GLOBAL ENVIRONMENT FACILITY
CONCEPT NOTE
Conservation and Sustainable Management of the Caatinga Biome
Country:
Brazil – States of Bahia and Ceará
Project Name:
Conservation and Sustainable Management of the Caatinga
Biome
Eligibility:
Ratified Convention on Biodiversity and UN Framework
Convention on Climate Change, February 28, 1994
Requesting Agency:
World Bank
Executing Agencies:
Bahia: Companhia de Desenvolvimento e Ação Regional –
CAR, and Centro de Ação Regional – CRA
Ceará: Secretariat of Infrastructure of the State of Ceará/
Office of the State Superintendent of the Environment
Coordinating Agency:
Bahia: Secretariat of Planning, Science and Technology
Ceará: Secretariat of Planning and Coordination of the State
of Ceará
GEF Focal Areas:
Biological Diversity and Climate Change
Cross Cutting Issue:
Land Degradation
GEF Operational Programs:
#OP12 – Integrated Management of Ecosystems
Total Project Cost:
US$20.0 million
Financing Plan:
US$10.0 million (GEF)
US$5.0 million (State of Bahia) and US$5.0 million (State
of Ceará)
Project Duration:
Four years
Preparation Cost:
US$682,500
Block B funds required:
US$339,000
Block A or Block B Granted:
No
Table of Contents
Introduction
1. Background
1.1 Main Characteristics of the Caatinga
1.2 The Caatinga and Local and Global Biodiversity
1.3 The Caatinga and Climate Change
1.4 Threats to Biodiversity, the Degradation of the Caatinga’s Soils, and Linkages to
Climate Change
2. Baseline Situation: Rationale and Value Added through Global Support: Synergy
between Baseline Situation and Project Activities
3. The Proposed Project
3.1 Project Objectives and Scope
3.2 Project Description
3.2.1 Pilot Project Approach and Improved Policies for Biodiversity
Conservation and Climate Mitigation
3.2.2 Preliminary Description of Project Components and Possible Activities
3.3 Project Areas
3.4 Beneficiaries
3.5 Expected Project Benefits
3.6 Stakeholder Involvement
3.7 Institutional Coordination and Support
3.8 Project Sustainability
3.9 Replicability
3.10 The Country’s Eligibility and Commitment
4. Project Preparation
4.1 Main Activities to be Carried out during Project Preparation
4.2 Institutional Arrangements for Project Preparation
4.3 Budget for Project Preparation Activities
4.4 Timing and Schedule
Annex 1 – Rural Development Activities in the two States - Baseline
Annex 2 – Contacts Made during Preparatory Missions
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Introduction
The Caatinga is one of the five major Brazilian biomes, the other ones being the
Amazon, Mata Atlântica, Pantanal and Cerrado. While activities exist to preserve the
Amazon, Mata Atlântica, and Pantanal, the Caatinga and Cerrado have up to now received
little attention. The Brazilian Government has now expressed its interest in taking steps to
develop activities for the preservation of the Caatinga.
The Caatinga is endemic to Brazil’s semi-arid Northeast and characterized by
shrubby vegetation, poor soils and a climate with highly seasonal precipitation and
prolonged drought periods. The Caatinga is very rich in biodiversity, both with regard to
flora and fauna, and due to its extension it also has a function as a carbon sink. At the same
time, it is increasingly threatened due to deforestation for agricultural and commercial
purposes, almost non-existent management – with the exception of a few conservation
areas -- as well as inappropriate soil management and agricultural techniques. The effects
are related to the loss of habitat for endemic species, desertification and soil erosion as well
as destruction of microclimates. These effects imply severe socio-economic impacts. The
majority of the Caatinga areas are extremely poor and, therefore, more dependent on
natural resources and vulnerable with regard to changes that affect the ecosystems.
The World Bank has initiated discussions with the Federal Government and UNDP
regarding proposed GEF financed projects for the Caatinga. The World Bank proposes to
explore opportunities with UNDP and UNEP, in consultation with Government, to create a
strategic partnership that would ensure that these concepts develop into projects that are
synergistic and complementary.
This Concept Note refers to the integrated ecosystem management of State-level
projects in Bahia and Ceará, the states with the largest share of Caatinga. The Project
would be implemented as a pilot. Given the extension of the Caatinga areas in these two
States and the needs for introduction of sustainable Caatinga management and
conservation, the proposed Project would constitute a first phase and, based on its results, it
is planned that GEF-financing for a second-phase project would be sought to expand the
scope and the impact of the activities within the two States.
The concept presented integrates the results of the PROBIO workshop, one of the
activities carried out under the GEF-financed PRONABIO project (Programa Nacional de
Biodiversidade), which aims to develop strategies for the major Brazilian biomes. The
PROBIO workshop for the Caatinga Biome was held in April 2000, bringing together
valuable expertise and providing important information about the biome, the status of its
biodiversity, knowledge gaps, research and action priorities.
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1.
Background
1.1 Main Characteristics of the Caatinga
The Caatinga is the predominant vegetation of a very large region in the Northeast
of Brazil, and it occupies over 70% of this geographic area. The Caatinga covers about
13% of the Brazilian territory – equivalent to about 800,000 km². This geographic area –
also called sertão, agreste, cariri, seridó, carrasco, etc. – includes parts of the States of
Bahia, Sergipe, Alagoas, Pernambuco, Paraíba, Rio Grande do Norte, Ceará, Piauí and
Minas Gerais, and dominates the semi-arid zone of Northeast Brazil (Map 1).
The State of Ceará is the one with the greatest percentage of semi-arid areas within
its territory, approximately 90% of its geographic area or 134,000 km2. On the other hand,
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Bahia’s semi-arid region covers 60% of its territory, which represents an extension of
365,977 km2. Thus, these two Northeastern States contain 62.5% of Brazil’s Caatinga
Biome.
The semi-arid area where the Caatinga grows is characterized by a dry climate and
high temperatures. The annual rainfall averages between 250 and 1000 mm, and the
temperature varies between 24 and 28 degrees Celsius, which causes intense
evapotranspiration.
Caatinga vegetation is known to have its own particular characteristics, which
differentiates it from any other biome. This vegetation covers most part of the semi-arid
area and its main characteristic is the ability to adapt to the hydric deficiency areas.
Moreover, there are many different types of vegetation in the caatinga biome. Regarding
the vegetation variety, there are twelve types of vegetation where the “Steppe-savannah
with Trees”, “Steppe-Savannah-Agriculture Activities” and the “Contact-SteppeSavannah-Seasonal Forest” represent 82% of the total caatinga vegetation (Table-1)
Table-1
Type of vegetation in the Caatinga
Vegetation Units
Area km2
Steppe-Savannah with trees
Steppe-Savannah – Agriculture activities
Contact Steppe-Savannah – Seasonal Forest
Steppe-Savannah Forest
Contact Savannah- Steppe-Savannah –Seasonal Forest
Contact Savannah- Steppe-Savannah
Contact Savannah-Seasonal Forest
Steppe-Savannah Park
Savannah with trees
Savannah Forest
Grassy Woody Savannah
Savannah-Agriculture activities
289,236.41
201,412.02
119,940.74
51,343.14
31,109.70
16,980.77
11,703.01
10,819.29
3,395.91
626.81
288.45
4.26
Total
736,860.51
The intent of the proposed Project is to leverage a process leading to the
development of sustainable production practices for biodiversity conservation in the
Caatinga, while raising the quality of life for local populations. An integrated ecosystem
management approach is therefore needed to allow systematic interventions in physical,
biological, social and economic aspects of the problem.
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The Caatinga’s biological resources merit attention and demand immediate actions
aimed at including its needs in social and economic development planning. Generally,
economic analyses do not give sufficient weight to the long-term benefits and economic
value of natural processes such as the protection of water resources, soil conservation, the
reduction of conditioning factors that are adverse to climate, and the socio-cultural
complexity associated with this type of ecosystem.
The prioritization of economic incentives for the conservation of biological
resources requires an understanding of the contributions of these resources to the national,
regional and local economy, considering both their direct (consumable and productive) and
indirect value (ecosystem functions, option and existence value). The issue becomes even
more serious and complex in situations of extreme poverty, with enormous demands for
renewable natural resources, which increase environmental degradation and accelerate the
loss of biodiversity.
In the Caatinga, the evolution of natural conditions has moved towards a gradual
increase in aridity and soil degradation, as confirmed by meteorological records, by the
intense erosion observed in the surface layers of soils, and by losses noted in plant and
animal species, some of which are now extinct.
Added to the accelerated processes of environmental evolution caused by natural
conditions are human actions that lack guidelines for the use of natural resources; for
example, the increasing use of extractive methods without any awareness of the time and
value needed to recover such resources.
Along with the loss of genetic heritage of unknown value, due to its “insularity” in
the semi-arid zone, the break-down of the physical environment and the resulting lack of
conditions for establishing flora and fauna are major problems since these are primary
sources of the most basic human need – food.
An understanding of ecosystems existing in the Caatinga is an essential, urgent
condition for providing people with the means to make rational, ongoing use of natural
resources as well as allowing the preparation of measures that may contribute to
environmental preservation and the reversal of the current soil degradation process, not
only with regard to plants and animals but also to the protection of soils that, as a whole,
ensure the dynamics of water resources and climate at local level.
With this understanding, hypotheses may be formulated with regard to the economic
and social use of the Caatinga’s natural resources, as well as interpretations about the
historical evolution of vegetation existing therein, by showing, for example, crossing points
or their path of dispersion, the balance of bygone plant coverage and the interaction of the
plant world in terms of providing conditions for the harmonious development of plants and
animals.
The preservation of the Caatinga’s genetic heritage is directly related to the
facilitation of sustainable alternatives for production that enable human beings to coexist
with the climate conditions of the semi-arid region to reduce anthropogenic pressure on
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natural resources. It is therefore essential to ensure the ecological basis for supporting a
new development model.
1.2
The Caatinga and Local and Global Biodiversity
The establishment of priority actions for the preservation, conservation and
recovery of the Caatinga Biome may and should be considered one of the most urgent ones
in Brazil. First, because the Caatinga is an exclusively Brazilian biome and second,
because the Caatinga is home to unique plant and animal life, with many endemic species,
i.e., ones not found anywhere else on the planet. Research conducted in the qualitative and
quantitative aspects of the Caatinga’s plants and vegetation, registered nearly 596 tree and
shrub species, 180 of them being endemic. Moreover, if herbaceous species were taken
into account, the number of endemic species would increase considerably.
The Caatinga is also one of Brazil’s most endangered biomes, and a large part of its
area has been considerably modified by human activities. Northeast Brazil has an
estimated population of over 45 million. A study prepared for PROBIO indicates that
nearly 50% of the Caatinga’s environment has been altered by human activities, especially
in forest and wetland areas. Moreover, humans are accountable for creating problems
related to the sustainability of food production systems. These are connected with the
constant adverse effects of the climate which leads to soil degradation, to the reduction of
the biodiversity of species, and consequently to the process of desertification.
The
PROBIO study also emphasizes the present level of environmental degradation for the
different Northeastern states (Table-2):
Table-2
Level of
Environmental
Degradation
Northeastern States – Hectares/ Percentage
Alagoas
Bahia
High
90,400
3.26
-
Moderate
-
Low
-
2,031,300
3.63
667,300
1.19
163,200
0.29
-
TOTAL
90,400
3.26
Severe
Ceara
4,253,00
28.98
885,600
6.03
509,900
3.47
2,060,000
14.03
2,861,800 7,708,500
5.11
52.51
Paraíba
Pernambuco
2,106,100
37.36
692,500
12.28
298,500
5.29
429,300
8.26
3,526,400
63.55
2,629,800
16.58
721,100
7.34
154,400
1.57
2,505,300
25.49
Piauí
Rio Grande Sergipe
do Norte
588,700 896,200 271,200
2.34
16.92
12.29
54,000
141,100
0.21
2.66
792,300 265,800
3.17
5.01
61,100
602,100
0.24
11.35
1,496,100 1,905,200 271,200
5.96
35.94
12.29
The Caatinga is one of Brazil’s most diverse biomes. Studies show that this major
spatial diversity of Caatinga species, with significant changes in their composition from one
place to another, is seen in a large number of variations and associations with
physiognomically and floristically different plants (see also Map 1). Their physiognomic
and physiological-ecological characteristics are adaptations to rainfall, type of soil and
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water table level. In Caatinga vegetation, trees and shrubs (permanent flora) lose their
leaves in an unfavorable period (rainless) as a strategy to survive the lack of water, while
the herbaceous stratum (temporary flora) disappears in the rainy season. Most temporary
species are therophytes, i.e., during the rainy season they germinate, grow and reproduce,
and during the unfavorable period they remain only in the form of seeds as a means of
protecting the embryo. The Caatinga is an extremely important protein bank, as
represented by legumes and other forage species.
The Caatinga is thus of fundamental importance in maintaining life in the semi-arid
region, where the extremely adverse climate conditions demand perfect adaptation of the
biota to the physical environment. Countless species grow there which are highly adapted
to the arid environment in which they live, although they are not well studied by science
but known and used by the local population. The Northeast community has long used the
Caatinga’s plants for medicinal and nutritional purposes, for the production of fiber, oil,
latex, wax; as forage and timber; as sweeteners and even as ornamental plants.
The economic and social use of the Caatinga and its occupation began with the
development of agricultural and livestock activities in clusters of lands granted by
provincial authority, along the banks of rivers and tributaries that cross the region, where
corrals were implemented for cattle formerly raised loose, making use of the vast supply of
existing grasses and the water from springs and ponds.
Communities developed near these corrals as well as existing water sources: they
made clearings for the planting of beans, corn, manioc, sugar cane and cotton, hunted wild
animals without restriction, fished and gathered other foods, especially native fruits, all of
which contribute to the formation of a culturally extractive society.
1.3
The Caatinga and Climate Change
In addition to the local and global importance of the Caatinga’s biodiversity and soil
productivity, this biome also has an important role to play in the global carbon cycle.
Native Caatinga vegetation is very thick in spite of adverse climate conditions, and as such
acts as a significant carbon sink. Dry leaves that fall during the drought periods accumulate
on the soil and, differently from the Cerrado vegetation, rarely catch fire under natural
conditions. As the rains return, new leaves are formed on the trees and shrubs, and grasses
and other low vegetation sprout vigorously from the ground.
However, human occupation of the Caatinga has drastically changed this natural
pattern and affected the ability of the Caatinga to act as a carbon sink. The increasing rates
of deforestation for fuelwood consumption, along with burning for pasture and agricultural
activities, lead to increased carbon emissions into the atmosphere. The use of inefficient
burning technologies also contributes to the release of carbon to the atmosphere. Better
management of the Caatinga’s native vegetation, including reforestation activities, along
with improvements in energy utilization technologies by local populations, could greatly
contribute to a reduction in the levels of CO2 in the atmosphere.
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Within Ceará, for example, the gradual evolution of forest clearing, in terms of
physical and biological conditions, is proven by documents from past centuries, such as the
works of João da Sylva Feijó, cultural attaché in Ceará, in 1790, collected by Nobre (1984);
the works of the Scientific Exploration Commission which carried out expeditions within
Ceará from 1859 to 1861 (Braga, 1982); the explanatory Travel Notes of Antônio Bezerra
who, in 1884, received orders the Provincial Government to travel around the province
(Bezerra, 1965); and many other naturalists who traveled widely and recorded facts on the
former conditions of the environment and biodiversity.
1.4
Threats to Biodiversity, the Degradation of the Caatinga’s Soils, and Linkages
to Climate Change
The unsuitability of prevailing productive systems to the drought regime is a
determining factor in the conditions of extreme poverty in the semi-arid Brazilian
Northeast, where the lack of sustainable production alternatives encourages the population
to place constant and excessive pressure on natural resources. However, this intense use of
