho izons ha a e un eachable o he oo sys ems o g asses (PAGIOLA ET AL. 2007). Sil opas o al p ac ices also o e o he di ec bene i s such as p o iding odde , uel wood, ui , and imbe . Inc eased shade esul ing om sil opas o al p ac ices has been shown o educe he mal s ess on ca le and can inc ease li es ock p oduc i i y, pa icula ly dai y p oduc ion h ough imp o ed soil e ili y and he nu i ional con en o o age (PAGIOLA ET AL. 2007). Sil opas o al p ac ices also o e o he bene i s such as inc eased biological di e si y and ca bon seques a ion (PAGIOLA ET AL. 2007). Despi e he ac ha he WTP o he wa e u ili y company ails o mee he es ima ed OCs o con e ing p oduc i e land uses o o es co e , i may be possible o p ocu e addi ional con ibu ions om o he wa e use s ha could be conside ed in he design o a PWS scheme o his wa e shed. Fo example, one well-known case o p o iding incen i es o he applica ion o p ac ices o imp o e wa e quali y among ca le a me s by a wa e bo ling company, is Vi el in F ance, whe e he company pays p oduce s o implemen ipa ian p o ec ion p ac ices in wa e sheds whe e he company sou ces wa e ha is bo led and sold (PERROT-MAÎTRE 2006). A e his “Vi el expe ience,” o he F ench wa e bo le s such as E ian and Vol ic ollowed his ini ia i e (PERROT-MAÎTRE & DAVIS 2001). One impo an po en ial s akeholde is COMPERJ, he Rio de Janei o pe ochemical complex, which will consume la ge quan i ies o wa e . Ano he impo an ea u e o his assessmen was he ac ha u bidi y le els we e he sole basis o de e mining wa e quali y because his se ice is ele an o wa e consume s downs eam. This app oach is suppo ed, howe e , by o he esea ch e o s (LELE 2009) on he basis ha i is ele an o es ima ing wa e shed se ice alues o speci ic land uses only when conside ing he e ec on human wel a e o downs eam wa e consume s. Conside a ion o addi ional ecosys em se ices p o ided by o es s may inc ease he po en ial WTP o implemen ing PWS schemes in his egion. The demand es ima es we e based on he esul s o an assessmen o he WTP o wa e quali y imp o emen in e ms o u bidi y by he wa e u ili y company CEDAE. O he esea ch e o s in La in Ame ica ha e ound his app oach o be help ul o he design o wa e shed paymen schemes (MARTINEZ DE ANGUITA ET AL. 2011; PAGIOLA ET AL. Chap e 4. Resul s and Discussion 95  2010; MARTIN-ORTEGA ET AL. 2012; GARCÍA-NIETO ET AL. 2013). The applica ion o a modi ied e sion o an exis ing modelling package, such as SWAT, was p ac ical o he scope o o he esea ch e o s (see QUINTERO ET AL. 2009; MARTINEZ DE ANGUITA ET AL. 2011), bu was conside ed o yield unsui able esul s o his esea ch based on consul a ions wi h local hyd ologis s. Imp o ing ou unde s anding o he ela ionships be ween wa e quali y dynamics and land use is one o he g ea es challenges in ecosys em se ices esea ch (DE GROOT ET AL. 2010). Quan i ica ion o he wa e quali y imp o emen s esul ing om speci ic land-use changes was no possible wi hou a mo e comp ehensi e hyd ological model and mus be le o u u e esea ch e o s. Fo es ecosys ems gene a e a numbe o o he se ices in addi ion o wa e shed p o ec ion such as ca bon seques a ion and s o age, biodi e si y p o ec ion, and con ibu ing o he aes he ic quali y o landscapes. Such a combina ion o ecosys em se ices is also p o ided in he s udy a ea, howe e , his was no add essed in his s udy, an omission ha has been subjec o c i icism by some au ho s (KOSOY & CORBERA 2010). The esul s ob ained in his esea ch we e in ended o suppo e o s o demons a e he alue o he se ice p o ided and o p o ide ele an in o ma ion (in he o m o OCs) a he han o de e mine a de ini i e ‘p ice’ o wa e shed se ices. G ea e unde s anding o he alue o wa e shed se ices can p o ide a basis o he design o o he p og ammes such as REDD+ ini ia i es ha conside he implica ions o educing ca bon emissions on he basis o land use and de e mining o he co-bene i s such as biodi e si y conse a ion (KAROUSAKIS 2009). The OCs o land-use ansi ion de i ed h ough his esea ch can acili a e he cos e ec i e alloca ion o limi ed inancial esou ces o u u e e o s o implemen wa e shed p o ec ion p ojec s (KAROUSAKIS 2009; WBI 2011). Chap e 5. Conclusions and Ou look 96  5. Conclusions and Ou look This esea ch showed how spa ially explici economic da a combined wi h spa ially explici ecological da a can p o ide aluable insigh in o he easibili y o implemen ing PES schemes