A novel method for evaluating an interaction effect of correlated continuous covariates in a linear model

Interaction effect is an important scientific interest for many areas of research. Common approach for investigating the interaction effect of two continuous covariates on a response variable is through a cross-product term in multiple linear regression. In epidemiological studies, the two-way analysis of variance (ANOVA) type of method has also been utilized to examine the interaction effect by replacing the continuous covariates with their discretized levels. However, the implications of model assumptions of either approach have not been examined and the statistical validation has only focused on the general method, not specifically for the interaction effect.^ In this dissertation, we investigated the validity of both approaches based on the mathematical assumptions for non-skewed data. We showed that linear regression may not be an appropriate model when the interaction effect exists because it implies a highly skewed distribution for the response variable. We also showed that the normality and constant variance assumptions required by ANOVA are not satisfied in the model where the continuous covariates are replaced with their discretized levels. Therefore, naïve application of ANOVA method may lead to an incorrect conclusion. ^ Given the problems identified above, we proposed a novel method modifying from the traditional ANOVA approach to rigorously evaluate the interaction effect. The analytical expression of the interaction effect was derived based on the conditional distribution of the response variable given the discretized continuous covariates. A testing procedure that combines the p-values from each level of the discretized covariates was developed to test the overall significance of the interaction effect. According to the simulation study, the proposed method is more powerful then the least squares regression and the ANOVA method in detecting the interaction effect when data comes from a trivariate normal distribution. The proposed method was applied to a dataset from the National Institute of Neurological Disorders and Stroke (NINDS) tissue plasminogen activator (t-PA) stroke trial, and baseline age-by-weight interaction effect was found significant in predicting the change from baseline in NIHSS at Month-3 among patients received t-PA therapy.^

The illness experiences of African Americans residing in an inner city community, Houston, Texas

This dissertation documents health and illness in the context of daily life circumstances and structural conditions faced by African American families living in Clover Heights (pseudonym), an inner city public housing project in the Third Ward, Houston, Texas. Drawing from Kleinman's (1980) model of culturally defined health care systems and using the holistic-content approach to narrative analysis (Lieblich, Tuval- Mashiach, & Zilber, 1998) the purpose of this research was to explore the ways in which social and health policy, economic mobility, the inner city environment, and cultural beliefs intertwined with African American families' health related ideas, behaviors, and practices. I recruited six families using a convenience sampling method (Schensul, Schensul, & LeCompte, 1999) and followed them for fourteen months (2010–2011). Family was defined as a household unit, or those living in the same residence, short or long-term. Single, African American women ranging in age from 29–80 years headed all families. All but one family included children or grandchildren 18 years of age and younger, or children or other relative 18 years of age and older. I also recruited six residents with who I became acquainted over the course of the project. I collected data using traditional ethnographic methods including participant-observation, archive review, field notes, mapping, free-listing, in-depth interviews, and life history interviews. ^ Doing ethnography afforded the families who participated in this project the freedom to construct their own experiences of health and illness. My role centered on listening to, learning from, and interpreting participants' narratives, exploring similarities and differences within and across families' experiences. As the research progressed, a pattern concerning diagnosis and pharmacotherapy for children's behavioral and emotional problems, particularly attention-deficit hyperactivity disorder (ADHD) and pediatric bipolar disorder (PBD), emerged from my formal interactions with participants and my informal interactions with residents. The findings presented in this dissertation document this pattern, focusing on how mothers and families interpreted, organized, and ascribed meaning to their experiences of ADHD and PBD. ^ In the first manuscript presented here, I documented three mothers' narrative constructions of a child's diagnosis with and pharmacotherapy for ADHD or PBD. Using Gergen's (1997) relational perspective I argued that mothers' knowledge and experiences of ADHD and PBD were not individually constructed, but were linguistically and discursively constituted through various social interactions and relationships, including family, spirituality and faith, community norms, and expert systems of knowledge. Mothers' narratives revealed the complexity of children's behavioral and emotional problems, the daily trials of living through these problems, how they coped with adversity and developed survival strategies, and how they interacted with various institutional authorities involved in evaluating, diagnosing, and encouraging pharmaceutical intervention for children's behavior. The findings highlight the ways in which mothers' social interactions and relationships introduced a scientific language and discourse for explaining children's behavior as mental illness, the discordances between expert systems of knowledge and mothers' understandings, and how discordances reflected mothers' ‘microsources of power’ for producing their own stories and experiences. ^ In the second manuscript presented here, I documented the ways in which structural factors, including gender, race/ethnicity, and socioeconomic status, coupled with a unique cultural and social standpoint (Collins, 1990/2009) influenced the strategies this group of African American mothers employed to understand and respond to ADHD or PBD. The most salient themes related to mother-child relationships coalesced around mothers' beliefs about the etiology of ADHD and PBD, ‘conceptualizing responsibility,’ and ‘protection-survival.’ The findings suggest that even though mothers' strategies varied, they were in pursuit of a common goal. Mothers' challenged the status quo, addressing children's behavioral and emotional problems in the ways that made the most sense to them, specifically protecting their children from further marginalization in society more so than believing these were the best options for their children.^

Instrumental variable method for the causal relationship between soluble receptor for advanced glycation end-products (sRAGE) and risk of pancreatic cancer

This thesis project is motivated by the potential problem of using observational data to draw inferences about a causal relationship in observational epidemiology research when controlled randomization is not applicable. Instrumental variable (IV) method is one of the statistical tools to overcome this problem. Mendelian randomization study uses genetic variants as IVs in genetic association study. In this thesis, the IV method, as well as standard logistic and linear regression models, is used to investigate the causal association between risk of pancreatic cancer and the circulating levels of soluble receptor for advanced glycation end-products (sRAGE). Higher levels of serum sRAGE were found to be associated with a lower risk of pancreatic cancer in a previous observational study (255 cases and 485 controls). However, such a novel association may be biased by unknown confounding factors. In a case-control study, we aimed to use the IV approach to confirm or refute this observation in a subset of study subjects for whom the genotyping data were available (178 cases and 177 controls). Two-stage IV method using generalized method of moments-structural mean models (GMM-SMM) was conducted and the relative risk (RR) was calculated. In the first stage analysis, we found that the single nucleotide polymorphism (SNP) rs2070600 of the receptor for advanced glycation end-products (AGER) gene meets all three general assumptions for a genetic IV in examining the causal association between sRAGE and risk of pancreatic cancer. The variant allele of SNP rs2070600 of the AGER gene was associated with lower levels of sRAGE, and it was neither associated with risk of pancreatic cancer, nor with the confounding factors. It was a potential strong IV (F statistic = 29.2). However, in the second stage analysis, the GMM-SMM model failed to converge due to non- concaveness probably because of the small sample size. Therefore, the IV analysis could not support the causality of the association between serum sRAGE levels and risk of pancreatic cancer. Nevertheless, these analyses suggest that rs2070600 was a potentially good genetic IV for testing the causality between the risk of pancreatic cancer and sRAGE levels. A larger sample size is required to conduct a credible IV analysis.^

