Introdução ao conceito e prática de PSA Relevância para os negócios

Introdução ao conceito e prática de PSA Relevância para os negócios
Visão Geral Sobre a Forest Trends Introdução ao conceito e prática de PSA Relevância para os negócios Práticas nacionais e internacionais em PSA Interface dos serviços ambientais, mercados e mudanças climáticas na “Economia da Biomassa” Componentes essenciais para o desenho de projetos de PSA Potencial de iniciativas de REDD+ no Brasil Princípios e Critérios Socioambientais de REDD+ no Brasil Aplicação da Avaliação de Impacto Social em projetos de carbono florestal

Componentes Essenciais para o Desenho de Projetos de PSA
Condições ideais Demanda por serviços ecossistêmicos é clara e valorizável financeiramente por um ou mais atores Oferta está ameaçada Ações de manejo específicas tem o potencial de lidar com as limitações na oferta Negociadores (brokers) eficazes ou intermediários existem e podem auxiliar no processo Direito contratual existe e é aplicado Direito de propriedade do recurso está claro Critérios claros para avaliar ganhos equitativos entre os parceiros PES deals are most likely to flourish when and where: Demand for ecosystem services is clear and financially valuable to one or more players. PES are most likely to occur when there is at least one beneficiary of ecosystem services with both an incentive to invest in the maintenance of this service and available funds for doing so. Supply is threatened. If resources are clearly diminishing to the point of scarcity because of a declining ecosystem service, then a PES deal holds potential. Specific resource management actions have the potential to address supply constraints. For PES to be a viable option, it is essential to identify what resource management practices could be changed and what ecosystem services results will ensure improvement of ‘supply’ issues. Effective brokers or intermediaries exist who can assist with documenting ecosystem service conditions, identifying specific resource management alternatives, aggregating multiple landowners/resource users (if needed), engaging and negotiating with prospective buyers, and any other activities related to implementation (including monitoring, certification, verification, etc.). Contract laws not only exist but are enforced, and resource tenure is clear. The supplier must have control over the area where the PES agreement is to be implemented, and the buyer must have assurance, and recourse to ensure, that contract provisions of the deal are secure. Clear criteria for evaluating equitable outcomes across partners are established. In the case where partnerships are formed to supply the ecosystem service, clear criteria of fairness need to be designed and agreed by all parties to the transaction. 3

Desenvolver um projeto de PSA: passo a passo
Componentes Essenciais para o Desenho de Projetos de PSA Desenvolver um projeto de PSA: passo a passo Passo 1: Identificar as perspectivas, valorização e potenciais compradores de serviços ecossistêmicos Passo 2: Avaliar a capacidade técnica e institucional Passo 3: Estruturar acordos Passo 4: Implementar acordos de PSA Overall, the development of PES will be shaped by the context in which it is emerging. Within this context, proactive efforts will be needed to meet the needs of low-income ecosystem service sellers and users. On a discrete PES deal-basis, honest brokers can play an important role, however, if PES is to develop on an ecologically and economically significant scale, then a robust set of private, public, and nonprofit institutions must be established to meet and adapt to market needs. 4

Passo 1: Identificar as perspectivas, valorização e potenciais compradores de serviços ecossistêmicos Definir, medir e avaliar os serviços ecossistêmicos numa determinada área Determinada o valor passível de apropriação pelo mercado e indentificar compradores em potencial Determinar se a venda será para um indivíduo ou um grupo Determinar que práticas de manejo do uso da terra resultarão nos resultados ecológicos desejados, idealmente dentro do maior grau possível de certeza científica By answering the following key questions, you will spell out what ecosystem service is for sale, who the potential buyers are, and how the ecosystem service can be restored and maintained. A successful sale begins with answering the question, “What are you offering a buyer?” The major types of ecosystem services that have been sold to date include: Biodiversity protection Wetlands and watershed conservation Climate regulation and carbon sequestration Marine conservation Any or all of these services could be the focus of PES deals, and bundling several types of ecosystem services together in one project can maximize income and diversify risk. 5 5 5

Questões-chave (I) Qual é a qualidade e o estado atual dos serviços ecossistêmicos que possam vira a ser o foco de um acordo de PSA? Como se verifica isto? (Estudos ecológicos? Relatos da comunidade? Outras fontes?) Podem esses serviços ecossistêmicos ser incrementados ou mantidos ao longo do tempo para permitir o fluxo? Como? Com boas práticas? Ao longo de que horizonte de tempo? Quais dados embasam essas assertivas? Qual o valor? Qual deveria ser o preço? Há arranjos comparáveis? Saleable ecosystem services can be identified by focusing on: Specific ecosystem services that can be enhanced through particular changes in natural resource management actions (such as sequestering carbon through no-till agriculture, reducing sedimentation in rivers naturally through re-foresting hillsides, etc.). For example, a landowner may ascertain that buyers exist for improved water quality, which could be the focus of PES deals that include a combination of conservation easements, payments for riparian buffers, and/or payments improved livestock management may be effective options. New natural resource management activities that are of interest to a landowner or community, and would produce ecosystem service benefits, but are too costly to adopt without external assistance. For example, a landowner looking to adopt agroforestry strategies for rural development may offer hydrological and/or carbon benefits. Either starting point may be valid, depending on the project context. The key is clearly matching management activities and ecosystem services outcomes. 6 6

Questões-chave (II) Quem são os potenciais compradores? Quem se beneficia desses serviços? Que empresas dependem desses serviços ecossistêmicos? Algum setor / empresa tem recebido cobertura negativa por parte da mídia recentemente devido às suas práticas ambientais? Ou entao, alguma empresa ou setor tem sido um líder em outras questões sociais? A quem pertence a terra de onde os serviços fluem? Indivíduos ou comunidades? Quem deveria ser pago? Quem vai implementar? 7 7

Definir serviços ecossistêmicos espacialmente
Componentes Essenciais para o Desenho de Projetos de PSA Definir serviços ecossistêmicos espacialmente Bacias Fontes principais de poluição controladas? Há gestão do fluxo de água ao longo da bacia? Principais tributários incluídos? Áreas alagadas chave incluídas? Habitat / Biodiversidade Áreas críticas de reprodução? Corredores contínuos Território adequado para as espécies? Água e alimento para a vida selvagem disponível o ano inteiro? There are various methods of measuring the benefits of ecosystem services that would be the focus of a PES deal, and it may be in the best interest of all parties to engage scientists and other experts, if only on a short-term contractual basis, to undertake measurements. A few of the key measurement issues for each type of ecosystem service are detailed on the following pages. The level of certainty (or uncertainty) that buyers are willing to accept is key, and should be assessed through similar PES deals so that prospective sellers know the level of detail to seek out in assessments as well as have a sense of potential price that will be paid. The questions and concerns related to certainty / uncertainty will vary from buyer to buyer, but could include issues such as: How certain are ecologists or experts that a particular set of natural resource management practices will result in a specific set of ecosystem service-related outcomes, such as planting trees on a certain hillside and avoiding erosion, or improving water quality, etc.? How certain is it that the desired ecosystem service outcomes will be achieved, given the potential for other unanticipated dynamics (natural or otherwise, such as climate change factors – including varying rainfall patterns, wildfires, insect infestations in forests, demographic trends, and land pressures, etc.)? What level of certainty does a buyer—particularly a private-sector buyer—need to have documented to show a comprehensive review of the issues (“due diligence”), specifically as a component of a buyer’s own risk management strategy for reputational issues, building the “business case” within their own company, or for other reasons? How certain is the buyer that the sellers will fully implement the deal agreement? What level of monitoring and verification should a buyer require? By considering these questions and looking at other PES deals – ideally in you province or at least your country or region – you will gain a sense of the level of detail that buyers of ecosystem services may expect. 8 8

Termos-chave: Desenho de Projeto de PSA
Documento de Desenho de Projeto (PDD): É um documento que detalha toda a estrutura do projeto como a área do projeto, quantidade de carbono estocada, projeção de redução das emissões de carbono, repartição de benefícios, entre outros. Linha de base: Corresponde ao que aconteceria sem a realização do projeto. Neste cenário sem a implementação do projeto pode ser calculado o quanto de emissões de gases de efeito estufa, por exemplo, seria lançado para a atmosfera. Assim, a linha de base serve como um parâmetro de comparação para dizer o quão eficiente o projeto é em diminuir o desmatamento nesta área. Desta forma, para que o projeto seja bem sucedido, ele tem que necessariamente possuir uma emissão de gases de efeito estufa abaixo da linha de base.

Adicionalidade: É a certeza de que o benefício do projeto (seja redução das emissões, água mais limpa, conservação da biodiversidade) só vai acontecer se o projeto for realmente implementado. Assim, segundo este raciocínio a ausência do projeto deveria consequentemente resultar na perda do serviço.

Permanência: É preciso que se estabeleça o tempo de duração do projeto. Este tempo pode variar muito de acordo com a abordagem que está sendo utilizada no projeto, mas a idéia é de que quanto maior o tempo de permanência, mais efetivo o projeto será a largo prazo. Vazamento ou fugas: São perdas (emissões) de carbono devido ao desmatamento em uma área fora da área do projeto e que são consequências diretas ou indiretas da implementação do projeto. Por exemplo, se a implementação de um projeto de REDD num determinado local leva os criadores de gado derrubar uma outra área de floresta, isso pode ser chamado de vazamento. Isto porque no final o projeto em questão não contribuiu para uma redução do desmatamento e da emissão de gás carbônico, ele apenas transferiu o desmatamento de lugar.

Certificação: Para dar mais credibilidade ao projeto é importante que ele seja certificado. O processo de certificação, nada mais é do que a declaração de uma empresa externa que diga que o projeto elaborado é verdadeiro e de excelente qualidade e que cumpre com a proposta descrita no PDD. Estándares: Para um projeto de carbono chegar à certificação, o projeto deve adequar-se com alguns princípios e critérios. Até o momento, os mais utilizados são os Estándares de Carbono Voluntário (VCS) e os Estándares de Clima, Comunidades e Biodiversidade (CCB).

