Guidelines for the Sustainable Management of BioTrade Products: Resource Assessment

Guidelines Sustainable Management BioTrade Products: ResouRce Assessment Ph ot cr ed : fo lia © ra db ak , ON SZ FE GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT York Geneva, 2013 Note material contained publication freely quoted reprinted, acknowledgement requested, reference document number. copy publication quotation reprint UNCTAD Secretariat, : Palais des Nations, 1211 Geneva 10, Switzerland. designations employed presentation material imply expression position whatsoever part United Nations Secretariat legal status country, territory, city area, authorities, delimitation frontiers boundaries, economic system degree development. views expressed publication authors necessarily reflect views United Nations Secretariat. information UNCTAD’ BioTrade Initiative consult website: http://www.unctad.org/biotrade, contact: biotrade@unctad.org. Acknowledgements Authors Francisco Cuesta, Head Biodiversity Division Consorcio para el Desarrollo Sostenible de la Ecoregió Andina (Consortium Sustainable Development Andean Ecoregion – CONDESAN), Marí Teresa Becerra, Coordinator Environmental Area, General Secretariat Andean Community, prepared publication. Contributions publication benefited information inputs organizations. extend special Regional Programme Ecobona (Intercooperation – Cosude) WWF-Nepal, specifically Galo Medina, Mario Larrea Bryony Morgan sharing information reviewing case studies Caesalpinia spinosa Neopicrorhiza scrophulariiflora. Elise Rebut, Bryony Morgan, Klaus Duerbeck, Marí Helena Cendales Martha Ortega reviewing publication. due UNCTAD BioTrade, Lorena Jaramillo Adrienne Stork. publication formatted Rafe Dent edited externally Vivien Stone. UNCTAD gratefully acknowledges support Swiss State Secretariat Economic Affairs (SECO) publication. UNCTAD/DITC/TED/2012/1 UNITED NATIONS PUBLICATION Copyright © United Nations, 2013 rights reserved iii Contents Note ................................................................................................................................................... ii Acknowledgements .............................................................................................................................. ii . INTRODUCTION ..................................................................................................... 1 . Key concepts ............................................................................................................................................... 2 1. BioTrade: concepts policy framework ............................................................................................. 2 2. Resource assessment ........................................................................................................................... 3 3. Population ecology................................................................................................................................ 3 II. GUIDELINES FOR DESIGN AND IMPLEMENTATION OF RESOURCE ASSESSMENTS FOR BIOTRADE WILD-COLLECTED SPECIES ................................................................... 7 . Introduction .................................................................................................................................................. 7 . Stage 1. Species appraisal BioTrade management .................................................................................. 9 1. Compilation biological socio-economic information managed species ............... 9 2. Identification information gaps assessment potential sustainable ................................... 11 . Stage 2. Assessment demographic attributes managed population .............................................. 14 1. Field inventories collect data key population parameters ............................................................ 14 2. Data analysis calculation demographic parameters .................................................................. 16 . Stage 3. Estimation harvest rates sustainable yield .......................................................................... 24 1. Analysis population dynamics harvesting ............................................................................ 25 2. Analysis implications harvesting scenarios ............................................................................. 26 . Stage 4. Management implications ............................................................................................................. 27 1. Identification good practices............................................................................................................ 27 2. Improving monitoring systems ............................................................................................................. 27 Glossary ............................................................................................................................................. 31 References ......................................................................................................................................... 33 Contents 1I. Introduction . INTRODUCTION 1997, United Nations Conference Trade Development (UNCTAD) launched BioTrade Initiative primary goal promoting trade investment biological resources support sustainable development, line objec- tives Convention Biological Diversity (CBD): conservation biodiversity, sustainable eq- uitable sharing benefits. achieve objective UNCTAD BioTrade Initiative promoted imple- mentation BioTrade Principles Criteria establishment programmes projects strengthen capacity organizations enhance production -added products services derived biodiversity domestic inter- national markets (UNCTAD 2007b). BioTrade products extremely diverse group includes medicinal plants, natural ingredients, fruit, oils, meat, honey, mushrooms, seafood, ecotourism derived ecosystems (.. forests, mangroves, grasslands). products key assets livelihoods health hun- dreds millions people globe human populations subsistence trade thousands years (Vasquez Gen- 1989, Ros-Tonen 2008). decade, market demand interest managing forests ecosystems (.. alpine grasslands) natural products grown tremendously, generated concern ecological sustainability ecosystem resources produced (Arnold érez 2001, Olsen 2005, Widayati al. 2010). grow- ing commercial trade natural products, plant medicines crafts, resulted harvest increasing volumes wild plant populations generated concern overexploita- tion (Arnold érez 2001). , es- tablishment good practices support sustainable management wild-collected species increasing development methodologies tools support management de- cisions. Special care species play key roles ecosystem dynamics palm trees (Montú 2011). Sustainable management built principle ecosystem management meet current societal prejudice future generations, ecosystems’ capabilities maintain health (.. resilience). concept embraces funda- mental standards: • Ecosystem management socially acceptable equitable; • impact ecologically benign; • economic impact local communities posi- tive; • Increased commercial harvest -timber - est products (NTFPs) add perceived natural ecosystems, increasing incentives retain habitat resource (Arnold érez 2001). , underscoring considerations, lies fundamental question: ecological consequences native species harvest assumed harvest wild species ecological impact, extraction alter biological processes levels. instance, harvest affect physiology vital rates (. mortality growth rates) individuals, change demographic genetic patterns populations alter community- ecosystem-level processes (Balslev 2011, Liu al. 2011, Montú al. 2011). Management wild species ecosystem - quires implementation -situ -situ actions based scientific empirical knowledge pro- mote conservation strict protection sustainable management alternatives (Primack 1994, Salafsky al. 2001). Sustainable exploitation renewable resources de- pends existence reproductive surplus, determined population attributes births, deaths growth, differ spatially temporally environmental conditions vary (Hilborn al. 1995, Robinson 1999). , - standing species biology population dynamics essential determine sustainable yields di- rect experimentation, observation natural systems deduction biological understanding (Hilborn al. 1995). considerations mind, purpose document develop set practical guidelines conducting wild species resource assessments compliance BioTrade Principles Criteria (UNC- TAD 2007a). document emphasize ecological concepts methods analyze species 2 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT population dynamics basis definition good collection practices, delineation monitoring criteria management considerations. , modelling exercises presented tool assist BioTrade organizations analyzing population dynam- ics establish sustainable harvest rate evaluate good collection practices management options. Additionally, exercises pre- sented evaluate impacts current future management practices species populations identify underlying factors drive population dynamics conceptualized determinant variables sustainable management species. present document complements guidelines developed UNCTAD (2009) development implementation management plans wild- collected plant species organizations working natural ingredients. methodology de- velopment implementation management plans comprises steps: • Identification collection areas collectors; • Assessment managed resources; • Definition good practices implemented; • Definition follow- monitoring systems; • Implementation documentation systems. guidelines focus assessment managed resources ( step) providing addi- tional detail, key ecological concepts methodolo- gies completing resource assessment, guid- ance incorporate findings management plans monitoring systems. Primary emphasis guiding BioTrade organizations stakehold- ers involved resources management activities analysis species trade potential, comprehension relevant population ecology concepts identifi- cation information gaps. guidelines feature examples applied - source assessments specific case studies traded species based information sources: existing cases UNCTAD BioTrade partners examples scientific publications project reports. population analysis current harvest rates species based raw pro- cessed field data plots. case study species Caesalpinia spinosa, Mauritia flexuosa Neopicro- rhiza scrophulariiflora ( information case studies visit: www.biotrade.org). -line web version guidelines orga- nized main sections: Section 1. Resource assessment guidelines present steps needed developing resource assessment wild-traded species. Section 2. Case studies, aimed presenting application guidelines selected spe- cies based existing information ( - formation case studies visit: www. biotrade.org). . Key concepts 1. BioTrade: concepts policy framework term BioTrade includes activities collec- tion/production, transformation commercializa- tion goods services derived native biodi- versity (genes, species ecosystems) criteria environmental, social economic sustainability (UNCTAD 2007b). BioTrade activities imply appli- cation specific criteria promote cost-effective ac- tivities stakeholders involved collection trade biodiversity-based products assure survival managed species conservation habitats long term. establishing business based wild-traded species important : • design sustainable production system ac- cording ecological traits species; • definition good practices monitoring programme based adaptive management concept; • estimate investment required design management system accomplishes BioTrade sustainability criteria. fundamental decisions based biological knowledge species potential markets analysis risks opportunities commercial . BioTrade represents innovative strategy promote biodiversity conservation sustainable based criteria: 1. ecological impact BioTrade products man- agement conventional forest manage- ment; 2. Income generation BioTrade organizations - creases perceived natural ecosystems, local commitment conserve natu- ral habitats managed species; 3. BioTrade positive impact rural livelihoods income promotes preservation valua- tion traditional knowledge. 