Compilation of scientific results of the OASIS project

Seamounts are of great interest to science, industry and conservation because of their potential role as 'stirring rods' of the oceans, their enhanced productivity, their high local biodiversity, and the growing exploitation of their natural resources. This is accompanied by rising concern about the threats to seamount ecosystems, e.g. through over-fishing and the impact of trawling. OASIS described the functioning characteristics of seamount ecosystems. OASIS' integrated hydrographic, biogeochemical and biological information. Based on two case studies. The scientific results, condensed in conceptual and mass balanced ecosystem models, were applied to outline a model management plan as well as site-specific management plans for the seamounts investigated. OASIS addressed five main objectives: Objective 1: To identify and describe the physical forcing mechanisms effecting seamount systems Objective 2: To assess the origin, quality and dynamics of particulate organic material within the water column and surface sediment at seamounts. Objective 3: To describe aspects of the biodiversity and the ecology of seamount biota, to assess their dynamics and the maintenance of their production. Objective 4: Modelling the trophic ecology of seamount ecosystems. Objective 5: Application of scientific knowledge to practical conservation.

Scientific Production on Open Access : A Worldwide Bibliometric Analysis in the Academic and Scientific Context

This research aims to diachronically analyze the worldwide scientific production on open access, in the academic and scientific context, in order to contribute to knowledge and visualization of its main actors. As a method, bibliographical, descriptive and analytical research was used, with the contribution of bibliometric studies, especially the production indicators, scientific collaboration and indicators of thematic co-occurrence. The Scopus database was used as a source to retrieve the articles on the subject, with a resulting corpus of 1179 articles. Using Bibexcel software, frequency tables were constructed for the variables, and Pajek software was used to visualize the collaboration network and VoSViewer for the construction of the keywords' network. As for the results, the most productive researchers come from countries such as the United States, Canada, France and Spain. Journals with higher impact in the academic community have disseminated the new constructed knowledge. A collaborative network with a few subnets where co-authors are from different countries has been observed. As conclusions, this study allows identifying the themes of debates that mark the development of open access at the international level, and it is possible to state that open access is one of the new emerging and frontier fields of library and information science

Scientific Production on Open Access : A Worldwide Bibliometric Analysis in the Academic and Scientific Context

This research aims to diachronically analyze the worldwide scientific production on open access, in the academic and scientific context, in order to contribute to knowledge and visualization of its main actors. As a method, bibliographical, descriptive and analytical research was used, with the contribution of bibliometric studies, especially the production indicators, scientific collaboration and indicators of thematic co-occurrence. The Scopus database was used as a source to retrieve the articles on the subject, with a resulting corpus of 1179 articles. Using Bibexcel software, frequency tables were constructed for the variables, and Pajek software was used to visualize the collaboration network and VoSViewer for the construction of the keywords' network. As for the results, the most productive researchers come from countries such as the United States, Canada, France and Spain. Journals with higher impact in the academic community have disseminated the new constructed knowledge. A collaborative network with a few subnets where co-authors are from different countries has been observed. As conclusions, this study allows identifying the themes of debates that mark the development of open access at the international level, and it is possible to state that open access is one of the new emerging and frontier fields of library and information science

Scientific Production on Open Access : A Worldwide Bibliometric Analysis in the Academic and Scientific Context

This research aims to diachronically analyze the worldwide scientific production on open access, in the academic and scientific context, in order to contribute to knowledge and visualization of its main actors. As a method, bibliographical, descriptive and analytical research was used, with the contribution of bibliometric studies, especially the production indicators, scientific collaboration and indicators of thematic co-occurrence. The Scopus database was used as a source to retrieve the articles on the subject, with a resulting corpus of 1179 articles. Using Bibexcel software, frequency tables were constructed for the variables, and Pajek software was used to visualize the collaboration network and VoSViewer for the construction of the keywords' network. As for the results, the most productive researchers come from countries such as the United States, Canada, France and Spain. Journals with higher impact in the academic community have disseminated the new constructed knowledge. A collaborative network with a few subnets where co-authors are from different countries has been observed. As conclusions, this study allows identifying the themes of debates that mark the development of open access at the international level, and it is possible to state that open access is one of the new emerging and frontier fields of library and information science

Hydrological and meteorological records from the Vernagtferner Basin - Vernagtbach station, for the years 1970 to 2001

The Vernagtferner region has a long tradition of glaciological research performed by groups from Munich. It started in 1889, when Prof. Sebastian Finsterwalder from the Technical University in Munich produced the first map of a complete glacier based on terrestrial photogrammetry. Since then, numerous maps of the glacier have been made, describing the change in surface elevation for more than a century. These maps form the basis of the geodetic method of glacier mass balance determination, which provides volume changes as average data for the period between two surveys, i.e. typically for 10 years. Since the start of the glaciological method on Vernagtferner in 1964, annual as well as winter and summer mass balance data are available continuously. But only since 1973, the construction of the Vernagtbach station, approximately 1 km below the glacier margin at that time, provided the means to record a larger number of hydrological and meteorological parameters with a temporal resolution of typically 1 hour.