Recursos para a medição de serviços ecossistêmicos
Componentes Essenciais para o Desenho de Projetos de PSA Recursos para a medição de serviços ecossistêmicos Informação geral Katoomba Group Ecosystem Marketplace.com Carbono Center for Capacity Building Plan Vivo de “The Edinburgh Centre for Carbon Management” EcoSecurities Água NutrientNet do World Resources Institute The Natural Capital Project—um consórcio da Universidade de Stanford, World Wildlife Fund e The Nature Conservancy Biodiversidade Programa Negócios e Compensação para a Biodiversidade—um programa conjunto da Forest Trends e Conservation International 13

Buyers Compradores e motivações
Componentes Essenciais para o Desenho de Projetos de PSA Compradores e motivações Buyers COMPRADOR MOTIVAÇÕES Empresa privada Cumprimento de legislação Redução dos custos de operação e manutenção por meio de investimento em serviços ecossistêmicos Proteção contra riscos (relacionados com a oferta de recursos naturais que são insumos essenciais, potencial legislação futura etc). Aumento da confiança do investidor ao lidar proativamente com questões ambientais Incremento e melhoria da imagem perante o público Manutenção de licença de operação ao investir no relacionamento com comunidades, ONGs e reguladores Intermediário Privado Simplificação da cadeia de fornecedores para compradores Auferir lucros Governo Implementação de política internacional Adesão a regulamentos nacionais para proteção do meio ambiente Investimento na oferta de recursos naturais no longo prazo Resposta à pressão pública Prevenção de eventos ambientais cataclísmicos (como enchentes decorrentes de degradação) Reduçaõ de custos (investimento e sistemas naturais de filtragem em vez de usina de tratamento de resíduos) Agência doadora Agir em missão ambiental ou de desenvolvimento Aumentar as fontes de receita para conservação ONGs Reduzir a pegada ambiental da organização Indivíduos Agir diante de preocupações ambientais e sociais (comprando compensações para reduzir pegadas individuais) Investir em novos negócios (setor imobiliário etc) 14

Compradores Carbono Setores respeitando a legislação sobre carbono (compensações de emissões) Empresas, grupos fortalecendo reputação por meio de manutenção do espaço natural Agências, municípios buscando reduzir poluição por fumaça Consumidores compensando emissões pessoais Água Usuários de água industriais e agrícolas – para assegurar oferta estável, fluxo Companhias municipais de água, consumidores (reduzir custos e melhorar qualidade da água) Agências administrando riscos ambientais (por exemplo, inundações) Biodiversidade Organizações de conservação trabalhando em terras privadas Indústria turística, para proteção das espécies e da paisagem Empreendedores (compensações por danos ou por valor recreativo Indústria alimentícia, compradores de alimentos buscando certificação ecológica Fazendeiros (para proteger polinização, fontes de produtos selvagens) Determining the most promising type of buyer is a prominent issue. A preliminary assessment should be based on the level of activities and engagement of the various players — including private companies, private intermediaries, government agencies, donor agencies, NGOs, and individuals — in a particular area. At this point, potential sellers of ecosystem services should begin to ‘brainstorm’ or generate lists of prospective buyers. To begin the process, you can ask questions such as: Who are the largest employers in the province, country, or even the region? Who relies on ecosystem services from a prospective PES deal site in a significant way through: Using significant resources (e.g., downstream water users)? Owning large landholdings and affecting habitat / biodiversity on these lands? Emitting greenhouse gases and carbon dioxide? Illustrative List of Business Sectors with Potential Ecosystem Service Buyers Oil & Gas Utilities -- Energy such as dams Utilities -- Wastewater Treatment/Water Facilities Mining Food & Agriculture Transportation Forestry/Pulp & Paper Retailers Municipalities and governments 15

Desenvolver um “pedido” claro para um comprador definido Seja capaz de responder: Qual o objetivo dos serviços ecossistêmicos? Como este objetivo será alcançado? Com que práticas de manejo de recursos naturais? Por que acreditamos que essas práticas levarão a resultados ecológicos específicos? Que nível e compreensão científica nós termos da dinâmica? Como a mensuração dos serviços ecossistêmicos será feita tanto no estado da linha de base como ao longo do tempo? Quem efetuará essas mensurações? 16 16

Precificação O preço de um serviço ecossistêmico é determinado, em última instância, pela quantia que o comprador está disposto a pagar e o valor que o vendedor está disposto a receber A disposição pode ser: regulada em mercados formais de serviços ambientais, ou negociada em esquemas de pagamento voluntários In sum, as sellers begins to think about negotiating a price for a PES deal, they must make sure that the following are factored into the offering price: costs for complying with the agreed-upon land management practices over time impact on the seller’s earnings, in present value terms, in terms of changing land management practices to comply with agreement terms administrative costs under the expected PES transaction over time. In negotiating, sellers must never forget that payment is contingent on delivery – and delivery is contingent on structuring a realistic deal. If the market price offered does not cover the costs of the land management that will be provided, the deal is not realistic. Therefore, it is essential to ensure clarity and agreement on measurable indicators of compliance with the PES deal as well as agreement on how risks of unavoidable non-compliance with the deal —such as through insect infestations, shifts in rainfall patterns, wildfires, etc.—will be shared between buyers and sellers. The price for an ecosystem service is ultimately determined by what the buyer is willing to pay and what the seller is willing to accept and deliver. In regulated markets, this ‘willingness to pay’ is often mandated, while in voluntary PES deals it is negotiated. Negotiations can include a range of reasons for setting a price, such as… (next slide) 17 17

Fatores na valorização dos serviços ecossistêmicos Valor econômico Valor financeiro Custo relativo das alternativas Preço de mercado ou da transação Precificação em esquemas similares Economic value or the quantification of economic benefits of the services from a societal point of view (both direct and indirect), Financial value which is a combination of: the actual private financial benefits to specific actor(s) that can be estimated based on the costs of replacing an ecosystem service if it were damaged or not available the costs to the landowner of making needed resource management changes, such as costs of planting trees the costs of developing the transaction, including creating baseline documentation of current ecosystem services status, developing a plan for changing practices to improve ecosystem service flows over time, etc. Relative costs of alternatives such as the cost of building a water treatment plant versus investing in natural ecosystem service-based filtration, Market or transaction price which is partly a reflection of perceived risks and uncertainty as well as bargaining power or the existence of co-benefits, and Pricing of similar deals. Many factors determine the price that buyers are willing to pay for an ecosystem service, as well as the price at which a seller is willing to deliver the same service. The degree of competition in both supply and demand is, of course, key. Buyers will tend to seek the lowest-cost suppliers of services, though there is growing interest in—and a premium placed on—the ‘co-benefits’ from some PES deals, such as conservation of habitat, poverty alleviation, and other factors. That is, there are a growing number of buyers who are looking for deals that have proven benefits to the surrounding community or that have been endorsed by a credible NGO, thereby reducing the risk that the transaction will be labeled ‘greenwash.’ In these cases, while cost is important, it is secondary to the ‘quality’ of the product or even the ‘story’ associated with the PES deal. In most current deals and markets for ecosystem services, potential supply is likely to outstrip market demand, suggesting that prices will typically be fairly low. A case in point is carbon: the market value (i.e. the price paid for a CO2 credit) varies depending on whether one is selling into the US market, where compliance is almost always voluntary, or into the European Union market, which is driven by a need to comply with the Kyoto Protocol. This price is determined by the interaction of supply—and the marginal cost of providing an offset and bringing it to market—and demand, which includes the marginal cost of reducing emissions to meet mandatory caps or the perceived public relations benefit of buying voluntary offsets. 18 18

Identificação dos Fornecedores/Vendedores
Componentes Essenciais para o Desenho de Projetos de PSA Identificação dos Fornecedores/Vendedores Desenvolvedores de projetos que identificam e desenvolvem projetos de redução de emissões de GEEs e podem vir a vender os créditos para agregadores, varejistas ou para o consumidor final. Atacadistas que servem de intermediários vendendo compensações em lotes ou que possuem a propriedade de uma carteira de créditos. Varejistas que agem como intermediários que vendem pequenas quantidades de créditos para indivíduos ou organizações, geralmente online, e detém a propriedade de uma carteira de créditos. Negociadores (Brokers) que não possuem créditos, mas facilitam as transações entre vendedores e compradores É essencial ter clareza sobre: Quem vai implementar os termos do acordo no local? Quem vai monitorar, certificar e verificar? Quem recebe as receitas e como elas são distribuídas? Sellers of ecosystem services can be either individual landowners or organized groups, such as a community association selling services on either communally-held land or on land parcels to which community members have individual rights. Each has its advantages and disadvantages. For example, you will probably find it easy to determine who implements the agreement and other such details for individual sellers, while a group effort can lead to conflicting concerns among other resource users and landowners. You may be able to minimize this by working with an aggregator, who in turn forms one-on-one agreements with multiple parties. The key is to understand that there are multiple ways to engage and to think through what an individual or a group of sellers may prefer. If brokers or aggregators are involved, you should make sure that all sellers have a voice in all aspects of PES negotiation. Easements, concessions, long-term land leases and management contracts may lock landowners and resource users into particular management commitments for long periods of time, depending on the term of the agreement. If these commitments forbid sellers from engaging in other activities, sellers may find their hands tied when it comes to responding to new economic opportunities and threats. For example, as prices change over time, payments for ecosystem services and income from new management systems may no longer cover opportunity costs. Therefore, it is essential to think through all of these issues, and prepare from the very beginning. In addition, it is imperative to negotiate sections of the contract that would enable the sellers to re-negotiate terms in the event of specific circumstances (such as costs of implementation / inputs needed rising far above current rates).

Passo 2: Avaliar a capacidade institucional e técnica
Componentes Essenciais para o Desenho de Projetos de PSA Passo 2: Avaliar a capacidade institucional e técnica Avaliar contexto jurídico, político e situação fundiária Examinar as regras existentes para mercados e acordos de PSA Levantar serviços e organizações de apoio a PSA disponíveis Assess legal, policy, and land ownership context Before designing and implementing a PES scheme, take careful stock of the context in which it will take place. Make sure that laws, practices and institutions in a potential PES deal site support, or at least do not obstruct, the development of these payment schemes. If government policies or even agencies are engaged in ecosystem service issues (most likely related to greenhouse gases or water), these may serve as important sources of information and expertise as you develop a PES deal. If people in rural communities do not have legal and practical access to an ecosystem service, a buyer will likely find the risks of forging a PES deal too great. If clarity on tenure or use rights does exist, however, then so does a critical element of the context in which PES can develop. It is also essential to consider who owns the legal rights to ecosystem services and profit derived from their sale. In some cases, it may be the state and not the local landowner who is looking to sell the service. After assessing the legal and policy context at national, regional, and municipal levels of government, it is time to assess local land tenure and use rights. What are the rules of the environmental market or the parameters of similar PES deals? Rules for ecosystem service markets vary depending on the service and regulatory or voluntary market in question. The rules may refer to the regulations of a cap-and-trade market, or to the guidelines for public payments. Alternatively, rules may refer to the terms set by private buyers or sellers in specific transactions. These rules depend on what type of payment for ecosystem service is being pursued. The bottom line is that specific rules for markets and trading exist, with varying degrees of complexity and formality in their establishment and protocols for making changes. It is essential to understand which rules are defined and which are not before you begin structuring a deal. Survey Available PES Support Services and Organizations People engaged in developing PES deals must familiarize themselves with the overall legal, policy and land tenure context as it relates to the deal. In many countries, there are still significant gaps in government policy and regulation around transactions for ecosystem service payments. Getting feedback from other organizations and entities in your region that have gone through the process themselves and learned the permitting and legal requirements are a good source of guidance. 20 20 20 20

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Questões-chave (I) Vendedores potenciais de serviços ecossistêmicos possuem direitos sobre a terra que é o foco do potencial esquema de PSA? Há outros usuários dessas terras? O ato de manejar a terra para prover o serviço ecossistêmico inserido no mercado dimimuirá a capacidade do ecossistema prover outros serviços? Se sim, quem depende desses outros serviços, e como os direitos deles ao serviço serão afetados? As organizações locais possuem experiência em gestão de projeto e assistência técnica na área do projeto? Se não, quem proverá estes serviços? . 22

Questões-chave (II) Os representantes das comunidades foram escolhidos e autorizados a negociar com terceiros? Como garantias serão estabelecidas de que os investimentos atingirão os objetivos comunitários? Os processos participatórios formam a base das decisões, e há adesão adequada? Há maneiras para que a população local, incluindo mulheres, possa participar apropriadamente em cada nível do projeto (incluindo desenho, implementação e monitoramento)? 23

