Creating incentives for avoiding further deforestation: the nested approach

Since 2005, Parties to the UNFCCC have been negotiating policy options for incentivizing reductions of (greenhouse gas) emissions from deforestation and degradation (REDD) in a future climate regime. Proposals on how to operationalize REDD range from market-based to pure fund-based approaches. Most of the current proposals suggest accounting for REDD at the national level. Accounting for emission reductions and implementing policy reform for curbing deforestation will take time and imply high levels of technical and institutional capacity. Therefore it is essential that developing countries receive sufficient support to implement national REDD programmes. To save time and ensure prompt action in reducing deforestation, a REDD approach is proposed that integrates project-level and subnational REDD schemes into national-level accounting. This ‘nested approach’ can achieve meaningful reductions in GHG emissions from improved forest governance and management, while allowing for an immediate and broad participation by developing countries, civil society and the private sector.     

‘This is my garden’: justice claims and struggles over forests in Vietnam’s REDD+

ABSTRACT

This paper explores dynamics of conflict over forests in Vietnam, as the country lays the groundwork for Reducing Emissions from Deforestation and Forest Degradation (REDD+). Drawing on a case study in Lam Dong province and applying an environmental justice lens, we examine how various social actors assert claims over forests and how these claims invoke different notions of justice, authority and identity. Our analysis highlights that the development and implementation of the project has generated renewed competing claims and conflicts over forests among social actors. Underlying these conflicts there are incompatible notions of justice and associated rights, which lead different actors to accord legitimacy variously to the global norms brought about by REDD+, the customary resource practices of indigenous people, or to the state’s laws. We show that the negotiations over forests in REDD+ reflect the influence of the specific historical and political-economic settings in which REDD+ activities take place, including pre-existing conflicts over forests and power relations underpinning forest management. From a policy perspective, our research suggests that any attempts to introduce simplified and uniform regulations for forest governance in REDD+ should be avoided, since local institutions and conceptions of justice will significantly influence what is regarded as legitimate policy and can thus be endorsed as inspiration for sustainable forest governance.

Key policy insights

• REDD+ in Vietnam has spurred contestations over who is legitimately entitled to govern and manage forests.

• Claims and conflicts over forests can be explained by incompatible and distinct notions of justice, authority and identity.

• Contestations over justice pose radical challenges to any global and national efforts that attempt to implement simplified rules and ideas for forest based-climate change mitigation.

• Attention to justice, especially to compatibility and differences in ideas about justice, is crucial for sustainable forest governance.

     

CDM potential in the power-generation and energy-intensive industries of China

Reducing emissions from deforestation and forest degradation (REDD+) has emerged as an important carbon governance mechanism. However, forest governance is weak in most REDD+ countries, which undermines efforts to establish REDD+. This study analyses the factors that enable national REDD+ processes in the context of weak governance using a two-step ‘qualitative comparative analysis’ (QCA) of 12 REDD+ countries. Assuming that actor-related factors can be effective only if certain institutional preconditions are met, six factors were divided into two categories that were analysed separately: institutional setting (pressure from forest-resource shortage; forest legislation, policy, and governance; already initiated policy change) and the policy arena (national ownership; transformational coalitions; inclusiveness of the policy process). The factors were analysed to determine their role in efforts to establish comprehensive REDD+ policies that target transformational change. The results reveal path dependencies and institutional stickiness in all the study countries. Only countries already undertaking institutional change have been able to establish REDD+ policies in a relatively short period – but only in the presence of either high pressure from forest-resource shortages or key features of effective forest legislation, policy, and governance. Furthermore, where an enabling institutional setting is in place, the policy arena conditions of national ownership and transformational coalitions are crucial.Policy relevance Although the aim of REDD+ is to provide performance-based payments for emissions reductions, the outcomes in terms of actual emission reductions or co-benefits are not yet observable. Most REDD+ countries are still at the design and implementation stage for policies and measures. Indicators and criteria to measure progress in this phase are required to identify which factors enable or hinder countries' performance in delivering necessary policy change to provide targeted financial incentives to support countries' efforts. This study analyses the factors that shape national REDD+ processes in the context of weak governance using a two-step QCA of 12 REDD+ countries. The results show a set of enabling conditions and characteristics of the policy process under which REDD+ policies can be established. These findings may help guide other countries seeking to formulate REDD+ policies that are likely to deliver efficient, effective, and equitable outcomes.     