Bird observation and sampling in tropical agroforestry landscapes of the Napu Valley in Central Sulawesi, Indonesia

We investigated the local bird community in Central Sulawesi (Indonesia), with focus on insectivorous species in the agroforestry landscapes adjacent to the Lore Lindu National Park. All study sites were situated at the northern tip of Napu Valley in Central Sulawesi, Indonesia. After an initial mapping of the study area, we selected 15 smallholder cacao plantations as sites for our study in March 2010. These sides were mainly used for bird and bat exclosure experiments. All sited were situated along a local gradient (shade availability on each plantation) and a landscape gradient (distance to primary forest), which were independent from each other. In September 2010 and from February until June 2011, we assessed the bird community on our 15 study sites using monthly point count and mist netting sampling. Point count (20 minutes between 07 am and 10 am and in between the net checking hours) and mist netting surveys (12 hours, between 05:30 am and 17:30 pm) were conducted simultaneously but only once per month on each study site, to avoid habituation of the local bird community to our surveys. Further, point counts were conducted at least 100 m apart from the mist netting sites, to avoid potential disturbance between the two methods. We discarded all observations beyond 50 m (including those individuals that flew over the canopy) from the statistical analysis, as well as recaptures of individuals within identical mist netting rounds.

Animal observations in the Weddell Sea

Biological investigations during the cruise of M/V POLARSIRKEL were part of the scientific programme accompanying the pre-site survey. On 125 biological stations, 272 hauls on plankton and fish were carried out. 24 fish species had been determined, most of them had previously not been found in the Weddell Sea. The investigations also comprised a count of birds and seals. The fate of fluorine in the food chain and cadmium analyses were subject of the biochemical investigations.

Global Ocean Colour for Carbon Cycle Research (full product set)

In 2005, the International Ocean Colour Coordinating Group (IOCCG) convened a working group to examine the state of the art in ocean colour data merging, which showed that the research techniques had matured sufficiently for creating long multi-sensor datasets (IOCCG, 2007). As a result, ESA initiated and funded the DUE GlobColour project (http://www.globcolour.info/) to develop a satellite based ocean colour data set to support global carbon-cycle research. It aims to satisfy the scientific requirement for a long (10+ year) time-series of consistently calibrated global ocean colour information with the best possible spatial coverage. This has been achieved by merging data from the three most capable sensors: SeaWiFS on GeoEye's Orbview-2 mission, MODIS on NASA's Aqua mission and MERIS on ESA's ENVISAT mission. In setting up the GlobColour project, three user organisations were invited to help. Their roles are to specify the detailed user requirements, act as a channel to the broader end user community and to provide feedback and assessment of the results. The International Ocean Carbon Coordination Project (IOCCP) based at UNESCO in Paris provides direct access to the carbon cycle modelling community's requirements and to the modellers themselves who will use the final products. The UK Met Office's National Centre for Ocean Forecasting (NCOF) in Exeter, UK, provides an understanding of the requirements of oceanography users, and the IOCCG bring their understanding of the global user needs and valuable advice on best practice within the ocean colour science community. The three year project kicked-off in November 2005 under the leadership of ACRI-ST (France). The first year was a feasibility demonstration phase that was successfully concluded at a user consultation workshop organised by the Laboratoire d'Océanographie de Villefranche, France, in December 2006. Error statistics and inter-sensor biases were quantified by comparison with insitu measurements from moored optical buoys and ship based campaigns, and used as an input to the merging. The second year was dedicated to the production of the time series. In total, more than 25 Tb of input (level 2) data have been ingested and 14 Tb of intermediate and output products created, with 4 Tb of data distributed to the user community. Quality control (QC) is provided through the Diagnostic Data Sets (DDS), which are extracted sub-areas covering locations of in-situ data collection or interesting oceanographic phenomena. This Full Product Set (FPS) covers global daily merged ocean colour products in the time period 1997-2006 and is also freely available for use by the worldwide science community at http://www.globcolour.info/data_access_full_prod_set.html. The GlobColour service distributes global daily, 8-day and monthly data sets at 4.6 km resolution for, chlorophyll-a concentration, normalised water-leaving radiances (412, 443, 490, 510, 531, 555 and 620 nm, 670, 681 and 709 nm), diffuse attenuation coefficient, coloured dissolved and detrital organic materials, total suspended matter or particulate backscattering coefficient, turbidity index, cloud fraction and quality indicators. Error statistics from the initial sensor characterisation are used as an input to the merging methods and propagate through the merging process to provide error estimates for the output merged products. These error estimates are a key component of GlobColour as they are invaluable to the users; particularly the modellers who need them in order to assimilate the ocean colour data into ocean simulations. An intensive phase of validation has been undertaken to assess the quality of the data set. In addition, inter-comparisons between the different merged datasets will help in further refining the techniques used. Both the final products and the quality assessment were presented at a second user consultation in Oslo on 20-22 November 2007 organised by the Norwegian Institute for Water Research (NIVA); presentations are available on the GlobColour WWW site. On request of the ESA Technical Officer for the GlobColour project, the FPS data set was mirrored in the PANGAEA data library.

Planktological-chemical observation during the International Indian Ocean Expedition (IIOE) with RV "Meteor" in 1964/65

The present volume contains the planktological data collected during the expedition of the "Meteor" to the Indian Ocean in 1964/65. It was the main objective of the expedition to study the up- and downwelling conditioned along the western and eastern coasts of the Arabian Sea by the northeastern monsoon. It is from these areas that the greater part of the data here presented was obtained. A few values from the Red Sea have been added. As the title "Planktological-Chemical Data" implies, it was chiefly with the help of chemical methods that the planktological investigations, with the exception of the particle size analysis and phytoplankton counting conducted optically, were carried out. These investigations were above all devoted to a quantitative survey of particulate matter and plankton, the latter being sampled by water-bottle and net. The zooplankton hauls were taken with the Indian Ocean Standard Net according to the international guidelines laid down for the expedition. As a rule, double catches were made at every station, one sample being intended for laboratory analysis at the Indian Ocean Biological Centre in Ernakulam, South India, and the other for the Institut für Meereskunde in Kiel. In addition to determining the standing stock, the production rate of phytoplankton was measured by the 14C method. These experiments were mainly conducted during the latter half of the expedition. The planktological studies primarily covered the euphotic zone, extending into the underlying water layers up to a depth of 600 m. The investigations were above all directed towards ascertaining the quantity of organic substance, formed by primary production, in its relation to environmental conditions and determining whether or not organic substance is actively transported from the surface into the deeper layers by the periodically migration organisms of the deep scattering layers. Depending on the station time available, a few samples could now and then be taken from deeper layers. The present volume of planktological-chemical data addresses itself to all those concerned processing the extensive material collected during the International Indian Ocean Expedition. As a readily accessible work of reference, it hopes to serve as an aid in the evaluation and interpretation of the expedition results. The complementary ecological data such as temperature, salinity, and oxygen content as well as the figures obtained on abundance and distribution in depth of the nutrients essential for primary production may be found in the volume of physical-chemical data published in Series A of the "Meteor"-Forschungsergebnisse No. 2, 1966 (Dietrich et al., 1966).

