Agronomic and economic sustainability in agroforestry systems with cocoa (Theobroma cacao L.) in the Utcubamba Valley, Peru

Agronomic and economic sustainability in agroforestry systems with cocoa (Theobroma cacao L.) in the Utcubamba Valley, Peru | Research Square window.SnipcartSettings = { analytics: { enabled: false } }; (function() { var accessVector = localStorage.getItem('access_vector') || ''; window.dataLayer = window.dataLayer || []; if (accessVector) { window.dataLayer.push({ user: { profile: { profileInfo: { snid: accessVector } } } }); } })(); (function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start':new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0],j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src='https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f);})(window,document,'script','dataLayer','GTM-K279D39R'); Browse Preprints In Review Journals COVID-19 Preprints AJE Video Bytes Research Tools Research Promotion AJE Professional Editing AJE Rubriq About Preprint Platform In Review Editorial Policies Our Team Advisory Board Help Center Sign In Submit a Preprint Cite Share Download PDF Research Article Agronomic and economic sustainability in agroforestry systems with cocoa (Theobroma cacao L.) in the Utcubamba Valley, Peru Marlen A. Grandez-Alberca, Alexander Cotrina-Sanchez, Teodoro B. Silva-Melendez, and 9 more This is a preprint; it has not been peer reviewed by a journal. https://doi.org/ 10.21203/rs.3.rs-8408662/v1 This work is licensed under a CC BY 4.0 License Status: Published Journal Publication published 19 Mar, 2026 Read the published version in Agroforestry Systems → Version 1 posted 10 You are reading this latest preprint version Abstract Cocoa-based agroforestry systems (AFS) are a key strategy for strengthening agronomic and economic sustainability in tropical regions; therefore, comprehensive knowledge of cocoa-based AFS is essential. This study characterized 12 plots in the province of Utcubamba, Amazonas (Peru), by evaluating indicators of tree diversity, canopy structure, soil fertility, the presence of major pests and diseases, and economic performance. Tree diversity and structure revealed functionally differentiated communities, reflected in Shannon index values of H′ = 2.24, canopy cover exceeding 60%, and importance value indices (IVI) highlighting dominant species such as Calycophyllum spruceanum (16.79%) and Laurus nobilis (15.64%), which contribute to microclimatic regulation and system resilience. Soil analyses showed a strong correlation between organic carbon, organic matter, and nitrogen (r > 0.95; r = 1.00 between C and O.M.), emphasizing the role of organic matter management in improving soil quality and crop productivity, with organic carbon ranging from 1.91% to 3.89%, organic matter from 3.30% to 6.71%, and total nitrogen from 1.65% to 3.35%. Pest incidence exhibited low or insignificant correlations with soil parameters (r ≤ 0.32) and generally moderate levels, suggesting a stronger influence of management practices, shade structure, and local environmental conditions. Economically, AFS showed an average profit of USD 2,616.20, influenced by plantation age (≈ 7 years), technification level, and labor availability. Overall, cocoa-based AFS function as multifunctional systems capable of simultaneously enhancing productivity, ecological stability, and economic sustainability in the region. Cocoa agroforestry systems Dry Forests Tree diversity Soil fertility Sustainable agriculture Full Text Additional Declarations No competing interests reported. Cite Share Download PDF Status: Published Journal Publication published 19 Mar, 2026 Read the published version in Agroforestry Systems → Version 1 posted Editorial decision: Revision requested 02 Feb, 2026 Reviews received at journal 29 Jan, 2026 Reviews received at journal 22 Jan, 2026 Reviewers agreed at journal 18 Jan, 2026 Reviewers agreed at journal 15 Jan, 2026 