natural resources has failed to improve their livelihoods and is causing a continuous and
progressive loss of biodiversity in a biome whose genetic, species, and ecosystem diversity
is still not well understood.
From the second half of the twentieth century, the process of using the arid sertão
was intensified, thus bringing social and economic changes to the area. These changes
were nearly always made without regard for ecological problems related to the use of
natural resources. The expansion of agricultural frontiers replaced large areas of the
Caatinga, without creating forest reserves to compensate for ecological damage or ensuring
the reproduction of species and the recovery of ecosystems.
Livestock raising and agriculture are being practiced with the systematic destruction
of forests and the use of inadequate practices. Because of its soil and climate conditions,
the semi-arid region is highly vulnerable to desertification, i.e., soil degradation due to
climate variations and human activities. A feature of this process is the reduction or loss of
productivity and biological diversity, at the expense of croplands, grasses and forests.
Caatinga vegetation withstands long periods of drought and flowers until the rains return,
sometimes after 4 or 5 years. However, the large-scale land-clearing undertaken to expand
agricultural frontiers and timber extraction have decimated plant and animal species with
major ecological significance, about some of whose economic potential there is still
insufficient understanding.
The main threats to the Caatinga’s ecosystem are:
 Illegal hunting and sale of wildlife, including species from the area of the Raso da
Catarina Ecological Reserve, which are threatened with extinction (armadillos,
freshwater turtles, and others);
 Timber extraction for firewood;
 Burning;
 Unsustainable agricultural and livestock activities.
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Conservation efforts in Brazil have been aided by funding from international agencies,
allocated especially for tropical forest conservation. It is now time to consider the
Caatinga, establishing a frame of reference for the protection of biological diversity in a
region where life is lived under extremely adverse conditions.
Some species of the semi-arid region are already on IBAMA’s official list of
endangered Brazilian plant species. The São Paulo Forestry Institute, through its Program
to Conserve Genetic Resources of Brazilian Essences, is trying to preserve material from
some of these endangered species, using the “ex-situ” conservation method, due to their
economic, social and scientific value; included in this program is the aroeira-do-sertão
(Astronium urundeuva) or star tree, an endangered species of Bahia’s semi-arid region.
Data on endangered plant species are underestimated due to lack of knowledge about the
Caatinga’s plant species.
With regard to wildlife, the list of endangered species in the semi-arid region is
larger because of overexploitation from indiscriminate hunting, the capture of animals for
illegal export, and especially the destruction of natural habitats for soil use or plant
extraction.
The fragmentation and insularization of vegetation leads to loss of habitat and the
consequent loss of animal and plant species, especially those that are rare or whose
distribution is restricted (endemic), and increases the likelihood of extinction for the
remaining species due to the reduction in population size.
The evolution of the dynamics of human activity in Northeast Brazil, especially in
terms of the intensification and expansion of the agricultural area associated with
inadequate soil use, the use of burning in preparing soils for farming, use of herbicides and
insecticides and intensive extractivism, caused a strong fragmentation in this plant cover
and the reduction in size of these areas (fragments, islands), and consequently the loss of
habitat and possible loss of diversity.
Widespread agricultural and livestock activities do not allow the different
populations occurring at the herbaceous level to complete their reproductive cycle, causing
grasses to thin out; and the destruction of the seed bank in the soil due to the action of
burnings impedes the natural regeneration of vegetation. These factors, associated with
plant extraction and the consequent fragmentation of vegetation, are bringing about the
disappearance of species, a decrease in the size of populations, an increase in their
isolation, and the loss of genetic variability.
The degradation and fragmentation of plant cover in the Caatinga is making
carnivores, who need large areas to maintain their food supply, increasingly more
vulnerable to extinction. In addition to the loss of genetic diversity, the small percentage of
plant cover still remaining, the increased intensity of soils' exposure to sunlight, torrential
rains and the consequent increase in erosion are decreasing agricultural productivity,
causing siltation in river basins, decreased water filtration in the subsoil due to increased
silting, and evaporation in terms of the lack of protection in the plant layer.
The dilapidation process in the Caatinga’s plant cover has intensified over the past
40 years. This has resulted in a panorama of chaos; uncovered soils without plant leaves to
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shade them exhibit the pale, white colors of the hazy horizon as well as soil dehydration
which inhibits the agricultural productivity, except for outcroppings of rocks. These facts
may be observed while flying over the Northeast in the months of September to December
when the dry season is most critical.
A common practice has been the total removal of trees and shrubs in order to install
fields with herbaceous forage. These fields expose the soil to intense erosion and
evaporation in summer, do not provide shade for animals, and most importantly
exterminate the “gene banks” of native trees and shrubs.
The disorganization or destruction of Ceará’s natural ecosystems and biomes began
with livestock raising, greatly intensifying in the mid-19th century with cotton crops, when
Senator Pompeu, in the early 1860s, chose França as a "forum" of protests against land
clearing in Ceará (Tigre, 1970). Coincidentally, the Scientific Exploration Commission
that traveled throughout Ceará from 1859 to 1861, in its section on zoology, already
recorded the rarity or disappearance of most native mammals in “a large part” of Ceará’s
territory (Braga, 1982).
With agriculture the methods were no different. Land rotation in search of new
settlements caused settlers to clear new lands and cut down trees to start their farms.
Agriculture is considered a disorganized system lacking any traditional organized planning,
thus making it difficult to reorganize agricultural spaces.
This repeated process, year after year, in successive cuts, is impoverishing the plant
cover of both Ceará and Bahia. Without a doubt, areas of the low sertão [> 250m above
sea level] and high sertão [> 450m above sea level], covered by Caatinga (Figueiredo et al.
1984), are the most intensively used since the Ciclo do Couro (Leather Cycle), using these
large, flat and softly-undulated areas of the sertões and their rich herbaceous layer. Thus,
agriculture has accelerated the reduction of biodiversity and accelerated soil destruction.
Due to soil and habitat degradation, the population density has also been decreasing
and is becoming more and more homogenous. There are only 15 cities in the Caatinga area
with a density of over 100 people/km2. Thus, most other cities have a density of fewer than
50 people/km2. Therefore, the population has been decreasing significantly in the Caatinga
areas due to habitat degradation.
The ongoing unsustainable use of the Caatinga’s natural resources also contributes
to climate change as wood continues to be burned at increasing rates for the production of
charcoal, bricks, ceramic artifacts, bread, and also for home cooking. As more and more
families fail to make a living from farming their land, people move into areas of native
vegetation in order to try to make a living by harvesting and selling fuelwood for the
commercial activities described above. Carbon emissions into the atmosphere also
originate from the continued use of fire for clearing land for agricultural and livestock
activities.
Initiatives aimed at reforestation and sustainable use of Caatinga vegetation are
virtually non-existent, and if this trend continues the Caatinga’s contribution to CO2
11
emissions is likely to increase with time. There is an urgent need to reverse this situation in
areas of the Caatinga by adopting an integrated approach to appropriate management and
sustainable use of the biome’s natural resources, especially timber.
In the preliminary consultations carried out so far, most small farmers have
acknowledged that they know that the practices currently used, such as burning, are
partially responsible for the environmental degradation of their land, and for the
disappearance of flora and fauna that existed in the area. They also expressed the will to
"do right", but said that they need guidance and training to identify and implement new
kinds of agricultural and livestock practices, as well as alternative economic activities, that
are less detrimental to the environment. The proposed project aims to invest heavily in
education and capacity building in this area, as well as support small farmers, in selected
demonstration pilot areas, to test the environmental and economic sustainability of
alternative practices.
2 Baseline Situation: Rationale and Value Added through Global
Support: Synergy between Baseline Situation and Project Activities
As can be seen in Annex 1, there is an extensive list of existing activities, projects and
programs related to rural development in the contemplated Caatinga areas. There is clearly
a significant potential for including the proposed project within the context of other projects
and programs that are already underway.
Most of the already existing activities described in the referred Annex are statewide, i.e.
they are not confined to certain geographic areas within the two states. In addition, they
often focus on the improvement of local infrastructure (e.g., water supply in PRODUZIR in
Bahia and larger water infrastructure in PROGERIRH in Ceará). The current initiatives do
not, however, emphasize environmental and ecological aspects, nor are they directed to
promote integrated management of the Caatinga.
The idea for the project proposed here would be to complement the existing projects,
redirect, tailor and fill in their gaps in the areas where the GEF-financed project would be
carried out. The aim would be to achieve a synergistic effect between conservation and the
Caatinga management-oriented approach with the provision of basic infrastructure services
through the on-going projects.
An example of a potential synergistic effect to be explored is the PROGERIRH in Ceará.
Due to the construction of a number of reservoirs in Caatinga areas, the creation of
compensation areas for biodiversity conservation is included. During project preparation, it
would be explored how these compensation areas (which are still to be geographically
defined) could be integrated in the landscape approach of the proposed project. The
baseline – creation of compensation areas – would benefit from becoming integrated into
the proposed sustainable development approach, benefiting both biodiversity and climate
change activities, instead of being carried out as an isolated conservation effort.
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In this context, State funds for the Caatinga project would be targeted more towards
infrastructure investments at community level while GEF funds would be more focused on
technical assistance, capacity building, monitoring, strategy work and piloting of new
technological approaches (for instance for improved energy efficiency in fuelwood use or
fuel-switching, soil and forest management, reforestation with caatinga specific and
economically viable plants).
With this, the proposed project would implement an integrated approach which
hitherto has not been tried out in the Caatinga areas. In this sense, the GEF would act as a
catalyst to modify existing behavior and attitudes towards Caatinga management. The
incremental cost financed by GEF is thus extremely important for the process of developing
priority actions for the conservation and recovery of the Caatinga Biome in the context of
biodiversity, climate change and land degradation.
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The Proposed Project
3.1 Project Objectives and Scope
The objectives of the proposed Project would be to:
(i) contribute to the protection of Caatinga biodiversity, to the reduction in carbon
emissions to the atmosphere, and to greater storage of carbon in Caatinga vegetation,
through activites that promote and ensure the conservation and sustainable management of
the Caatinga Biome; and
(ii) improve the socioeconomic situation and quality of life of the population living
in these areas, thus promoting integrated, sustainable development in the Caatinga areas.
Due to the vast size of the geographic area occupied by the Caatinga Biome, this
target should be viewed within the context of a long-term strategy that (a) integrates the
various sectors involved in the use of these resources and provides a comprehensive vision
for the Caatinga’s conservation, and, at the same time, (b) carries out activities in the form
of strategically selected demonstration pilots. This would provide the foundation for this
initiative to be extended to other areas of the states, and to other states, in the future, and
would contribute to the formulation and finetuning of environmental protection policies as
well as conservation and sustainable, strategic use of the caatinga.
To achieve the objectives, the project would include activities that would
incorporate: (i) a statewide approach with regard to Caatinga policy, strategy formulation,
assessment, and monitoring, such as Caatinga mapping (areas that are in different stages of
preservation and degradation in terms of biodiversity), and education and capacity building
for biodiversity conservation, carbon sequestration activities, and the use of fuel efficient
technologies; and (ii) targeted interventions in selected pilot demonstration areas - such as
the elimination of fire as a land-clearing tool, and adoption of fuel efficient wood stoves for preservation and rehabilitation of defined landscape units, which would include
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investments and activities geared towards local populations and improvements of their
livelihood; and (iii) dissemination and public awareness raising.
3.2
Project Description
3.2.1 Pilot Project Approach and Improved Policies for Biodiversity Conservation and
Climate Mitigation
The proposed Project focuses on the development and implementation of two State-level
projects (on a pilot basis) for integrated Caatinga management based on an ecosystem
approach.
In the spirit of OP #12, this Project would aim to address synergy between two of
the focal areas, i.e., Biological Diversity and Climate Change, and with the cross-cutting
issue of land degradation, to optimize benefits across GEF focal areas.
While the general components will be the same for both Bahia and Ceará, each
State will develop its own specific activities during preparation based on its needs and
potential for success in the realization of its objectives. In addition, they will be developed
so as to permit multiplication and dissemination to other states in Brazil..
The project will bring together efforts to protect and conserve the Caatinga’s
biodiversity and to contribute to the halting of climate change, acting in demonstration pilot
areas chosen among municipalities with a low socio-economic development index. The
populations of such localities will receive technical support and guidance for the
sustainable use of their small family lots, including biodiversity-friendly activities and
carbon sequestration initiatives. This approach should result in reduced pressure on natural
resources in the project areas and at the same time lead to global benefits.
The strategy to achieve project objectives concentrates on engaging the local
population in the planning and execution of pilot activities, from project preparation to
implementation. For this purpose, community organizations and local authorities will be
mobilized at the local level.
The demonstration sub-project areas to be chosen will have to meet the following
minimum criteria:
 Incremental cost finance for activities related to Caatinga conservation and to the
improvement of the quality of life and socioeconomic conditions of the population
living in Caatinga areas.
 Of significant value for conservation of the Caatinga’s biodiversity;
 At risk due to human activities (occurrence of timber extraction, hunting and
inappropriate use of soils for cattle grazing and agriculture), and to the presence of
inadequate management activities, such as the use of fire for clearing land;
14
 Located in poor municipalities with low indices of socioeconomic development,
little government action, and a predominance of family farms pursuing agricultural
activities;
 Possessing development potential and a population depending on the natural
resources of the Caatinga for their livelihoods;
 At least some existing local capacity installed (for example, in Bahia, the areas
would belong to municipalities that already have municipal councils or other
entities that bring together public authorities, community associations, trade unions
and other representatives of the beneficiaries, especially those that are part of
FUMAC-P, of PRODUZIR, which give municipal councils major authority for
making decisions and reaching agreements);
 Political interest of the local authorities;
 Replicability of pilot demonstration sub-projects.
3.2.2 Preliminary Description of Project Components and Possible Activities (to be defined
and elaborated during project preparation)
As currently conceived, the project would consist of the following components:
Component 1: Participatory Legal and Policy Framework. Related to the development of
State policy and formulation of strategies for the conservation and sustainable use of the
Caatinga and its ecosystems, and for the adaptation to climate change effects.