Experiences of host communities with carbon market projects: towards multi-level climate justice

The literature on equity and justice in climate change mitigation has largely focused on North–South relations and equity between states. However, some initiatives (e.g. the Clean Development Mechanism (CDM), the Reducing Emissions from Deforestation and Forest Degradation programme (REDD), and voluntary carbon markets (VCMs)) are already establishing multi-level governance structures that involve communities from developing countries in global mitigation efforts. This poses new equity and justice dilemmas: how the burdens and benefits of mitigation are shared across various levels and how host communities are positioned in multi-level governance structures. A review of the existing literature is used to distill a framework for distinguishing between four axes of climate justice from the perspective of communities. Empirical evidence from African and Asian carbon market projects is used to assess the distributive and procedural justice implications for host communities. The evidence suggests that host communities often benefit little from carbon market projects and find it difficult to protect their interests. Capacity building, attention to local power relations, supervision of business practices, promotion of projects with primarily development aims and an active involvement of non-state actors as bridges between local communities and the national/international levels could potentially contribute towards addressing some of the key justice concerns.Policy relevance International negotiations on the institutional frameworks that are envisaged to govern carbon markets are proceeding at a rather slow pace. As a consequence, host countries and private-sector actors are making their own arrangements to safeguard the interests of local communities. While several standards have emerged to guide carbon market activity on the ground, distributive as well as procedural justice concerns nevertheless remain salient. Four empirical case studies across Asia and Africa show that within the multi-scale and multi-actor carbon market governance, local-level actors often lack sufficient agency to advance their claims and protect their interests. This evidence suggests that ameliorating policy reforms are needed to enhance the positioning of local communities. Doing so is important to ensure future acceptability of carbon market activity in potential host communities as well as for ensuring their broader legitimacy.     

Avoiding deforestation in Panamanian protected areas: An analysis of protection effectiveness and implications for reducing emissions from deforestation and forest degradation

Reducing greenhouse gas emissions from deforestation and forest degradation (REDD) is likely to be central to a post-Kyoto climate change mitigation agreement. As such, identifying conditions and factors that will shape the success or failure of a reduced deforestation scheme will provide important insights for policy planning. Given that protected areas (PAs) are a cornerstone in forest conservation, we draw on interviews and secondary data to analyze the effects of available PA resources, governance ability, the level of community involvement, and provincial deforestation rates on land-cover change in nine PAs in Panama. Our results illustrate that coupling surveillance measures with greater funding and strong governance are paramount to reducing deforestation. Alone, however, these factors are insufficient for forest protection. We argue that conservation approaches that complement effective surveillance with community participation and equitable benefit sharing will address the wider issues of leakage and permanence.     

Institutional dimensions of the developing REDD+ process in Cameroon

The reducing emissions from deforestation and forest degradation (REDD+) initiative has emerged in recent years as a mechanism to simultaneously address climate change, biodiversity, and poverty reduction challenges at the margins of tropical forests. Congo Basin countries, including Cameroon, have embraced the opportunities that REDD+ provides, with great expectations. Yet, it needs to be investigated whether the enabling institutional environment, which is required for implementing REDD+, is present. Understanding is still limited on how to build adequate and strong institutional relations that could shape the reforms towards the establishment of efficient emissions reductions schemes. Furthermore, uncertainty remains on the operational mechanisms of REDD+, suggesting that, to catalyse effectiveness, there is a need to come up with a governance model nested in relevant policy frameworks. This study builds on a modified ‘4Is’ framework – Institutions, Interests, Ideas and Information – to analyse REDD+ and explore stakeholders' perceptions on the local forest governance potential. A structural implementation model to optimize the effectiveness of REDD+ is developed. Findings suggest that governments need to review existing policies to take into account participation, local people rights, and information access as a way to stimulate actors' willingness to contribute to emissions reductions and carbon stock increases under REDD+ regimes.     