Áreas de especialização necessárias Conhecimento científico e técnico medindo e documentando os serviços ecossistêmicos e também para elaboração de planos abrangentes de manejo da terra Habilidades de negociação e experiência contratual asseguram que o comprador e o vendedor possam concordar em todos os termos do contrato Expertise em implementação, monitoramento e verificação Implementation, monitoring and verification expertise Conhecimento jurídico determina quem detém direitos sobre os serviços ecossistêmicos e os lucros deles derivados, se comunidades podem legalmente participar de PSA, oferecer sugestões no desenho do contrato e das cláusulas etc. institutions may be a cost-effective – and perhaps unavoidable – investment. A range of institutions – established by public, private, or NGO players – now exist to support or reduce transaction costs and connect buyers with sellers. These services may add transaction costs, but without them, there may be no deal. At their best, these groups not only provide the validation demanded by many buyers, but also move the process along. Some intermediary groups with expertise in community organization, for example, may be selected to take responsibility for local project management, as well as mediation between investors and local people. Local institutions that have the business skills to negotiate private deals and the capacity to handle complex organizational arrangements can facilitate market development and maximize participation by local groups, including the rural poor and indigenous groups. Where highly specialized expertise is needed for limited time periods—such as designing ecosystem monitoring methods, or developing service contracts—specialized companies, public agencies or experienced NGOs can provide business and technical support services. When selecting support institutions, it is essential to compare the costs of “hiring in” expertise with the risks of going it alone or without adequate support. It is also wise to check references and the track record of the organization with which a partnership is being explored. Also, keep in mind the variety of arrangements that offer partners a stake in the success of the project. Note, also, that some organizations work on a pro-bono / free basis. Ultimately, all legal and technical responsibilities will remain with the community or seller of the ecosystem service. Therefore, it is critical that any support institutions which sellers and communities engage also transfer the required expertise to the community members. 24

Passo 3: Estruturação do acordo de PSA Desenhar planos de gestão e de negócios Reduzir os custos de transação Analizar as opções de tipos de pagamento Estabelecer a equidade, justiça e distribuição de benefícios líquidos decorrentes do PSA Escolher um tipo de contrato The process of structuring agreements can be time-consuming, and external experts and advisors can help both save time and ensure that the agreements are entered into knowledgably on all sides. It is advisable to begin with a “Term Sheet” where the basic elements of the project are stated and agreed upon by the parties. This term sheet can then be used as a negotiation and discussion tool to help parties clarify the specifics to be included in a contract. Before entering into negotiation with a prospective buyer – and even before identifying support institutions and partners – a prospective seller or group of sellers should assess: projected costs that may be incurred during implementation of the deal projected revenues intangible benefits (such as training, technical assistance, etc.) potential risks and responses. 25 25 25 25

Bases do acordo Quem é responsável por quais ações? Que resultados de serviços ecossistêmicos são esperados? Como os resultados serão demonstrados? Quem vai ser responsável por monitorar, avaliar, verificar e certificar os resultados? Quem vai receber que quantia de dinheiro em que horizonte de tempo? Que critérios serão usados para avaliar a justiça do esquema de PSA? Since some PES agreements can last for decades, business plans must include provisions for how to transfer management over time and to adapt the project to the results of monitoring and periodic verification. Prospective sellers must be clear on the implications of failure to meet the terms of the agreement, either because of their own inaction or due to unanticipated events beyond their control. All responses to potential risks must be clear and discussed with buyers. Private sector buyers engaging for Corporate Social Responsibility (CSR) will likely want to use the transaction for bolstering their reputation. Thus, sellers should be clear on how the company is allowed to transmit its message about the PES deal to the world at large, and what that message will be. Among the issues that need to be addressed ahead of time: whether the buyer will be permitted to use the seller’s name (or organization's name) in descriptive literature, whether or not the seller wishes to engage with the media, and other such factors. Once a prospective seller begins discussions with a potential buyer, both parties will need a preliminary listing of the management activities required. This list of activities provides the basis for discussing whether environmental objectives can be met throughout the duration of the potential contract period – with the caveat that the PES management plan should be adaptable with new information over the lifetime of the project. (See box on “Inclusion of Adaptive Management in PES Agreements.”) Sellers should reference the plan on a regular basis to ensure proper implementation. Developing project management goals, objectives, and monitoring indicators should be ‘SMART’: Specific Measurable Agreed-Upon Realistic Time-Constrained 26 26

Inclusão da gestão adaptativa em acordos de PSA Devido à natureza dinâmica dos sistemas ecológicos, é essencial incluir princípios e linguagem de gestão adaptativa em acordos de PSA Desenvolvimento de metas e objetivos de gestão e indicadores de monitoramento deveriam ser ‘SMART’: Específico (Specific) Mensurável (Measurable) Com concordância recíproca (Agreed-upon) Realista (Realistic) Limitadas no tempo (Time-Constrained) ADAPTIVE MANAGEMENT Projects are assessed throughout and findings about what works and what does not work are incorporated into revisions of the activities and work plans. Resource management is a complex domain in which assessment and mid-course corrections are the norm, not the exception. This approach will ensure that both buyers and sellers are focused on improving ecosystem services and making adjustments to improve program effectiveness.

Questões importantes para vendedores
Componentes Essenciais para o Desenho de Projetos de PSA Questões importantes para vendedores Que custos podem vir a ser incorridos durante a implementação do esquema? Esses custos estão embutidos no acordo e/ou nos benefícios financeiros que os vendedores irão perceber? Quais são as receitas projetadas para os vendedores? Quando e como essas receitas serão entregues? Quais, se algum, benefícios intangíveis os vendedores irão obter (como treinamento, assistência técnica etc)? Esses benefícios são suficientemente importantes para permitir uma recompensa monetária menor? Quais os potenciais riscos para vendedores e caminhos para mitigar riscos? 28 28

Custos de transação “Custos de transação” incluem todo o tempo e dinheiro despendidos para desenvolver e implementar um esquema de PSA. O tempo é facilmente relevado – Estes custos incluem o tempo necessário para: avaliar quais serviços ecossistêmicos poderiam ser o foco de um esquema de PSA, compará-los com outros esquemas, levantar potenciais compradores negociar um acordo, implementar o acordo, e monitorar e, se necessário, verificar que o acordo está sendo cumprido. At one extreme, and in cases where communities and land managers have little prior organizational expertise, start-up and transaction costs can absorb a significant portion of the seller’s hoped for profit. This situation is why it is critical to estimate and review transaction costs throughout the process – a costly activity in its own right, and one made difficult by the fact that all costs will vary not only from project to project, but also throughout the lifecycle of many individual projects. If the costs are too great, the PES deal developers should explore ways of covering them, or even adjust or halt the process to address expenditures. In some cases, transaction costs may be so high that a PES deal is not possible in that area.

Como reduzir custos Agregar projtos Construir sobre programas já existentes “Empacotar” pagamentos por serviços ambientais Criar mecanismos de partilha dos custos Criar serviços especializados de organizações intermediárias Estabelecer instituições de gestão intermediárias Reduzir custos com dados Estabelecer projetos de larga escala, regionais Estabelecer um fundo fiduciário Aggregate projects Streamline sales and negotiations among multiple process and funding mechanisms Build on existing programs Diagnose local needs, priorities and PES opportunities Strengthen community organization and local knowledge related to a PES project “Bundle” environmental service payments Link to local or national water and/or conservation projects, Develop multiple payments for different activities on the same piece of land. Create cost-sharing mechanisms Specialized firms or agencies for community-based projects can solicit contribution from: national or state agencies overseas NGOs (developmental or environmental) private-sector companies municipal utilities local communities Create specialized services from intermediary organizations Specialized firms or agencies for community-based projects can: provide technical expertise in project design, support central negotiations, establish mechanisms for financial transfer, and verify PES actions. Establish intermediary management institutions Draw up and register farmers’ plans related to PES, Assesses plans for ecosystem service contributions, Develop ecosystem service agreements between buyers and sellers, Provide technical assistance, Monitor project Reduce data costs Improve data and methods for project planning, baseline development and monitoring Establish large-scale, area-wide projects Develop project over entire jurisdiction, committing to defined increase in forest cover or area protected Partner with other small providers to share transaction costs of project development Set up a Trust Fund Serve as central repository of funds, decision making body, multiple stakeholder entity where conflicts can be resolved preemptively,

Opções para tipos de pagamentos
Componentes Essenciais para o Desenho de Projetos de PSA Opções para tipos de pagamentos Pagamentos financeiros diretos Apoio financeiro para metas comunitárias específicas Pagamentos em espécie Reconhecimento de direitos Pagamento-por-árvore Estabelecimento e proteção de floresta Manejo da terra lucrativo e sustentável Provisão de serviços Whatever payment mechanism is selected, all stakeholders must agree to it in the early stages of project design. Choosing the appropriate payment types will ensure more durable transactions between buyers and sellers. Similarly, in the case of community-owned resources, payments for services from communally-managed lands have the potential to be more long-lasting if they are managed transparently and in a way that is appropriate to the local circumstances, where local people affected are pleased with the outcomes over time. Direct financial payments, usually compensation for opportunity costs or loss of livelihood incurred by ecosystem service protection, such as the conversion of managed farmland to natural forest Financial support for specific community goals, such as building of a school or clinic to remunerate for ecosystem services In-kind payments, such as the beehive-for-conservation payment transaction that Fundación Natura is making in Bolivia (For details, please see box on “Bees and Barbed Wire for Water in Los Negros, Bolivia”) Recognition of rights, such as increased land rights and increased participation in decision-making processes. ‘Pay per tree’ Rewarding individual tree growers for carbon sequestered and capacity for future carbon sequestration on a per tree basis. ‘Pay for forest establishment or forest protection’ Compensating community forest management organizations to protect or regenerate forest areas, or establish plantations. The community organization is then given financial benefits to distribute among members. ‘Enable more profitable and sustainable land management’ Funding extension services, tree nurseries, marketing infrastructure, community-based forest enterprises, and other such support services for individual producers (or forest protectors) who will then gain financially by participating in new land-use activities or sharing income from forest protection. ‘Pay communities with improved services’ Providing services, such as health clinics, education, or enhanced rights to resources (land, forest, grass, and water) that improve household or community welfare.

Contratos Memorando de Entendimento ou Memorando de Acordo Contrato Acordos baseados em direito consuetudinário (costumeiro) Acordos “de aperto de mão” Acordo baseado em contrapartidas (Quid-pro-quo) It is possible to enter into both verbal and written contracts, each of which has its advantages and disadvantages. Written contracts can be costly and more time-consuming, but they leave little room for misunderstanding and they create a record which can be referenced at any time. Verbal contracts, however, can be misinterpreted by either party which damages the trust between buyer and seller. A simple contract written in the local language with the help of a local lawyer can be a low cost solution which allows both buyer and seller complete understanding of the transaction. It is critical to keep the agreements realistic – for they are of no use if they cannot be fulfilled. Frustration and mistrust can destroy even the most well-intentioned project. This does not mean one should not strive to be bold, enthusiastic and proactive; just that potential limitations must be well-understood. While contracts can be amended if both parties agree, long-term contracts should specify dates when the contract will be reviewed and potentially amended. Contract adjustments can be administratively difficult, so adjustments to existing contract terms are only practical every two to five years. New contracts, however, should incorporate best available knowledge that improves ecosystem services while still attracting willing sellers. When buyers have specific concerns about project performance, contracts can include verification procedures to assess performance. For example, contracts can include a rating system that is the basis for increasing payments for outstanding performance and decreasing payments for underperformance.

Elementos-chave de um acordo
Componentes Essenciais para o Desenho de Projetos de PSA Elementos-chave de um acordo Termos e tipos dos pagamentos Tempo dos pagamentos Requisitos a serem preenchidos para pagamento Riscos gerenciais Partes do contrato Terms and type of payment specifying when, how much, how often, to whom, and other details, such as: cash to one person, to a community group, to a vendor of a community service (e.g., builders of a school) as well as whether the payment is in the form of cash, in-kind technical assistance, in-kind materials for building a community building, etc. Timing of payments in terms of when the ecosystem service activities are carried out by the seller, when the buyer ensures that monitoring of the action occurs, or a combination of both. Requirements that need to be met for payment, such as periodic monitoring, reporting and verification needs. Managing risks, particularly those beyond a seller’s control (such as unexpected natural events) through specific clauses in agreements detailing how certain risks are shared between sellers and buyers, or even insurance (provided it is available, cost-effective and feasible Signatories to the contract should be directly affiliated with the buyer (or group of buyers) and the seller, though it may be useful to have provisions for specific roles of support institutions, as well as details on the exact payment that will be made for services rendered by the intermediary.