a he wa e shed scale based on inno a i e ield esea ch in he GMW in he s a e o Rio de Janei o, B azil. Assessing he economic scope o incen i e-based wa e shed managemen equi es knowledge o bo h he cos s o p o iding addi ional wa e shed se ices h ough land-use and land-co e change (se ice supply), and he WTP (demand) o such se ices. This s udy quan i ied hese wo p e equisi e inpu s o enable an in o med decision-making p ocess in he con ex o he GMW. Fi e p ima y conclusions eme ged om his esea ch. 1) The economic cos s o con e ing cu en land uses o o es co e ac oss a ming sys ems o he GMW we e e lec ed by es ima es o he OCs o land-use ansi ion o he imp o emen o wa e quali y. The OCs anged om 4,000–5,000 BRL (1,623–2,028 USD) pe hec a e o c op p oduc ion a eas and less han 100 BRL (40.6 USD) o pas u es (Table 4.5). The ac ual OCs pe hec a e in many sub- wa e sheds, howe e , a e likely o be lowe , speci ically i a ge ed pas u e a eas a e adjacen o i e s and headwa e s (Figu e 4.4). The es ima ion o OCs was based on he iden i ica ion and analysis o six exis ing a ming sys ems wi hin he s udy a ea in he Ba a al and Caboclo sub-wa e sheds o he GMW wi h si e- speci ic cha ac e is ics and economic de e minan s o p o i abili y (Table 4.4 and Table 4.5). 2) In gene al e ms he main di e ences be ween he wo s udy si es (Ba a al and Caboclo) we e ela ed o land enu e and land use. In Ba a al mos land was ei he inhe i ed o bes owed o a me s ia a p o isional land i le o sha ec opping ag eemen , whe eas in Caboclo mos a me s li ed wi hin a local se lemen ha main ains a common o es ese e (Table 4.1). Fa ming sys ems in Ba a al we e di ided in o upland and lowland sys ems due o clea exis ing al i udinal di e ences in ag icul u al sys ems; mos upland c op p oduc ion was ocused on banana p oduc ion, whe eas lowland sys ems included a mix o banana, cassa a, g een maize, and cou ge e. All o he a ming sys ems a he Caboclo si e we e loca ed in he lowlands, whe e a simila mix u e o c ops was p oduced in addi ion o c ops such as beans, gilo, and ok a. In ensi e use o e ilise s was much mo e common in he Caboclo lowlands (547 kg ha-1) compa ed o he Ba a al lowlands (240 kg ha-1). Chap e 5. Conclusions and Ou look 97  3) Local pe cep ions o land-use change o e he las decade we e mos ly associa ed wi h he ansi ion om pas u e o c opland o o es in Ba a al, while in Caboclo he p ominen change was om pas u e o c opland. In he Manuel Alexand e sub- wa e shed o he GMW, which was used as a e e ence si e, he ansi ion o pas u e o o es was he p edominan change in land use. Rega ding wa e quali y and quan i y changes o e he las decade, some a me s pe cei ed a dec ease in s eam olume whe eas o he s pe cei ed an inc ease in s eam olume. Few a me s iden i ied any imp o emen in wa e quali y. The leading pe cei ed causes o hese ‘changes’ a ied om he ex ac ion o wa e by wa e -bo ling companies, he emo al o sand om deposi s along he i e , clima e change, and popula ion g ow h. Conside ing disc epancies in local pe cep ions and aising awa eness o he en i onmen al implica ions o land and wa e esou ce managemen and hei bene i s a e impo an s eps owa ds assu ing he success o u u e wa e shed p o ec ion e o s in he s udy a ea. 4) Key en i onmen al condi ions ha in luenced he p o ision o wa e shed se ices (wa e quali y) o he public wa e supply included wa e esou ce ulne abili y (FERREIRA 2012), whe ein bo h an h opogenic and en i onmen al indica o s we e assessed. When only en i onmen al s a e indica o s we e conside ed, sub- wa e sheds o he GMW a highe al i udes ended o be mo e ulne able o an h opogenic p essu e han hose in he lowlands. Sub-wa e sheds o he GMW wi h ela i ely high le els o exis ing an h opogenic p essu e we e hose wi h highe densi ies o u ban se lemen s and u al popula ion nuclei (Figu e 4.7). 