How institutions and beliefs affect environmental discourse: Evidence from an eight-country survey on REDD+

This paper investigates the adoption of discourses on Reducing Emissions from Deforestation and forest Degradation (REDD+) across different national contexts. It draws on institutional theories to develop and test a number of hypotheses on the role of shared beliefs and politico-economic institutions in determining the discursive choices of policy actors. The results show that win–win ecological modernization discourse, embraced by powerful government agencies and international actors, dominates national REDD+ policy arenas. This discourse is challenged primarily by a minority reformist civic environmentalist discourse put forward primarily by domestic NGOs. We find evidence that countries with a less democratic political system and large-scale primary sector investments facilitate the adoption of reconciliatory ecological modernization discourse, which may not directly challenge the drivers of deforestation. Policy actors who believe in and are engaged in market-based approaches to REDD+ are much more likely to adopt ecological modernization discourses, compared to policy actors who work on community development and livelihoods issues.     

Thirteen plus one: a comparison of global climate policy architectures

We critically review the Kyoto Protocol and thirteen alternative policy architectures for addressing the threat of global climate change. We employ six criteria to evaluate the policy proposals: environmental outcome, dynamic efficiency, cost-effectiveness, equity, flexibility in the presence of new information, and incentives for participation and compliance. The Kyoto Protocol does not fare well on a number of criteria, but none of the alternative proposals fare well along all six dimensions. We identify several major themes among the alternative proposals: Kyoto is “too little, too fast”; developing countries (DCs) should play a more substantial role and receive incentives to participate; implementation should focus on market-based approaches, especially those with price mechanisms; and participation and compliance incentives are inadequately addressed by most proposals. Our investigation reveals tensions among several of the evaluative criteria, such as between environmental outcome and efficiency, and between cost-effectiveness and incentives for participation and compliance.     

Reducing greenhouse gas emissions from deforestation and forest degradation in developing countries: revisiting the assumptions

The United Nations Framework on Climate Change (UNFCCC), at its thirteenth meeting in 2005 (COP-11), agreed to start a work program to explore a range of policy approaches and positive incentives for Reducing Emissions from Deforestation and Degradation (REDD). This process was further encouraged in the 2007 COP-13 with the explicit consideration of REDD activities as a means to enhance mitigation action by developing countries in the future. This paper outlines the context of this ongoing political process by reviewing the science indicating that land-use change is a key contributor of greenhouse emissions globally and the assumptions that REDD activities may be competitive—in terms of cost effectiveness—in comparison to other mitigation options. The paper then examines REDD proposals submitted by Parties before COP-13 and identifies key economic, technological, methodological and institutional challenges associated with their implementation. These proposals are discussed in the light of major drivers of deforestation and ongoing efforts to address deforestation. This reveals another set of challenges which, if not taken into account, may undermine REDD effectiveness. The paper aims to aid the policy process and contribute to the best possible design of a REDD framework under the future climate regime.     

Thirteen plus one: a comparison of global climate policy architectures

We critically review the Kyoto Protocol and thirteen alternative policy architectures for addressing the threat of global climate change. We employ six criteria to evaluate the policy proposals: environmental outcome, dynamic efficiency, cost-effectiveness, equity, flexibility in the presence of new information, and incentives for participation and compliance. The Kyoto Protocol does not fare well on a number of criteria, but none of the alternative proposals fare well along all six dimensions. We identify several major themes among the alternative proposals: Kyoto is “too little, too fast”; developing countries (DCs) should play a more substantial role and receive incentives to participate; implementation should focus on market-based approaches, especially those with price mechanisms; and participation and compliance incentives are inadequately addressed by most proposals. Our investigation reveals tensions among several of the evaluative criteria, such as between environmental outcome and efficiency, and between cost-effectiveness and incentives for participation and compliance.     