3I. Introduction main international framework regulates trade BioTrade products Convention Inter- national Trade Endangered Species Wild Fauna Flora (CITES). international agreement governments, aims ensure - ternational trade wild animals plants threaten survival. relevant international instrument BioTrade organizations Conven- tion Biological Diversity (CBD) focused main objectives: conservation, sustainable equitable sharing benefits derived biodiversity. international framework rec- ognizes trade positive incentive measure defines approaches encourage imple- mentation good practices, applicable case trade BioTrade products. CBD context, Addis Ababa Principles Guidelines (CBD 2004) provide framework - sist governments, resource managers, indigenous local communities, private sector stakeholders, ensuring components biodiversity result long-term decline biological diversity (Becerra 2009). - theless, , limited case studies avail- provide guidance implementation principles (Perez Byron 1999). , parties recognize implementation depends inter-related factors including existence incentive measures, availability information tools implement sustainable management plans, capacity put practice mon- itoring systems. Finally, important consideration international environmental agreements relevant depending managed species, -environmental regulations influence promoting im- plementation practices measures affect sustainable trade BioTrade products. case conservation agreements RAMSAR Convention Wetlands framework national action inter- national cooperation conservation wise wetlands resources. 2. Resource assessment simple definition resource assessment process resource managers estimate fu- ture production potential product. purpose guidelines, resource assessment activities needed identify sustainable production potential managed species - derstanding population dynamics appropri- ate harvest rates practices assure sustainable management (Wong 2000, Hall Bawa 1993). - source assessment information identifying information gaps filled population attributes monitored long term. approach focused managed- population possibilities considers attributes affect abundance supply potential sustainable (Hall Bawa 1993). approaches wider seek identify prod- ucts describe ideal development process cases starts selection species progresses market research, resource inventory, participatory assessments, determination sustainable harvest practices intensities, man- agement planning monitoring (.. Peters 1994, 1996, Stockdale 2005). approach cases sustain- yield harvest rate defined, popula- tion dynamics knowledge species primary requisite. simple inventory resource making decisions. Managers proper information happening population activities implement ensure sustainable management. cases BioTrade organization manages species products ar- eas, resource assessments carried species involved collection area. General information species biology applicable, productivity demography vary envi- ronmental conditions degree disturbance. 3. Population ecology population group individuals kind living place time. size population relation area occupies density. Population individuals distributed kind pattern landscape. uniformly distributed, randomly distributed, clumped aggregations (Smith Smith 2008). Individuals making population divided ecological stages: pre-reproductive, repro- ductive post-reproductive. distribution - dividuals group influences considerably birth rate, mortality rate population growth. 4 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT Box 1. Exponential growth carrying capacity concepts Exponential growth population growth species newly colonized habitat start exponentially. positive feedback. individuals population faster breed. growth curve ( called -shaped curve): exponential growth curve modelled equation: , rate increase species, dN variation size population time (dT). higher bigger increase population . leads exponential growth. Real examples exponential growth Alien species, pest species, show growth pattern. Demographic explosion feral goats (Capra hircus), rats (Rattus spp.) feral cats (Felis catus) documented (Campbell al. 2004). species introduced accidentally deliberately environment natural predators diseases control. bird Sturnus vulgaris, introduced United States 19th century (160 birds released York). 1942 spread California, esti- mated population 140 200 million, making commonest species bird world. carrying capacity Darwin’ important observations population continues grow exponentially . resistance environment food supply nesting sites decrease (.. competition increases) numbers predators pathogens increase. resistance results negative feedback. leads classic -shaped sigmoid population curve (): population dynamic case controlled component slow population growth reaches point, carrying capacity environment (). equation called logistic equation: < positive population increase size. = population growth stop. > negative population decrease. Source: Adapted Smith Smith (2008), Robinson Bodmer (1999), Getz Haight (1989), Odum Barrett (2005). 5I. Introduction large number young enter reproductive stage suggests potentially increasing population, high proportion post-reproductive age classes suggest declining population growth. Population stable age distri- bution, proportion individuals age class remains , long growth contin- ues constant rate. deaths equal births proportion individuals population remains constant, population arrived stationary age distribution (Odum Barrett 2005). Population size influenced number individ- uals added group births immigration number leaving death emigration. difference determines growth mortality rates populations. Mortality, concen- trated young , greatest reducer populations (Smith Smith 2008). unlimited environment, populations expand geo- metrically exponentially, -shaped curve (Box 1). growth occur popu- lation introduced unfilled habitat. , resources limited, geometric growth - sustained indefinitely. Population growth - tually slows arrives point equilibrium environment, called carrying capacity. , natural populations rarely maintain stable level, fluctuate (Smith Smith 2008, Odum Barrett 2005) Mortality complement, survivorship, key parameters comparing demographic trends population populations living dif- ferent environmental conditions, - paring survivorship species. general, mortality rates, graphically portrayed curves, - sume shape, survivorship curves fall major types: type , survival young ; type II, mortality survivorship, constant ages; type III, individuals tend live physiological lifespans. Survivorship curves follow similar patterns plants animals. sustainable exploitation renewable resources de- pends existence reproductive surplus, determined balance births, deaths somatic growth (Hilborn al. 1995). case wild-traded species, definition sustainable yield (.. harvest rate) collection practices guidelines based analysis population dynamics. key protecting managing wild species good understanding ecology spe- cies, distinctive characteristics (natural history), status populations dynamic processes affect population size distribution (Primack 2004, Olmsted Alvarez-Buylla 1995). Manage- ment decisions answer ques- tions respect aforementioned variables (Primack 2004). Population dynamics helps resource managers analyse effect harvest regimes state population time, means contrasting balance births, deaths fundamen- tal ecological aspects traded species. analyses essential formulate management practices establish sustainable harvest regimes. 4. Adaptive management Trade wild species increasing relevance - sidering diversity species represents local economies developing countries (Burgener Walter 2007). authors highlight fact management criteria natural resourc- es influenced market pressures demands, affect sustainability subsistence systems promote overexploitation, local extinc- tion species concentration products high market potential (Arnold érez 2001, Bennett Robinson 2000, Wilkie Godoy 1996). , information population dynamics basic ecological data majority traded wild species incomplete completely lacking, Tropics (Primack 1994). reality constrains resource managers BioTrade organiza- tions establishing scientifically sound harvest rate, turns hampers possibility determining sustainability activities - vestigation monitoring. , management decisions - fore relevant information gathered (Primack 2004, Hilborn al. 1995). scenario, adaptive management framework designing production systems involve monitoring practices applied research activities pro- vide resources managers important information adjust management activities assure sus- tainable long term. , adaptive management approach repre- sents key strategy sustainable management 6 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT BioTrade species. Walters Hilborn (1978), adaptive management refers situations action system defined priori. establishment se- quential evaluations sustainability natural system subsequent modification manage- ment actions assure desired state system. practice, adaptive management based systematic analysis information, applied spe- cific context order improve natural resource management long-term perspective (Walters Holling 1990, Wilhere 2002). framework, experimental quantitative models pro- vides tool analyze dynamic production sys- tems, management risks costs (Wal- ters Hilborn 1978, Hilborn al. 1995, Schreiber al. 2004). adaptive management approach based design implementation management plan resource species continuously adapted outcomes designed “experiments” stakeholders collect data systematically data decisions alterna- tives management conservation man- aged resources areas (Blumstein 2007) . Schreiber al. (2004) adaptive man- agement framework structures management process- es series stages cycle repeated time (Figure 1). expected BioTrade organizations apply adjust stages development management plans, methodology proposed UNCTAD (2009) Guidelines Development Implementation Management Plans Wild- collected Plant Species Organizations Work- ing Natural Ingredients. adaptive management process, resource assessment critical information model al- ternative management options, based outcomes, identify good practices implemented, information gaps define key variables moni- tored adjust management activities. Schreiber al. (2004), process identification definition management objectives fundamental element adaptive management programmes. presented Figure 1, - text species sustainable management resource assessment contributes steps 2, 3 4 relating information analysis, definition man- agement goals (.. harvest rates, monitoring , good practices) identification sustainable options. Figure 1. Adaptive management cycle applied sustainable management BioTrade species Step 1 Management objectives definition Step 7 Monitoring evaluation Step 5 Strengthening institutional framework ( chain responsibilities agreements) Step 4 Identification management options Step 6 Implementation production activities Step 2 Model existing knowledge (analysis existing information) Step 3 Establishment management goals ( ) Source: Adapted Schreiber al. (2004). 