Elementos comuns de um contrato de PSA Datas importantes de início e de fim Detalhes, endereços e responsabilidades de partes interessadas essenciais Detalhe da área física sobre a qual o contrato produzirá efeitos Descrição dos direitos de cada parte no contrato de PSA Definição e atribuição clara de ações que deverão ser acordadas entre as partes Aceitação das regras do mercado (adicionalidade / vazamento) Termos do pagamento Necessidades de monitoramento e verificação Papel permitido a terceiros Ações a serem tomadas em circunstâncias imprevistas Regras de modificação e adaptação do contrato Razões aceitáveis para anular o contrato Horizonte de tempo do contrato Como riscos de perdas inevitáveis (como as relacionadas com eventos naturais) serão gerenciadas e como este risco será partilhado entre comprador e vendedor(es) Assinatura de cada parte (legalmente em posição para isto) What are the key elements of PES contracts / agreements? PES agreements should clearly lay out: who will pay transaction costs as well as ongoing management and monitoring costs who is responsible for what actions what ecosystem service results are expected how results will be demonstrated and who will be responsible for monitoring, evaluating, verifying, and certifying them who will receive what amount of money in what specified time frame which criteria will be used to evaluate the fairness of the PES deal how risks (particularly around unexpected natural events) will be handled and even shared between buyers and sellers

Passo 4: Implementar um acordo de PSA
Componentes Essenciais para o Desenho de Projetos de PSA Passo 4: Implementar um acordo de PSA Finalizar o plano de manejo de PSA Implementar atividades Verificar a entrega de serviços e benefícios relacionados com o PSA Monitorar e avaliar o esquema After an agreement has been made, it’s time to implement the PES deal. During this stage, the project must not only be managed effectively, but also consistently monitored and evaluated for service delivery and adequate distribution of benefits in accordance with the parameters laid out in the agreement. Third-party verification (and in some cases certification, depending on the buyers’ preferences) may also be required to ensure that the project is meeting its objectives. Attention now shifts to implementing the agreement, monitoring progress, reporting results, and making changes if the desired results are not being realized. Remember, ecological systems are complex, and the best-laid plans of buyers, sellers, scientists and lawyers can go awry in the early stages. This reality is why we have continually stressed the importance of ‘adaptive management’. By planning from the outset to adapt to the results of monitoring and periodic verification, you will help ensure that a successful agreement can continue to be carried out over the duration of the agreement. 35 35 35 35

Ações essenciais Contratar pessoas preparadas e com desejo de assumir determinados papéis e responsabilidades Preparar sistemas de gestão de contas e de rastreamento para o projeto Abrir contas para gerenciar os recursos Treinar os membros da comunidade participantes nas atividades permitidas sobre a terra Assegurar reprsentação apropriada das partes interessadas – particularmente mulheres e membros de baixa renda – na elaboração de relatórios e na gestão de esquemas de PSA baseados em comunidades Detailed land management plans, laid out in the agreement, should be finalized; implementation of the activities described should begin. Key elements needed to ensure on-site project management success include: 36

Monitoramento e avaliação
Componentes Essenciais para o Desenho de Projetos de PSA Monitoramento e avaliação Determinação de quem seleciona os indicadores e de quem reportará a quem Seleção de indicadores relevantes para o projeto de PSA mensuráveis resposta a mudanças no meio ambiente compatibilidade com o restante do mecanismo de monitoramento e avaliação respond to changes in the environment confiáveis Criação de um “Modelo Local de Processo Conceitual Ecossistema” que: esboce as relações de causa e efeito que ocorrem dentro do ecossistema Identifica que características específicas do ecossistema monitorar Escolha de locais de monitoramento, sendo a prática mais comum uma técnica de “amostragem estratificada aleatória” que possa: refletir a distribuição total dentro da área do projeto assegurar que os sítios de monitoramento estejam suficientemente espalhados What issues should be considered in monitoring and evaluating the deal? Implementation of an accurate monitoring and evaluation (M&E) plan will indicate whether or not the PES deal is meeting its objectives. It will also provide information as to how sellers can improve their management. It is essential to be clear on who undertakes M&E activities throughout the life of a PES agreement. The role can be undertaken by community members, an external / third party entity, the buyer (or a designated proxy of the buyer), a government agency, or another entity. The key is to be clear on where the responsibility for M&E lies. Monitoring sites should be permanent throughout the duration of the PES project so that reliable information on trends can be collected. A permanent-site approach also makes it is easier for independent verifiers to locate the appropriate sites. If possible, a control site should also be selected for monitoring to help gauge the impact of the PES project, often to demonstrate that the project is providing new / “additional” benefits to the current state of affairs. Although few implementing organizations will be willing to finance the monitoring of a control group, research organizations or public agencies with oversight mandates may be good partners for this activity. 37

custos totais do projeto Temporaneidade dos desembolsos financeiros
Componentes Essenciais para o Desenho de Projetos de PSA Monitoramento e avaliação Parâmetros de monitoramento e avaliação podem também incluir preocupações de partes interessadas, como: custos totais do projeto Temporaneidade dos desembolsos financeiros desempenho de vários serviços de apoio ou intermediários financeiros proteção de valores ecossistêmicos locais equidade na distribuição local dos benefícios do projeto de PSA benefícios específicos no âmbito doméstico e comunitário Finally, the M&E plan made at the outset of the project should also specify who will conduct the monitoring, how frequently and at which times, and using which methods, as well as who will pay for monitoring. Overall, M&E activities will identify what is being accomplished and how project management can be improved. The M&E results should be made available to buyers, intermediary institutions and the public to increase transparency and legitimacy.

Valor dos negociadores (brokers) honestos
Componentes Essenciais para o Desenho de Projetos de PSA Valor dos negociadores (brokers) honestos Ajudam vendedores a avaliar um produto de um serviço ecossistêmico e seu valor para potenciais compradores Assistem vendedores a estabelecer relacionamentos e contatos com potenciais compradores Permitem que vendedores possam conhecer potenciais compradores bem, assegurando que reuniões revelem detalhes importantes Asseguram que o acordo final esteja no melhor interesse do vendedor Provêem assessoria e mesmo serviços de gestão de risco Auxiliam com o desenvolvimento da proposta Negociam em nome da comunidade 39

“Analisem com calma. Não assinem se não entenderem completamente.”
- Chefe Oren Lyons, Conselheiro da Nação Onondaga perante o Conselho de Chefes das Seis Nações da Confederação Iroquesa 40 40 40 40

Visão Geral Sobre a Forest Trends Introdução ao conceito e prática de PSA Relevância para os negócios Práticas nacionais e internacionais em PSA Interface dos serviços ambientais, mercados e mudanças climáticas na “Economia da Biomassa” Componentes essenciais para o desenho de Projetos de PSA Potencial de iniciativas de REDD+ no Brasil Princípios e Critérios Socioambientais de REDD+ no Brasil Aplicação da Avaliação de Impacto Social em projetos de carbono florestal Mercados além do carbono: água, biodiversidade, ambiente marinho

Visão Geral Sobre a Forest Trends Introdução ao conceito e prática de PSA Relevância para os negócios Práticas nacionais e internacionais em PSA Interface dos serviços ambientais, mercados e mudanças climáticas na “Economia da Biomassa” Componentes essenciais para o desenho de Projetos de PSA Potencial de iniciativas de REDD+ no Brasil Princípios e Critérios Socioambientais de REDD+ no Brasil Aplicação da Avaliação de Impacto Social em projetos de carbono florestal Mercados além do carbono: água, biodiversidade, ambiente marinho 42

Desmatamento na Amazônia Legal
Though deforestation rates remain relatively low in some states and have been declining since 2004, there are still relatively high rates of deforestation in Para and Mato Grosso. In 2008, Mato Grosso was responsible for 23% of the deforestation in the Legal Amazon and Para for 47%. This leads to a strong case for using REDD(+) to lower deforestation rates - especially in these two states.

Potencial para iniciativas de REDD+ no Brasil
Principais fatores causadores do desmatamento: Expansão da agropecuária extensiva; Fragilidade dos órgãos do SISNAMA; Impunidade dos ilícitos ambientais; Terras públicas não destinadas, com ocorrência de grilagem; Fragilidade nos processos de averiguação de legitimidade de títulos; Atividades econômicas incipientes. Definidas linhas de ação para combatê-los: Fomento a atividades produtivas sustentáveis; Ordenamento fundiário e territorial; Monitoramento e controle ambiental.

Posição nacional Governo federal busca um mecanismo baseado em desempenho financiado por um fundo (não baseado em mercado) – criação do Fundo Amazônia Meta de redução de emissões de 38,9% a ser alcançada até 2020. The government realized that deforestation is a problem and decided to take steps to combat it. In 2005 during COP 11, Costa Rica and the Coalition for Rainforest Nations represented by the Government of Papua New Guinea presented RED as a new mechanism in the UNFCCC. This would function through the markets which had been developed for CDM activities. Drawing upon this proposal, the Brazilian Federal Government made a proposal to the UNFCCC during COP 12 in 2006 to include a REDD mechanism that functioned not through markets, but through an International Fund created by industrialized countries who would pay for a country’s performance in reducing deforestation – not necessarily a strict carbon calculation. This led the government to create the Amazon Fund in August 2008 (more on this in a minute). In 2009, established a 38.9% emission reduction target to be met by 2020.

Fundo Amazônia Criado em 1º de agosto de 2008 Meta de arrecadar $21 bilhões para financiar reduções Promove projetos que previnem o desmatamento e apóiem o uso sustentável das florestas na Amazônia Created 1 August 2008 Goal of raising $21 billion to finance reductions Promote projects which prevent deforestation and support sustainable use of forests in the Amazon as well as protected area management, monitoring, territorial and economic zoning processes and reforestation – IMPORTANT: Não é um Fundo de projetos de REDD, mas um Fundo para financiar iniciativas que contribuam para a redução do desmatamento. This is because it does not count carbon credits generated. Área Territorial prioritária para apoio financeiro

Governança Captação de recursos BNDES Aprovação e monitoramento de projetos BNDES The Amazon Fund is managed by BNDES, but also consists of: Comitê Técnico in charge of certifying emissions. • 6 especialistas para avaliar metodologia de cálculo da área desmatada e a relação carbono/ hectare. • Comitê Orientador responsible for producing guidelines and monitoring. • 9 órgãos da esfera federal (MMA, MDIC, MRE, MAPA, MDA, MCT, Casa Civil, SAE e BNDES). • 9 Estados da Amazônia Legal: Acre, Amapá, Amazonas, Maranhão, Mato Grosso, Pará, Rondônia, Roraima, Tocantins. • Sociedade Civil (FBOMS, COIAB, CNI, FNABF, CONTAG e SBPC). Implementação de projetos Governos, ONGs, companhias

The Amazon Fund currently supports five projects: Bolsa floresta – (US$10.9 million) program aims to reduce emissions and promote improvements in quality of life ofr people living in the forest. Operation based on compensation to communities for environmental services. $ from AF will help to expand program to 6 additional Conservation Units through the Bolsa Floresta Income (aims to genearte sustainable revenue from productive activities) and the Bolsa Floresta Association (support the creation and governance of associations of peoples within the Conservation Units). IMAZON – R$9.7 million – 11 municipalities in the state of Para TNC – (US$9.1 million) – 12 municipalities in Para and Mato Grosso – creation of Environmental Rural Registry and satellite monitoring of deforested and degraded areas, seek to encourage commitment from soy and timber sectors to environemtnal laws. Instituto Ouro Verde – Portal Seeds Project (US$3.1 million) – promote recovery of >1000 has through agroforestry systems, technical support and training of local peoples and environmental licensing of rural properties in six municipalities in the extreme north of Mato Grosso. FUNBIO – (US$11.3million) – ARPA program – creation of additional 13.5 million has of protected areas in the Amazon, consolidation of 32 million hectares of protected areas

Posição dos estados federados
Potencial para iniciativas de REDD+ no Brasil Posição dos estados federados Assumiram posição diferente Amazonas – já implementando projetos de REDD Força-Tarefa dos Governadores sobre Clima e Florestas (Governors’ Climate and Forests Task Force) Declaração de Cuiabá State governments have taken a distinct approach to that of the federal government. In some instances, such as the case of Amazonas, they have already started to implement projects. Two additional activities include the Governors Climate and Forests Task Force and the Cuiaba Declaration which we will discuss in more detail now.