Representation and participation in formulating Nepal’s REDD+ approach

ABSTRACT

REDD+ is an international policy aimed at incentivizing forest conservation and management and improving forest governance. In this article, we interrogate how newly articulated REDD+ governance processes established to guide the formulation of Nepal’s REDD+ approach address issues of participation for different social groups. Specifically, we analyse available forums of participation for different social groups, as well as the nature of their representation and degree of participation during the country’s REDD+ preparedness phase. We find that spaces for participation and decision-making in REDD+ have been to date defined and dominated by government actors and influential civil society groups, whereas the influence of other actors, particularly marginalized groups such as Dalits and women’s organizations, have remained limited. REDD+ has also resulted in a reduction of influence for some hitherto powerful actors (e.g. community forestry activists) and constrained their critical voice. These governance weaknesses related to misrepresentation and uneven power relations in Nepal cast doubt on the extent to which procedural justice has been promoted through REDD+ and imply that implementation may, as a consequence, lack the required social legitimacy and support. We discuss possible ways to address these shortcomings, such as granting greater prominence to neglected civil society forums within the REDD+ process, allowing for an increase in their influence on policy design, enhancing capacity and leadership of marginalized groups and institutionalizing participation through continued forest governance reform.

Key policy insights

• Participation is a critical asset in public policy design.

• Ensuring wide and meaningful participation can enhance policy legitimacy and thus its endorsement and potential effective implementation.

• Fostering inclusive processes through dedicated forums such as multi-stakeholder groups can help overcome power dynamics.

• While REDD+ is open to participation by different actors through a variety of formal means, many countries lack a clear framework for participation in national policy processes.

• Nepal’s experience with representation and participation of non-state actors in its REDD+ preparedness programme provides useful insights for similar social and policy contexts.

     

Narratives in REDD+ benefit sharing: examining evidence within and beyond the forest sector

REDD+ was designed globally as a results-based instrument to incentivize emissions reduction from deforestation and forest degradation. Over 50 countries have developed strategies for REDD+, implemented pilot activities and/or set up forest monitoring and reporting structures, safeguard systems and benefit sharing mechanisms (BSMs), offering lessons on how particular ideas guide policy design. The implementation of REDD+ at national, sub-national and local levels required payments to filter through multiple governance structures and priorities. REDD+ was variously interpreted by different actors in different contexts to create legitimacy for certain policy agendas. Using an adapted 3E (effectiveness, efficiency, equity and legitimacy) lens, we examine four common narratives underlying REDD+ BSMs: (1) that results-based payment (RBP) is an effective and transparent approach to reducing deforestation and forest degradation; (2) that emphasis on co-benefits risks diluting carbon outcomes; (3) that directing REDD+ benefits predominantly to poor smallholders, forest communities and marginalized groups helps address equity; and (4) that social equity and gender concerns can be addressed by well-designed safeguards. This paper presents a structured examination of eleven BSMs from within and beyond the forest sector and analyses the evidence to variably support and challenge these narratives and their underlying assumptions to provide lessons for REDD+ BSM design. Our findings suggest that contextualizing the design of BSMs, and a reflexive approach to examining the underlying narratives justifying particular design features, is critical for achieving effectiveness, equity and legitimacy.

Key policy insights

• A results-based payment approach does not guarantee an effective REDD+; the contexts in which results are defined and agreed, along with conditions enabling social and political acceptance, are critical.

• A flexible and reflexive approach to designing a benefit-sharing mechanism that delivers emissions reductions at the same time as co-benefits can increase perceptions of equity and participation.

• Targeting REDD+ to smallholder communities is not by default equitable, if wider rights and responsibilities are not taken into account

• Safeguards cannot protect communities or society without addressing underlying power and gendered relations.

• The narratives and their underlying generic assumptions, if not critically examined, can lead to repeated failure of REDD+ policies and practices.

     

Lessons from carbon markets for designing an effective REDD architecture

Consideration of incentives for reducing emissions from deforestation and forest degradation (REDD) is now formally part of the post-2012 climate change negotiations. A significant amount of financing will be required to make REDD a success, but the design of the REDD architecture can determine the availability of capital. Therefore, in negotiations this should be considered at the same time and on an equal basis with methodological and political considerations. Detailed consideration is given to the type of commitment, the financing mechanism, the level of incentive allocation, and the fungibility of carbon credits, in the context of experience from existing carbon markets. We conclude that a financially successful REDD mechanism would be based on a strong regulatory framework with mandatory targets, market-based, with some degree of project-level crediting, creating fungible REDD credits, subject to a cap.     