5) The analysis o ecosys em se ice demand (wa e quali y) iden i ied u bidi y as he key wa e quali y pa ame e ele an o wa e ea men cos s. The analysis o he cos s o u bidi y educ ion o CEDAE o e he 1998–2011 pe iod e ealed mean u bidi y alues o p e- ea ed wa e a 25.0 NTU wi h a minimum o 17.1 NTU and a maximum o 32.2 NTU. The mean wa e ea men cos o 1,000 m3 wa e o CEDAE a ied om 19.3–29.7 BRL (7.8–12.0 USD) (Table 4.7). Based on hese da a he a oided cos s o CEDAE we e es ima ed a 15,510 BRL (6,415.0 USD) pe each addi ional 1% educ ion in u bidi y le els a he in ake poin o he public wa e u ili y ea men plan (maximum WTP). The indings con i med he main esea ch hypo hesis ha he cos o con e ing cu en land uses o o es co e ac oss he a ming sys ems in he GMW (ecosys em se ice supply) is highe han wha he wa e shed se ice bene icia y (CEDAE) would be willing o Chap e 5. Conclusions and Ou look 98  pay (ecosys em se ice demand). Wi h ega d o supply, he es ima ed OCs o land-use con e sion anged 4,000–5,000 BRL (1,654.4 and 2,068.0 USD) pe hec a e o c opland and <100 BRL (<40.6 USD) pe hec a e o pas u es. Among he GMW sub-wa e sheds, hose wi h a high p opo ion o pas u e and a low p opo ion o c opland had ela i ely low a ea-weigh ed mean OCs and ice e sa. Wi h ega d o demand, he assessmen o wa e ea men cos s ound ha a 1% educ ion in wa e u bidi y le els had a mean alue o 15,510 BRL (6,415.0 USD) o he wa e u ili y company (CEDAE). The highes p io i y a eas o wa e shed se ice (wa e quali y) conse a ion and imp o emen (in e en ion) we e ound o be he land-use op ions (i.e. con e sion o pas u e o c op p oduc ion a eas o o es ) wi h he highes po en ial o imp o ing wa e quali y (highes ulne abili y o wa e esou ces) and he lowes OCs (Figu e 4.8). Only a ela i ely small p opo ion o he wa e shed was c opland (5,560 ha) whe eas he a eas co e ed by pas u e (52,374 ha) and o es (61,665 ha) we e much la ge . Howe e he a ea ep esen ed by c opland is conside able and has he po en ial o a ec he desi ed wa e shed se ices and, as a esul , he ela i ely high OCs o his land-use ca ego y becomes a c i ical limi a ion o s a egies o incen i ising land-use change o he imp o emen o wa e quali y. This s udy es ima ed he cos s in ol ed in bo h he supply and demand o wa e quali y main enance and imp o emen , and iden i ied p io i y a eas o he supply o p o ision o he desi ed wa e shed se ice in o de o a ge wa e shed managemen measu es o suppo he design and implemen a ion o PES o PWS compensa ion schemes. Based on he esea ch indings PWS is no conside ed he mos cos -e ec i e op ion o enhancing wa e quali y wi h espec o u bidi y compa ed o al e na i e wa e shed managemen op ions, howe e , some easible op ions we e iden i ied. Gi en he spa ial dis ibu ion o pas u es and ela i ely high in ensi y c op ag icul u e in he wa e shed, i was ound ha paymen s o o es ecupe a ion a e likely o only be cos -e ec i e in sub-wa e sheds o he GMW wi h ela i ely high p opo ions o pas u e co e . Those sub-wa e sheds wi h high p opo ions o pas u e ha also exhibi highe le els o wa e esou ce ulne abili y ep esen high p io i y a eas o wa e shed managemen in e en ions (Figu e 4.8). In hese a eas managemen e o s such as he implemen a ion o sil opas o al p ac ices and es ic ing li es ock access o ipa ian a eas a e much mo e likely o p o ide conside able wa e quali y bene i s. In addi ion, sus ainable ag icul u al and soil conse a ion p ac ices can b ing addi ional bene i s by educing and a oiding sedimen a ion and e osion, which in u n imp o e wa e quali y. Chap e 5. Conclusions and Ou look 99  This s udy will con ibu e aluable da a o local ins i u ions ha p o ide echnical assis ance o a me s in he s udy a ea due o he pauci y o local in o ma ion a ailable o hem. This was made possible due o he in ol emen o he mos impo an local ins i u ions and hei suppo du ing he su ey phases o his esea ch. Fu he mo e, a ming sys em analyses deli e ed key inpu s o o he scien i ic g oups wo king wi h he Ge man-B azilian DINARIO p ojec , especially hose wo king on wa e quali y and quan i y modelling, who a e cu en ly pa ame e ising he a ming sys ems analysis esul s so ha hey can be inco po a ed in o a comp ehensi e hyd ological model o wa e quali y and quan i y ha is unde de elopmen o he GMW. In addi ion, ele an in o ma ion was sha ed wi h local scien is s a Emb apa soils who suppo ed he su ey e o s and who a e al eady bene i ing om he cha ac e isa ion o cu en ag icul u al managemen p ac ices. This is a s a ing poin o he deli e y o in o ma ion o local p oduce s on how o imp o e cu en p oduc ion sys ems and implemen mo e sus ainable ag icul u al managemen p ac ices ha a e a ou able o wa e shed p o ec ion based on conside a ion o he ele an cos s in ol ed in implemen ing such changes. The esul s o his s udy may also p o e use ul o long- e m wa e shed conse a ion ini ia i es such as Rio Ru al, a p ojec unded by he Wo ld Bank and