Zona Franca Verde no Amazonas
Potencial para iniciativas de REDD+ no Brasil Zona Franca Verde no Amazonas Estabelecida em 2003 Levou à redução do desmatamento em 70% entre 2003 e 2008 Programas educacionais, incentivos e expansão da rede de áreas protegidas

Força-Tarefa dos Governadores sobre Clima e Florestas
Potencial para iniciativas de REDD+ no Brasil Força-Tarefa dos Governadores sobre Clima e Florestas Colaboração única entre 14 estados e províncias dos Estados Unidos, Brasil, Indonésia, Nigéria e México que busca integrar a Redução de Emissões do Desmatamento e Degradação Florestal (REDD) e outras atividades de carbono florestal em regimes emergentes de controle de gases de efeito estufa (GEE) nos Estados Unidos e em outros lugares. the GCF represents an important component of the broader effort to mobilize and advance financing for REDD activities on a pay-for-performance basis; to provide recommendations for the legal and regulatory design of GHG compliance markets to recognize REDD activities; to build capacity for such activities in large sub-national jurisdictions in key tropical forest countries; and to develop institutions and programs for linking sub-national REDD activities with ongoing national and international efforts. The GCF was therefore conceived as an effort to leverage the fact that certain key states and provinces around the world are in a position to be early movers on the effort to bring REDD into climate policy, thereby bolstering overall momentum for the issue and enhancing national and international efforts to demonstrate how REDD can work in practice.

Força-Tarefa dos Governadores sobre Clima e Florestas
Potencial para iniciativas de REDD+ no Brasil Força-Tarefa dos Governadores sobre Clima e Florestas 16 de Novembro de 2010: Governadores do Estado da Califórnia (EUA), Chiapas (México) e Acre (Brasil) firmaram Memorando de Cooparação Mercado regulado da Califórnia iniciará em 2012 Permitirá a compra de créditos do Acre e de Chiapas. No memorando, as partes definiram cooperações como a criação de um grupo de trabalho sub-nacional que se reunirá mensalmente entre dezembro de 2010 a outubro de 2011 para trabalhar no desenvolvimento de recomendações sobre Redução de Emissões por Desmatamento e Degradação (REDD). O produto final do grupo será a recomendação para o acordo de conexão entre a Califórnia e os estados parceiros.

Declaração de Cuiabá Criada na Conferência do Katoomba em Mato Grosso em Abril de 2009 Assinada pelos governadores de 5 estados amazônicos Pede ao governo federal que defenda pagamentos diretos por REDD Desde então, Ministério da Fazenda tem adotado uma abordagem híbrida que combina um fundo com pagamentos diretos.

There is already money flowing into Brazil from various sources for funding REDD+ and related activities. Report for the Conservation Finance Alliance: National REDD+ funding frameworks and achieving REDD+ readiness - findings from consultation

Potential for REDD+ initiatives in Brazil
Brazilian organizations (NGOs, private sector and government) are the project investors for at least two-thirds of the REDD+ projects catalogued in the country to date. Most of these projects involve an interantional partner, in part to facilitate access to international funding. About one-fifth of the projects have strong private sector leadership. Standards, funding and development of projects are being driven largely by actors in developed countries, where there is demand for both offsets and strong environmental co-benefits. According to the survey of the Brazilian actions for REDD led by the Brazilian Forest Service, the projects are still incipienta nd are distributed on public, private and indigenous lands. Most projects have focused on reduction of deforestation (61%), followed by conservation (29%) and prevented degrdation (10%). Only 12% of them are implemented, where 53% are in the preparation phase, in addition 35% are still raising financial resources. The funding of these projects to date has come from a mix of public funds, revenues from sales of credits in the carbon market and funding from the private sector who are investing for corporate social responsibility (CSR) purposes. Additional programs include: 1) Proambiente – a federal program operating in 136 communities in all 9 Amazon states working with local communities to set targets for deforestationwith progress monitored regularly and monthly payments disbursed to families if targets are met. Farmers are provided wtih technical assistance including training and equipment for sustainable fishing and agroforestry. Funded through the federal budget wtih some support from abraod. Potentially a strong match with REDD+, but inadequate fudning has led to payments sent to half as many families as expected. Report for the Conservation Finance Alliance: National REDD+ funding frameworks and achieving REDD+ readiness - findings from consultation

Criação de gado sustentável
Potencial para iniciativas de REDD+ no Brasil Criação de gado sustentável Aliança da Terra, uma ONG brasileira, foca no setor de criação de gado Educação sobre técnicas sustentáveis Incentivos para reflorestamento e redução do desmatamento Certificação para criação de gado sustentável International donations, may be eligible for REDD+ funding in the future.

Vantagens para implementação no Brasil
Potencial para iniciativas de REDD+ no Brasil Vantagens para implementação no Brasil PRODES – INPE Sistema de monitoramento do desmatamento Primeira linha de base nacional para desmatamento Ajudará a assegurar que o desmatamento é monitorado de maneira precisa Numerosos projetos piloto Mecanismos de financiamento de larga escala MONITORAMENTO DA FLORESTA AMAZÔNICA BRASILEIRA POR SATÉLITE Desde 1988, o INPE vem produzindo as Taxas Anuais do desflorestamento da Amazônia Legal. A partir do ano de 2002, estas estimativas estão sendo produzidas por classificação digital de imagens seguindo a MMetodologia PRODES. A principal vantagem deste procedimento está na precisão do geo-referenciamento dos polígonos de desflorestamento, de forma a produzir um banco de dados geográfico multitemporal. Numerous pilot projects and large funding mechanisms mean that many technicalities (leackge, permanence, etc) are defined and understood.

Barreiras Políticas econômicas são contraditórias com os objetivos de REDD+ Conflitos em relação à situaçaõ fundiária e comunidades indígenas Mecanismos de financiamento nacionais versus estaduais Reforma do Código Florestal Brasileiro Conexão entre fundos existentes de REDD+ e iniciativas de políticas Clareza na inclusão de áreas protegidas Consciência e treinamento para REDD+ Estruturar REDD+ para além do ecossistema da Floresta Amazônica Whilst there has been a significant amount of national and international support for REDD+ activities in Brazil, the development ofa large number of REDD+ demonstration and market projects and national funding mechanisms, there are still potnetial barriers to attract the investment needed to fulfill the REDD+ potential of Brazil post-2012. Economic policies contradictory to REDD+ aims Rural credit programs continue to incentivize the expansion of cattle ranching operations in the Amazon region. Should pay more attention to improving productivity and management of pastures which have already been cleared. Programa de Aceleração do Crescimento – (Feb 2007) involves a portfolio of large-scale infrastructure projects and the paving of BR-319 between Manaus and Porto Velho. Also concerns that the portfolio of BNDES includes both the Amazon Fund and lending to these projects. Land tenure conflicts and indigenous communities Registration of lands in the remote areas is incomplete and there has not been consolidation of property ownership across Brazil which can lead to a conflict in land cliaims which would pose a risk to REDD+ project developers. Indigenous territories make up the largest percentage of the Brazilian Amazon. Therefore, their engagement with REDD+ is likely to have a sizeable impact on the potential growth of REDD+ and associated funding flows in Brazil. Risks associated wtih the imposition of market conservation mechanisms in these areas and an absence or low familiarity with the concepts underlying REDD+ within these communities. Necessary to apply principles of FPIC non-application of PFIC could lead to projects being undermined by not understanding and supporting the project or, at worse, human and land rights laws are broken, resulting in legal action against developers and funders. poor accessibility to the justice system in more remote regions as most ofthe courts are based in urban areas. how to prove permanence (longevity) in areas where encroachment and land disputes are common – could limit ability of project developers to attract funding support. National versus state funding mechanisms natioanl fund mechanism v. State governments accessing funds directly through cap-and-trade mechanisms May be some doubts if a state approach is taken regarding whether state governments hav the fund management capacity and governance measures needed to ensure that funding is distributed effectively, efficiently and equitably. Redrafting of Brazilian Forestry Code Forestry code includes: reduction in hectares for mandated legal reserves in privately owned land in the Amazon, Atlantic Forest and Cerrado (mixed-Savanna type) biomes larger areas could be designated for small landholdings, which are subject to less stringent conservation requirements. expanded public interest definitions that allow for land utilization; reduced areas of conserved riparian buffer zones; increased states’ prerogatives in protected areas policies; and a retroactive amnesty for deforestation that is linked to eliminating restoration directives. amnesty provisions to farmers that haven't respected the protected areas inside their lands All of which could reduce the level of regulatory support for REDD+ and allow for an increase in deforestation within some key forest ecosystems. Linkage between existing REDD+ funds and policy initiatives - No indication that the goals of the Amazon Fund have been linked to the natioanl Plans for Prevention and Control of Deforestation (PPCDAM) and other sectoral plans where there appears to be potential for mutual support between the two initiatives in terms of civil society participation and multi-stakeholder dialogue, strategic planning, capacity building, transparency and MRV. This may create uncertaininty regarding the role of the Amaozn Fund in its role in Brazil~s wider efforts to reduce deofrestatio nand the level of support it receives from national government. Clarity on inclusion of Protected Areas Unclear both nationally and internationally would additional funds lead to additional protection and reduced deforestation? REDD+ awareness and training - Concerns that the understanding of REDD+ and awareness across the wider public and indigenous communities is still very low, especially in parts of the country where there has not yet been significant REDD+ project activity. Scaling up REDD+ beyond the Amazon Forest Ecosystem Brazil’s National Congress Bill on REDD+ draft has a stipulation that REDD+ must have a national scope with deforestation reference levels set nationally for all biomes and that it must be implemented in an integrated manner between national, state and municipal governments. necessity of methodological guidance for project developers in non-Amazonian ecosystems to encourage a wider distribution of REDD+ projects in Brazil Report for the Conservation Finance Alliance: National REDD+ funding frameworks and achieving REDD+ readiness - findings from consultation