7II. Guidelines design implementation resource assessments BioTrade wild-collected species II. GUIDELINES FOR DESIGN AND IMPLEMENTATION OF RESOURCE ASSESSMENTS FOR BIOTRADE WILD-COLLECTED SPECIES 1. Introduction Prior conducting resource assessment ac- cordance adaptive management principles ( Figure 2), BioTrade organizations resource man- agers previously identified management objectives selected species, collection areas collectors involved species management activities. context BioTrade organization - pile information: • Spatial information potential collection areas helps assess landscape context ecosystems contained; thematic resolution information subject size collec- tion areas. cases information area 30 30 metres ; • Analysis quality (.. landscape matrix) conservation status (.. rapid ecological assess- ments) collection areas; • Taxonomic identification species. recom- mended professional advice herba- rium; • Local harvest regimes. - clude amount resource harvested (quan- tities periodicity), techniques practices applied retrieving product(), number gender collectors communities belong, land tenure rights, incomes de- rived species management, . information collected participatory techniques participatory rural appraisal – PRA (Chambers 1994); • Local regulations applicable management wild species (.. exclusion areas, temporal restric- tions). Preparation resource assessment promote community participation, integration local sci- entific knowledge, local authorities’ involvement implementation cost-efficient production systems. majority natural products world har- vested people rural communities, significant proportion indigenous people (Stock- dale 2005). resource assessment, community participation meanings levels. Local popu- lations contribute experience knowl- edge resource management participate decision-making processes related improvement management practices market access. Tasks compilation existing information species biology, management practices, markets relevant issues close collabora- tion local communities involved production system. long-standing ties natural prod- ucts communities continued species linked maintenance rural livelihoods (Stockdale 2005). relevance applicability resource assess- ment depends information quality availability; reason BioTrade organization - pert advice qualified biologist, ecologist / biodiversity science specialist, charge support- ing resource managers processes producing baseline information, includes generation harvesting scenarios (.. dynamic populations models) design implementa- tion monitoring system. BioTrade organization, support spe- cialist species management, guarantee good data management system order provide accurate scientifically verifiable results improve knowledge species, evaluate imple- mentation management activities adjust . scientific expert engage local communities, local authorities relevant stakeholders participa- tory assessment exercises. compliance applicable local national regula- tions related management resources, local authorities involved elaboration resource assessment. , pro- vide specific guidelines recommendations elaboration management plans specific information required national regulations. Cost analysis relevant starting resource - sessment. Analysis account exist- ing information species, previous experiences wild collection activities access markets. Cost resource assessment preparation closely related quantity quality information place, access collection areas involvement relevant stakeholders. context costs field trips, stakeholders’ participation (.. 8 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT workshops, surveys, visits) development specific field research collect relevant information local population, ecosystems status, relevant aspects. elements resource assessment resource assessment entails stages: 1. Species appraisal BioTrade management stage compilation analysis existing knowledge (including traditional sci- entific information ) selected spe- cies population’ ecological characteristics. Based information, BioTrade organization evaluate species potential BioTrade schemes sustainable identify information gaps. 2. Assessment demographic attributes managed population stage involves establishment ecologi- cal baseline harvested population. - sessment entails estimation population size key population ecology variables population density, spatial distribution age structure . 3. Estimation harvest rates sustainable yield objectives stage twofold. analyze species’ population dynam- ics. aims evaluate implications harvest regimes population dynamics identify suitable harvest rate. 4. Management implications final stage draw conclusions rec- ommendations good practices imple- mented order assure trade system founded sustainable basis produce raw materials quantities qualities needed. Chapter II stages provide detailed explanation tools analysis carry stages resource assessment. Figure 2. Elements needed carry resource assessment identify contribution process design management plan. Identification collection areas collectors Assessment managed resources Definition good practices implemented Definition follow- monitoring systems Implementation documentation systems (monitoring) Management plan (UNCTAD 2009) Species appraisal BioTrade management Assessment demographic attributes managed population Estimation harvest rates sustainable yield Management implications Resource assessment elements Harvest rates good practices definition Identification variables influencing managed species population dynamics productivity monitored Field data collection protocols Data analysis protocols Resource assessment input management plan Source: UNCTAD (2009). 9II. Guidelines design implementation resource assessments BioTrade wild-collected species 1. Compilation biological socio- economic information managed species quality relevance management de- cisions species, including definition harvest rate, relies information population ecology species question. type information obtained major sources: scientific papers (.. peer-reviewed journals), published literature research centers - governmental organizations (NGOs) web, grey literature (.. unpublished reports fieldwork data sheets). important source information tradi- tional knowledge scientific experts. sense, recommended BioTrade organizations gather -situ information (.. management regimes, produc- tivity) rural appraisal methodologies focus groups, interviews questionnaires (Chambers 1994). time, researchers universities, botanical gardens research centers interviewed. considerable amount information gleaned unpublished reports written scientists, government agencies conservation - ganizations (Primack 2004). Information parameters compiled order complete resource assess- ment. information BioTrade organiza- tions understand population dynamics impact current management practices, identify aspects determine management conditions. ) Management conditions socio-economic considerations gathering specific information biology species, recommended understand current management practices social economic conditions manage- ment species. important involve local communities collectors order good understanding current practices, quantities commercialized price raw materials, production costs, parameters affect species management production sustainability long term. 1. Products derived species parts Management practices differential impact population, related living part individual collected (.. leaves, roots, bark). management practices require extraction individual population generating direct impact population. require harvest specific Objectives: • Appraisal information spe- cies managed. • Evaluate opportunities alternatives sus- tainable management species. Expected outcomes: • Compilation existing information biol- ogy species, habitats current condi- tions. • Information gaps identified. • Assessment species potential sustain- . Development: Baseline establishment includes collection key relevant information BioTrade species, assessment potential field data collection develop -situ baseline. . Compilation biological socio- economic information managed species. . Identification information gaps assess- ment potential sustainable . . Stage 1. Species appraisal BioTrade management Information gathered BioTrade orga- nizations • Management conditions socio-economic considerations • Species biology • Population demography • Habitat information ecosystem characteris- tics Analysis existing information BioTrade - ganizations understand biological eco- logical characteristics managed species, identify information gaps fulfilled field data collection monitoring schemes. 10 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT parts individuals fruits leaves. cases management practices effect population, altering - tributes germination rate. 2. Traditional Information traditional practices, management regimes current harvest rates needed. information important experimental design field protocols establishing good manage- ment practices order control potential ef- fects population demography. 3. Yield harvest rate Information harvested quantities specific products (.. flowers, fruits, barks, roots seeds) capacity production individual quantifying potential yield population, , establishment harvest rate needed supply demand maximum sustainable yield species. case species harvested traditionally commercially considerable period time, important carry interviews obtain additional information resources users order - derstand impact practices. 