Reference list of 269 sources used for exploratory search

Today's digital libraries (DLs) archive vast amounts of information in the form of text, videos, images, data measurements, etc. User access to DL content can rely on similarity between metadata elements, or similarity between the data itself (content-based similarity). We consider the problem of exploratory search in large DLs of time-oriented data. We propose a novel approach for overview-first exploration of data collections based on user-selected metadata properties. In a 2D layout representing entities of the selected property are laid out based on their similarity with respect to the underlying data content. The display is enhanced by compact summarizations of underlying data elements, and forms the basis for exploratory navigation of users in the data space. The approach is proposed as an interface for visual exploration, leading the user to discover interesting relationships between data items relying on content-based similarity between data items and their respective metadata labels. We apply the method on real data sets from the earth observation community, showing its applicability and usefulness.

A Variational Stereo Method for the Three-Dimensional Reconstruction of Ocean Waves

We develop a novel remote sensing technique for the observation of waves on the ocean surface. Our method infers the 3-D waveform and radiance of oceanic sea states via a variational stereo imagery formulation. In this setting, the shape and radiance of the wave surface are given by minimizers of a composite energy functional that combines a photometric matching term along with regularization terms involving the smoothness of the unknowns. The desired ocean surface shape and radiance are the solution of a system of coupled partial differential equations derived from the optimality conditions of the energy functional. The proposed method is naturally extended to study the spatiotemporal dynamics of ocean waves and applied to three sets of stereo video data. Statistical and spectral analysis are carried out. Our results provide evidence that the observed omnidirectional wavenumber spectrum S(k) decays as k-2.5 is in agreement with Zakharov's theory (1999). Furthermore, the 3-D spectrum of the reconstructed wave surface is exploited to estimate wave dispersion and currents.

Integration of socioeconomic and genetic aspects involved in the conservation of animal genetic resources = Integración de aspectos socioeconómicos y genéticos involucrados en la conservación de recursos genéticos animales