Tornando REDD+ um sucesso
Potencial para iniciativas de REDD+ no Brasil Tornando REDD+ um sucesso Financiamento pelo setor privado Estabelecimento de fundos em âmbito estadual (ou menor) para REDD+ Implementação de políticas que assegurem a aplicação de consentimento livre, prévio e informado (FPIC, em inglês) Promoção de parcerias entre desenvolvedores de projetos e organizações da sociedade civil Implementação ou atualização de planos de zoneamento Foco no fomento a alternativas econômicas e na conexão de pagamentos com o tamaho da área protegida por cada família. Aproximação com comunidades indígenas, com base em FPIC Processo de planejamento colaborativo entre elaboradores de política federais e estaduais Integração das metas do Fundo Amazônia com os Planos de Prevenção de Controle do Desmatamento Desenvolver atividades de preparação para REDD+ em vários ecossistemas Large state-backed funds may not provide the private sector with the level of financial control they require. Explore options for the establishment of state (or smaller) level REDD+ environmental funds to pool carbon market finance received from international sources in a nested system. These funds could be responsible for monitoring emissions reductions at a state level which are then included in a national level carbon accounting system. • Implement policies to ensure the application of Free, Prior and Informed Consent (FPIC) with forest communities in and around REDD+ projects and integration of local communities in project management by project developers. Promotion of partnerships between project developers and civil society organisations with experience in implementing long term conservation projects in areas where land rights are disputed or difficult to enforce. Implementation or updating of zoning plans that reflect the forest conservation value of land. • The most prominent example of local REDD+ fund disbursal is the Bolsa Floresta (BF) program payments to families, resident’s associations and forest communities for wider community development. There are concerns regarding the passive nature of these payments, the use of the same payments given to households regardless of the size of landholding and the possibility of creating a culture of reliance. One way of overcoming this issue is through a focus on supporting economic alternatives for forest communities and linking the payments more close to the size of the land area protected by each household. Such an approach is being implemented by organisations such as the Green Gold Institute and could be replicated in further REDD+ project development in Brazil. • Progress in engaging indigenous communities in REDD+ in the legal Amazon has been slower than some may have expected, partly due to concerns from these communities over maintaining land rights and a lack of accessible information on REDD+. Initial engagement with indigenous communities should be aligned with FPIC principles. Once full support has been gained, participatory planning, mapping and land-use change modelling can help to build a sense of ownership and sustainable engagement. • Initiation of a collaborative planning process between federal and state policymakers to identify where national policies and programmes such as the Program to Accelerate Economic Growth conflict with REDD+ objectives and where mutual objectives could be set. Integration of the goals of the Amazon fund with the Plans for Prevention and Control of Deforestation. • REDD+ readiness activities should be distributed widely across each Brazilian state if an effective national REDD+ scheme is to be achieved. Whilst there are states within the Amazon that are arguably in stage 2 of REDD+ readiness there are states within the Amazon and beyond that are in an earlier stage of developing their understanding and institutional capacity for managing REDD+. Report for the Conservation Finance Alliance: National REDD+ funding frameworks and achieving REDD+ readiness - findings from consultation

Princípios e critérios socioambientais
Princípios e Critérios Socioambientais para a Implementação de REDD+ no Brasil Princípios e critérios socioambientais História Objectivos: PSA / REDD Reduzir desmatamento Conservar a biodiversidade Benefícios sociais Grupo multisetorial da sociedade civil no Brasil O envolvimento das comunidades locais num esquema de pagamento por serviços ambientais é muito importante para o sucesso do mesmo/ REDD. É essencial consultar as comunidades locais, e caso sejam diretamente afetadas, obter seu consentimento livre, prévio e informado, assegurando que participem ativamente desde o início da elaboração do projeto, em sua implementação e também no monitoramento das atividades relacionadas ao mesmo. Novos mecanismos de governança para programas e projetos de pagamento e compensação por serviços ambientais, tais como REDD, estão sendo criados com o objetivo de assegurar a redução do desmatamento, conservação da biodiversidade, benefícios sociais e respeito aos direitos do povos indígenas, dos agricultores familiares e das comunidades tradicionais. Um grupo multissetorial da sociedade civil brasileira (incluindo ONGs, produtores rurais e movimentos sociais) desenvolveu salvaguardas socioambientais para programas e projetos de REDD+ no Brasil. Denominados Princípios e Critérios Socioambientais de REDD+, estes salvaguardas “devem ser utilizados como referência para o desenvolvimento e aplicação em projetos de carbono florestal, de programas governamentais de REDD+, para o uso e aplicação de recursos nacionais e internacionais voltados para esta finalidade, e para a avaliação e validação independente de projetos de REDD+ no Brasil.” Estes salvaguardas socioambientais são considerados requisitos mínimos para assegurar que as ações de REDD+ sejam efetivas em seus benefícios ao clima, à conservação da biodiversidade e às populações locais, e minimizar os riscos de que tais ações resultem em impactos sociais e ambientais negativos.

Fortalecer o nível de governança florestal em REDD+
Princípios e Critérios Socioambientais para a Implementação de REDD+ no Brasil Salvaguardas sociais e ambientais – requisitos mínimos para assegurar que ações de REDD+ efetivamente beneficiem o clima, a biodiversidade e populações locais Para o desenvolvimento e implementação de programas e projetos na Amazônia brasileira Objetivo principal: Fortalecer o nível de governança florestal em REDD+ Valorizar a transparência das informações Participação pública no processo de tomada de decisão Coordenação de ações com partes interessadas Respeito e reconhecimento de direitos de populações tradicionais e povos indígenas This process does not intend to define criteria and indicators that are used to differentiate and reward REDD+ programs and projects that demonstrate high social and environmental performance. The REDD+ Social and Environmental Principles and Criteria shall be applied in REDD+, or REDD, government programs or projects to be implemented in the Brazilian Amazon (see highlighted Note below), developed and executed by governments, private entities or civil society organizations, financed by government funds or market based mechanisms (compulsory or voluntary)2. Their use is also not restricted to a group or specific sector of society; rather, is applicable for REDD+ actions that are conducted by (or in partnership with) Indigenous Peoples, local communities, small landowners, private landowners and government.

Princípios e Critérios Socioambientais para a Implementação de REDD+ no Brasil
Conformidade legal: conformidade com os requisitos legais e acordos internacionais relevantes Reconhecimentos e garantia de direitos: reconhecimento e respeito aos direitos sobre as terras, territórios e recursos naturais Repartição de benefícios: repartição justa, transparente e equitativa dos benefícios gerados pelas ações de REDD+ Sustentabilidade econômica, melhoria da qualidade de vida e redução da pobreza: contribuição para a diversificação econômica e sustentável do uso dos recursos naturais Cada princípio é acompanhado de uma série de critérios contendo os elementos necessários para que o princípio seja cumprido. Uma cópia do documento completo contendo os Princípios e Critérios Socioambientais de REDD+ se encontra no CD anexado à esta publicação. Além de mecanismos de governança nacional, também é importante respeitar as normas internacionais relacionadas à povos indígenas e comunidades tradicionais. A Convenção 169 da Organização Internacional do Trabalho sobre Povos Indígenas e Tribais reconhece o direito destes povos possuírem terras, desfrutar igualdade e liberdade, e tomar decisões sobre projetos que os afetam.

Princípios e Critérios Socioambientais para a Implementação de REDD+ no Brasil
Conservação e recuperação ambiental: contribuição para a conservação e recuperçaão de ecossistemas naturais, biodiversidade e serviços ambientais Participação: participação no desenvolvimento e implementação de ações de REDD+ e nos processos de tomada de decisão Monitoramento e transparência: completa disponibilidade de informação relacionada com as ações de REDD+ Governança: fomento de uma governança melhor, coordenação e alinhamento com políticas e diretrizes nacionais, regionais e locais Cada princípio é acompanhado de uma série de critérios contendo os elementos necessários para que o princípio seja cumprido. Uma cópia do documento completo contendo os Princípios e Critérios Socioambientais de REDD+ se encontra no CD anexado à esta publicação. Além de mecanismos de governança nacional, também é importante respeitar as normas internacionais relacionadas à povos indígenas e comunidades tradicionais. A Convenção 169 da Organização Internacional do Trabalho sobre Povos Indígenas e Tribais reconhece o direito destes povos possuírem terras, desfrutar igualdade e liberdade, e tomar decisões sobre projetos que os afetam.

O que os compradores querem?
The Forest Carbon Offsetting Survey 2009 Are land-based carbon projects good for local people? Many rural communities are keen to embark on carbon projects as a way of generating income, jobs, and other social benefits. Offset buyers are also attracted to the idea of reducing emissions and simultaneously helping local people. Others are wary that these projects may do more harm than good – a poorly designed project can result in, for example, the loss of (uncompensated) traditional livelihoods or resource access rights of poorer community members.

O que os padrões CCB requerem?
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal O que os padrões CCB requerem? Uma descrição precisa das condições socioeconômicas anteriores ao projeto Uma projeção de como essas condições iriam mudar se nenhum projeto fosse implementado (o cenário “sem projeto”) Descrição/justificativa dos benefícios sociais (cenário “com projeto”) Impactos sociais líquidos e ‘adicionais’ (em relação à situação sem projeto) Planos de monitoramento comunitário – indicadores e métodos para coleta de dados Mensuração dos impactos ao longo do tempo – evidência para verificação We think that the combination of robust standards for assessing the social performance of projects, and the use of credible methods of social impact assessment can help ensure positive outcomes for local people. The Climate Community and Biodiversity (CCB) Standards, originally launched in 2005, are widely favored by project developers, investors, and buyers. And while not yet official, safeguards to prevent negative social impacts figure prominently and repeatedly in draft UNFCCC negotiating texts on REDD+ and in US climate change legislation. The CCB Standards therefore require that the project proponents describe the socio-economic condition of communities and make projections about how this condition will change with and without the influence of the project. To be approved against the CCB Standards, the “with-project scenario” must show an improvement over the “without-project” scenario .

Adicionalidade no estágio de verificação
Benefícios positivos líquidos esperados de projetos validados no padrão CCB Tempo Condições sociais ou ambientais Condições medidas + causalidade Impactos atribuíveis The emphasis in the early years of the carbon markets has been mainly on assuring the integrity of project emission reductions; co-benefits have received much less attention. But the balance is changing, and there are justifiable concerns that co-benefits must, like carbon, be real, ‘additional’ and, as far as possible, measurable. This is partly necessary for market confidence as offset buyers increasingly seek evidence that they are getting what they pay for, including co-benefits. We also must insist, as a community, that on ethical or equity grounds, carbon projects must at the very least ‘do no harm’. In fact, a prominent auditor of carbon projects recently stated in a public meeting that “getting the social methodology right is just as important as getting the carbon methodology right.” These requirements raise several questions that the Manual should help project proponents find the answers to: • What should be measured? • How should the projections be made? • How do we measure the changes or differences? • How do we show that the changes were due to the project? Expected without-project scenario Cenário esperado sem projeto

Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal
“Uma estimativa fiável das mudanças deve incluir mudanças no bem-estar da comunidade decorrentes do projeto… baseadas em pressupostos claramente definidos e defensáveis sobre como as atividades do projeto alterarão o bem-estar social e econômico… … o cenário “com projeto” deve então ser comparado com o cenário “sem projeto” do bem-estar da comunidade na ausência do projeto. A diferença (isto é, o benefício comunitário) deve ser positiva para todos os grupos comunitários.” – Padrões CCB Critério CM1.1 This means establishing, at the CCB validation point, that the projected improvement in social conditions will be caused by the project activities rather than by other factors, and at the CCB verification points, showing that any claimed social benefits were due to the project. If the social benefits would have happened anyway – in the “without-project” situation – they are not attributable to the carbon project. For example, if social benefits increase due to a state or NGO health project or a macro-economic change (e.g., devaluation providing a boost to export crops), carbon project developers cannot claim credit for the social benefits, nor will the carbon credit buyers have paid for them. A significant part of the Manual is devoted to the thorny issue of how to show cause and effect or “attribution” of social benefits.