4. Relevant socio-economic issues affecting - source management formal supply system raw materials introduced, discussions providers estimated production supply capacities recommended (UNCTAD 2009). Economic aspects include information prices current produc- tion costs including investments needed implement good management practices. ) Species biology Information ecological traits species al- lows BioTrade companies identify physiological ecological limitations population growth options managing optimize production resource management (Guillot Becerra 2003). Reproduction strategies impor- tant variables control population dynamics. context recommended gather information aspects: 1. Natural propagation strategies: seed dispersal, pol- lination, sexual reproduction; 2. Reproductive biology: number duration - production events (annual, biannual, perennial). important collected parts fruits, leaves seeds case annual species unique repro- ductive event; 3. Fecundity: offspring number size repro- ductive event; 4. Male female ratio case bisexual dioe- cious species; 5. Age reproduction lifespan; 6. Information species vulnerability resilience anthropic disturbance; 7. Interspecific interactions (parasitism, herbivory, pol- lination). ) Population demography main variables describe status popu- lation dynamics : population size, population density population structure. reason priority collect good quantita- tive data variables, published sci- entific studies specific field studies imple- mented part baseline phase resource assessment process (Guillot Becerra 2003) 1. Density Population size generally refers number individuals present population. Density refers number individuals area. ecologists density mea- . density standardized unit area, , , correlated environmental factors compare populations. 2. Population structure Distribution age/size groups popu- lation permits analysis population growing, reproductive capabilities likeli- hood population mid- long term. context important information distribution population age classes (.. saplings/infants, juveniles, adults) characteristics : . Longevity/life expectation; . Growth time stage (transition time age classes); . Mortality rate; . Density population stage. ) Habitat information ecosystem character- istics Habitat quality, ecosystems fragmentation - thropic disturbance regimes timber extrac- tion, fires, cattle grazing hunting 11II. Guidelines design implementation resource assessments BioTrade wild-collected species considerable direct impacts target species populations, collected. order iden- tify variables affect sustainable man- agement recommended general information related aspects: 1. Relevant habitat characteristics manage- ment species; 2. Climate variability (seasonal, successional); 3. Existing habitat management regimes (disturbance, conservation status, ); 4. Status fragmentation/connectivity land- scape matrix. 2. Identification information gaps ass- essment potential sustainable Screening BioTrade species multi-criteria analysis helps identify information gaps - sess species potential harvest trade sus- tainable basis ecosystem/adaptive management scheme. identify information gaps Table 1. Information gap analysis collection areas managed resources Caesalpinia spinosa Variable Information availability Source Information gathering tools Management practices Parts management practices local level Field studies Ecobona Regional Programme Participatory assessment (local knowledge) Collection practices Field studies Ecobona Regional Programme Participatory assessment Current harvest rates Field studies Ecobona Regional Programme Participatory assessment Prices trade flows Field studies Ecobona Regional Programme Participatory methods, specific market studies Selling seasons Field studies Ecobona Regional Programme Participatory assessment Land tenure rights Field studies Ecobona Regional Programme Participatory assessment Species biology population demography Reproduction strategies Incomplete Secondary sources Scientific research Density Field studies Ecobona Regional Programme Field studies (inventories) Age classes demography Field studies Ecobona Regional Programme Field studies (inventories) Germination/reproduction rates -existent Field studies (inventories) Longevity/mortality rates Incomplete Secondary source Field studies (inventories) Seasonality Incomplete Secondary source Secondary information field studies Habitats ecosystems Ecosystems habitats involved Field studies Ecobona Regional Programme Participatory assessment Climate characteristics Field studies Ecobona Regional Programme Existing meteorological information reports Landscape matrix characteristics Field studies Ecobona Regional Programme Mapping participatory assessment Habitat characteristics conservation status Field studies Ecobona Regional Programme Field studies (habitat analysis) Source: Adapted Becerra (2009), data Larrea (2011). 12 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT checklist prepared summarize informa- tion obtained tools ( Table 1). gaps identified collection key additional information prioritized. rel- evance information making management decisions analysed (Becerra 2009). Based information gathered BioTrade orga- nization multi-criteria assessment carry preliminary assessment evaluate feasibility species harvest trade sustainable conditions ( Table 2). assessment based qualification index aimed evaluating potential sensitivity species collected traded based life traits, population attributes ecosystem characteristics species. species medium score, resource manag- ers include specific management practices guarantee sustainable . Table 2 presents multi- criteria assessment evaluate potential sus- tainable Caesalpinia spinosa, Mauritia flexuosa Neopicrorhiza scrophulariiflora. species BioTrade purposes specific considerations management prac- tices formulated . , case Mauritia flexuosa, presents lowest score life history attributes, suggest Bio- Trade organization variables germination rate dispersal mechanisms require special atten- tion high influence population dynamics. hand, score Caesalpinia spinosa, shows BioTrade organization pay special consideration ecosystem variables, existing information expected quality assure sustainable production ( information case studies visit: www.biotrade.org). multi-criteria matrix practical tool BioTrade organizations. matrix helps screen potential species sustain- conditions. , matrix identifies key variables considered design production system. insufficient information screen species matrix, - commended contact experts guidance. Table 2. Multi-criteria matrix assess potential sustainable . Data relate study cases discussed guidelines ( information case studies visit: www.biotrade.org) . Life history traits Variable Options Scores Caesalpinia spinosa Mauritia flexuosa Neopicrorhiza scrophu- lariiflora Part plant har- vested Entire individuals, bark, shots, roots 2 4 2 2Latex, flowers, pollen, seeds 4 Leaves, fruits 6 Dispersion system (spores, seeds) Biotic specialist (frugivo- res: birds, mammals) 2 6 2 6 Biotic generalist (small mammals) 4 Abiotic (ramets, wind cross-pollination) 6 Seed germination rate 2 6 4 2Medium 4 High 6 13II. Guidelines design implementation resource assessments BioTrade wild-collected species . Population attributes Variable Options Scores Caesalpinia spinosa Mauritia flexuosa Neopicrorhiza scrophu- lariiflora Birth rate High 2 6 4 6Medium 4 6 Juveniles mortality rate High 2 2 4 6Medium 4 6 Age-size class reproduction Late 2 4 6 6Mid 4 Early 6 Ecological strategy Mature habitats 2 4 2 4Secondary forest 4 Colonizers 6 Population structure Constrictive pyramid 2 2 2 4Stationary pyramid 4 Expansive pyramid 6 Population density 2 6 4 4Medium 4 High 6 Population spatial dis- tribution Random 2 6 4 4Aggregated 4 Homogeneous 6 . Ecosystem attributes Variable Options Scores Caesalpinia spinosa Mauritia flexuosa Neopicrorhiza scrophu- lariiflora Landscape context Small isolated patches (highly fragmented) 2 4 6 2 6 4Long connected patches (fragmented) Matrix ( fragmented) Carrying capacity 2 2 6 4Medium 4 High 6 Habitat integrity Highly disturbed 2 2 6 4Average disturbance 4 disturbance 6 . Total score Variable Options Scores Caesalpinia spinosa Mauritia flexuosa Neopicrorhiza scrophu- lariiflora Score (poor management aptitude) 26–38 52 52 56 Medium ( specific manage- ment considerations) 38–64 High (High potential -situ sustainable ) 65–78 Source: Adapted Becerra (2009). 14 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT Objectives: • establish ecological baseline har- vested population assessing population size conservation status manage- ment area. • Identify fill existing information gaps es- tablish sustainable harvest rate. Expected outcomes: • Relevant biological demographic informa- tion completed. • Species demographic information includes population density, age-size structure, transition time classes, germination rate (fecundity) seedlings mortality. Development: start analysis population dynamics arrive harvest rate important improve basic demographic information managed species resource assessment. . Field inventories collect data key popula- tion parameters. . Data analysis calculation demographic parameters. . Stage 2. Assessment demographic attributes managed population fundamental problems faced - munity population ecologists measuring population sizes distributions. impact assessments (measuring effects dis- turbance) restoration ecology (restoring ecologi- cal systems) set harvest limits - mercial game species (.. fish, deer). assess community structure gener- ated number quantitative field methods appreciation methodology works situation. methods designed generate reliable estimates abun- dance distribution species - munity. information compare species groups species community contrast species composition abundance communities. , measures species abundances - community point time provide baseline future measures species abundances community compared. type information resource managers evaluate population time, response specific management activities (.. BioTrade). cases difficult simply census individuals target area. problem estimate population size form sampling technique. numerous types sampling techniques. designed specific types organisms (.. plants . mobile animals). numer- ous ways arriving estimates sampling technique. procedures advantages disadvantages. general, accuracy es- timate depends : number samples , method collecting samples proportion total population sampled. Cunningham (1994, 1996) proposed method focus protocol collect knowl- edge, local scientific, resource spe- cies generate data. compiled information identify species, resources sites vulnerable overex- plotation. standard summary sheet prepared information collected evaluated set criteria sustainability drawn ecology, eco- nomics social sciences. basis ass- sessment, species classified management categories. Appropiate management recommendations category. rapid vulnerability assessment includes protocols inventory method intended rapid assessment species. , assessment good information , lacking. section information main quanti- tative field methods suited study natural - munities apply , order establish baseline species interest. 