El sector ganadero está siendo gradualmente dominado por sistemas intensivos y especializados en los que los factores de producción están controlados y en los que los caracteres productivos son los criterios principales para la selección de especies y razas. Entretanto, muchos de los bienes y servicios que tradicionalmente suministraba el ganado, tales como los fertilizantes, la tracción animal o materias primas para la elaboración vestimenta y calzado están siendo reemplazados por productos industriales. Como consecuencia de ambos cambios, las razas seleccionadas intensivamente, las cuales están estrechamente ligadas a sistemas agrícolas de alta producción y altos insumos, han desplazado a muchas razas autóctonas, en las que la selección prácticamente ha cesado o es muy poco intensa. Actualmente existe una mayor conciencia social sobre la situación de las razas autóctonas y muchas funciones del ganado que previamente habían sido ignoradas están siendo reconocidas. Desde hace algunas décadas, se ha aceptado internacionalmente que las razas de ganado cumplen funciones económicas, socio-culturales, medioambientales y de seguridad alimentaria. Por ello, diferentes organismos internacionales han reconocido que la disminución de los recursos genéticos de animales domésticos (RGADs) es un problema grave y han recomendado su conservación. Aun así, la conservación de RGADs es un tema controvertido por la dificultad de valorar las funciones del ganado. Esta valoración es compleja debido que los RGADs tiene una doble naturaleza privada - pública. Como algunos economistas han subrayado, el ganado es un bien privado, sin embargo debido a algunas de sus funciones, también es un bien público. De esta forma, el aumento del conocimiento sobre valor de cada una de sus funciones facilitaría la toma de decisiones en relación a su conservación y desarrollo. Sin embargo, esta valoración es controvertida puesto que la importancia relativa de las funciones del ganado varía en función del momento, del lugar, de las especies y de las razas. El sector ganadero, debido a sus múltiples funciones, está influenciado por factores técnicos, medioambientales, sociales, culturales y políticos que están interrelacionados y que engloban a una enorme variedad de actores y procesos. Al igual que las funciones del ganado, los factores que afectan a su conservación y desarrollo están fuertemente condicionados por localización geográfica. Asimismo, estos factores pueden ser muy heterogéneos incluso dentro de una misma raza. Por otro lado, es razonable pensar que el ganadero es el actor principal de la conservación de razas locales. Actualmente, las razas locales están siendo Integration of socioeconomic and genetic aspects involved in the conservation of animal genetic resources 5 explotadas por ganaderos muy diversos bajo sistemas de producción también muy diferentes. Por todo ello, es de vital importancia comprender y evaluar el impacto que tienen las motivaciones, y el proceso de toma de decisiones de los ganaderos en la estructura genética de las razas. En esta tesis doctoral exploramos diferentes aspectos sociales, económicos y genéticos involucrados en la conservación de razas locales de ganado vacuno en Europa, como ejemplo de RGADs, esperando contribuir al entendimiento científico de este complejo tema. Nuestro objetivo es conseguir una visión global de los procesos subyacentes en la conservación y desarrollo de estas razas. Pretendemos ilustrar como se pueden utilizar métodos cuantitativos en el diseño y establecimiento de estrategias de conservación y desarrollo de RGADs objetivas y adecuadas. En primer lugar, exploramos el valor económico total (VET) del ganado analizando sus componentes públicos fuera de mercado usando como caso de estudio la raza vacuna Alistana-Sanabresa (AS). El VET de cualquier bien está formado por componentes de uso y de no-uso. Estos últimos incluyen el valor de opción, el valor de herencia y el valor de existencia. En el caso del ganado local, el valor de uso directo proviene de sus productos. Los valores de uso indirecto están relacionados con el papel que cumple las razas en el mantenimiento de los paisajes y cultura rural. El valor de opción se refiere a su futuro uso potencial y el valor de herencia al uso potencial de las generaciones venideras. Finalmente, el valor de existencia está relacionado con el bienestar que produce a la gente saber que existe un recurso específico. Nuestro objetivo fue determinar la importancia relativa que tienen los componentes fuera de mercado sobre el VET de la raza AS. Para ello evaluamos la voluntad de la gente a pagar por la conservación de la AS mediante experimentos de elección (EEs) a través de encuestas. Estos experimentos permiten valorar individualmente los distintos componentes del VET de cualquier bien. Los resultados los analizamos mediante de uso de modelos aleatorios logit. Encontramos que las funciones públicas de la raza AS tienen un valor significativo. Sus valores más importantes son el valor de uso indirecto como elemento cultural Zamorano y el valor de existencia (ambos representaron el 80% de VET). Además observamos que el valor que gente da a las funciones públicas de la razas de ganado dependen de sus características socioeconómicas. Los factores que condicionaron la voluntad a pagar para la conservación de la raza AS fueron el lugar de residencia (ciudad o pueblo), el haber visto animales de la raza o haber consumido sus productos y la actitud de los encuestados ante los conflictos entre el desarrollo económico y el medioambiente. Por otro lado, encontramos que no todo el mundo tiene una visión completa e integrada de todas las funciones públicas de la raza AS. Por este motivo, los programas o actividades de concienciación sobre su estado deberían hacer hincapié en este aspecto. La existencia de valores públicos de la raza AS implica que los ganaderos deberían recibir compensaciones económicas como pago por las funciones públicas que cumple su raza local. Las compensaciones asegurarían un tamaño de población que permitiría que la raza AS siga realizando estas funciones. Un mecanismo para ello podría ser el desarrollo del turismo rural relacionado con la raza. Esto aumentaría el valor de uso privado mientras que supondría un elemento añadido a las estrategias de conservación y desarrollo. No obstante, los ganaderos deben analizar cómo aprovechar los nichos de mercado existentes, así como mejorar la calidad de los productos de la raza prestando especial atención al etiquetado de los mismos. Una vez evaluada la importancia de las funciones públicas de las razas locales de ganado, analizamos la diversidad de factores técnicos, económicos y sociales de la producción de razas locales de ganado vacuno existente en Europa. Con este fin analizamos el caso de quince razas locales de ocho países en el contexto de un proyecto de colaboración internacional. Investigamos las diferencias entre los países para determinar los factores comunes clave que afectan a la viabilidad de las razas locales. Para ello entrevistamos mediante cuestionarios a un total de 355 ganaderos en las quince razas. Como indicador de viabilidad usamos los planes de los ganaderos de variación del tamaño de las ganaderías. Los cuestionarios incluían diferentes aspectos económicos, técnicos y sociales con potencial influencia en las dinámicas demográficas de las razas locales. Los datos recogidos los analizamos mediante distintas técnicas estadísticas multivariantes como el análisis discriminante y la regresión logística. Encontramos que los factores que afectan a la viabilidad de las razas locales en Europa son muy heterogéneos. Un resultado reseñable fue que los ganaderos de algunos países no consideran que la explotación de su raza tenga un alto valor social. Este hecho vuelve a poner de manifiesto la importancia de desarrollar programas Europeos de concienciación sobre la importancia de las funciones que cumplen las razas locales. Además los países analizados presentaron una alta variabilidad en cuanto a la importancia de los mercados locales en la distribución de los productos y en cuanto al porcentaje en propiedad del total de los pastos usados en las explotaciones. Este estudio reflejó la variabilidad de los sistemas y medios de producción (en el sentido socioeconómico, técnico y ecológico) que existe en Europa. Por ello hay que ser cautos en la implementación de las políticas comunes en los diferentes países. También encontramos que la variabilidad dentro de los países puede ser elevada debido a las diferencias entre razas, lo que implica que las políticas nacionales deber ser suficientemente flexibles para adaptarse a las peculiaridades de cada una de las razas. Por otro lado, encontramos una serie de factores comunes a la viabilidad de las razas en los distintos países; la edad de los ganaderos, la colaboración entre ellos y la apreciación