Post-2012 climate policy dilemmas: a review of proposals

This article assesses a wide range of alternative proposals for post-2012 international climate policy regimes. We believe that these proposals will serve as a basis for debates about how to configure post-2012 climate policy. The article characterizes and assesses the policy proposals along the lines of five key policy dilemmas. We argue that (1) many proposals have ideas on how to reduce emissions, but fewer have a solution on how to stimulate technical innovation; (2) many proposals formulate climate policy in isolation, while there are fewer proposals that try to mainstream climate policies in other policy areas; (3) many proposals advocate market-based solutions, while fewer realize that there are certain drawbacks to this solution especially at the international level; (4) most proposals have a preference for a UN-based regime, while a more fragmented regime, based on regional and sectoral arrangements may be emerging; and (5) most proposals have ideas about mitigation, but not many have creative ideas on how to integrate mitigation with adaptation.     

Scaling up zero-deforestation initiatives through public-private partnerships: A look inside post-conflict Colombia

The rise of public and private zero-deforestation commitments is opening a new collaborative space in global forest governance. Governments seeking to reduce national greenhouse gas emissions by protecting and restoring forests are partnering with companies motivated to eliminate deforestation from supply chains. The proliferation of zero-deforestation initiatives is creating opportunities for policy synergies and scaling up impacts, but has led to a more complex regulatory landscape. Drawing on policy analysis and expert interviews, we explore public-private policy interactions in Colombia as a case study for tropical forested nations with interest in aligning climate, forest, and development goals. We consider how zero-deforestation priorities are set on the national agenda and scaled up through public-private partnerships. We identify zero-deforestation initiatives in three overlapping governance domains—domestic public policy, REDD+, sustainable supply chain initiatives—and highlight ten multi-stakeholder pledges that have catalyzed supporting initiatives at multiple scales. Emerging from decades of armed conflict, Colombia is pursuing a peace building model based on low-emissions rural development. The peace deal provided a focusing event for zero-deforestation that converged with political momentum and institutional capacity to open a policy window. A government pledge to eliminate deforestation in the Colombian Amazon by 2020 set the national agenda and stimulated international REDD+ cooperation. Lessons from Colombia show that governments provide important directionality among the proliferation of zero-deforestation initiatives. Public pledges and the orchestration of actors through public-private partnerships allow governments to scale up efforts by aligning transnational activities with national priorities. The case of Colombia serves as a potential zero-deforestation model for other nations, but challenges around equitable land tenure, illegality, and enforcement must be overcome for multi-stakeholder initiatives to produce long-term change.     

Climate governance,justice, and transnational civil society

Justice dilemmas associated with climate change and the regulatory responses to it pose challenges for global governance, arguably hampering progress and raising concerns over efficacy and relevance. Scholarly literature suggests that transnational civil society groups can help address problems of governance and injustice that cross borders and pit states against each other. Findings of a comparative, qualitative study of climate justice advocacy suggest, however, that civil society groups' work in the US and EU is significantly shaped by institutional factors specific to those regimes, limiting advocates' broader impact. Moreover, political opportunities for the pursuit of climate action, and justice particularly, have diminished in those settings. By contrast, the United Nations Framework Convention on Climate Change (UNFCCC) provides greater opportunities for discussions of justice, although civil society actors are significantly constrained within it. It is argued that greater roles for civil society in the UNFCCC could prove constructive in the face of current challenges connected with justice issues. Three themes in civil society advocacy linking principles of global justice with current climate policy debates are summarized. Finally, it is suggested that the first iteration of the UNFCCC Periodic Review provides timely opportunities to more fully draw upon civil society's potential contributions toward a fair and effective global climate regime.