1. Field inventories collect data key population parameters BioTrade organization identified prin- cipal information gaps, variables attention collected field inventories pinpointed. order field sampling, BioTrade organization select area inventoried account managed habitats represented field techniques applied appropriated 15II. Guidelines design implementation resource assessments BioTrade wild-collected species wild-collected species. information collected baseline completed field invento- ries provide key information population modelling exercise establishment prelimi- nary harvest rate. Field inventories similar experiments sense carried test hypotheses, management actions. case management activities hypotheses related effectiveness efficiency implemen- tation management practices order reach sustainable harvest rate. ) sample Sampling methods invaluable numerous bio- logical investigations. methods de- termine structure natural community. extremely time consuming, , count measure individual species community order determine abundances distributions species commu- nity. Sampling methods enable estimate reliable information samples. , critical samples bias suf- ficiently large number resulting data summarized give valid estimates desired Box 2. Sampling methodologies 1. area-sample method (quadrats plots) Area-sample methods suited plant communities (.. mushrooms, herbs, forest trees) sessile seden- tary animals (.. sponges). Quadrats: quadrat samples important determine quadrat size basis size density individuals population sampled. Quadrats large number individuals, small individuals present separated, counted measured. , quadrat sizes herbaceous vegetation 1 m2, shrubs 10–20 m2 100 m2 forest trees. Quadrat shape important affects ease establishing quadrats efficiency sampling. exam- ple, circular “quadrats” easily established square quadrats; elongated rectangular “quadrats” furnish variety species equal number square quadrats area. relationship holds rectangle encompasses environmental variety due environmental gradients (.. slopes, soil-moisture variation) square area. , rectangular quadrats perimeter square quadrats area, accuracy decline quadrats elongated due “edge effect” (Barbour al. 1999). quadrat size shape depends application, reason recommended define advice specialist. Plots: Plots sample count individuals sample habitat characteristics. subset plots assumption representative area. Selecting area number location plots requires insight patterns distribution species landscape, type vegetation (forest, grassland) life form growth case plants. 2. distance-sample method Distance-sample method (.. transects) frequently sample species community variation envi- ronmental gradients types ecosystems altitudinal gradient. Transects: transect straight line series straight-line segments laid area sampled. Transects widely obtain systematic samples spatially distributed populations (.. plants, insects). cases plots transects actual sample units. transect treated independent observation. estima- tion abundance biological populations ( terrestrial mammal species) achieved number types transect methods, strip transects, line transects, belt transects, point transects curved line transects. case area-sample method, size number transects set depends ecologi- cal biological attributes species type ecosystem collection area occurs. Point sampling: set points established population measurements point. Points spaced widely negate members population sampled . method requires mathematical formulas estimate population size frequently avian surveys. Source: Adapted Smith Smith (2008), Robinson Bodmer (1999), Getz Haight (1989), Odum Barrett (2005). 16 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT parameters, case population structure, den- sity population parameters needed establishment sustainable harvest rate traded species. ) Sampling methods specific sampling method assess - munity structure depends nature organ- isms, including variables listed , community sampled. context guidelines, sampling techniques resource assessment defined population attributes species interest spatial distribution life growth form case plants. , analyse popula- tion dynamics recommended identify meth- odology documenting species density population structure standard basis. considerations mind, application quantitative field methods suited study communities sessile sedentary animals types vegetation recommended: • Area-sample method (quadrats plots); • Distance-sample methods (.. transects). Box 2 refers common sampling tech- niques applied collect basic information analyse managed population characteristics. Survey design relies objectives field study, estimation population size, - cruitment, species composition, annual production fruits, . Based information sample size defined order representation managed population. Sample size refers number independent sample units (.. quadrants). Definition sample size referred number replicates (.. 5 transects 100 ) subsamples number observations sampling unit (.. 5 plots tran- sect) (Figure 3). sample size big high likelihood detecting true difference groups statistically significant. Sampling size depends distribution man- aged species landscape. species located habitats landscape, advisable set sampling plots areas similar characteristics. case managed species, ob- servations -managed areas (control areas) important design field studies. Ob- servations randomly selected control areas compared observations man- aged populations identify effects derived man- agement practices. Table 3 survey design checklist. 2. Data analysis calculation demographic parameters Information derived sampling plots collect- ed information analysed organized BioTrade organizations evaluate define biological ecological characteris- tics managed species. ) Part plant harvested collection practices Information type management parts plants animals organizations management implications collection practices (Figure 4). Figure 3. sampling design Caesalpinia spinosa including sample units (transect) subsample units (plots) Transcect (100mx20m) Plot 20m2 Transcect (100mx20m) Plot 20m2 Transcect (100mx20m) Plot 20m2 Sampled individuals Source: Adapted Primack (2004). 17II. Guidelines design implementation resource assessments BioTrade wild-collected species Table 3. Survey design checklist Caesalpinia spinosa Question survey objective Evaluate density population parameters Caesalpinia spinosa population infer- ences Community Perucho (Imbabura, Ecuador) sampling method Transects sampling unit Plots estimated area sampled 50 hectares sample design 5 managed forest fragments, 2 control forest fragments 5 transects 100 20 forest fragments 5 plots 20 m2 transect variables measured Number individuals ( individuals identified Caesalpinia spinosa) Population size distribution individual based diameter size breast height Reproductive condition Evidence mortality (diseases, seeds fruit preda- tion, herbivores, cattle grazing, .) Frequency ( sampling frequency case information needed monitoring) year extraction season Source: Adapted Bookhout (1996), data Larrea (2008). Figure 4. Examples part species harvested collection practices species Caesalpinia spinosa (seeds fruits pods) Neopicrorhiza scrophrulariiflora Rhizomes (ramets) Mauritia flexuosa (fruits) • Seed production occurs year asynchrony pattern lasting months rainy season (July November). Pods ( seeds) collected soil tree avoiding collection -mature pods. collection pods collected (Larrea 2011). • national parks plants harvested local , main users specialists amchi trained Tibetan medical system. • buffer zone species collected trade. harvesting approach commercial collectors destructive. • height adult individuals, female palms cut retrieve fruits 18 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT ) Population density structure (size-age classes) analyze population dynamics important - derstand composition population terms age structure (.. number individuals comprise population age/sex class) density (number individuals area unit). aid BioTrade organization evaluating population good proportion individuals traded parts collected (fruits, seeds, barks, .), availabil- ity saplings young individuals capable sustaining production (harvest rate) fu- ture. healthy population proportion seedling, saplings young individuals greater adult individuals, , condition vary depending species manage- ment conditions. 1. Total density calculation Densities calculated measuring number - dividuals plot plot area (individuals/area). Average standard deviation values density plots provide estimation total population density area (Table 4). subtropi- cal ecosystems, trees aged approximately counting annual growth rings correlate measures standing individuals – height trunk diameter breast height (DBH). indi- viduals managed area grouped size- age classes. tropical ecosystems sea- sons tree rings work properly, individuals classified height DBH measures tree species study cases ( information case studies visit: www.bio- trade.org). Height measurements substituted case herbaceous plants, small understorey palms woody shrubs. Densities monitored sampling transects plots production season annu- ally. Systematic data collection resource man- agers evaluate differences production season, habitat conditions affect population growth analyse impact collection practices interven- tion activities. 2. Densities age/sex classes Populations divided ecological pe- riods: pre-reproductive, reproductive post-repro- ductive. important revise species biology check characteristics identification individuals stages. field study important support local managers botanist identify seeds, seedlings young indi- viduals frequently easily identifiable. concept important adjust size-age class- es’ classification population defining characteristics indicative age individuals (.. size, height, pres- ence flowers, characteristics distinguish young adult individuals). case plants important account - dividuals flower production flowering season young . Sex classes defined case animals di- oecious plants. important information physical characteristics distinguish females ) Reproduction biology dynamics natural population highly deter- mined species reproduction strategies. shown case studies, strategies implications management populations (Table 6). ( information case stud- ies visit: www.biotrade.org). cases Table 4: matrix calculation total density based information derived sampling units Number sampled individuals Transect 1 Transect 2 Transect 3 Plot 1 23 39 25 Plot 2 20 28 28 Plot 3 10 36 25 Plot 4 19 12 32 Plot 5 30 25 30 Individuals/20 m2 20.4 28 28 Individuals/20 m2 25.4 Total density = 1.27 individuals/m2 Source: Adapted Bookhout (1996), data Larrea (2008). 19II. Guidelines design implementation resource assessments BioTrade wild-collected species type information obtained secondary sourc- es scientific reports local knowledge. 