execu ed by he Rio de Janei o S a e Sec e a y o Ag icul u e and Li es ock (GOVERNO DO BRASIL 2013). This and many o he ini ia i es in he A lan ic Fo es egion e lec he conside able in e es in incen i e-based wa e shed managemen app oaches. Fu he mo e, B azilian legisla ion such as he B azilian Na ional Law on Wa e Resou ces (Law No. 9433/97), allow o he es ablishmen o wa e shed se ice ma ke s and pe mi cha ging pollu e s o consume s o wa e use (VEIGA 2008). Equally ele an is he mo e ecen Law 9985/ 2000 o ‘SNUC’ ha adop s he p o ec o - ecei e p inciple, which allows o ewa ds in exchange o esponsible na u al esou ce s ewa dship (STROBEL ET AL. 2007). Funding o incen i e-based wa e shed managemen may be de i ed om B azil’s ecological ax sys em, which compensa es dis ic s o conse a ion cos s based on he alue-added ax (ICMS) in addi ion o o he sou ces (VEIGA 2008; MARQUES 2009). The s udy a ea e lec s wa e shed managemen issues ha a e ypical ac oss many pa s o he A lan ic Fo es egion, which is cha ac e ised by di e se ag icul u al mosaics and hus has highly a iable OCs. Whe e e in ensi ely used c opland domina es he ulne able zones o la ge wa e sheds, land-use planne s will ind i di icul o ely solely on he use o PWS schemes. E ec i e wa e shed managemen ini ia i es will hen need o be combined wi h enhanced moni o ing and en o cemen ac i i ies in o de o ensu e compliance wi h he B azilian Fo es Law, pa icula ly wi h ega d o ipa ian o es s. Chap e 5. Conclusions and Ou look 100  As emphasized by Ge many’s ede al Minis y o he En i onmen and he Eu opean Commission h ough TEEB, an economic app oach o add ess en i onmen al conce ns can suppo decision make s o de ine he mos app op ia e use o limi ed na u al esou ces a all le els (TEEB 2010b). This esea ch is consis en wi h he TEEB app oach whe e i is emphasised o concen a e e o s: 1) o p o ide in o ma ion abou cos s and bene i s; 2) c ea e a common language o policymake s, businesses, and he public ha allow na u al capi al o be widely accoun ed o decision making; 3) highligh he chances o “wo k wi h na u e” (by assessing he cos -e ec i eness o p o iding aluable ecosys em se ices); 4) emphasise he u gency o ac ion by indica ing whe e and when p e en ing biodi e si y loss is mo e cos -e ec i e han es o a ion o eplacemen ; and 5) gene a ing in o ma ion abou alue ha a e ele an o he design o policy incen i es including (PWS schemes) (TEEB 2010b). Mo eo e , his esea ch can se e o s eng hen he science-policy in e ace since i can deli e conc e e science-based inpu s o local decision make s o suppo mo e sus ainable managemen o wa e shed se ices (IPBES 2013). Resea ch designed wi h a bo om-up app oach ha quan i ies he po en ial compliance cos s o land use s can p o ide a clea bene i o policy make s by acili a ing he a ge ing o bo h incen i es and disincen i es in a cos -e ec i e manne . Chap e 6. Re e ences 101  6. Re e ences ANA (AGÊNCIA NACIONAL DE ÁGUAS) (2011): Po al do Sis ema Nacional de In o mações sob e Recu sos Híd icos (SNIRH). A ailable a : h p://www.ana.go .b /po alsni h/ Accessed 10 Jun 2014 ANGELSEN, A., H.O. LARSEN & J. LUND (2011): Measu ing li elihoods and en i onmen al dependence: Me hods o esea ch and ieldwo k. Rou ledge, London, UK ARRIAGADA, R.A. & C. PERRINGS (2009): Making Paymen s o Ecosys em Se ices Wo k: An E alua ion o he E ec i eness o PES Schemes. 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Summa y o PWS p og ammes in he A lan ic Fo es , B azil  Appendix I. Summa y o PWS p og ammes in he A lan ic Fo es , B azil An o e iew o cu en PWS schemes in he A lan ic Fo es is p esen ed in he ollowing ables acco ding o he alua ion me hod used, he alue paid, ele an de ailed case s udies, limi a ions, and ecommenda ions o PWS schemes in he A lan ic Fo es egion. These e o s include he p og amme o paymen s o es o ing ipa ian a eas in São Paulo, he Wa e Conse e p ojec , he Wa e P oduce p ojec , he P oduce s o Wa e and Fo es s p ojec , and he Economic Valua ion o wa e p ices in T ês Picos S a e Pa k. Appendix I. Summa y o PWS p og ammes in he A lan ic Fo es , B azil 1  O e iew o cu en PWS p og ammes in he A lan ic Fo es o B azil P ojec Name FU1 Valua ion Type PWS Value In Execu ion: Depa amen o de Meio Ambien e de Ex ema - Conse ado de Águas MG To al alua ion comp ises he local OCs and he o al p ope y size 176 BRL ha-1 y -1 Value based in a UFEX (Unidade Fiscal do Município de Ex ema), in Ma ch 2010. Ana/TNC - P odu o de Água, Bacia PCJ SP Acco ding o model o he P og amme “Wa e P oduce o ANA”: BRL 25-125 ha-1 y -1 PAE = 100 (1- Z1 / Zo) Th ee paymen ca ego ies: Whe e:  conse a ion p ac ices (25-75 BRL ha-1 y -1); PAE a ies depending on soil managemen  es o a ion o ipa ian o es wi h wo classes (83-125 BRL ha-1 y -1); Z = a e e e ence alues o e osion aba emen  conse a ion o ipa ian o es s (42-125 BRL ha-1 y -1) acco ding he le el o engagemen o he p oduce and he successional s age o he o es  Ins i u o Te a - P odu o es de Água e Flo es as – Bacia Guandu RJ Va iables conside ed o he paymen calcula ion: 10-60 BRL ha-1 y -1 1) A eas o be es o ed (APPs and wa e in e cep ion a eas in wo s a es) 2) Conse a ion a eas (a eas su ounding he conse a ion uni s; succession s age o ege a ion; le el o engagemen o p oduce s in he es o a ion and i ing wi hin he p io i y a eas o he wa e se ice Local OC se ed as basis o he de e mina ion o he abo e men ioned weighed ac o s. Appendix I. Summa y o PWS p og ammes in he A lan ic Fo es , B azil 2  P ojec Name FU1 Valua ion Type PWS Value In Execu ion: Ins i u o BioA lân ica/ IEMA - P odu o ES de Água – Bacia Bene en e ES Fo mula comp ises he c i e ia: slope, egene a ion s age o he o es and OCs: 80-340 BRL ha-1 y -1 (max. alues es ablished in 510 VRTEs2 (A icle 3° o Law 8.995/2009) VS h = 200 x VRTE x (1-Z) x K whe e: VS h = en i onmen al se ice alue o he conse a ion and imp o emen o wa e quali y and a ailabili y in BRL ha-1 y -1; VRTE = uni o he e e ence alues o he S a e T easu y Z = coe icien o e osi e po en ial e e ed o he s age o de elopmen o he o es de ined by: he s age o ini ial egene a ion, seconda y ini ial, p ima y, seconda y media ad anced; K = coe icien o opog aphic adjus men de ined by he slope anges. IEMA - P odu o Es de Água – Bacia Guandu ES Fo mula comp ises he c i e ia: slope, egene a ion s age o he o es and OCs 80-340 BRL ha-1 y -1 Fundação Bo icá io de P o eção à Na u eza - Oásis SP Valua ion o he eposi ion cos conside ing he conse a ion o he a eas and he index o he sp ings alua ion (IVM: Índice de Valo ação de Mananciais). 75-370 BRL ha-1 o conse ed na u al a ea Paymen wi h g ea e alue o he p ese ed a eas. Th ee c i e ia a e used:  Wa e p oduc ion and s o age (99 BRL ha-1y -1);  E osion con ol (75 BRL ha-1y -1) and  Wa e quali y main enance (196 BRL ha-1y -1)–max. alue 370 BRL ha-1y -1)  9  P odu o es de Água e Flo es as / P oduce s o wa e and o es s Ca ego y: Execu ion In e en ion ype Fo es es o a ion in APPs and a eas o wa e in e cep ion; o es conse a ion & u al sani a ion Loca ion Scope In es men cos s (BRL) Sou ce o unding Legal Base Time ame Bene icia ies Moni o ing Municipali y o Rio Cla o, S a e o Rio de Janei o Wa e shed: o he Guandu Ri e wi hin he biodi e si y co ido o Tinguá-Bocaina Mic o-wa e sheds: Das Ped as Ri e wi hin he dis ic o Lídice: 5,227 ha including main sp ings o Pi aí i e ( esponsible o un il 15% o wa e esou ces a ailable in he Guandu sys em). A ea o be conse ed: 3,342 ha A ea o be es o ed: 3,677 ha To al a ea: 3,677 ha Fo es es o a ion; o es conse a ion and u al sani a ion: 1.9 million BRL y -1: 1 million yea ly as ini ial cos s + 648,908.40 main enance cos s Coo dina ion = 107.19 BRL ha-1 Res o a ion= 13,820 BRL ha-1 Conse a ion = 108.70 BRL ha-1 Wa e use cha ge – CBH Guandu Fede al Law: 9.433/97; S a e Law 3.239/99, legal base o he wa e use cha ge wi hin he RJ S a e; Law 5.234/08 ha modi ies A icle 27 o he Law 3.239/99. PL o S a e based PES in discussion 2009–end is no ye known (min. o 5 yea s) A ound 8 million people in he me opoli an a ea o Rio de Janei o Nine wa e quali y pa ame e s in addi ion o p ecipi a ion, low and discha ge, ic ho auna and a i auna indica o s De ailed desc ip ion o p ojec V alua ion o he se ice Con ex : This p ojec is ca ied on wi hin he amewo k o s a e and ede al policies o he cha ge o wa e use and he incen i es o he conse a ion o wa e sheds. Ins i u ional a angemen : Con ac s be ween u al p oduce s and FAPUR (Founda ion ha is esponsible o he execu ion o con ac s o he CBH Guandu. Annual con ac s ha can be enewed o a minimal pe iod o i e yea s. Paymen s a e done e e y six mon hs. Pa icipan s: 18 small and medium size u al p oduce s (mean income: 72% un il wo minimum wages; mean p ope y size: 79% smalle han 100 ha. Pa ne s:  SEA/INEA–Inpu s o es o a ion  CBH Guandu: Paymen s o he p oduce s p o iding he en i onmen al se ices  Ins i u o Te a: ins i u ional a icula ion, coo dina ion and execu ion o ield ac ions  TNC: ins i u ional, echnical and scien i ic suppo ; inancial pa ial suppo o he es o a ion/conse a ion ac ions  Ci y Hall o Rio Cla o: p o ision o local headqua e s and local suppo  UGP: gene al p ojec and decision making coo dina ion (all pa ne s). 