Activities
Promote a statewide dialogue with stakeholders to gather their views and needs
Survey legal provisions and regulations existing in the State, dealing with the
sustainable use and preservation of the Caatinga’s natural resources;
Make efforts to adapt state legislation, as necessary, to federal and international
legislation, so that the use of the Caatinga Biome’s natural resources is fully
regulated and may be monitored;
Establish partnerships with financial and development agents in order to make lines
of credit available to finance productive and social activities that combine the
socioeconomic use of the biome with its preservation and conservation;
Analyze the potential for incentives for reforestation and use of fuel efficient
technologies in selected industries that depend on wood for fuel;
Institute a seal of ecological quality for products from the Caatinga that are obtained
by using technologies that are sustainable from an ecological standpoint;
Constitute a permanent inter-institutional forum to discuss and suggest updates or
new strategic policies for the conservation and preservation of the Caatinga.
Component 2: Biome-wide Caatinga Management Activities at State Level.
15







Activities
Identification, mapping and diagnosing of Caatinga areas;
Consolidation of existing Protected Areas and the establishment of proposed areas;
Encouraging the creation of new RPPNs – Private Natural Heritage Reserves;
Implementation of a geo-referenced Environmental Information System to make
available a database on knowledge of local ecology, socioeconomic dynamics and
human activities and their impact on the natural environment;
Characterization of the region’s natural and socioeconomic resources, with an
indication of their potential and limitations; socioeconomic and ecological
assessments;
Apply previous research results to deal with the recovery of the Caatinga’s natural
resources;
Creation of germ plasma bank (Caatinga plant nursery).
Component 3: Integrated Management Demonstration Subprojects.
For the
preservation and sustainable use of the Caatinga, including the use of alternative
agricultural and livestock innovative technologies, and adaptation of the local populations’
activities to climate-friendly management. Number of demonstration subprojects: 3 to 5 in
Bahia, 4 in Ceará
Every demonstration subproject will contain elements of
(i) local Caatinga conservation and management to be carried out at the landscape scale
within an integrated ecosystem approach;
(ii) local environmental education for caatinga users (targeted towards e.g. farmers,
children, small industry (charcoal) etc.);
(iii) development of alternative production and marketing technologies that ensure the
improvement of farmers’ income and the ecological and economic sustainability of the
production systems used. This could take place, e.g. through transfer to farmers the
knowledge already acquired about agricultural and livestock production techniques adapted
to the semi-arid region and to the climate change effects; for example, by implementing a
pilot model such as those developed by EMBRAPA.
(iv) Support and encourage community organization and the formation of associations
and cooperatives;
(v)Apply available research results for the development of techniques for cultivation of
plant species, incentives to plant and use medicinal plants and raise economically valuable
wildlife.
Typologies for the Demonstration Sub-projects could be the following:
16