Alguns desafios-chave para Avaliação de Impacto Social
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Alguns desafios-chave para Avaliação de Impacto Social ‘Atribuição’ de causa e efeito: para ser adicional, deve demonstrar que benefícios sociais são causados pelo projeto Natureza dos impactos sociais: longo prazo, difíceis de medir, e podem ser imprevisíveis/indiretos/negativos Custo-benefício: A avaliação de impacto social é outro custo de transação; alto custo em métodos de avaliação tradicionais ($ mil?) Poucos dados de pesquisa sobre impactos sociais Reforestation, avoided deforestation, and other land-based emissions reductions activities typically cover large areas of land in the rural parts of developing countries, where local people are often poor and highly sensitive to changes in land use. Accurately projecting and then measuring both the positive and negative impacts of a project is a moral imperative and also has important commercial implications. Social and environmental co-benefits attract many offset buyers to forest carbon projects (EcoSecurities, 2010). Just as these buyers seek assurance that the offsets they buy represent real emissions reductions, they also want to know what the real effect of a project is on the local people. The guidance in this manual is designed to facilitate responsible project design, implementation, and communication of the results of social impact assessment (SIA) to all stakeholders. The main reasons why SIA is tricky are as follows: • The problem of attribution – it is difficult to prove cause and effect • Social impacts tend to be long-term phenomena – it is hard and unrealistic to identify them in the short- term • Social impacts may be subtle and not easily measured • Social impacts are often unexpected and/or can be negative • Social impacts are easy to confuse with outcomes • Lack of research data on the social effects of land-based carbon projects • Lack of user-friendly guidance on SIA for carbon project developers Attribution is a big challenge for all types of impact assessment and especially when considering indirect impacts, e.g., an improvement in school enrolment or child nutritional status, when the project could be one of several contributory factors. It is much less of a problem, if we are talking about direct outcomes or impacts, for example, an increase in income or change of attitude to forest conservation as a result of a REDD+ project. Therefore projects that specify more direct social impacts rather than indirect or downstream impacts will find it much easier to present convincing evidence of positive social benefits to the auditors. Attribution is particularly discussed in SIA Stages 3 and 5. By definition, social impacts refer mainly to long-term changes and are often not very tangible. Also, verification audits against the CCB Standards must begin within five years of the project start-up. For these reasons, it is more practical to identify short- and medium-term social benefits in the form of project outputs and outcomes, rather than to try and identify longer-term social impacts from the outset. Since social impacts are often unexpected and sometimes negative, we need to use a mix of methods for picking them up. For unexpected or negative impacts, open-ended participatory approaches are best, and there is no substitute for regular contact with stakeholders. Negative social impacts are always possible, for example, REDD projects sometimes involve a difficult livelihood transition from non-sustainable to sustainable land uses, large injections of cash at five yearly intervals can be challenging for traditional institutions, many impacts are indirect or unexpectedly, and any project can go wrong. Monitoring for negative impacts is covered in SIA Stage 4. The lack of research data on social impacts of land-based carbon projects is inevitable given their short history and the small number of operational projects. The introduction of more systematic SIA methods will gradually help increase our body of understanding and make future SIA slightly easier. Cost Effectiveness: Social impact assessment is not worth doing, if it is not credible. While it is unclear whether there is a trade-off between cost and credibility or how strong the trade-off is, the aim of the Manual is to develop a way of doing SIA at the lowest cost of achieving a basic or minimal level of credibility. This is because we are well aware that this represents yet another transaction cost, and a further reduction in net carbon payments, thus affecting both the financial viability of the project and the returns to key stakeholders.

Pano de Fundo As análises da literatura da Forest Trends (2008) sobre análise de impact social e ambiental de projetos de PSA – encontrou falta de diretrizes metodológicas claras/guias para desenvolvedores de projetos Consórcio de 4 ONGs formou-se para desenvolver manual Foco nos impactos sociais (recursos limitados/urgência) Manual foi vinculado aos padrões CCB Doadores para o desenvolvimetno de manual provisório: WB PROFOR, USAID-TRANSLINKS, Morgan Stanley In response to such issues, Forest Trends has formed an alliance with three other NGOs – the Climate, Community and Biodiversity Alliance (CCBA), Rainforest Alliance, and Fauna & Flora International (FFI) – with the aim of producing a user-friendly Manual for project proponents on how to conduct cost-effective and credible social impact assessment. This Manual for Social Impact Assessment of Land-Based Carbon Projects is designed to help those who design and implement land-based carbon projects to credibly document the ways in which their projects affect the livelihoods of the people that live in and around their project site. Many of these projects aim to simultaneously deliver social and environmental co-benefits, and to be validated and verified against standards such as the Climate, Community & Biodiversity (CCB) Standards (CCBA, 2008).

Objetivos do Manual Objetivo principal: Fornecer diretriz metodológica para avaliação de impacto social, com boa relação custo-benefício, para proponentes de projetos Sub-objetivos: Aumentar os benefícios socioeconomicos por meio de boa prática de avaliação de impacto social Aumentar o envolvimento de partes interessadas Fortalecer e aprofundar a aplicação dos padrões CCB Contribuir para a gestão adaptiva d projeto Identificar um núcleo pequeno de indicadores de impacto social The key objective of the Manual is to provide guidance to project proponents as regards the use of cost-effective and credible methods1to assess the social benefits or impacts of multiple-benefit land-based carbon projects, including those validated under the CCB Standards. The Manual particularly aims to complement the CCB Standards, since these are the most widely used Standards for multiple-benefit land-based emissions reductions projects. Other sub-objectives of the Manual and the accompanying research process are to: • increase the socio-economic benefits of land-based carbon projects – good practice SIA should improve project quality and could raise social benefits, e.g., systematically thinking through the causative links involved in generating social benefits may result in a modification in project design which enhances the positive social impacts; • strengthen and deepen the application of the CCB Standards; • identify a small core set of indicators which can be applied across a range of projects; • contribute to adaptive project management and increased stakeholder engagement, which should in turn contribute to project sustainability and carbon permanence; • contribute to the (currently weak) empirical body of understanding about the socio-economic effects of land-based carbon projects.

Quais os impactos e consequências sociais?
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Quais os impactos e consequências sociais? “Por impactos sociais, queremos dizer que as consequências para as populações humans de quaisquer ações públicas ou privadas que alterem as maneiras segundo as quais as pessoas vivem, trabalham, divertem-se, relacionam-se umas com as outras, organizam-se para atender a suas necessidades e geralmente agem como membros da sociedade. O termo também inclui os impactos culturais envolvendo as mudanças nos padrões de comportamento, valores e credos que guiam e racionalizam a cognização de si próprios e da sua sociedade”. (National Maritime Fisheries Service, 1994) Impactos sociais alteram o comportamento ou bem-estar humano para melhor ou para pior. Os resultados de projetos de carbono são: Melhoria da organização comunitária Emprego Aumento da renda familiar Mudança no meio de vida Social impacts can be direct or indirect, as well as intended or unintended. Indirect or secondary impacts are the result of direct impacts – an example could be children spending longer at school as a result of an improvement in family income. Possible negative or poverty impacts of a large REDD project that restricts agricultural land use could be an increase in the local prices of food and land. An important type of indirect benefit is the social impact of environmental improvements. For example, better quality water or improved dry season flows resulting from a Reduced Emissions from Deforestation and forest Degradation (REDD) project could improve the health of downstream communities; A key aspect of social impacts is income distribution or equity; multiple-benefit carbon projects generally aim to improve the relative welfare of the rural poor (both between and within communities), and this is a key aspect of Gold Level CCB validation. Gender and child impacts are further elements of the equity or distribution objectives of CCB-validated projects as stated in several of the CCB criteria. As regards negative social impacts or outcomes, critics of A/R projects, especially those involving plantations, monocultures, etc., often claim evidence for trade-offs between climate change objectives and the co-benefits. For REDD projects, an obvious example is loss of current livelihoods derived from unsustainable land use. Projects must therefore monitor for negative social impacts as well as positive ones, and as the CCB Standards (especially G3) point out, they need to design and implement actions to mitigate adverse effects. A problem with negative impacts is that they are hard to predict and therefore require special attention in the SIA process.

7 fases propostos para a Avaliação de Impacto Social
Fase 1: Estudo das condições originais e identificação das partes interessadas Fase 2: Cenário social de referência (situação ‘sem projeto’) Fase 3: Desenho de projeto e teoria da mudança (situação ‘com projeto’) Fase 4: Impactos sociais negativos e medidas mitigatórias Definition of Social Impact Assessment: “the processes of analyzing, monitoring, and managing the intended and unintended social consequences, both positive and negative, of planned interventions (policies, programs, plans, projects) and any social change processes invoked by those interventions. Its primary purpose is to bring about a more sustainable and equitable biophysical and human environment." ( Fase 5: Escolha de indicadores de mudança social positiva (O QUE medir?) Fase 6: Plano de monitoramento e métodos de coleta de dados (COMO medir?) Fase 7: Análise de dados, relatórios e verificação das partes interessadas

Adicionalidade no estágio de validação pelo padrão CCB
Tempo Condições sociais ou ambientais Cenário esperado com projeto descrevendo as atividades e resultados Impactos esperados Cenário esperado sem projeto A simplistic way of looking at SIA is to consider its two main questions: what should we measure, and how should we measure? Of these two questions, the first one ‘What to measure?’ is more difficult. It refers mainly to the issue of what indicators should be monitored in order to track progress in achieving the expected social objectives of the project. This includes considering how to tackle the attribution issue and ensuring appropriate definition of the social objectives or desired social results in accordance with the project design. It also includes an assessment of potential negative outcomes, so that these can be adequately monitored. The ‘How to measure?’ question refers mainly to how we should monitor and analyze the data, and especially to the data collection methods involved in monitoring the indicators (SIA Stage 5). ‘How to measure?’ issues also crop up in SIA Stages 1 and 2. Most of the data collection methods are very well known and documented, for example, participatory rural appraisal (PRA) methods, household surveys, focus group discussions, etc. Condições no início do projeto

Fase 1: Estudo das condições originais
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 1: Estudo das condições originais Identificação das partes interessadas Informação socioeconômica básicas das comunidades na área do projeto Informação cultural e demográfica básica Situação fundiária e direitos de propriedade sobre as árvores, direitos de acesso a recursos naturais, normas e instituições costumeiras Localização de quaisquer áreas de Alto Valor de Conservação que sejam importantes para atender às necessidades básicas das comunidades Sistemas e questões de governança Principais limitações ao desenvolvimento, tais como acesso a mercados, crédito, erosão do solo etc Outros problemas sociais importantes, como saúde, alcoolismo, violência etc Stakeholder identification: Once the stakeholder groups and sub-groups have been identified, it is important to try and identify some representatives to take part in the SIA process. Basic socio-economic information of communities in the project zone, including land-use and livelihood systems, especially where linked to natural resources; community infrastructure (health clinic, school, wells, meeting centers, etc.); on- and off-farm employment; transport infrastructure and market access; location of villages and hamlets on a map; number of children at school; etc. • Basic cultural and demographic information, including cultural diversity, minority groups, population, gender (e.g., number of female headed households), migration trends, etc. • Land and tree tenure type and security, access rights to natural resources, customary rules and institutions especially over common pool resources, tenure conflicts or boundary issues, etc. • Location of any High Conservation Value (HCV) areas that are important for meeting basic community needs, e.g., essential food, fuel, fodder, medicines, and building materials (Criteria G1.8.4, G1.8.5 and G1.8.6) • Governance systems and issues, e.g., decision-making structures, local government, crime levels, conflict resolution mechanisms, etc. • Major development constraints, e.g., market access, credit, soil erosion, etc. • Other key social problems, e.g., health, alcoholism, violence, etc. The impacts on stakeholders that live beyond the project zone must also be assessed and mitigated, so that the project does no harm to these offsite stakeholders. There seems to be a general temptation to collect a wide range of information during an Original Conditions study, resulting in very long questionnaires which annoy local people, or weeks of PRA work which are exhausting and expensive (in terms of foregone tasks) both for community members and project staff. The project SIA team should therefore give more weight to the processes and variables which they think are most likely to be affected by a carbon project. For example, it is useful to get some basic information on literacy and educational levels On the other hand, water quality and associated health problems could be important for a forest carbon project. Obtaining a strong understanding of land and tree tenure issues, local social structures and governance mechanisms issues are also high-priority areas, is important.