10-60 BRL ha-1 y -1 Va iables conside ed o he paymen calcula ion: 1) A eas o be es o ed (APPs and wa e in e cep ion a eas in wo s a es: well p ese ed and medium p ese ed 2) Conse a ion a eas (a eas su ounding he conse a ion uni s; succession s age o ege a ion; le el o engagemen o p oduce s in he es o a ion and i ing wi hin he p io i y a eas o he wa e se ice Local oppo uni y cos se ed as basis o he de e mina ion o such alues, weighed by he ac o s men ioned abo e.  10  Economic alua ion o p icing wa e - T ês Picos S a e Pa k (p ojec concep ) The Conse a ion S a egy Fund (CSF) de eloped a concep o es ablishing he p ice o wa e coming om T ês Picos S a e Pa k. Besides p o ec ing a ious endemic species h ea ened in his biome, his pa k in he moun ain ange o he Rio de Janei o S a e is esponsible o he p o ec ion o sp ings ha supply mo e han 1.7 million inhabi an s close o he ci y o Rio de Janei o (STROBEL ET AL. 2007). The s udy has i e pa s: 1) es ima ing he cos o gua an eeing he hyd ological p o ec ion a o ded by he pa k; 2) es ima ing he pa k’s con ibu ion o wa e used by he main consume s; 3) de ini ion o economic c i e ia ele an o he alloca ion o p o ec ion cos s among consume s; 4) p oposal o h ee al e na i e p icing scena ios and 5) desc ip ion o an ins i u ional a angemen o go e n he paymen sys em (STROBEL ET AL. 2007). In o de o es ima e he p o ec ion cos s o he pa k, only hose associa ed o sa egua d wa e esou ces we e aken in o accoun such as so ing ou land enu e o dispu ed pa s o he pa k, paying gua d sala ies, speci ic aining, equipmen , uel, adminis a i e cos s and ce ain physical in as uc u e. The o al cos was es ima ed a a ound BRL 635,680 (250,084 USD) (STROBEL ET AL. 2007). The pa k´s wa e con ibu ion o each use was calcula ed using GIS wi h da a on opog aphy, i e s, land use, pa k bounda ies, wa e in ake poin s and ain all. The sys em es ima es bo h su ace and aqui e supplies o igina ing in he pa k. To es ablish how much each use should pay, i was hough ha he sum o all paymen s should equal he cos o p o ec ing he pa k. Howe e , he economical p inciple ha he demand o a good goes down i he p ice goes up was aken in o accoun . The e o e, p ice was se a a le el o co e p o ec ion cos s, p esuming sligh ly diminished consump ion (STROBEL ET AL. 2007). Fo managing he paymen sys em, i was p oposed ha a commi ee composed o he pa k di ec o , one ep esen a i e o each consume g oup and one ep esen a i e om each municipali y sha ing he pa k’s e i o y be o med.  11  Limi a ions and ecommenda ions o PWS p ojec s in he A lan ic Fo es (based on: VEIGA & GALVADÃO 2011) Limi a ions Recommenda ions Economic:  Unce ain y conce ning u u e con inuous esou ces o he main enance o PES p ojec s ( om he pe spec i e o he p ojec execu o s and u al p oduce s).  High cos o associa ed ac i i ies, especially o es es o a ion and hei app op ia e echnical suppo .  High ansac ion cos s due o he complexi y in he p ojec elabo a ion (mapping, socio- en i onmen al diagnos ic s udies); sha ed managemen o p ojec s; and he elabo a ion, nego ia ion and moni o ing o indi idual con ac s wi h each p oduce .  Di icul ies in he iden i ica ion o o al cos s o he p ojec s because o he sha ed managemen and in ol emen o pa ne ins i u ions.  Implemen a ion case by case (lack o s anda diza ion).  Lack o p i a e ins i u ions specialized in he implemen a ion o PES P ojec s. Technical:  Low echnical capaci y in he o es es o a ion p ocess (collec ion o seeds, p oducing seedlings, main enance o plan ings).  Missing o inapp op ia e moni o ing p ocesses o he implemen a ion phase ela ed o wa e , as well as he ela ion wi h he conse a ion p ac ices and o es es o a ion e o s implemen ed. Ins i u ional & legal:  In some cases, he e is no legal amewo k p o iding secu i y o in ol ed s akeholde s.  