Reviewers agreed at journal 13 Jan, 2026 Reviewers invited by journal 13 Jan, 2026 Editor assigned by journal 26 Dec, 2025 Submission checks completed at journal 22 Dec, 2025 First submitted to journal 19 Dec, 2025 You are reading this latest preprint version Research Square lets you share your work early, gain feedback from the community, and start making changes to your manuscript prior to peer review in a journal. As a division of Research Square Company, we’re committed to making research communication faster, fairer, and more useful. We do this by developing innovative software and high quality services for the global research community. Our growing team is made up of researchers and industry professionals working together to solve the most critical problems facing scientific publishing. Also discoverable on Platform About Our Team In Review Editorial Policies Advisory Board Help Center Resources Author Services Accessibility API Access RSS feed Manage Cookie Preferences © Research Square 2026 | ISSN 2693-5015 (online) Privacy Policy Terms of Service Do Not Sell My Personal Information {"props":{"pageProps":{"initialData":{"identity":"rs-8408662","acceptedTermsAndConditions":true,"allowDirectSubmit":false,"archivedVersions":[],"articleType":"Research Article","associatedPublications":[],"authors":[{"id":575164979,"identity":"a30d4725-9d8b-451e-a411-272d1b25f4a4","order_by":0,"name":"Marlen A. 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Peru","fulltext":[],"fulltextSource":"","fullText":"","funders":[],"hasAdminPriorityOnWorkflow":false,"hasManuscriptDocX":false,"hasOptedInToPreprint":true,"hasPassedJournalQc":"","hasAnyPriority":false,"hideJournal":false,"highlight":"","institution":"","isAcceptedByJournal":true,"isAuthorSuppliedPdf":true,"isDeskRejected":"","isHiddenFromSearch":false,"isInQc":false,"isInWorkflow":false,"isPdf":true,"isPdfUpToDate":true,"isWithdrawnOrRetracted":false,"journal":{"display":true,"email":"[email protected]","identity":"agroforestry-systems","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":false,"externalIdentity":"agfo","sideBox":"Learn more about [Agroforestry Systems](http://link.springer.com/journal/10457)","snPcode":"10457","submissionUrl":"https://submission.nature.com/new-submission/10457/3","title":"Agroforestry Systems","twitterHandle":"","acdcEnabled":true,"dfaEnabled":true,"editorialSystem":"em","reportingPortfolio":"Springer Hybrid","inReviewEnabled":true,"inReviewRevisionsEnabled":false},"keywords":"Cocoa agroforestry systems, Dry Forests, Tree diversity, Soil fertility, Sustainable agriculture","lastPublishedDoi":"10.21203/rs.3.rs-8408662/v1","lastPublishedDoiUrl":"https://doi.org/10.21203/rs.3.rs-8408662/v1","license":{"name":"CC BY 4.0","url":"https://creativecommons.org/licenses/by/4.0/"},"manuscriptAbstract":"\u003cp\u003eCocoa-based agroforestry systems (AFS) are a key strategy for strengthening agronomic and economic sustainability in tropical regions; therefore, comprehensive knowledge of cocoa-based AFS is essential. This study characterized 12 plots in the province of Utcubamba, Amazonas (Peru), by evaluating indicators of tree diversity, canopy structure, soil fertility, the presence of major pests and diseases, and economic performance. Tree diversity and structure revealed functionally differentiated communities, reflected in Shannon index values of H\u0026prime; = 2.24, canopy cover exceeding 60%, and importance value indices (IVI) highlighting dominant species such as \u003cem\u003eCalycophyllum spruceanum\u003c/em\u003e (16.79%) and \u003cem\u003eLaurus nobilis\u003c/em\u003e (15.64%), which contribute to microclimatic regulation and system resilience. Soil analyses showed a strong correlation between organic carbon, organic matter, and nitrogen (r\u0026thinsp;\u0026gt;\u0026thinsp;0.95; r\u0026thinsp;=\u0026thinsp;1.00 between C and O.M.), emphasizing the role of organic matter management in improving soil