1. Growth time Life expectancy growth time individuals age-size class important analyse population dynamics determining possibilities sustain- production long term. Growth time information derived sec- ondary information scientific studies spe- cies biology traditional local knowledge. case rapid growth species, annual herbs, field study carried monitor individual’ growth, measuring size individuals sampling plots. information managed species, recommended account - formation similar species referential values adjusted monitoring pro- gramme adaptive management framework. Table 7 presents examples growth time information species helps understand age classes defined. details case studies ( information case studies visit: www.biotrade.org). ) Germination, natality mortality rates information gathered scientific literature . , permanent plots estab- lished part monitoring programme aimed Table 5. Average densities age classes Caesalpinia spinosa sites Ecuadorian Andes Age class Characteristics . individuals (average plots) Population (%) Seedlings ≤ 1 cm diameter base 151 76 Saplings 1–2 cm 13.5 6.82 Young adults > 2–6 cm ( size har- vest starts) 11 5.56 Adults > 6–20 cm 25 7.07 Elders > 20 cm 9 4.55 Total density 209 100 Estimated total density: 0.36–0.63 trees m2 ( = 0.5; standard deviation = 0.19) Source: Adapted Bookhout (1996), data Larrea (2008). Table 6. Information reproduction biology Caesalpinia spinosa, Mauritia flexuosa Neopicrorhiza scrophrulariiflora based secondary sources Species Sexuality Management implications Caesalpinia spinosa Perennial, produces flowers seeds year. Sexual reproduction occurs cross- pollination insects (.. wasps, honey bees). case important identify insects responsible pollination plants assure management practices affect pollination. Mauritia flexuosa Sexual reproduction system. Palm dioecious (male female individuals differentiated). Evidence density dependence reported. dioecious condition density dependence, management strongly influenced females’ dynamics (.. growth reproduction characteristics) density population effects variable germination rates. Neopicrorhiza scrophrulariiflora Vegetative growth (ramets) sexual reproduction. Reproduction ramets difficult identify individuals population analysis frequently based rate ramet production. Management practices account condition. Source: Larrea (2008), Holm al. (2008) Ghimire al. (2005) 20 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT occurrence individual reduces likelihood finding individual nearby. case - dividuals tend spread . clumped dispersion, occurrence individual increases likelihood finding - individual nearby. case, individuals tend form groups ( clumps). Ecologists interested spatial distribu- tion populations information social behaviour / ecological require- ments species. , plants occur clumped distributions propagate rhizomes (underground shoots) seed dis- persal limited. Clumped distributions plants occur slight variations soil chemis- moisture content. animals exhibit uniform distributions territorial (es- pecially birds), expelling intruders territo- ries. Random distributions common, precise difficult explain. , difficult visually assess precise spatial distribution population. - , obtain number (quan- titative measure) describes spatial distribution order compare populations. rea- son, variety statistical procedures describe spatial distributions. 1. measure distribution/dispersion: Generally types methods : quad- rat methods distance methods (transects). quadrat method (variance/ ratio method) based Poisson probability distribution distance method (Clark-Evans method) relies distance nearest neighbour measure, measures probability circle radius () empty. variance/ ratio method focuses determining species fits randomly spaced distribution, evidence ei- ther clumped distribution. variance/ ratio method, data collected random samples population. analy- sis, imperative data 50 sample plots considered. number individuals pres- ent sample compared expected counts case random distribution. - pected distribution Poisson dis- tribution. variance/ ratio equal 1, population randomly distributed. Table 7. Transition time required individuals populations case studies species size-age class higher size-age class Caesalpinia spinosa (Larrea 2008) Age class Transition time (years) Seedlings 1 Saplings 2 Young adults 4 Adults 15 Elders 30 Natural dead 10 Total life expectancy 62 Mauritia flexuosa (Holm al. 2008) Age class Transition time (years) Seedlings 1 Young juveniles 5 Juvenile 1 8 Juvenile 2 5 juvenile 10 Adult 1 17 Adult 2 (elders) 14 Total life expectancy 60 Neopicrorhiza scrophrulariiflora (Ghimire al. 2005) Age class Transition time (years) Saplings 1 Young 1.5 Adult 1 3 Adult 2 8 Total life expectancy 13.5 Sources: Larrea (2008), Holm al. (2008) Ghimire al. (2005) . filling information gaps identified es- tablishment baseline. requires marking statistically representative number individuals adults seedlings monitor time (Table 8). ) Distribution/dispersion Basically, types spatial dis- tribution dispersion individuals ( Figure 5). random dispersion, locations individuals independent . uniform dispersion, 21II. Guidelines design implementation resource assessments BioTrade wild-collected species Table 8. Considerations identify key variables determine germination mortality rates Species Germination rate Mortality rate Caesalpinia spinosa dynamic population model built assumption germination rate 0.9 cent seeds produced annually. Age class Mortality Seedlings 0.91 Saplings 0.19 Young adults 0.08 Adults -0.27 Elders 0.36 Mauritia flexuosa effect density means populations higher number individuals present growth rate. Seedling survival growth decreases density entire palm population increases. , case, female population size population growth key variables determine number individuals part population. Mortality rate estimated based number individuals contained size class pass size class time interval. , 260 saplings 247 individuals juveniles, assumed 13 individuals died year (time sapling takes juvenile). figures give mortality rate 22 cent (0.22). Neopicrorhiza scrophrulariiflora Based data provide Ghimire al. (2005), dynamic population model built assumption recruitment rate 2.3 individuals year 1 m2 surveyed. assumption immature individuals mortality rate 11.4 cent size-age classes 9 cent. specific information needed. Source: Larrea (2008), Holm al. (2008) Ghimire al. (2005). Figure 5. Examples types population’ special distributions Random Clumped Uniform 22 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT Box 3. Species distribution models (SDMs) – important tool estimate population size distribution habitat level Building ecological niche models predict species ranges main focuses 20 years landscape ecology conservation biology. Special concern devoted develop species ranges poorly regions presence points (Guisan Thuiller 2005, Marmion al. 2009, Pearson al. 2006). analytical approaches applied challenges, varying simple sets rules based overlays environmental species occurrences data creating -called “environmental envelop” (Krabbe al. 1998) sophisticated multivariate analyses Mahalanobis distance (Cuesta al. 2003) logistic regression (Loiselle al. 2003). management larger areas, inventory plots sufficient analyse population densities distribution, field data provide information species niche modelling. context resource assessment, habitat models improve substantially ability predict species occurrence locate populations initiation management purposes sustainable harvest regimes. , odds finding American ginseng Shenandoah National Park, United States America, based habitat model 12.3 times greater random searches, helped Fish Wildlife Service evaluate population estimates traded species (Van Manen al. 2005). increase applications species distribution models based growth availability remotely sensed data development geographical information systems (GIS) techniques integrated statistical methods (Guisan Zimmermann 2000). Carefully generated predictive models effectively contribute insufficient field survey museum data (Muñoz al. 2005, Guisan al. 2006, Rodriguez al. 2007) occasionally provide basis biodiversity assessments existing published range national ecosystem maps (Bustamante Seoane 2004). context, studies confirm modelling techniques, maximum entropy algorithm Maxent platform (Phillips al. 2006, Phillips Dudí 2008) suited type exercises. Maxent algorithm machine learning technique fit geographical distribution species based set presence- data points, set environmental descriptors (Elith al. 2010, Phillips al. 2006). Maxent tested extensively outperform “common” niche modelling techniques, Bioclim (Busby 1991), Domain (Carpenter al. 1993), generalized additive generalized linear models (Austin 2002), genetic algorithm rule-set production (GARP) (Stockwell 1999), performing similar approaches machine learning-based techniques current future conditions (Costa al. 2010, Fitzpatrick Hargrove 2009, Hijmans Graham 2006, Loiselle al. 2008, Phillips Dudik 2008, VanDerWal al. 2009, Veloz 2009). considerations mind, purpose guidelines propose Maxent define habi- tat suitability species interest BioTrade programme, based model outputs define sound base collection area quantify size population. tool support national authorities resources users analysis potential management areas, identification inventory methods information monitoring .. significantly greater 1, population clumped distribution. Finally, ratio sig- nificantly 1, population evenly distributed. Typical statistical tests find significance variance/ ratio include -test chi squared. Clark-Evans nearest neighbour method, distance individual nearest neighbor - corded individual sample. indi- vidual ’ nearest neighbor, distance recorded , individual. receive accurate results, suggested number distance measurements 50. average distance nearest neighbors compared expected distance case random distribution give ratio: ratio equal 1, population ran- domly dispersed. ratio significantly greater 1, population evenly dispersed. Lastly, ratio Sources: Guisan Thuiller (2005), Marmion al. (2009), Pearson al. (2006), Krabbe al. (1998), Cuesta al. (2003), Loiselle al. (2003), Van Manen al. (2005), Guisan Zimmermann (2000), Muñoz al. (2005), Guisan al. (2006), Rodriguez al. (2007), Bustamante Seoane (2004), Phillips Dudí (2008), Elith al. (2010), Phillips al. (2006), Busby (1991), Carpenter al. (1993), Austin (2002), Stockwell (1999), Costa al. (2010), Fitzpatrick Hargrove (2009), Hijmans Graham (2006), Loiselle al. (2008), VanDerWal al. (2009), Veloz (2009) 23II. Guidelines design implementation resource assessments BioTrade wild-collected species significantly 1, population clumped. Statistical tests ( -test, chi squared, .) determine ratio significantly 1. , researchers species dis- tribution models based statistical analysis, including ecological models theories, - complete prediction. conclusions based presence absence data, probabilities - vey likelihood species occupy area preferred models include esti- mate confidence likelihood species - ing present absent. Additionally, valuable data collected based simple pres- ence absence models based probabil- ity formation spatial maps species area. Similar areas compared species occur ; leads relationship habitat suitability species occurrence ( Box 3). 