New Agrarian Reform Settlements - where such settlements are located within or close
to Caatinga areas worthy of preservation/rehabilitation: rural producers who are willing
to experiment new forms of agriculture and small animal holding such as community
management of natural forests through technical assistance and investments to render
alternative production (e.g. handicraft) economically viable and environmentally
sustainable. A prerequisite would be the existence of a Caatinga area of interest for
preservation, rehabilitation and management;

Existing Caatinga Conservation Units - work with communities around the
conservation units (e.g. parks, ecological stations, or private conservation units) to
enable them to live in harmony with the Unit and, based on an integrated eco-system
approach, create a sustainable buffer zone around it. This would be achieved through
technical assistance and investments in alternative production modes, as well as
environmental education. The demonstration Conservation Units would have to be of
sufficient size to maintain basic ecological processes and the land property situation
would need to be consolidated.

Rehabilitation of soils and vegetation in a defined landscape unit – work with rural
producers to introduce agricultural practices aimed at establishing a better
environmental balance and revert processes of degradation of the natural caatinga
vegetation and soils. This would be achieved through community organization,
technical assistance, reforestation of degraded and desertified areas, investments and
economically viable production alternatives, environmental education, etc. At least
some focal areas for dissemination of seeds and/or possibilities for establishing
nurseries within a defined landscape would need to exist.

Microcatchments – Work with rural producers within a microcatchment with the aim to
revert erosion, optimize soil and water resources use and protect water sources through
changes in agricultural and animal holding practice, environmental education, control of
agrochemicals, revegetation close to the sources, construction of underground dams for
water retention, etc. The selection of appropriate demonstration areas would depend on
confirmed existence of a microcatchment with a manageable number of rural producers,
in initial or moderate stages of degradation.
Component 4: Institutional Development and Capacity Building



Activities
Environmental education, focused on local ecology, aimed at elementary school
students, farmers and the community in general, as a means of appreciating the
Caatinga and adaptation to climate change effects, promoting cultural change with
regard to aspects of predatory exploitation and others;
Training and organization of local project beneficiaries so that they can participate in
the process and be conscious of and fully understand the situation they live in;
Development of technical capacity related to conservation of the environment and
sustainable development, in institutions involved in project execution and management,
especially municipal governments;
17






Educate decision makers and opinion leaders – the critical mass in the local milieu – on
the benefits of the sustainable use of natural resources and techniques for preservation
and conservation;
Involve the community in activities related to the environmental education and training
program aimed at the preservation and conservation of the Caatinga;
Make use, as much as possible, of communication and distance learning structures to
carry out the activities required by the environmental education and training program;
Establish partnerships with municipal, state, federal and non-governmental institutions
dealing with research and teaching aimed at the preservation and conservation of the
Caatinga.
Strengthen the existing institutional structure in order to adjust it to the integrated
management of activities to be carried out for the preservation, conservation and
recovery of the Caatinga, as well as state enforcement units;
Institutionally develop regional agencies to support the implementation of the
environmental education program. Capacity building and creation of incentives for the
use of energy efficient wood burning stoves at the household level;
Component 5: Monitoring, Evaluation and Dissemination
Activities