social de las funciones culturales, medioambientales y sociales del ganado local. El envejecimiento de los ganaderos de razas locales no es solo un problema de falta de transferencia generacional, sino que también puede suponer una actitud más negativa hacia la inversión en las actividades ganaderas y en una menor capacidad de adaptación a los cambios del sector. La capacidad de adaptación de los ganaderos es un factor crucial en la viabilidad de las razas locales. Las estrategias y políticas de conservación comunes deben incluir las variables comunes a la viabilidad de las razas manteniendo flexibilidad suficiente para adaptarse a las especificidades nacionales. Estas estrategias y políticas deberían ir más allá de compensación económica a los ganaderos de razas locales por la menor productividad de sus razas. Las herramientas para la toma de decisiones ayudan a generar una visión amplia de la conservación y desarrollo de las razas locales. Estas herramientas abordan el diseño de estrategias de conservación y desarrollo de forma sistemática y estructurada. En la tercera parte de la tesis usamos una de estas herramientas, el análisis DAFO (Debilidades, Amenazas, Fortalezas y Oportunidades), con este propósito, reconociendo que la conservación de RGADs depende de los ganaderos. Desarrollamos un análisis DAFO cuantitativo y lo aplicamos a trece razas locales de ganado vacuno de seis países europeos en el contexto del proyecto de colaboración mencionado anteriormente. El método tiene cuatro pasos: 1) la definición del sistema; 2) la identificación y agrupación de los factores influyentes; 3) la cuantificación de la importancia de dichos factores y 4) la identificación y priorización de estrategias. Identificamos los factores utilizando multitud de agentes (multi-stakeholder appproach). Una vez determinados los factores se agruparon en una estructura de tres niveles. La importancia relativa de los cada uno de los factores para cada raza fue determinada por grupos de expertos en RGADs de los países integrados en el citado proyecto. Finalmente, desarrollamos un proceso de cuantificación para identificar y priorizar estrategias. La estructura de agrupación de factores permitió analizar el problema de la conservación desde el nivel general hasta el concreto. La unión de análisis específicos de cada una de las razas en un análisis DAFO común permitió evaluar la adecuación de las estrategias a cada caso concreto. Identificamos un total de 99 factores. El análisis reveló que mientras los factores menos importantes son muy consistentes entre razas, los factores y estrategias más relevantes son muy heterogéneos. La idoneidad de las estrategias fue mayor a medida que estas se hacían más generales. A pesar de dicha heterogeneidad, los factores influyentes y estrategias más importantes estaban ligados a aspectos positivos (fortalezas y oportunidades) lo que implica que el futuro de estas razas es prometedor. Los resultados de nuestro análisis también confirmaron la gran relevancia del valor cultural de estas razas. Las factores internos (fortalezas y debilidades) más importantes estaban relacionadas con los sistemas de producción y los ganaderos. Las oportunidades más relevantes estaban relacionadas con el desarrollo y marketing de nuevos productos mientras que las amenazas más importantes se encontraron a la hora de vender los productos actuales. Este resultado implica que sería fructífero trabajar en la motivación y colaboración entre ganaderos así como, en la mejora de sus capacidades. Concluimos que las políticas comunes europeas deberían centrarse en aspectos generales y ser los suficientemente flexibles para adaptarse a las singularidades de los países y las razas. Como ya se ha mencionado, los ganaderos juegan un papel esencial en la conservación y desarrollo de las razas autóctonas. Por ello es relevante entender que implicación puede tener la heterogeneidad de los mismos en la viabilidad de una raza. En la cuarta parte de la tesis hemos identificado tipos de ganaderos con el fin de entender cómo la relación entre la variabilidad de sus características socioeconómicas, los perfiles de las ganaderías y las dinámicas de las mismas. El análisis se ha realizado en un contexto sociológico, aplicando los conceptos de capital cultural y económico. Las tipologías se han determinado en función de factores socioeconómicos y culturales indicadores del capital cultural y capital económico de un individuo. Nuestro objetivo era estudiar si la tipología socioeconómica de los ganaderos afecta al perfil de su ganadería y a las decisiones que toman. Entrevistamos a 85 ganaderos de la raza Avileña-Negra Ibérica (ANI) y utilizamos los resultados de dichas entrevistas para ilustrar y testar el proceso. Definimos los tipos de ganaderos utilizando un análisis de clúster jerarquizado con un grupo de variables canónicas que se obtuvieron en función de cinco factores socioeconómicos: el nivel de educación del ganadero, el año en que empezó a ser ganadero de ANI, el porcentaje de los ingresos familiares que aporta la ganadería, el porcentaje de propiedad de la tierra de la explotación y la edad del ganadero. La tipología de los ganaderos de ANI resultó ser más compleja que en el pasado. Los resultados indicaron que los tipos de ganaderos variaban en muchos aspectos socioeconómicos y en los perfiles de sus Integration of socioeconomic and genetic aspects involved in the conservation of animal genetic resources 9 ganaderías. Los tipos de ganaderos determinados toman diferentes decisiones en relación a la modificación del tamaño de su ganadería y a sus objetivos de selección. Por otro lado, reaccionaron de forma diferente ante un hipotético escenario de reducción de las compensaciones económicas que les planteamos. En este estudio hemos visto que el capital cultural y el económico interactúan y hemos explicado como lo hacen en los distintos tipos de ganaderos. Por ejemplo, los ganaderos que poseían un mayor capital económico, capital cultural formal y capital cultural adquirido sobre la raza, eran los ganaderos cuyos animales tenían una mayor demanda por parte de otros ganaderos, lo cual podría responder a su mayor prestigio social dentro de la raza. Uno de los elementos claves para el futuro de la raza es si este prestigio responde a una superioridad genética de las animales. Esto ocurriría si los ganaderos utilizaran las herramientas que tienen a su disposición a la hora de seleccionar animales. Los tipos de ganaderos identificados mostraron también claras diferencias en sus formas de colaboración y en su reacción a una hipotética variación de las compensaciones económicas. Aunque algunos tipos de ganaderos mostraron un bajo nivel de dependencia a estas compensaciones, la mayoría se manifestaron altamente dependientes. Por ello cualquier cambio drástico en la política de ayudas puede comprometer el desarrollo de las razas autóctonas. La adaptación las políticas de compensaciones económicas a la heterogeneidad de los ganaderos podría aumentar la eficacia de las mismas por lo que sería interesante explorar posibilidades a este respecto. Concluimos destacando la necesidad de desarrollar políticas que tengan en cuenta la heterogeneidad de los ganaderos. Finalmente abordamos el estudio de la estructura genética de poblaciones ganaderas. Las decisiones de los ganaderos en relación a la selección de sementales y su número de descendientes configuran la estructura demográfica y genética de las razas. En la actualidad existe un interés renovado por estudiar las estructuras poblacionales debido a la influencia potencial de su estratificación sobre la predicción de valores genómicos y/o los análisis de asociación a genoma completo. Utilizamos dos métodos distintos, un algoritmo de clústeres basados en teoría de grafos (GCA) y un algoritmo de clustering bayesiano (STRUCTURE) para estudiar la estructura genética de la raza ANI. Prestamos especial atención al efecto de la presencia de parientes cercanos en la población y de la diferenciación genética entre subpoblaciones sobre el análisis de la estructura de la población. En primer lugar evaluamos el comportamiento de los dos algoritmos en poblaciones simuladas para posteriormente analizar los genotipos para 17 microsatélites de 13343 animales de 57 ganaderías distintas de raza ANI. La ANI es un ejemplo de raza con relaciones complejas. Por otro lado, utilizamos el archivo de pedigrí de la raza para estudiar el flujo de genes, calculando, entre otras cosas, la contribución de cada ganadería a la constitución genética de la raza. En el caso de las poblaciones simuladas, cuando el FST entre subpoblaciones fue suficientemente alto, ambos algoritmos, GCA y STRUCTURE, identificaron la misma estructura genética independientemente de que existieran o no relaciones familiares. Por el contrario, cuando el grado de diferenciación entre poblaciones fue bajo, el STRUCTURE