24 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT reproductive surplus differs spatially tempo- rally environmental conditions vary, absence exploitation, change rule - stancy exception (Hilborn al. 1995). Sustain- yields estimated direct experimenta- tion, observation natural systems deduction biological understanding (Hilborn al. 1995, Daly 1990). Information estimating harvest rates derive harvesters scientists. Harvesters empiri- cal data resources availability (yield) production trends analyse population increasing decreasing. Models calculate sus- tainable yields resource (Stockdale 2005). models developed define harvest rates depend secondary data observations short time periods. complexity tropi- cal ecosystems, models “ ” problem research (Wong 2000). development methods determining optimal model base har- vesting decisions “science contribute” BioTrade organizations. evaluate theory - Objectives: • Analyze population dynamics harvest impli- cations. • Identify suitable harvest rate spe- cies population dynamics. Expected outcomes: • Scenarios analyze implications harvest rates managed population dynamics. • Suitable harvest rates identified. Development: Harvest rate estimation developed based analysis species population data. Dynamic population models tool analyse information generate management scenarios. . Analysis population dynamics har- vesting. . Analysis implications harvesting sce- narios. . Stage 3. Estimation harvest rates sustainable yield perience wild-collected species harvesting order derive sound proposals analysis sustain- ability applied Biotrade organizations, national local levels. hand, important cases, BioTrade organizations lack sufficient specialized skills access modelling tools. , based local knowledge information gathered baseline establishment, organiza- tions capable setting preliminary differen- tial harvest rate management areas. sustainability thresholds evaluated permanent plots monitoring programme set part management plan. permanent plots marked trees eval- uated proposed Peters (1994) periodic harvest adjustment methodology key population variables seedlings sampling dynamics, age structure density. context, system dynamics tool applied natural resources order simu- late population growth potential effects disturbance, markets, economy variables. System dynamics approach understand behaviour complex systems time. deals internal feedback loops, stocks, flows time delays affect behaviour entire system. Simulation models visualize understand type information required resource assess- ment, applicability population models design robust resource assessment, high- light information gaps limitations inherent majority traded species due fragmented limited knowledge ecology species. , model outputs ecological interpreta- tion extremely sense providing baseline produce refined sophisticated population models information produced monitoring programme management plan. Finally, outputs models serve basis test harvest rate pro- posed sustainable time definition priority variables monitored long- term basis. guide decisions harvest rates management practices, step defining harvest rates establish current harvest regimes local resource users. data relate management conditions socio-economic issues. Examples consid- 25II. Guidelines design implementation resource assessments BioTrade wild-collected species erations account case studies presented Box 4, information presented Section 2 ( information case studies visit: www.biotrade.org). guide overview key ecological aspects defining specific harvest rates case studies: • Caesalpinia spinosa; • Mauritia flexuosa; • Neopicrorhiza scrophulariiflora 1. Analysis population dynamics harvesting Knowing population dynamics important estimating sustainable harvesting limit, Box 4. Considerations estimate harvest rates case study species Caesalpinia spinosa Mauritia flexuosa Locally people harvest 100 cent total seed production (Larrea 2008). , harvest rates order create scenarios evaluate - fluence harvest rate population viability species. harvest system oriented extract adult females population, harvesting scenarios generated: 10, 25, 50 75 cent adult female population (Holm al. 2008). scenar- ios density dependence conditions, translates increased growth rate (λ = 2.366) due resource competition higher germination rate female palm. Neopicrorhiza scrophrulariiflora Based information Ghimire al. (2005) model built harvesting scenarios: 0, 25, 50, 75, 100 cent adult population evaluate influence harvest rate population viability species. harvesting limit estimated current population lev- els unsustainable population decline (Stockdale 2005). Population dynamics analysis identifica- tion key variables influence population’ density long term. case Caesalpinia spinosa (Box 5) seedling mortality rate identified determinant variable. case, analyses values seedling mortality rates identify variable influences densities long term. important conclusion management, analyses identification practices assure seedling mortality rates assure sustainable management. Box 5. Population dynamics Caesalpinia spinosa dynamic system model Vensim (version 5.11) built order model population dynamics Caesalpinia spinosa timespan 100 years 400 m2 plot. model, current population presents continu- ous decline environmental conditions remain . , population sensitive parameter “seedling mortality rate”. high mortality rates (0.90 0.80) populations grew cases years reaching maximum 400 310 individuals years 6 4 . , populations decline scenarios reaching 7 13 individuals 100-year period. contrary, rates seedling mortality applied (0.75 0.70), outcome obtained. 20 years, seedling mortality rate 0.70, population 4 5 times bigger 0.90 0.80 scenarios. , mortality rate 0.70 applied, population 100 years bit smaller start, reaching 161 individuals. behavior segments population scenarios differs. older trees increase popula- tion size scenarios 30 years reaching size 10 times bigger. hand, saplings show dramatic decrease scenarios initial exponential growth 3 years. 10 years number saplings starting . 50 years segment population extinct 0.70 seedlings mortality rate scenario. implies current population status highly affected present human impacts important management actions required working decrease mortality rate seedlings. Sources: Adapted Larrea (2008), Ghimire al. (2005), Holm al. (2008). 26 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT 2. Analysis implications harvesting scenarios population ecology economics maximum sus- tainable yield (MSY) theoretically, largest yield ( catch) stock spe- cies indefinite period. concept developed based principles harvest rates equal regeneration rates (Daly 1990). , review definition methodology determining sustainable yield due difficulties quantitative application. account methodological difficulties, simulations analyse harvesting scenarios tool understand effects harvesting population define harvest rate ad- justed monitoring activities. current population dynamics - stood, population behaviour simulated differ- ent scenarios. Scenarios defined harvest rates varying relevant population characteristics. , case Caesalpin- Box 6. Harvesting scenarios Caesalpinia spinosa Harvesting scenarios generated: 100, 80, 75 50 cent fruit (pods) production seedling mortality rates 0.90 0.70. Scenario set 1: Simulations harvest rates tested, seedling mortality rate 0.90, population show exponential growth 5 6 years; point, species declines fast population 12 individuals cases. Scenario set 2: seedling mortality rate 0.70 applied, modelled results , showing bet- ter response population harvested regimes 100 cent harvesting scenario total population simulation 20 individuals belong elder age class. regime harvest rate 50 cent 0.70 seedling mortality rate shows good response population 100-year period total population 325 individuals (195 elders, 56 adults, 33 young adults, 21 sapling 20 seedlings), resembling constrictive pyramid shape, suggesting population managed recovers historical human impacts, sustainably managed natural habitat. results resource managers harvest rate 50 cent guarantee imple- mentation practices safeguard seedling survival. Densities mortality age class monitored effectiveness good practices implemented. details presented Section 2. ( information case studies visit: www.biotrade.org). ia spinosa, simulations based harvest rates (50, 75, 80 100 cent) varia- tions seedling mortality (90 70 cent), tak- ing account identified sensitive parameter. Box 6 presents results scenarios Caesalpinia spinosa. general, scenario set shows current conditions remnant population Cae- salpinia spinosa Ecuador, total population decline 10 years. conclude spe- cies managed sustainable basis specific environmental good practices guidelines habitat enrichment, silviculture monitoring seedlings (Becerra 2009). , remnant habitats preserved human activities set , es- pecially timber cattle grazing, species recover present population structure high mortality rate seedlings decrease. scenario set portrays, mortality rate seedlings, population capable resisting high fruits extraction regimes. 27II. Guidelines design implementation resource assessments BioTrade wild-collected species Objectives: • Identify good management practices included management plan. • Recognize information gaps variables included monitoring system management plan Expected outcomes: • Good practices identified included management plan. • Key variables monitored identified Development: Based results population dynamics harvest rate scenarios, BioTrade organizations identify key variables influence population’ density long term, information gaps vari- ables determine species productivity. context, resource assessment specific information analyse practices propose set variables monitored - der improve population dynamics knowledge , , productive system. . Identification good practices. . Improving monitoring systems. . Stage 4. Management implications 1. Identification good practices WHO (2003) good collection practices maintain basic conditions man- aged populations quality raw materials long term survival wild popula- tions habitat. Table 9. Main facts affecting Caesalpinia spinosa production good practices suggested ( information case studies visit: www.biotrade.org) Main factors affecting population dynamics Good practices suggested Caesalpinia spinosa population presents high seedling mortality rate caused cattle trampling grazing. affects population growth future production seeds trade. High regimes seeds extraction represent reduction seeds natural habitats generate individuals affecting population growth genetic diversity mid-term. • Implement practices reduce cattle grazing Caesalpinia spinosa forest remnants. • Enrichment natural habitats planting seed- lings juvenile individuals . • Regulate seed harvest rates identify - centage seeds harvested order increase germination rates. • Create seed bank monitor germination rates produce seedlings habitat enrichment good representation species ge- netic diversity. UNCTAD (2009) recommends good collection practices implemented, consid- eration key factors: • direct management species; • Management impact habitat; • Interaction actors managing species chain. Based results population dynamics anal- yses, BioTrade organization identify good practices related direct species management species habitat improve- ment assure juveniles survival, identify techniques improve germination rates improve collection practices diminish impact collection indi- vidual survival. Good collection practices defined based identification variables high effect population dynamics yield. exam- ple, case Caesalpinia spinosa cattle grazing affects survival seedlings direct impact population growth. case, good practices oriented implement specific practices reduction cattle grazing, monitor- ing seedling mortality, proper extraction techniques affect seedlings agronomic practices increase seedlings survival. Table 9 lists good man- agement practices impact har- vest rates population dynamics long-term sustainability Caesalpinia spinosa population. 