Fase 2: Cenário de referência social
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 2: Cenário de referência social O conceito G2 dos padrões CCB afirma que “Uma projeção de linha de base é uma descrição das condições esperadas na zona do projeto na ausência das atividades do projeto. Os impactos da implementação do projeto serão comparados com esse cenário de referência ‘sem projeto’”. O que aconteceria sem o projeto? ‘Cenário de referência social’ – o componente social da projeção de linha de base In theory, a strict comparison of the ‘with’ and ‘without project’ scenarios would give us the net additional social benefits. However, social benefits are not like carbon – they are difficult to quantify and measure, and it can be difficult to show that any improvement (or deterioration) in them is due to the project rather than to other influences. Data collection in SIA Stage 2 should therefore focus on the outcomes of processes or conditions that are most likely to be affected by the project – these are often linked to the project-related land uses. SIA Stage 2 involves a forward-looking analysis based on current trends and aims to build a convincing story of what is likely to happen to the social variables or conditions, and the processes that lead to them, in the absence of the project. Analysis of the social reference scenario assumes a basic understanding of the ‘with project’ design. A good starting point may be to undertake a simple exercise to determine the likely project impact areas or processes. Potential Social and Environmental Impact Areas - Social Development (Labor rights, gender equity, access to education, access to health and sanitation, cultural identify) - Environmental Integrity (Water, integrity for biodiversity, soil fertility, climate change, natural resource management) Economic Resilience (secure livelihoods, social capital, resilience to economic risk, inclusive value chains) It is essential that local project stakeholders participate in the development of these projections and predictions,

Fase 3: Desenho de projeto e teoria da mudança
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 3: Desenho de projeto e teoria da mudança Modelo causal ou teoria da mudança: hipótese do projeto de como os objetivos sociais serão por ele alcançados – exercício envolvendo várias partes interessadas Se resultados e produtos puderem ser identificados, e então vínculos entre impactos e produtos → boas chances de impactos acontecerem We have already established that, since the CCB Standards demand that social benefits must be additional to the ‘without-project’ situation, the cause-and-effect or attribution problem must be tackled in some way for the SIA to be considered credible. It has been noted above that the traditional approach to tackling attribution, the matching methods or quasi-experimental approach, may not be viable for most land-based carbon project situations. However, a practical and cost-effective way for looking at social impacts is to use the theory of change or causal model approach. The essence of this approach is that the project design team and the project stakeholders need to develop a hypothesis of how the project aims to achieve its intended goals and objectives, including its social objectives. This becomes the project’s theory of how and why change will happen. To be convincing it needs to trace how the (short-term) project activities and outputs will cause (short to mid-term) social outcomes and thence how these will lead in turn to (longer-term) social impacts. The activities and outputs can be considered as the means of achieving the project ends – positive social outcomes and impacts – and a causal chain can be built up as shown in Figure 3. If evidence can be presented that the short- and intermediate-term objectives (outputs and outcomes) of the project are being achieved, and if this forms part of a convincing cause-and effect-project story, then the auditor can have reasonable confidence that the longer-term objectives (impacts) will be achieved. Other reasons for using the causal model or theory of change approach are that it helps tackle the attribution problem, mainly through the selection of appropriate indicators of change, and it is seen by many sources as providing an essential basis for project design Necessário rastrear nexos causais/presunções por meio de afirmações SE… ENTÃO; então verificar se nexos causais ou presuções correspondem à realidade

Fase 4: Impactos sociais negativos e medidas mitigatórias
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 4: Impactos sociais negativos e medidas mitigatórias Identificar riscos, tanto naturais como causados pelo ser humano, para os benefícios ao clima, à comunidade e à biodiversidade no período de tempo do projeto Elencar as medidas adotadas para mitigar esses riscos Avaliar e mitigar impactos sociais e econômicos negativos a partes interessadas fora da área do projeto Atividades do projeto deveriam ao menos “não causar danos” ao bem-estar das partes interessadas fora da área do projeto A major rationale of the CCB Standards is that, as well as encouraging projects that are likely to result in significant social benefits, they seek to deter projects with likely negative social impacts. For example, a project which results in the uncompensated loss of customary access rights or ‘social displacement’, either geographically or through major livelihoods changes, should not be approved under the CCB Standards. Project proponents could draw up a list of questions after examining key assumptions in the causal model, for example: • What will happen to existing lawful forest-based livelihoods, if restrictions are put on the extraction of forest products (if a REDD project)? • What will happen to family subsistence, if from now on only dead firewood can be collected? Who collects the firewood now, and how far might they have to walk to collect firewood? What could be the implication of this for child welfare? • What will happen to the nutrition of poorer families who were quite dependent for protein on bushmeat or hunting? • What will happen to NTFP collectors, if harvest levels have to be reduced? • What will happen to village traders of forest products? • What will happen to previous customary grazing rights or ‘transhumant’ graziers? • Will these problems affect richer and poorer families similarly? (Special attention should be paid to their resource endowments, e.g., their situation as regards the availability of on-farm tree products and their relative dependence on common pool resources). • Will some people or households have to go further to collect their firewood or water? Who does this work? • Will the problem (any identified problem) affect men and women differentially? • How will the project affect female-headed households? • What other possible negative impacts might there be on women and children? • What will stop the project benefits being creamed off by the rural elites? • What will prevent benefit-sharing mechanisms suffering from governance problems? (Or what governance safeguards are in place to ensure the effective, transparent, and accountable management of the carbon finance?) • How could the poorest benefit from the project assuming they are not employed and have no stake in the carbon payments? • How will the project affect landless people? • How can ‘cultural security’10be safeguarded? • What might be the effect on local institutions of relatively large injections of cash at five yearly intervals? How can the project increase the capacity of local institutions? • If the money goes to the men, what is the likelihood that they will spend a lot of it on alcohol? Could this lead to an increase in domestic violence? • Is there anything in the legal contract between the project developers and local resource users which could result in negative equity impacts?

Fase 5: Escolha de indicadores
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 5: Escolha de indicadores O QUE medir? Indicadores Necessários objetivos sociais e resultados desejados claros Modelo causal – indicadores deveriam capturar vínculos importantes na cadeia de causalidade Idealmente, SMART An indicator is “a quantitative or qualitative factor or variable that provides a simple and reliable means to measure how well a desired outcome, value or criterion is being achieved or fulfilled” (OECD/DAC, 2002). Another definition is that of “a measurable entity related to a specific information need such as the status of a target, change in a threat, or progress toward an objective” (Conservation Measures Partnership, 2007). Therefore, the first requirement for identifying indicators is to achieve clarity as regards the desired results or objectives, as emphasized in SIA Stage 3. These desired results or objectives can be short-, medium or long-term (equivalent to outputs, outcomes and impacts). The selection of appropriate indicators is at the heart of SIA. Building on the results of the causal model analysis, this responds to the basic question – what should be measured in order to show that the social benefits are happening, or, since they are longer-term phenomena, are very likely to happen if certain assumptions hold true? We also need to think of a systematic way of checking for negative impacts if things do not go according to plan. We have already established that the indicators should be as SMART as possible, that is they should be: • Specific: the indicator should be defined and understood by all stakeholders in the same way • Measurable: ideally it should be possible to record quantitative as well as qualitative changes in the indicator • Achievable: the indicator should be realistic in terms of the cost and complexity of data collection • Reliable: the indicator should give consistent answers or numbers • Time-bound: the indicator should have a time limit attached Apart from SMART, other things to consider : The cost of associated data collection methods How useful is the indicator for revealing whether the social benefits are ‘additional’? Stakeholder participation in indicator selection and measurement Sensitivity: the indicator should change in proportion to changes in the condition or variable which it is designed to monitor

Fase 6: Plano de monitoramento comunitário
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 6: Plano de monitoramento comunitário COMO medir (indicadores)? Métodos de coletas de dados Métodos gerais e mais específicos de coleta de dados – Seção Caixa de Ferramentas do Manual (Toolbox Section of Manual) Métodos participativos de coleta de dados são essenciais Most indicators can be measured in more than one way, so the decision on what methods to select will depend on a range of factors including: • The intended users of the monitoring results • The appropriate level of accuracy and precision • The extent to which a method is participatory • Transparency and simplicity of method • The cost (related to several of the above) The development of a monitoring plan, including which methods to use, and where and when they will be applied, is as much an art as science. Where possible, monitoring plans should be prepared when the project is being designed. A range of factors like community participation, cost, and the appropriate level of precision, should be considered in the light of the requirements of the different users of monitoring data.

O que fazer com estes dados? Análise de dados:
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Fase 7: Análise de dados, elaboração de relatórios e verificação de partes interessadas O que fazer com estes dados? Análise de dados: Descrição clara da coleta e análise de dados deve ser apresentada com resultados Elaboração de relatórios: Projetos disseminam tanto o plano de monitoramento como os resultados do monitoramento antes da verificação para receber comentários do público Verificação: Não especificada pelo CCB All of the effort of designing and implementing a monitoring plan is only useful once the gathered information is synthesized into a form that is easily understood by the local stakeholders and other users of the monitoring data, including the auditors that will evaluate the project at the time of verification. SIA Stage 7 describes what to do with the data so that it can be used in a verification audit and can contribute to improved project management. Data Analysis Each monitoring method produces information that must be summarized. For some methods this requires sophisticated statistical methods, and in others it can be done in simple and intuitive ways. In either case, a clear description of how the data was collected and analyzed must be presented, together with the summarized results. This transparency is essential if the monitoring results are to be convincing. Reporting The CCB Standards require that projects disseminate both the monitoring plan and the results of monitoring through the internet and in locally appropriate ways (CL3.2, CM3.2, and B3.2). Prior to the verification audit, a project proponent must also prepare a report that describes how a project has met the CCB Standards, and this must include the monitoring results. This report must be made public for a 30 day comment period prior to the verification audit. Stakeholder Verification The reporting requirements of the CCB Standards are designed to promote a high level of transparency and accountability. Project proponents have an ethical responsibility to share monitoring results with affected stakeholders, but the dissemination of results is also an opportunity to review the data collection process and to check with the stakeholders whether the results seem to accurately reflect reality.

Algumas diretrizes para boas práticas de Avaliação de Impacto Social
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Algumas diretrizes para boas práticas de Avaliação de Impacto Social Investir em assistência técnica prévia – desenho da Avaliação de Impacto Social Investir tempo no esclarecimento dos objetivos sociais e em como alcançá-los – modelo causal Investir tempo na escolha de indicadores Usar métodos participativos de coleta de dados Manter as partes interessadas informadas ‘Imprecisão apropriada’ – contar uma história convincente com alguns dados (indicadores) para fundamentá-la

Informações de contato
Aplicação da Avaliação de Impacto Social em Projetos de Carbono Florestal Informações de contato Por favor, enviem comentários ou feedback sobre o Manual de Avaliação de Impacto Social para:

Visão Geral Sobre a Forest Trends Introdução ao conceito e prática de PSA Relevância para os negócios Práticas nacionais e internacionais em PSA Interface dos serviços ambientais, mercados e mudanças climáticas na “Economia da Biomassa” Componentes essenciais para o desenho de Projetos de PSA Potencial de iniciativas de REDD+ no Brasil Princípios e Critérios Socioambientais de REDD+ no Brasil Aplicação da Avaliação de Impacto Social em projetos de carbono florestal Conclusão

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