Implementation of a monitoring and evaluation system, including community
participation;
Support dissemination of best practices and technological guidelines to other states,
stakeholders and local governments.
Create technical capacity for monitoring and evaluation activities;
Organization of dissemination seminars in Brazil, publication of reports and
participation in international events to disseminate project results.
3.3 Project Areas
Target areas to be considered for integrated ecosystem management approaches
under the Project have been preliminarily identified. In Bahia, the following areas are
considered to be of potential: Campo Formoso, Filadélfia, Miguel Calmon, Morro do
Chapéu, Paulo Afonso, Jeremoabo, Rodelas, Chorrocho, Coronel Joao Sa, Gloria,
Macurure, Pedro Alexandre and Santa Brígida. In Ceará, the following areas will
preliminarily be considered: Crateús, Irauçuba, Tauá and Quixeramobim. Project
preparation will permit a more thorough analysis of the most appropriate areas for the
suggested demonstrative subprojects.
3.4 Beneficiaries
The project would directly benefit the local population1, especially the poor, through
educational and sustainable development practices ; and the world population – positive
global externalities – through the conservation of globally important biodiversity with
1
For instance small farmers, local cattle holders, and indigenous communities.
18
immense biological potential that is still little understood, and the implementation of carbon
sequestration activities and initiatives to decrease carbon emissions from burning.
Specific interest groups2 may also be project beneficiaries, depending on their
nature and activities that may generate business opportunities.
3.5
Expected Project Benefits
Immediate project benefits related to environmental quality will include an improvement in
the conservation status of caatinga biodiversity, mitigation of climate change, and reversal
of soil degradation processes in demonstration pilot areas.
The Global Environment will benefit from the conservation of a very important biome, and
from mitigation of climate change through an increase in carbon sequestration activities and
a decrease in activities that results in carbon emissions into the atmosphere. It is expected
that benefits will be significant especially in the demonstration pilot areas – through
conservation of existing natural forests as well as regeneration of degraded areas, and
through the elimination of burning as a land clearing tool and adoption of fuel-efficient
technologies. In addition, the new state-level policies elaborated during the project and the
environmental education/awareness raising activities will also benefit the Caatinga in nondemonstration pilot areas of the two States.
Local benefits will result from an improved natural resources base (e.g. better soils, better
availability of water resources through restoration and conservation of stream headwaters
and riparian vegetation), which is expected to support higher levels of income and better
quality of life in the demonstration pilot areas. Also, the new technologies and productive
activities that will be introduced are expected to contribute towards better livelihoods for
local stakeholders.
The lessons learned and models of sustainable use of the Caatinga generated by the
proposed project will benefit the biome beyond the demonstration pilot areas since the two
States – Ceará and Bahia – use the knowledge generated by the project in other caatinga
areas within those States. Also, project benefits could be even greater as this knowledge is
used in other States that also have Caatinga within their territories, or is applied to other
semi-arid areas of the world.
3.6
Stakeholder Involvement
In missions carried out in June and December 2000 by the World Bank project
team, in-depth discussions took place between the relevant agencies in the state
governments of Bahia and Ceará as well as with NGOs and other actors, e.g., Banco do
Nordeste do Brasil, EMBRAPA, mayors in pre-identified demonstration pilot areas and
2
For example, women and handicraft workers.
19
members of municipal councils, as well as small farmers in an agrarian reform project. The
meetings in the field, with small farmers, mayors and municipal council were highly
illustrative of the awareness in those areas regarding depletion of the local resource base
(Caatinga vegetation, soils and water resources) and the search for production and
management alternatives. Local interest in the proposed project was very high and the
project team received various requests for selection of the visited areas as demonstration
pilot sub- projects. Annex 2 provides the list of entities contacted and constitutes a first list
of relevant stakeholders. Further stakeholders, especially those at local levels would have to
be identified during project preparation.
After the first mission in June, each State team created a multidisciplinary working
group which incorporated the most relevant agency stakeholders (see Section 4.2). The
State teams have been working closely with the Bank in the development of this Concept
Note. The Secretaries of Planning in both States have expressed their personal commitment
and interest towards the project.
During project preparation, stakeholder workshops would take place at State,
municipal and demonstration pilot sub- project levels to make sure that stakeholders
participate in project design from a very early stage.
Discussions have taken place among the Bank, the States and the Federal
Government. The Federal Government (MMA) clearly sees the need for the conservation
activities in the Caatinga Biome, and has expressed support for the proposed project.
3.7 Institutional Coordination and Support
Annex 1 provides an exhaustive summary of relevant projects which might relate to
the one proposed here. It includes State and federally financed projects, as well as GEF,
World Bank, IDB, and bilaterally financed projects.
There are two GEF-finance projects of relevance, the PRONABIO (the World Bank
is the Implementing Agency) and a proposed caatinga project, under preparation by the
UNDP and the Brazilian Ministry of the Environment and Legal Amazon.
As previously mentioned, the PRONABIO financed a Caatinga Workshop in
Petrolina in May 2000, providing information regarding the biome, research results and
setting priorities for its conservation. Some preliminary results from this workshop have
been considered in the elaboration of the Project Concept Note, and the final findings from
the workshop will also be taken into account and built upon as appropriate, during project
preparation and implementation.
As to the UNDP-led preparation of a GEF Caatinga project with the Federal
Government, contacts have been made with the UNDP and the Federal Government in
order to coordinate proposals for Caatinga-oriented projects. The World Bank proposes to
explore opportunities with UNDP and UNEP, in consultation with Government, to create a
20
strategic partnership that would ensure that Caatinga project concepts develop into projects
that are synergistic and complementary.
3.8 Project Sustainability
As part of the sustainable development of the Caatinga, the system as a whole, i.e.
all interested stakeholders, will be directly or indirectly affected by the planning and
execution of the project. Various community organizations in the municipalities and local
authorities will be mobilized to prepare it. A multidisciplinary team will also be
established, through inter-institutional partnerships, to facilitate the bringing together of
scientific and technical skills with public authorities for the purpose of disseminating
knowledge and practices for the conservation and upholding of the Caatinga’s environment,
and of disseminating the results to the country and the world community.
It is hoped that the approach of combining the Caatinga’s preservation with the
improvement of socioeconomic conditions will give beneficiaries a better life, as well as
the incentives and knowledge to preserve their local environment. In this context, it would
be essential to develop State strategies for further Caatinga conservation and sustainable
use.
Since the proposed Project implies a new approach to sustainable development in
the Caatinga and the semi-arid zone of Brazil’s Northeast, it is expected that the lessons
learned will in the future be mainstreamed into other Projects in the two States so as to lead
to a wider coverage of sustainable Caatinga management and conservation activities, with
the long-term aim of preserving the Caatinga and improving the livelihood of people
dependent on this ecosystem. The fact that project preparation in both States is being led,
wit great interest, by the Secretary of Planning is a good indication that project results will
indeed by incorporated into broader State level development actions and policies in the
future.
3.9 Replicability
The Project is being designed with the specific objective of maximizing its
replicability potential both within and outside of the Caatinga region, while fully attending
to the specific objectives set by the two States.
The demonstration sub-projects – which will constitute the principal investment part of the
proposed project – will have a monitoring component specifically designed to monitor their
replicability. One of the project’s main objectives is to take the lessons learned/best
practices and apply them to future follow-up projects, in the same States and in other
Northeastern States which have Caatinga areas. The demonstration pilots will be designed
to have differing features in order to permit the development of replicable approaches for a
variety of realities.
21
It is thus envisaged that the proposed project would constitute a first phase and that, based
on its results and lessons learned, a second phase project would be developed which could
attend further strategic caatinga areas.
Regarding replicability outside of the Caatinga region, two cases can be envisaged:
replicability in similar areas in Brazil, e.g. the Cerrado and replicability in other semi-arid
areas that suffer from degradation of biodiversity, deforestation of natural forest covers and
soil degradation. While in the case of biodiversity conservation the benefits will be unique
(for the caatinga) and in the case of climate change interventions the benefits will be more
general, the approaches to locally-based management of resources for the benefit of both
biodiversity and climate change will not be unique, but – with local adaptations – should be
applicable in similar environments, too.
3.10
The Country’s Eligibility and Commitment
Brazil was the first country to officially sign the Convention on Biological Diversity
in 1992, later ratifying it on February 28, 1994. Brazil also ratified the CITES in 1975, and
approved the Ramsar Convention in 1996. The project is in accordance with Operational
Program/OP N 12 (Integrated Ecosystem Management). The project is closely linked to
the GOB’s environmental agendas with regard to the sustainable use and conservation of
renewable natural resources and biome protection.
The Brazilian commitment to biodiversity conservation in the Caatinga is
formalized in the Conventions on Biological Diversity and on Desertification, of which the
country is a signatory.
With regard to the Convention on Biological Diversity (CDB), the preparation of
the National Biodiversity Policy is underway. Currently a number of consultations
promoted by State governments and leaders of civil society and the business sector are
taking place, and Brazil’s proposal to the CDB will be prepared based on this consultation
process.
In 2000, both Bahia and Ceará States held State Seminars on Combating
Desertification, with the participation of government agencies, universities and NGOs, with
the objective of outlining the guidelines of the State policy and contributing to the
formulation of the National Policy on Combating Desertification, to be presented as
Brazil’s commitment to the International Convention on Combating Desertification.
Brazil is also highly committed to the activities taking place under the United
Nations Framework Convention on Climate Change (UNFCCC) and has been an active
participant in the discussions regarding the Kyoto Protocol. The country signed the
UNFCCC on June 4, 1992, and ratified it on February 28, 1994.
4
Project Preparation
22
4.1
Main Activities to be Carried out during Project Preparation
A PDF Block B grant will be requested to support the preparation of a project dealing with
the sustainable use of natural resources in the Caatinga, which is expected to achieve global
benefits through the conservation and integrated management of the biodiversity existing in
the Caatinga and activities related to combating climate change.
For purposes of project preparation, a participatory methodology is proposed, adding the
knowledge and experience of those working in the Caatinga area, and making it possible to
integrate the different viewpoints of the various social segments and the diversity of
training. The goal will be to establish priorities in terms of the local situation and available
resources. To better do this, it will pursue the involvement of the beneficiary community
from the time of the project’s conception, so that there is commitment to the proposals.
The definition of issues to be addressed and of the prioritization of actions should not only
include community participation but public authorities at the State and municipal level.
The following activities are proposed during project preparation, to be carried out in each
State:
General Project Preparation Activities
 Holding a joint inter-state launch workshop to bring together governmental, technicalscientific and NGO institutions dealing with the project area, as a means of continuing
the PROBIO workshop and in order to define priorities;
 Holding a joint inter-state final workshop to consolidate and coordinate preparation
results and project content;
 Incremental Cost Analysis;
 Elaboration of project documentation (project brief/PAD/project implementation plan).
Component 1: Participatory Legal And Policy Framework
 Preparation of TOR for the identification, analysis and proposals for improvement of
current State public policies with regard to the Caatinga biome
Component 2: Biome-wide Caatinga Management Activities at State Level
 Assessment and evaluation of literature, collections and available institutions with
regard to the biome (including use of existing PROBIO Workshop data);
 Develop TOR for state-based Caatinga Environmental Monitoring Plans;
 Assessment of existing and developing technologies for the conservation and
sustainable use of the biome. Identification of necessary studies.
23
Component 3: Integrated Management Demonstration Subprojects
 Development of a typology of the pilot projects and refinement of selection criteria;
 Selection of pilot projects;
 Elaboration of pilot projects (every pilot project would contain elements of (i) local
caatinga conservation and management, (ii) local environmental education, (iii) and
development of productive alternatives. The elaboration of the pilots will typically
involve the definition of target beneficiaries, partnerships, field visits, meetings and/or
workshops with the communities, and specifically:
 Carrying out of a participatory socio-environmental diagnostic of the project
area(s), with the objective of outlining stakeholders with regard to quality of life,
training, productive activities and their impacts on the environment, social
organization, etc.;
 Preparation of a diagnostic of the pilot regions’ economic development potential,
including ecotourism;
 Mapping and delimitation of areas where pilot project actions would be put in
place, and perform a quantitative and qualitative survey of existing biodiversity;
 Definition of partnerships for the execution of the project and of the institutional
design to be adopted. Partnerships should preferably be made with local entities
(NGOs, universities, associations, religious groups), so that they can participate
effectively in project implementation, and in the discussions and decisions that are
taken throughout the process;
Component 4: Institutional Development and Capacity Building
 Development of TORs for a capacity building program for technical staff and
managers/decision makers;
 Elaboration of a basic course for project staff to be given at project start;
 Institutional/technical/logistical capacity assessment of existing structures for
environmental management, with special emphasis on the Caatinga Biome;
 Elaboration of a responsibility matrix and preparation of legal instruments;
 Evaluate institutional capacity to manage and coordinate the execution of the proposed
project, and indicate gaps and solutions to be adopted;
 Elaboration of TORs for an Environmental Education Program;
 Definition and training of the technical team responsible for project execution.
Component 5: Monitoring, Evaluation and Dissemination of Results.
24
 Establish indicators and a monitoring and evaluation plan to detect environmental,
physical, ecological, and socioeconomic changes induced by project actions;
 Elaboration of a Plan for Dissemination of Project Results;
 Carrying out of technical visits and exchange with similar projects/experiences in other
regions/countries.
4.2
Institutional Arrangements for Project Preparation
The institutional arrangements for project preparation will be organized as shown in
the figure below:
Consultative Group
Bahia
e.g. EMBRAPA,
UEFS, UFBA,
ONGs, EBDA,
SUDETUR, DDF,
SRH, IBAMA
Project
Preparation
Council (BahiaSEPLANTEC/
Ceará-SEPLAN)
Technical Coordination Group
Bahia/Ceará
Bahia – Technical Preparation
Team
CAR – CRA
Consultative Group
Ceará
EMBRAPA, UFC,
UECE, ONGs,
SRH, SECITECE,
SDR, SEMACE,
SEINFRA
Ceará – Technical PreparationTeam
SEPLAN
A high-level Project Preparation Council, consisting of the two State Planning Secretaries,
will be created with overall decision making power regarding the project. In each State a
Technical Preparation Team, headed by a technical coordinator, will carry out project
preparation. An inter-state Technical Coordination Group will be created to ensure the
benefits of joint preparation (e.g. technical coherence and compatibility) . In each State,
Consultative Groups, consisting of a multi-disciplinary variety of stakeholders (including
civil society groups, state agencies and research institutions), will provide advice and
support to the Project Preparation Council and to the Technical Groups/Teams. At least two
joint workshops are planned to be held between the State teams and relevant stakeholders
for coordination and cooperation.
In Bahia, specifically, the project, coordinated by CAR, includes the direct participation of
CRA and, during its preparation, will include the participation of other State agencies,
25
municipal governments, research agencies of the Semi-Arid Region and representatives of
the beneficiary communities.
In a first approach, several institutions besides CAR and CRA were identified,
whose ongoing work in the region should contribute to the details of this proposal, such as:
IBAMA – the Brazilian Institute of Renewable Natural Resources, the federal
agency responsible of the management of federal conservation units. The Brazilian
Agricultural Research Enterprise/Agricultural Research Center for the Semi-Arid Tropics EMBRAPA/CERASTA – has been carrying out research in alternative technology for the
semi-arid region for many years, and its experience represents a valuable contribution
during project preparation;
SC/SEDUTUR – the Secretariat of Culture and Tourism, through the Office of the
Superintendent of Tourism Development, will provide cooperation with regard to aspects of
regional tourism and ecotourism in the area of the Ecological Reserve;
Municipal governments, universities – involve researchers who can contribute to the
issues of biology, archeology, paleontology and cangaço history;
Several professors from the UFBA and UEFS are carrying out studies on the
caatinga, and have scientific knowledge of local flora and fauna. There is a great lack of
published data on this subject;
NGOs, community associations, municipal councils and other entities of organized
civil society.
In Ceará, project preparation will be carried out through the State Planning Secretariat
(SEPLAN/coordinating agency), Secretariat of Water Resources and Secretariat of
Infrastructure/Environment, in association with professors and researchers from
EMBRAPA, Universities (UFC, UECE, UVA) and Non-Governmental Organization
(Associação Caatinga) who supported field work and participated in the workshop held to
orient the preparation of this Note.
The inclusion of this technical and scientific capacity will give rise to the formation
of a multidisciplinary group who, through interaction with beneficiaries and with the
financial support of the GEF grant, will have the duties of making resources available;
collecting data; defining criteria, area of operation and target population; defining actions;
and carrying out all activities described in the grant request, as indicated above.
4.3
Budget for Project Preparation Activities (in Thousand US$)
Activities
Counterpart
by State
Governments
Total Cost
26
GEF
Total Cost
Total Cost
by financing
source
Total
Cost
Bahia
General Project Preparation
Activities
 Joint inter-state
preparation launch
workshop
 Joint inter-state final
workshop
 Incremental cost analysis
 Elaboration of final project
 Technical coordination
teams, supervision and
elaboration of project
 Administrative
expenditures (fax, phone,
locale, transport, etc.)
Subtotal
Component 1: Participatory
Legal and Policy
Framework
 Identification and analysis
of current public policies
relating to the caatinga
Subtotal
Component 2: Caatinga
biome-wide activities
 Caatinga State
Environmental Monitoring
Plan
 Assessment and
evaluation of literature,
collections and available
institutions with regard to
the biome (including use of
existing PROBIO
workshop data)