Non-de ini ion o iscal ules ha can be applied o PES  Di icul y in he execu ion o public unding due o lack o a legal amewo k o bu eauc a ic Demand gene a ion:  Requi ed, especially om wa e use cha ges wi hin he amewo k o CBH, go e nmen al unds h ough speci ic legisla ion, and go e nmen al p og ammes as well as p i a e olun a y unds.  Demand emains small on he pa o inal se ice use s, p obably due o he lack o knowledge abou he ela ionships be ween o es and wa e among he gene al public, including some signi ican indus ial use s. T aining  Sha ing esul s om p ojec s unde implemen a ion and lessons lea ned need o be sha ed in o de o acili a e eplica ion.  I is ad isable o p omo e pa ne ships be ween municipali ies in di e en p ocess s ages o he exchange o expe iences.  To c ea e and s eng hen s akeholde ne wo ks. Technical assis ance in he p ojec elabo a ion and execu ion P ojec de elopmen aining, especially whe e po en ial unding exis s. CBH and public p og ammes migh suppo local NGOs and municipali ies so ha hey can access di e en a ailable unding sou ces. Communica ion  Sha ing p ojec esul s and he impo ance o hyd ological esou ces in u ban and u al a eas.  PES can also acili a e egula ing u al p ope ies; e i o ial mapping; applica ion o he Fo es Code; and hyd ological, soil, and o es esou ce conse a ion. In some cases PES can be accompanied by he implemen a ion o sani a ion measu es, such as in a eas close o sp ings. Tools o suppo ing decisions  Can suppo he p ocess o de ining p io i y a eas o he p ojec implemen a ion a he wa e shed and mac o le els.  12  p ocedu es in he con ac managemen .  P oduce s some imes igno e hei en i onmen al esponsibili ies (which would inc ease numbe o adhe ence o p ojec s).  I is impo an o also use exis ing ools ha can be applied a g ea e scales. Suppo ing s udies  Need o esea ch s udies conce ning he ela ionships be ween o es s and wa e , especially among uni e si ies.  Re iew o s udies ha co ela e he economic impac s o e osion on d inking wa e ea men cos s in di e en wa e sheds in SP; s udies o de e mine p io i y a eas o he implemen a ion o u u e PES p ojec s based on c ossing sp ing a eas wi h p io i y a eas o biodi e si y conse a ion in he A lan ic o es and he Ce ado, and he s udy o ela ionship be ween he p ojec wa e p oduce s and adap a ion measu es o clima e change.  E o s o iden i y lowe cos a eas o assis ed o es y egene a ion wi h in selec ed wa e sheds by sea ching o educing he cos o o es es o a ion and inc easing he u no e o he en i onmen al se ices unde conside a ion. Moni o ing  I is impo an o moni o he pe o mance o buye s and selle s o he en i onmen al se ices in ela ion o he gi en paymen s. I is also essen ial o moni o he quan i y and quali y o wa e o e he long e m because hese a e he basis o he p oduc ha will be sold.  The e is a need o imp o ing moni o ing p ocesses so ha hese can inc ease he c edibili y o p ojec s and enhance he s a egic impo ance o PES as a conse a ion ool. Public policies and PES legisla ion Speci ic legisla ion and ela ed p og ammes can gua an ee legal mechanisms o unding ans e o u al p oduce s and show ha he impo ance o en i onmen al se ices is alued by socie y. Appendix II. Ini ial semi-s uc u ed su ey 13  Appendix II. Ini ial semi-s uc u ed su ey This su ey was di ided in o i e pa s. The i s componen was in ended o gene al u al uni cha ac e isa ion. The second componen deals wi h p oduc ion aspec s and managemen p ac ices. The hi d componen was o he assessmen o land-use changes. The ou h componen comp ises income sou ces and hei p io i isa ion. The i h componen add essed pe cep ions ega ding wa e quali y. Da a collec ed in he i s su ey componen include: 1. Name o he in e iewee 2. Rela ion o he u al p ope y (conside ing h ee sub-ca ego ies: a) he in e iewee li es in he a m uni , b) he in e iewee li es and wo ks in he a m uni and c) he in e iewee only wo ks in he a m uni . 