2. Improving monitoring systems Monitoring integral part management; process commences baseline survey, ide- ally undertaken interventions place 28 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT continuing frequent intervals data revise management prescriptions . quantitative biometrically rigorous - ventory confidence resource base occurring (Wong 2000). ecological standpoint, es- sential ingredients required achieve sustainable level resource information, information density distribution resources forest, information population structure productivity resources, information ecological impact differing harvest levels. main themes monitoring programme focus (Peters 1996). Peters (1994), impact harvesting evaluated entire life cycle exploited species long-term productivity depends continued recruitment individuals, productivity adults. context, organization identifies key variables direct impact population density pro- ductivity, define good monitoring system improve management system pro- gressively. , specific methodology - source monitoring techniques methodology discussed context monitoring scheme NTFP extraction. important biometric issue design monitor- ing activities consideration “power” design (Wong 2000). programme’ ability distinguish trends random errors esti- mates. , sampling errors requires large numbers plots costly. Cost important issue routine monitoring - sequence interest simple, easy cheap indirect indicators resource condi- tion. Indirect indicators NTFP stocks (.. market sur- veys, harvest levels, basal area sweeps) basis making management decisions (Abbot Guijt 1998, Cunningham 1996). - ample, market surveys Vasquez Gen- (1989) alert conservationists advent destructive harvesting. Note stakeholders perceptions change indicators (Abbot Guijt 1998). review literature suggests general approaches monitoring natural products harvesting. monitoring health residual populations forest-based (.. methods proposed Hall Bawa 1993, Sheil van Heist 2000, Pilz Molina 1996) monitoring size quality harvest (.. Wong 2000). Ideally approaches tandem ( caiman, Velasco al. 2003) lo- cal scale permit development understand- ing interaction resource availability, harvest intensity market values. context preparation resource - sessment applying adaptive management approach, impact harvest rates prac- tices monitored order adjust pro- duction system, increase productivity - duce impact managed populations. Results presented UNCTAD (2009) suggest monitoring systems generate information levels: • Impact managed resource; • Biology species; • Yield. establish production ca- pacity ( terms quality quantity) meets sustain- ability criteria. Table10 presents examples variables part monitoring system Cae- salpinia spinosa including point (.) related rel- evant information gaps. Caesalpinia spinosa defines vari- ables related species biology yield applicable wild-collected species : • Population growth (total density, adult individuals/ area, young individuals/area); • Germination rate; • Natality mortality rates (individuals/area); • Production (biomass/area - biomass/individual). variables, related impact management practices fulfilment information gaps, identified case case. case Caesalpinia spinosa important monitor cattle grazing account activity specific impact young individuals conse- quently population growth. ) Periodic harvest adjustment Harvest rate variable monitored account depends decision resource managers adjusted 29II. Guidelines design implementation resource assessments BioTrade wild-collected species results monitoring system. collection areas managed time, advisable define harvest rates moni- tor areas harvest. condition BioTrade organization compare impact harvest rates managed pop- ulation adjust harvest rates applying adaptive management approach. method developed Peters (1994, 1996) integrates harvesting impacts monitoring Table 10. Suggested variables assessed monitoring programme Caesalpinia spinosa . Impact managed resource Current situation Variables monitored Cattle grazing negative impact young individuals’ survival. consequence reduction total population density future, reduction production capacity. context good practices monitored analyse reduction impact cattle grazing population: • Practices reduce cattle grazing; • Enrichment natural habitat; • Regulation seed harvest rates; • Creation seed bank. Seedling mortality cattle grazing. Forest area affected cattle grazing. Growth rate seedling/juvenile individuals planted. Percentage seeds collected. Seedling density natural habitats. Seed germination rate seed banks. . Biology species Current situation Variables monitored Production capacity Caesalpinia spinosa depends aspects: • Current population density assure production fruits; • Germination rate – collection practices assure good quantity seeds generate individuals; • Mortality young individuals reduced. Total density – number individuals age class sampling plots. Germination rate – number viable seeds produced kilogramme based samples Caesalpinia spinosa forest remnants. Mortality rate seedlings young individuals , model, higher mortality rate. . Yield Current situation Variables monitored Fruits Caesalpinia spinosa collected inter- national markets. Production average fruits tree. Production fruits area. . Information gaps Current situation Variables monitored information germination rates. Varia- tion germination rates affects popu- lation growth production capacity mid-term. Number viable seeds produced kilogramme based samples Caesalpinia spinosa forest remnants. health regeneration. method based establishment network small permanent regen- eration plots visual appraisal conditions adult trees. 1. Regeneration survey plots total number seedlings sap- lings selected species recorded clas- sified size classes. data represent threshold values sustainability measured. plots enumerated -year intervals. 30 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT subsequent enumeration seedling sapling density drops threshold harvest intensity reduced vice versa. 2. Harvest assessment entails visual appraisals conditions adult trees harvesting activities (Peters 1994). harvest activities, health, flower seed abundance harvesting impacts recorded marked trees yield plots. specific problems identified, .. drop productivity, adjustments harvest regimes needed. methodology successive approximations arrive sustainable harvesting level firstly determine magnitude patterns year--year variability productivity. - quire annual observations fruit production number consecutive years complementary records climate variable rainfall. data provide basis forecast models fruit production (Wong 2000). Harvest levels set relation long-term yields, main- tain population future, fraction forecast annual yield . important set harvesting level ability forecast current year’ harvest people considered choices harvest preparations (Belonogova 1988). ( information case studies visit: www.biotrade.org) 31Glossary Glossary BioTrade initiatives: Business ventures stages development headed economic actors (communities, community-based asso- ciations, small medium-sized enterprises, ) meet BioTrade principles criteria (UNCTAD 2007a). BioTrade products services: BioTrade activi- ties generally oriented produc- tion, transformation commercialization products derived sustainable bio- logical resources, provision services derived resources. BioTrade products include coming wild collection cultivation practices. refers products derived cultivation native spe- cies (domesticated wild varieties) activities agriculture aquaculture. case, cultivation considered strategy assure conservation concerned species ecosystems. Products derived wild collection include products fauna (.. ornamental fish), fauna derivates (.. crocodile leather meat) flora (.. medicinal plants) (UNCTAD 2007a). Services include, , carbon sequestration ecotourism. BioTrade: term BioTrade refers activi- ties collection/production, transformation commercialization goods services derived native biodiversity (species ecosys- tems), criteria environmental, social economic sustainability. Age distribution: proportion individuals population age classes. Typically dis- played modified bar chart called age pyra- mid. Age-specific fertility rate: number births individual specific age interval time. Age-specific mortality rate: fraction individu- als population die age interval. , probability dying age 5 10 0.25 25 cent, mortality rate age class. Crude birth rate: number individuals, thou- sand population, born time inter- val. , crude birth rates human generally range 10 thousand year 40 thousand year. Crude death rate: number individuals, thousand population, dying time interval. , crude death rates human population generally range 5 thousand year 25 thousand year. Density dependence: form population growth birth rates / death rates indi- vidual depend size density popula- tion. results individuals - peting limiting resource. Dependency ratio: fraction population “dependent” rest population. human population, generally - sidered fraction 15 years fraction 65 years. Doubling time: time population double, age-specific mortal- ity fertility rates. change fertility mortality graphs doubling time. Demography represents doubling times nega- tive population decreasing. Finite rate increase (lambda): measure rate growth population. amount population multiplied give population size time unit (assuming population stable age distribution) Generation time: average age female birth offspring. equivalent time takes population increase factor equal net reproductive rate. Intrinsic rate increase (): measure rate growth population. instantaneous rate change ( individual time interval), assuming population stable age distribu- tion. equal natural log (ln) finite rate increase. life expectancy: long individual expected live, average. influenced age-specific mortality graph. Net reproductive rate (R0): average number offspring individual population pro- duce / lifetime. total fertility rate, R0 depends age specific mortality rates. Population momentum: tendency rapidly growing population growing, implementation policies designed halt population growth. 32 GUIDELINES FOR THE SUSTAINABLE MANAGEMENT OF BIOTRADE PRODUCTS: RESOURCE ASSESSMENT Sex ratio: fraction population fe- male. Technically, “ratio”, common represent- ing gender distribution population. primary sex ratio proportion births female. Stable age distribution: age distribution population reach allowed progress longer change distribu- tion. Survivorship: probability individual sur- vives age age. 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