quality and crop productivity, with organic carbon ranging from 1.91% to 3.89%, organic matter from 3.30% to 6.71%, and total nitrogen from 1.65% to 3.35%. Pest incidence exhibited low or insignificant correlations with soil parameters (r\u0026thinsp;\u0026le;\u0026thinsp;0.32) and generally moderate levels, suggesting a stronger influence of management practices, shade structure, and local environmental conditions. Economically, AFS showed an average profit of USD 2,616.20, influenced by plantation age (\u0026asymp;\u0026thinsp;7 years), technification level, and labor availability. Overall, cocoa-based AFS function as multifunctional systems capable of simultaneously enhancing productivity, ecological stability, and economic sustainability in the region.\u003c/p\u003e","manuscriptTitle":"Agronomic and economic sustainability in agroforestry systems with cocoa (Theobroma cacao L.) in the Utcubamba Valley, Peru","msid":"","msnumber":"","nonDraftVersions":[{"code":1,"date":"2026-01-16 04:07:28","doi":"10.21203/rs.3.rs-8408662/v1","editorialEvents":[{"type":"communityComments","content":0},{"type":"decision","content":"Revision requested","date":"2026-02-02T15:31:47+00:00","index":"","fulltext":""},{"type":"editorInvitedReview","content":"","date":"2026-01-29T15:08:57+00:00","index":"hide","fulltext":""},{"type":"editorInvitedReview","content":"","date":"2026-01-22T16:57:17+00:00","index":"hide","fulltext":""},{"type":"reviewerAgreed","content":"277002617123145915795126423843538032638","date":"2026-01-18T14:28:27+00:00","index":"hide","fulltext":""},{"type":"reviewerAgreed","content":"131958875769980452212805204210044019689","date":"2026-01-15T15:51:21+00:00","index":"hide","fulltext":""},{"type":"reviewerAgreed","content":"207250925365318309332763527556036546444","date":"2026-01-13T16:13:59+00:00","index":"hide","fulltext":""},{"type":"reviewersInvited","content":"","date":"2026-01-13T13:36:57+00:00","index":"","fulltext":""},{"type":"editorAssigned","content":"","date":"2025-12-26T16:59:22+00:00","index":"","fulltext":""},{"type":"checksComplete","content":"","date":"2025-12-22T06:46:56+00:00","index":"","fulltext":""},{"type":"submitted","content":"Agroforestry Systems","date":"2025-12-20T00:17:11+00:00","index":"","fulltext":""}],"status":"published","journal":{"display":true,"email":"[email protected]","identity":"agroforestry-systems","isNatureJournal":false,"hasQc":true,"allowDirectSubmit":false,"externalIdentity":"agfo","sideBox":"Learn more about [Agroforestry Systems](http://link.springer.com/journal/10457)","snPcode":"10457","submissionUrl":"https://submission.nature.com/new-submission/10457/3","title":"Agroforestry Systems","twitterHandle":"","acdcEnabled":true,"dfaEnabled":true,"editorialSystem":"em","reportingPortfolio":"Springer Hybrid","inReviewEnabled":true,"inReviewRevisionsEnabled":false}}],"origin":"","ownerIdentity":"d1226950-5401-4f74-9828-d74f87519668","owner":[],"postedDate":"January 16th, 2026","published":true,"recentEditorialEvents":[],"rejectedJournal":[],"revision":"","amendment":"","status":"published-in-journal","subjectAreas":[],"tags":[],"updatedAt":"2026-03-23T16:03:02+00:00","versionOfRecord":{"articleIdentity":"rs-8408662","link":"https://doi.org/10.1007/s10457-026-01479-7","journal":{"identity":"agroforestry-systems","isVorOnly":false,"title":"Agroforestry Systems"},"publishedOn":"2026-03-19 15:58:16","publishedOnDateReadable":"March 19th, 2026"},"versionCreatedAt":"2026-01-16 04:07:28","video":"","vorDoi":"10.1007/s10457-026-01479-7","vorDoiUrl":"https://doi.org/10.1007/s10457-026-01479-7","workflowStages":[]},"version":"v1","identity":"rs-8408662","journalConfig":"researchsquare"},"__N_SSP":true},"page":"/article/[identity]/[[...version]]","query":{"redirect":"/article/rs-8408662","identity":"rs-8408662","version":["v1"]},"buildId":"XKTyCvWXoU3ODBz1xrDgd","isFallback":false,"isExperimentalCompile":false,"dynamicIds":[84888],"gssp":true,"scriptLoader":[]}