Assessment of existing
and developing
technologies for the
conservation and
sustainable use of the
biome. Identification of
necessary studies
Subtotal
Component 3: Integrated
Management
Demonstration SubProjects
 Elaboration of
demonstration subprojects*
Ceará
Bahia
Ceará
States
GEF
2.00
2.00
6.75
6.75
4.00
13.50
17.50
2.00
2.00
6.75
6.75
4.00
13.50
17.50
1.00
4.25
110.00
1.00
4.25
110.00
5.00
2.00
0.00
5.00
2.00
0.00
2.00
8.50
220.00
10.00
4.00
0.00
12.00
12.50
220.00
40.00
40.00
0.00
0.00
80.00
0.00
80.00
159.25
159.25
20.50
20.50
318.50
41.00
359.50
0.00
0.00
0.75
0.75
0.00
1.50
1.50
0.00
0.00
0.75
0.75
0.00
1.50
1.50
0.00
0.00
2.00
2.00
0.00
4.00
4.00
0.50
0.50
1.00
0.00
1.00
18.00
18.00
0.00
36.00
36.00
0.50
0.50
20.00
20.00
1.00
40.00
41.00
2.00
2.00
76.00
76.00
4.00
152.0
156.00
27
Subtotal
Component 4: Institutional
Development and Capacity
Building
 Capacity building program
for technical staff and
managers/decision makers
 Elaboration of a basic
course for project staff
 Institutional/technical/logist
ical capacity assessment
and matrix
 Environmental education
program
Subtotal
Component 5: Monitoring,
Evaluation and
Dissemination
 Monitoring and Evaluation
Plan of the Project
 Dissemination Plan
 Technical visits and
exchange
Subtotal
Contingencies
Total
2.00
1.50
1.50
2.00
1.50
1.50
76.00
76.00
4.00
152.0
156.00
0.75
0.75
0.00
1.50
1.50
2.50
2.50
0.00
5.00
5.00
7.00
7.00
3.00
14.00
17.00
2.00
2.00
0.00
4.00
4.00
12.25
12.25
3.00
24.50
27.50
10.00
10.00
0.00
20.00
20.00
2.50
12.50
2.50
12.50
0.00
0.00
5.00
25.00
5.00
25.00
0.00
8.50
0.00
8.50
25.00
15.00
25.00
15.00
0.00
17.00
50.00
30.00
50.00
47.00
171.75
171.75
169.5
169.5
343.50
339.0
682.5
* Every demonstration sub-project will contain elements of (i) local caatinga conservation and
management, (i) local environmental education,(iii) and development of alternative productive
alternative. The elaboration of the sub-projects will typically involve the definition of target
beneficiaries, partnerships, field visits, meetings and/or workshops with the communities,
environmental and social assessments, economic analysis, etc.
4.4 Timing and Schedule
It is presently anticipated that a PDF Block B Request would be submitted to the GEF by
March 2001. (A preliminary version of the Concept Note has already been submitted by the
States to the Brazilian GEF Focal Point). Assuming that the request was granted, project
preparation would start immediately and is estimated to take between 10 and 12 months.
28
Annex 1 – Rural Development Activities in the two States - Baseline
The Northeast is the poorest and least urbanized region of Brazil. Approximately
50% of the population, 17 million, lives in rural areas. These areas have the country’s
greatest incidence of poverty, since 60% of the poor population lives in the rural Northeast.
Traditionally, State and federal governments have focused on drought and the resulting
poverty in their development approaches. This translates into infrastructure and
employment generation projects in semi-arid areas. Ecosystem conservation programs and
policies are relatively recent. The following list shows the major efforts by governments to
improve the living conditions of populations in the semi-arid region.
1 Bahia
1.1 Policy and Legal framework
The existing legal frameworks in both states provide the sufficient basis to initiate
and carry out Caatinga conservation activities. In the case of Bahia, Decree 7639 dated
July 28, 1999 defines the State Environmental Policy and establishes the institutional
structure for its effective implementation. Thus, the State System for Environmental
Resource Administration was created, an agency of the State Environment Council CEPRAM, with regulatory and deliberative authority, equitably comprised of
representatives of the State Government, civil society and environmental groups. The State
environment law establishes instruments and procedures for the use and conservation of
natural resources in ecosystems as a whole, including the Caatinga.
The Environmental Resources Center – CRA, Executive Secretariat of CEPRAM, is
the agency in charge of executing the State Environment Policy.
There are other noteworthy laws that deal with State and federal environmental
issues:

Federal Forestry Resources – Forestry Code (Law 4.771/65)

Forestry Resources of Bahia - (Law 6.569/94) and its regulation (Decree 6785/97)

Federal Water Resources – (Law 9.433/97)

State Water Resources – (Laws 6.855/95 and 6.295/97 and Decree 6.295/97)

National System of Nature Conservation Units – (Law 9.985/2000)
None of these norms contains regulations that hinder the activities proposed in this
project; instead, this legislation is compatible with and facilitates the project’s objectives.
The participatory process of preparing the State Policy to Combat Desertification is
underway and in its final phase. This past August a seminar was held, with the
29
participation of 25 entities, of which 9 were governmental, 11 were NGOs and 5 were
universities, and the final document will be sent to CEPRAM for approval.
1.2.Plans and Programs underway
The social problems of the semi-arid region are being handled by the State through
programs that seek to reduce regional inequalities and promote rural development, by
means of the implementation of infrastructure and of the organization of small farmers,
such as in the programs and strategies of PRODUZIR, Pró-Gavião and Faz Cidadão.
Produzir Program – One of the main instruments of the regional development policy
of the Government of Bahia is Produzir – the Rural Poverty Alleviation Program which,
since 1995, has been carrying out a set of actions aimed at encouraging employment and
income generation in small rural communities in the State’s 405 municipalities. The
program receives financing from the World Bank and resources allocated to it total US$175
million.
Executed by CAR, the program has benefited 685,000 families and is an example of
participatory administration. The management model adopted by Produzir includes the
community, through its associations and municipal councils, in the decision-making
process and in the control of invested resources. These councils, created by the program,
are present in 321 of Bahia’s municipalities. Many of them discuss and decide on the
direction of municipal development, acting in a broad manner that is far from the initial
purpose for which they were created: the administration of investments made in their
communities by Produzir.
Their objectives are to: reduce regional inequalities; generate income; increase the
number of jobs; improve the living conditions of the poorest members of the rural
population through economic, social and basic infrastructure investments; and help to
decentralize the decision-making process through community participation.
Pró-Gavião – Acts in 13 municipalities of Bahia’s semi-arid region with the
objective of expanding basic services and improving the income of beneficiary
communities. The program is coordinated by CAR and receives financing from IFAD –
International Fund for Agricultural Development and from the Government of the State of
Bahia totaling US$40.4 million. The program is executed in three basic areas: Community
Development; Productive Development; and Rural Credit.
EMBRAPA, CAR’s main partner in the execution of Pró-Gavião, carries out efforts
based on the diagnostic of production systems used by small farmers, and recommends
suitable improvements. These include the introduction of forage, both for permanent
grazing and for storage, which should ensure supplements to herds during the dry season.
The NGO called Association of Schools of Farm Families of Bahia supports community
organization and technical assistance to production. Other partners such as the Banco do
Nordeste and BahiaPesca execute specific actions within a context of integrated actions
aimed at sustainable development.
30
Faz Cidadão - Faz Cidadão is an Integrated Local Development Strategy whose
objective is to deal with regional imbalances in Bahia and promote the sustainable
development of the region’s neediest populations. More specifically, Faz Cidadão’s
objective is to improve the living conditions of the population and create new job and
income opportunities for less developed populations. Faz Cidadão is currently aiding
approximately 100 municipalities in Bahia which are considered the poorest in the State.
Most of the municipalities are located in Caatinga areas.
1.3 – Conservation units
The Caatinga in Bahia includes 10 Conservation units, i.e.:
 Four Environmental Protection Areas - APA
Lagoa de Itaparica – 78.450 ha
Dunas e Veredas do Baixo Médio São Francisco – 1.085.000 ha
Lago de Pedra do Cavalo – 30.156 ha
Gruta dos Brejões Veredas do Romão Gramacho – 11.900 ha
 Two State Parks
Morro do Chapéu – 46.000 ha
Canudos – 1321 ha

Two Ecological Reserves
Raso da Catarina – 99.772 ha (federal)
Serra do Mulato – 39.555 ha (municipal)

Cachoeira do Ferro Doido Natural Monument – 400 ha

Private Natural Heritage Reserve – RPPN Fazenda Flor de Lis – 5 ha
2
Ceará
2.1 Policy and Legal framework
With regard to legislation, the State of Ceará is guided by vast State environmental
policy legislation, along with mandatory observance of federal legislation. These
regulations, which guide public policies dealing with the management and conservation of
natural resources and biological diversity of various biomes throughout the State, include:

Chapter VIII of Title VIII of the State Constitution, which deals with cultural, social
and economic responsibilities related to the environment;

Laws 11.411/87 and 12.274/94, which deal with the State’s Environmental Policy and
create the State Environmental Council;
31

Law 12.488/95 and Decrees 24.220/96 and 24.22l/96, which deal with and regulate
Ceará’s Forestry Policy and recognition of REPs – Private Ecological Reserves;