3. Condi ion o land enu e and land use. This was assessed by conside ing he ollowing subca ego ies: sha e-c oppe meei o, en s land a enda á io, pa ne pa cei o, day wo ke dia is a, and landowne p op ie á io. Such ca ego ies a e included in he cu en Na ional P og amme o he S eng hening o Family Fa ming (PRONAF), he Na ional P og amme o Ag a ian C edi , and in he Law No. 11718 o 2008 es ablishing he ag a ian con ac s and hei associa ed ules, which a e compulso y in all B azilian e i o ies. Pa ne ship con ac s may be w i en o e bal. The ca ego y o pa ne e e s o hose ha ing a pa ne ship con ac wi h he landlo d, ca ying ou ag icul u al ac i i ies, and sha ing p o i s acco ding o ag eed in e es s. Sha e-c oppe s a e hose ha ing a con ac wi h he landlo d, ca ying ou ag icul u al ac i i ies, and di iding he ob ained yields and expendi u es. 4. The numbe o people li ing on he u al p ope y, di e en ia ing among hose wi h mo e han 60 yea s old, hose be ween 15 and 60 yea s, and hose less han 15 yea s old. Addi ionally, esponden s we e asked abou he numbe o household membe s wo king in he ag icul u al sec o and he numbe ha depend on an income sou ce ou side he a m uni . Appendix II. Ini ial semi-s uc u ed su ey 14  The gene al in o ma ion om he i s componen enabled o be e unde s and he esponden ’s ela ionship wi h he u al p ope y, land enu e condi ions, a ailable labou o ce, and esponden ’s dependence on he ag icul u al sec o . The second componen includes he numbe o a m uni s ha he pe son is associa ed wi h in e ms o hei size, al i udinal le el (hill op, slope, o lowland) and he mos impo an uses (ag icul u al land, pas u e, and o es ). The objec i e o his pa was o assess he p ope y condi ion ega ding pa icula speci ica ions o he B azilian Fo es Code (Fede al Law 4771/1965), such as he es ablished pe cen age o u al p ope ies o be main ained as a pe manen o es ese e (Rese a Legal1). The Fo es Code also p ohibi s he clea ing o p ima y ege a ion on s eep slopes (>45°) and along he ma gins o i e s and s eams, all o which a e classi ied as APPs (Pe manen P o ec ion A eas)2. Fo ag icul u al a eas he su ey ocused on he main c ops, he use o lime o imp o ing soil pH, and he use o e ilise s. The name o he p oduc and he app oxima e yea ly o al amoun used we e eques ed om esponden s epo ing e ilise use. Da a was also collec ed on he use o o he ag ochemicals o pes con ol and he dis ance be ween he ag icul u al ac i i y and he nea es wa e sou ce. Rega ding o he managemen p ac ices, in o ma ion on he ypes o soil p epa a ion and o he ac i i ies (including he use o bu ning, ag o o es y, willingness o p oduce o he c ops, and e ili y analyses) we e also eques ed. Conside ing he ac ha his s udy ocused on a o es ecosys em se ice, esponden s we e asked whe he he e was an es ima e on he age o local o es s and he easons o ha e o es on hei p ope y. In o ma ion on whe he e osion was obse ed in he p oduc ion uni and li es ock he d sizes was also collec ed. 1A legal ese e is “an a ea loca ed in he in e io o a p i a e p ope y o land claim, excep in a eas o pe manen p ese a ion (APP), necessa y o he sus ainable use o na u al esou ces, he conse a ion and es o a ion o ecological p ocesses, he conse a ion o biodi e si y and he shel e ing and p o ec ion o na i e lo a and auna” (A icle 1, III: B azilian Fo es Code)”. 2 An a ea o pe manen p o ec ion (APP) is a “p o ec ed a ea co e ed o no wi h na i e ege a ion, wi h he en i onmen al unc ions o p ese ing wa e esou ces, landscapes, geological s abili y, biodi e si y, and gene ic luxes o lo a and auna, as well as p o ec ion o he soil and secu ing he wellbeing o human popula ions” (A icle 1, II: B azilian Fo es Code). Appendix II. Ini ial semi-s uc u ed su ey 15  The hi d componen included ques ions abou whe he land use had changed o e ecen decades and, i so, wha kind o changes occu ed (amongs he ca ego ies: o es , ag icul u e and pas u e). Addi ionally, in o de o assess he willingness o he esponden o clea o es , a hypo he ical ques ion was asked abou which a eas could be con e ed o ag icul u al p oduc ion and he jus i ica ion o doing so. The ou h componen included a p io i isa ion o income sou ces om ag icul u e, ca le anching (di e en ia ing dai y and bee p oduc ion), ish a ming, emi ances o go e nmen al aid, and wo k ou side he a m uni . The i h componen included ques ions abou wa e ela ed a iables, such as: he sou ce o wa e o domes ic use, he pe cei ed wa e quali y, whe he wa e is a ailable yea ound, and, i no , in which mon hs i is no ypically su icien . Finally, esponden s we e asked i hey pe cei ed changes in he quan i y/quali y o wa e o he domes ic use and i so, wha changes; when hese changes occu ed; wha we e he d i e s o hese changes, and a las , whe he he ipa ian o es s adjacen o wa e sou ces (headwa e s) acco ding he B azilian Fo es Code we e aken in o accoun . Appendix II. Ini ial semi-s uc u ed su ey 16  Appendix II. Ini ial semi-s uc u ed su ey 17  Appendix II. Ini ial semi-s uc u ed su ey 18 