identificó la estructura familiar mientras que GCA no permitió obtener ningún resultado concluyente. El GCA resultó ser un algoritmo más rápido y eficiente para de inferir la estructura genética en poblaciones con relaciones complejas. Este algoritmo también puede ser usado para reducir el número de clústeres a testar con el STRUTURE. En cuanto al análisis de la población de ANI, ambos algoritmos describieron la misma estructura, lo cual sugiere que los resultados son robustos. Se identificaron tres subpoblaciones diferenciadas que pudieran corresponderse con tres linajes distintos. Estos linajes estarían directamente relacionados con las ganaderías que han tenido una mayor contribución a la constitución genética de la raza. Por otro lado, hay un conjunto muy numeroso de individuos con una mezcla de orígenes. La información molecular describe una estructura estratificada de la población que se corresponde con la evolución demográfica de la raza. Es esencial analizar en mayor profundidad la composición de este último grupo de animales para determinar cómo afecta a la variabilidad genética de la población de ANI. SUMMARY Summary Livestock sector is gradually dominated by intensive and specialized systems where the production environment is controlled and the production traits are the main criteria for the selection of species and breeds. In the meantime, the traditional use of domestic animals for draught work, clothes and manure has been replaced by industrial products. As a consequence of both these changes, the intensively selected breeds closely linked with high-input highoutput production systems have displaced many native breeds where the selection has practically ceased or been very mild. People are now more aware of the state of endangerment among the native breeds and the previously ignored values of livestock are gaining recognition. For some decades now, the economic, socio-cultural, environmental and food security function of livestock breeds have been accepted worldwide and their loss has been recognized as a major problem. Therefore, the conservation of farm animal genetic resources (FAnGR) has been recommended. The conservation of FAnGR is controversial due to the complexity of the evaluation of its functions. This evaluation is difficult due to the nature of FAnGR both as private and public good. As some economists have highlighted, livestock animals are private goods, however, they are also public goods by their functions. Therefore, there is a need to increase the knowledge about the value of all livestock functions since to support the decision-making for the sustainable conservation and breeding of livestock. This is not straightforward since the relative importance of livestock functions depends on time, place, species and breed. Since livestock play a variety of roles, their production is driven by interrelated and everchanging economic, technical, environmental, social, cultural and political elements involving an enormous range of stakeholders. Not only FAnGR functions but also the importance of factors affecting the development and conservation of FAnGR can be very different across geographical areas. Furthermore, heterogeneity can be found even within breeds. Local breeds are nowadays raised by highly diverse farmers in equally diverse farms. It is quite reasonable to think that farmer is the major actor in the in situ conservation of livestock breeds. Thus, there is a need to understand the farmers’ motivations, decision making processes and the impact of their decisions on the genetic structure of breeds. In this PhD thesis we explore different social, economic and genetic aspects involved in the conservation of local cattle breeds, i.e. FAnGR, in Europe seeking to contribute to the scientific understanding of this complex issue. We aim to achieve a comprehensive view of the processes involved in the conservation and development of local cattle breeds and have made special efforts in discussing the implications of the research results in this respect. The final outcome of the thesis is to illustrate how quantitative methods can be exploited in designing and establishing sound strategies and programmes for the conservation and development of local livestock breeds. Firstly we explored the public non-market attributes of the total economic value (TEV) of livestock, using the Spanish Alistana-Sanabresa (AS) cattle breed as a case study. Total economic value of any good comprises both use and non-use components, where the latter include option, bequest and existence values. For livestock, the direct use values are mainly stemming from production outputs. Indirect use values relate to the role of livestock as a maintainer of rural culture and landscape. The option value is related to the potential use of livestock, the bequest values relate to the value associated with the inheritance of the resources to future generation and the existence values relate to the utility perceived by people from knowing that specific resources exist. We aimed to determine the relative importance of the non-market components of the TEV of the AS breed, the socio-economic variables that influence how people value the different components of TEV and to assess the implications of the Spanish national conservation strategy for the AS breed. To do so, we used a choice experiment (CE) approach and applied the technique to assess people’s willingness to pay (WTP) for the conservation of AS breed. The use of CE allows the valuation of the individual components of TEV for a given good. We analysed the choice data using a random parameter logit (RPL) model. AS breed was found to have a significant public good value. Its most important values were related to the indirect use value due to the maintenance of Zamorian culture and the existence value (both represent over 80% of its TEV). There were several socioeconomic variables influencing people’s valuation of the public service of the breed. In the case of AS breed, the place of living (city or rural area), having seen animals of the breed, having eaten breed products and the respondents’ attitude towards economic development – environment conflicts do influence people’s WTP for AS conservation. We also found that people do not have a complete picture of all the functions and roles that AS breed as AnGR. Therefore, the actions for increasing awareness of AS should go to that direction. The farmers will need incentives to exploit some of the public goods values and maintain the breed population size at socially desirable levels. One such mechanism could be related to the development of agritourism, which would enhance the private good value and provide an important addition to the conservation and utilisation strategy. However, the farmers need a serious evaluation on how to invest in niche product development or how to improve product quality and brand recognition. Using the understanding on the importance of the public function of local cattle we tried to depict the current diversity regarding technical, economic and social factors found in local cattle farming across Europe. To do so we focused in an international collaborative project on the case of fifteen local cattle breeds in eight European countries. We investigated the variation among the countries to detect the common key elements, which affect the viability of local breeds. We surveyed with interviews a total of 355 farms across the fifteen breeds. We used the planned herd size changes by the farmer as an indicator of breed viability. The questionnaire included several economic, technical and social aspects with potential influence on breeds’ demographic trends. We analysed the data using multivariate statistical techniques, such as discriminat analysis and logistic regression. The factors affecting a local breed’s viability were highly heterogeneous across Europe. In some countries, farmers did not recognise any high social value attached to keeping a local cattle breed. Hence there is a need to develop communication programmes across EU countries making people aware about the diversity and importance of values associated to raising local breeds. The countries were also very variable regarding the importance of local markets and the percentage of farm land owned by the farmers. Despite the country specificities, there were also common factors affecting the breed viability across Europe. The factors were from different grounds, from social, such as the age of the farmer and the social appreciation of their work, to technicalorganizational, such as the farmers’ attitude to collaborating with each other. The heterogeneity found reflects the variation in breeding systems and production environment (in the socioeconomic, technical and ecological sense) present in Europe. Therefore, caution should be taken in implementing common policies at the country level. Variability