Laws 10.148/77 and 14.535/81, which deal with the preservation and control of water
resources in the State.
In addition, strategies for the conservation and sustainable use of the State’s natural
resources are substantiated in the Sustainable Development Plan, prepared on the basis of a
view toward making the State become developed within one generation - by 2020 -, and
focused on a prospective, long-term vision, backed by reasoning, principles, objectives,
guidelines and priorities for achieving sustainable development.
This plan, adopted as the Government’s plan for 1995/1998, was organized along
five lines of intervention: Environmental Protection; Rearrangement of Space; Training of
the Population; Generation of Employment and Sustainable Development of the Economy;
Development of Culture, Science, Technology and Innovations, from which was defined a
set of structure-oriented, priority programs, many of them supported by international
financial agencies.
The continuity of these strategies was assured in the Government Plan for
1999/2002, which adopts the same premises and even updates the Sustainable Development
Plan by defining complementary programs and projects, in an integrated development
proposal whose objective is to move forward with economic growth and social
development.
In order to fulfill the Plan’s objectives, actions will be guided by four major
strategic options: training of the population for development; progress in sustainable
economic development; improvement in quality of life – in this case including
environmental preservation – and permanent supply of water and improvement of
coexistence with the semi-arid region. In this regard, a variety of initiatives are being
executed and/or are underway which are consistent with the need to plan, project and
implement a sustainable management strategy as well as a strategy for the
preservation/conservation/recovery of natural resources and of the biological diversity
existing in the Caatinga.
2.2 Plans and programs underway
Plan for Coexistence with the Semi-Arid Region of Ceará – Integrating rural
development, economic and social development and water infrastructure efforts, involving
resources totaling around R$170 million, for application between 2000/2003, the objective
of this plan is to ensure the rural population of the semi-arid region sustainable conditions
for coexistence with the natural problems of the semi-arid region. This plan will include
the government actions contemplated in the Multi-Annual Plan and in Annual Operating
Plans. In addition to the components cited, the Plan includes efforts to generate jobs and
income to support rural workers during periods of drought; rural education and efforts
32
dealing with the implementation of a warning system, to support public and private
decision making in light of the perspective of climate irregularities.
PROURB – Urban Development and Water Resources Management Project – With
an estimated cost of US$240 million, through its urban and water components, the project’s
objective is to implement urban policies aimed at structuring the network of strategic cities
within the State, with the ability to attract new investments and facilitate alternatives for
non-agricultural occupation, and to implement the satisfactory management of water
resources in order to ensure the supply and regulation of water supply to urban centers,
especially to areas characterized as water gaps.
PROGERIRH – Water Resources Management and Integration Project – with
investments of around US$247.2 million, whose objective is to give the State greater ability
to resist semi-arid conditions, ensure water supply to the population and for productive
activities, and significantly reduce the rural sector’s vulnerability to the effects of frequent
droughts by means of:
1. Expanding water supply and the guarantee of water for multiple uses;
2. Increasing the efficiency of the integrated water resources management
system;
3. Promoting participatory management and the efficient use of water;
4. Improving soil use through proper management of critical river basins; and
5. The hydro-environmental recovery of the State’s microcatchments, through
actions aimed at increasing soil coverage; the control of surface runoff,
increasing the time water remains in and consequently filters into the soil;
the improvement of local infrastructure and means of production; and the
validation of new technological options.
PRODHAM – Hydro-Environmental Development Project - included as a
component of PROGERIRH, is a pilot project for microcatchment management and
recovery of gallery forests in areas where water sources are located. Its objective is to
facilitate the sustainable management of soils and the improvement of agricultural
productivity through:
1. The development of an environmental assessment model, integrating
socioeconomic and geographic arrangement indicators for areas belonging to
watersheds that become suited to the process of recovery and conservation;
2. The establishment of a conservation-oriented methodology for recovering
and preventing the effects of processes of degradation on vegetation,
mitigating local environmental effects;
3. The development of the technique of building dams in microcatchments,
using local materials and human resources available within the hydrographic
unit;
4. The nearly spontaneous resurgence of diverse forms of plant and animal life
(micro- and meso-fauna) in the silted strips of land that are formed, with an
increase in life-spans in existing biodiversities;
5. The availability of water for animal consumption, according to a satisfactory
time and spatial distribution, enabling the use of the Caatinga’s plant
production.
33
PCPR – Rural Poverty Alleviation Project – Comprising the State Rural
Development Plan,; its aim is to diminish the poverty conditions of small rural farmers,
supporting investments in economic and social infrastructure and productive projects
which, as demanded by organized rural communities, ensure the sustainable generation of
employment, income and better living conditions in rural areas. In the first stage, at the
close of fiscal 2000, resources totaling around US$102 million will be applied. The next
stage, involving resources totaling around US$100 million, is being processed by the
Secretariat of International Affairs of the Ministry of Planning and Budget.
Caatinga Management in the Irauçuba/Sobral Region – Sponsored in the form of
research by EMBRAPA – the Brazilian Agricultural Research Enterprise, this involved
resources totaling around R$514,000 and its objective was to develop and test, on small
farms in that region of the Caatinga, an agricultural-forestry-pasture production technology
that permits the sustainable use of natural resources and ensures satisfactory income
generation while preserving biological diversity. It is expected that the application of this
research and the dissemination of this technology in the State would be supported by the
proposed project resources.
Universidade Federal do Ceará – WAVES PROGRAM – This program has the aim
of understanding interactions among water availability, ecosystems and socio-cultural
conditions with their consequences for society. The project does not only focus on analyses,
but also aims at creating practical approaches for technical and organizational solutions
regarding ecological-economic conditions towards climate variability and possible longterm climate change. In this way solutions are sought for identical problems in comparable
regions around the globe. With a total cost of US$2 million, the WAVES Program is
initially implemented in the regions of Tauá (Ceará) and Picos (Piaui). It is carried out by
Brazilian and German research institutions to promote the development of strategies to
render the semi-arid region less vulnerable to climate change.
2.3 - Programs underway in the Federal Government
State Program to Combat Desertification, for Environmental Macro-Zoning and
Ecological and Economic Zoning – With an estimated cost of R$7.5 million and still
lacking an assured source of financing, the program was presented to the Ministry of
Environment for purposes of formalizing partnerships. The program, when implemented,
will provide sustainable development in regions subject to desertification and drought,
through the formulation and execution of proposals for sustainable use of natural resources
existing in the Caatinga and in ecosystems in transition, by means of the implementation of
the following actions:
1. Diagnostic and warning for degradation outlook;
2. Development policy for the Caatinga and associated ecosystems;
3. Prevention and recovery of affected areas with short-, medium- and longterm actions;
4. Government action to combat and control desertification and the effects of
drought;
5. Linkage between governmental and non-governmental agencies;
34
6. Development of municipal strategies for desertification control;
7. Environmental education.
Sustainable Forestry Development Program of the State of Ceará – Likewise, with
no assured source of financing and involving estimated costs of around R$31.6 million, the
program’s aim is to promote sustainable forestry development by maintaining ecological
balance and consequently improving the socioeconomic conditions of the population of the
State of Ceará, through the implementation of programs dealing with forestry management
and reforestation; production, industrial processing and marketing; basic surveys of forest
resources; conservation and preservation; forestry research; education, extension and
training; legislation and enforcement.
PRONABIO – National Biodiversity Program – At a date still to be defined, the
Ministry of Environment will promote a workshop in the State of Ceará to assess and
identify priority actions for conservation, sustainable use and equable benefit, sharing the
biological diversity existing in various habitats within the region. The workshop’s budget
should be around R$4 million.
Water Resources Program – Significant efforts have been made in recent years to
improve the legal and institutional structure for water resources management in the country.
The state already has water resources legislation and is currently processing in the
legislature a law aimed at adjusting State legislation to the National Water Resources Law Law 9.433/97. This law specifically states that water resources management should be
adapted to the physical, biotic, demographic, economic, social and cultural diversity in the
country’s different regions and that water resources management should be integrated with
environmental management. It also establishes the watershed as the unit for its
implementation and acknowledges that this implementation should be decentralized and
supported by the active participation of local government, users and communities. (Law
9.433, Title I). This type of shared water resources management is being practiced
successfully through the State’s basin committees.
2.4 Conservation units
The State has significant experience both at State level and at the levels of the
federal government and private initiative, in the administration of Environmental Protection
Areas, Ecological Parks, Preserved Forests, Private Reserves, etc., totaling an area of
approximately 130,000 hectares, distributed among the ecosystems of Serra Úmida,
Caatinga, Complexo Vegetacional Litorâneo, Dunas and the Watershed of the Aires de
Souza Dam.
35
Annex 2
Contacts Made during Preparatory Missions
Bahia
Exmo. Sr. Dr. Luiz Carreira, Secretário de Estado de Planejamento, Ciência e Tecnologia,
Estado da Bahia
José Pirajá Pinheiro Filho, Diretor-Executivo, Companhia de Desenvolvimento e Ação
Rural (CAR/SEPLANTEC-BA)
Fausto Antônio de Azevedo - Diretor General, Centro de Recursos Ambientais
Jurema Valença, CAR/SEPLANTEC-BA
Teresa Lucia Muricy de Abreu, Gerente de Promoção da Biodiversidade, CRA
João Moreira da Silva, Gerente Administrativo e Financeiro, CRA
João Sena, CAR-BA
Milton Cedraz, Diretor Geral, SRH
Abílio Maia Filho, Coordenador do Programa CBL, EBDA/SEAGRI
Érico Pina Mendonça Júnior, Superintendente, Secretaria de Cultura e Turismo
Inez Garrido, Diretora de Projetos, Secretaria de Cultura e Turismo
Dalva Garcia Sant’Anna, Assessora, Secretaria de Cultura e Turismo
Reinaldo Moreira Dantas, Assessor, Secretaria de Cultura e Turismo
Andréa Marchesini, Consultora, SRH
José Joaquim de Santana, Mayor of Campo Formoso
Iracy Araújo, Deputy, Campo Formoso
Maria Regina de Souza Santana, Municipal Secretariat of Education and Culture
Council members of the FUMAC de Campo Formoso
Lourival Pereira Maia (Louro), Mayor of Filadélfia
Council members of the FUMAC of Filadélfia
José Ricardo Leal Requião (Caca), Mayor of Miguel Calmón
Council members of the FUMAC of Miguel Calmón
Edgar Dourado Lima, Mayor of Morro do Chapéu
Ana Maria Montenegro dos Reis, Vice-mayor of Morro do Chapéu
Council members of the FUMAC of Chapéu
Ceará
Exma. Sra. Dra. Mônica Clark Nunes Cavalcante, Secretária de Estado de Planejamento
Exmo. Sr. Pedro Sisnando Leite, Secretário de Estado de Desenvolvimento Rural
Exmo. Sr. João Marcos, Sub-Secretário de Estado de Planejamento
Antonio Renato Lima Aragão, SEMACE, Secretaria de Estado da Infraestrutura
Luciano Rabelo, Presidente, EMATERCE
36
Francisco Bergson Parente Fernandes, Technical Advisor, Secretariat of Planning
(SEPLAN)
Raimundo Ivan de Oliveira Fernandes, Technical Consultant, SEPLAN
João Bosco de Oliveira, Technical Consultant, Secretariat of Water Resources
Meiry Sayuri Sakamoto, Metereologist, FUNCEME (State Meteorological Agency)
Eneas Reis Leite, Director, EMBRAPA, Sobral
João Ambrósio de Araújo Filho, researcher, EMBRAPA, Sobral
Marcos José Nogueira de Souza, Ceará State University
Francisco Quintino Vieira Neto, Secretaria Municipal de Agricultura e Recursos Hídricos,
Sobral
Vice Rector and various professors of the Universidade Vale do Acaraú, Sobral
Afrânio Fernandes, researcher, UECE/UFCE
Marcius Falcão, Departament of Environemnt, Banco do Nordeste
Roberto Proença de Macêdo, President, Associação Caatinga
Hermano José Batista de Carvalho, Executive Director, Associação Caatinga
Maria Angélica Figueiredo, Councilor, Associação Caatinga
João Bosco Carbogim, Councilor, Associação Caatinga
Francisco Waldenir Amâncio - Associação Caatinga
José Renato, EMATER-CE
Jorge Hauser, EMATER-CE
Sr. Zequinho, President of the Agrarian Reform Resettlement Associação Barra Novense,
Tauá
EMBRAPA Petrolina
Luíz Maurício Cavalcante Salviano, Chefe Adjunto de Comunicação e Negócios,
EMBRAPA Semi-Árido, Petrolina
Rebert Coelho Correia, Socioeconomista, EMBRAPA Semi-Árido, Petrolina
37