Policy relevance

The roles of civil society organizations in climate governance were examined in three policy contexts: the UNFCCC, the US, and the EU, with special attention to advocacy addressing issues of equity and justice, identified as key challenges for a post-2012 global agreement. Findings suggest that (1) civil society roles are significantly constrained in each context, and (2) political opportunities for climate advocacy have diminished since 2009 in the US and EU, underlining (3) the continued salience of the UNFCCC as a forum for engagement and the construction of effective and equitable climate policy. Potential exists for increased civil society involvement at the UNFCCC to help resolve obstacles based in divergent national priorities. Three areas of justice-focused civil society activity are reviewed for current negotiation topics and the governance structure of the institution. The current UNFCCC Periodic Review is identified as an opportunity to increase civil society involvement.     

Experimentalist governance in climate finance: the case of REDD+ in Brazil

One of the most significant impacts of the United Nations Framework Convention on Climate Change (UNFCCC) has been the establishment of a participatory process for Reducing Emissions from Deforestation and Forest Degradation (REDD+). We analyse the case of Brazil, the country whose land-use emissions from deforestation and forest degradation have declined the most. Through semi-structured interviews with 29 country policy experts – analysed in full text around 7 categories of activities that existing literature identifies as central elements of an effective governance system – we find weak links between the international REDD+ system and what actually happens on the ground inside Brazil. The greatest weaknesses are rooted in the absence of any formal learning system, which prevents higher-level efforts from obtaining useful feedback from lower-level entities responsible for implementation. Analytically our approach is rooted in the idea of ‘experimentalist governance’ in which local policy experiments map the space of what is possible and effective with transformative land policy. These experiments provide information to broader international initiatives on how local implementation shapes the ability and strategy to reach global goals. The Brazilian experience suggests that even when international funding is substantial, local implementation remains a weak link. REDD+ reforms should focus less on the total amount of money being spent and much more on how those funds are used to generate useful local policy experiments and learning.

Key policy insights

• A nascent system of experimentalist governance to implement REDD+ is taking shape in Brazil. However, the potential for experimentalism to improve policy reforms within Brazil is far from realized;

• Experimentalist problem-solving approaches could have a big impact on REDD+ with stronger incentives to promote experimentation and learning from experience;

• Reforms to REDD+ incentive schemes should focus less on the total amount of money being spent and more on whether those funds are actually generating experimental learning and policy improvement – in Brazil and in other countries struggling with similar challenges.

     

减少发展中国家毁林及森林退化排放(REDD)的各方观点及对策建议

减少发展中国家毁林及森林退化的温室气体排放已成为《联合国气候变化框架公约》谈判的重要议题。从该公约的第十一次缔约方大会(COP11)以来,各缔约国就此议题提出了各自的观点,除在方法学等问题上存在争议外,在激励机制和毁林纳入清洁发展机制(CDM)与否上也存在分歧,巴西、中美洲及非洲的发展中国家希望通过基金的方式获得额外的资金和技术支持,而美国、澳大利亚和欧盟等发达国家却更倾向于CDM市场机制。结合中国森林管理方面的现状,分析了中国在此议题上可能受到的影响并提出了谈判的对策建议。     

REDD+ projects and national-level Readiness processes: a case study from Kenya

The Bali Action Plan and Cancun agreements on Reducing Emissions from Deforestation and forest Degradation, plus forest conservation, sustainable management of forests and enhancement of forest carbon stocks (REDD+) have encouraged demonstration activities as part of Readiness and a step towards national approaches. This has enabled important growth in pilot and demonstration projects. Yet an understanding about how these projects are connected and contribute to national-level technical, policy, and institutional preparedness (Readiness) for REDD+ is lacking. This article examines the linkages between national processes and the private-sector-driven Kasigau Corridor REDD+ project in Kenya. The study reveals interesting cross-scale interactions that have increased over time and have high potential for harnessing national-level processes through lessons from the project level. Key innovations from the Kasigau Corridor Project include the implementation of REDD+ in dry forests, operationalization of conservation easements in the context of REDD+, and demonstration of potential ways of obtaining upfront finance for REDD+. The study also provides a number of key recommendations for Kenya and REDD+ in general, including official endorsement of stand-alone REDD+ projects under national Readiness schemes and exploring jurisdictional and nested REDD+ approaches. Additionally, more accommodating national-level frameworks for attracting private-sector engagement and investments, and for integrating, scaling-out, or scaling-up lessons from such projects, would be needed to enhance national REDD+ Readiness.