could also be rather high within countries due to breed specificities. Therefore, the national policies should be flexible to adapt to the specificities. The variables significantly associated with breed viability should be positively incorporated in the conservation strategies, and considered in developing common and/or national policies. The strategy preparation and policy planning should go beyond the provision of a general economic support to compensate farmers for the lower profitability of local breeds. Of particular interest is the observation that the opportunity for farmer collaboration and the appreciation by the society of the cultural, environmental and social role of local cattle farming were positively associated with the breed survival. In addition, farmer's high age is not only a problem of poor generation transfer but it is also a problem because it might lead to a lower attitude to investing in farming activities and to a lower ability to adapt to environment changes. The farmers’ adaptation capability may be a key point for the viability of local breeds. Decision making tools can help to get a comprehensive view on the conservation and development of local breeds. It allows us to use a systematic and structured approach for identifying and prioritizing conservation and development strategies. We used SWOT (Strengths, Weaknesses Opportunities and Threats) analysis for this purpose and recognized that many conservation and development projects rely on farmers. We developed a quantified SWOT method and applied it in the aforementioned collaborative research to a set of thirteen cattle breeds in six European countries. The method has four steps: definition of the system, identification and grouping of the driving factors, quantification of the importance of driving factors and identification and prioritization of the strategies. The factors were determined following a multi-stakeholder approach and grouped with a three level structure. FAnGR expert groups ranked the factors and a quantification process was implemented to identify and prioritize strategies. The structure of the SWOT analysis allowed analyzing the conservation problem from general down to specific perspectives. Joining breed specific analyses into a common SWOT analysis permitted comparison of breed cases across countries. We identified 99 driving factors across breeds. The across breed analysis revealed that irrelevant factors were consistent. There was high heterogeneity among the most relevant factors and strategies. The strategies increased eligibility as they lost specificity. Although the situation was very heterogeneous, the most promising factors and strategies were linked to the positive aspects (Strengths and Opportunities). Therefore, the future of the studied local breed is promising. The results of our analysis also confirmed the high relevance of the cultural value of the breeds. The most important internal factors (strengths and weaknesses) were related farmers and production systems. The most important opportunities were found in developing and marketing new products, while the most relevant threats were found in selling the current conventional products. In this regard, it should be fruitful to work on farmers’ motivation, collaboration, and capacity building. We conclude that European policies should focus on general aspects and be flexible enough to be adapted to the country and breed specificities. As mentioned, farmers have a key role in the conservation and development of a local cattle breed. Therefore, it is very relevant to understand the implications of farmer heterogeneity within a breed for its viability. In the fourth part of the thesis, we developed a general farmer typology to help analyzing the relations between farmer features and farm profiles, herd dynamics and farmers’ decision making. In the analysis we applied and used the sociological framework of economic and cultural capital and studied how the determined farmer types were linked to farm profiles and breeding decisions, among others. The typology was based on measurable socioeconomic factors indicating the economic and cultural capital of farmers. A group of 85 farmers raising the Spanish Avileña-Negra Ibérica (ANI) local cattle breed was used to illustrate and test the procedure. The farmer types were defined by a hierarchical cluster analysis with a set of canonical variables derived from the following five the socioeconomic factors: the formal educational level of the farmer, the year the farmer started keeping the ANI breed, the percentage of the total family income covered by the farm, the percentage of the total farm land owned by the farmer and the farmer’s age. The present ANI farmer types were much more complex than what they were in the past. We found that the farmer types differed in many socioeconomic aspects and in the farms profile. Furthermore, the types also differentiate farmers with respect to decisions about changing the farm size, breeding aims and stated reactions towards hypothetical subsidy variation. We have verified that economic and cultural capitals are not independent and further showed how they are interacting in the different farmer types. The farmers related to the types with high economic, institutionalized and embodied cultural capitals had a higher demand of breeding animals from others farmers of the breed, which may be related to the higher social prestige within the breed. One of the key implications of this finding for the future of the breed is whether or not the prestige of farmers is related to genetic superiority of their animals, what is to say, that it is related with a sound use of tools that farmers have available to make selection decisions. The farmer types differed in the form of collaboration and in the reactions to the hypothetical variation in subsidies. There were farmers with low dependency on subsidies, while most of them are highly dependent on subsidies. Therefore, any drastic change in the subsidy programme might have influence on the development of local breeds. The adaptation of these programme to the farmers’ heterogeneity might increase its efficacy, thus it would be interesting to explore ways of doing it. We conclude highlighting the need to have a variety of policies, which take into account the heterogeneity among the farmers. To finish we dealt with the genetic structure of livestock populations. Farmers’ decisions on the breeding animals and their progeny numbers shape the demographic and genetic structure of the breeds. Nowadays there is a renovated interest in studying the population structure since it can bias the prediction of genomic breeding values and genome wide association studies. We determined the genetic structure of ANI breed using two different methods, a graphical clustering algorithm (GCA) and a Bayesian clustering algorithm (STRUCTURE) were used. We paid particular attention to the influence that the presence of closely related individuals and the genetic differentiation of subpopulations may have on the inferences about the population structure. We first evaluated the performance of the algorithms in simulated populations. Then we inferred the genetic structure of the Spanish cattle breed ANI analysing a data set of 13343 animals (genotyped for 17 microsatellites) from 57 herds. ANI breed is an example of a population with complex relationships. We used the herdbook to study the gene flow, estimation among other things, the contribution of different herds to the genetic composition of the ANI breed. For the simulated scenarios, when FST among subpopulations was sufficiently high, both algorithms consistently inferred the correct structure regardless of the presence of related individuals. However, when the genetic differentiation among subpopulations was low, STRUCTURE identified the family based structure while GCA did not provide any consistent picture. The GCA was a fast and efficient method to infer genetic structure to determine the hidden core structure of a population with complex history and relationships. GCA could also be used to narrow down the number of clusters to be tested by STRUCTURE. Both, STRUCTURE and GCA describe a similar structure for the ANI breed suggesting that the results are robust. ANI population was found to have three genetically differentiated clusters that could correspond to three genetic lineages. These are directly related to the herds with a major contribution to the breed. In addition, ANI breed has also a large pool made of individuals with an admixture of origins. The genetic structure of ANI, assessed by molecular information, shows a stratification that corresponds to the demographic evolution of the breed. It will be of great importance to learn more about the composition of the pool and study how it is related to the existing genetic variability of the breed.