sustainability
Review
Uncovering REDD Plus in Brazil
Karla Sessin-Dilascio 1 , Charles Borges-Rossi 2 and Paulo Sinisgalli 1, *
1
2
*
Instituto de Energia e Ambiente, University of Sao Paulo, Sao Paulo 05508-900, Brazil;
[email protected]
Campus Floresta, Federal University of Acre, Cruzeiro do Sul 69980-000, Brazil;
[email protected]
Correspondence:
[email protected]
Abstract: This article delves into the evolution of Brazil’s REDD+ architecture. We explore how,
despite initial challenges like the lack of a global consensus and the complexities of multi-level
negotiations, Brazil has transformed REDD+ into a “boundary object”—a concept that bridges diverse
institutions. Consequently, a rich tapestry of institutional arrangements has emerged for Brazilian
REDD+ projects. The study, drawing on interviews, literature reviews, and action research, sheds light
on a critical aspect: the reliance on auditing firms for project reports. This dependence, the research
finds, can introduce inconsistencies, making it difficult to accurately assess project compliance with
established standards. By tracing REDD+ from its international negotiation roots to its current
operationalization in Brazil, this article aims to illuminate key insights into the mechanism itself.
Keywords: REDD+; institutions; Brazil
1. Introduction
Citation: Sessin-Dilascio, K.;
Borges-Rossi, C.; Sinisgalli, P.
Uncovering REDD Plus in Brazil.
Sustainability 2024, 16, 5409. https://
doi.org/10.3390/su16135409
Academic Editors: Baojie He, Siliang
Yang, K. Venkatachalam, Amos Darko
and Ali Cheshmehzangi
Received: 29 March 2024
Revised: 22 May 2024
Accepted: 6 June 2024
Published: 26 June 2024
Copyright: © 2024 by the authors.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
Today, REDD+ mechanisms are widespread around the world as an important payment for ecosystem services (PES) strategy, although the concept and understanding of
its operationalization remain uncertain. Created within the framework of the Conference
of the Parties (COP) to the United Nations Framework Convention on Climate Change
(UNFCCC), REDD+ (Reducing Emissions from Deforestation and Forest Degradation plus
the sustainable management of forests and the conservation and enhancement of forest
carbon stocks in developing countries) is a voluntary mechanism applied to reducing
human pressure on forests that places economic value on avoided deforestation practices
that keep the forest standing [1–3]. It was designed as a mechanism in which developed
countries financially support developing countries in reducing greenhouse gas (GHG)
emissions linked to forestry [4]. However, the manners in which these objectives can
be reach varies among projects around the world [1–7]. The variations cover the ecosystem service (ES) and measurement methodology, the activities and areas that should be
considered in the framework of the mechanism, the levels of project governance, the arrangements for monitoring results, the financing models, and the forms of participation and
involvement of local communities [3]. This ambiguity and plasticity in terms of structure
and conceptualization places REDD+ as a “boundary object” that finds its meaning in
the particular context. A boundary object is a concept with a shared core meaning that
can adapt to different contexts [8]. All these variations in the constituent elements of
REDD+, which make the concept thicker in practice, can make it difficult to assess the
mechanism in terms of its central objective of reducing emissions from deforestation and
forest degradation [8]. Considering the importance of power not just in defining rules,
but delineating their implementation process, and understanding that PSE processes are
often characterized by power asymmetry that perpetuates the persistence of inequities,
this article aims to discuss the possible frameworks of institutional arrangements [9–11] of
REDD+ projects in Brazil, highlighting their different typologies. Guided by the question,
“What are the different institutional arrangements related to REDD+ projects in Brazil?”, the
article seeks to contribute to a better understanding of the possible typologies that make up
Sustainability 2024, 16, 5409. https://doi.org/10.3390/su16135409
https://www.mdpi.com/journal/sustainability
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REDD+ projects and programs in Brazil, with an emphasis on Brazilian experiences. Based
on the multi-method approach [12], which begins with a systematic review and scoping
review [13], expanded with information from action research [14] and the analysis of 29
unstructured interviews with social actors relevant to the REDD+ context in Brazil and
Latin America carried out between January and December 2022. The article builds on the
discussions on the creation of operational typologies for REDD+ projects [7,8] deepening
the identification of institutional arrangements brought about by the systematic review
and creating new typologies that help to understand the trade-offs associated with REDD+
projects in Brazil. More than just applying a normative framework for REDD+, the article
aims to investigate the basis of the conceptual and institutional structure for REDD+ in
Brazil and adds to the efforts of other studies to understand and contribute to the reflection
on the possibilities for operationalizing REDD+ [7,8]. It engages in analytical reflection
about the differences and constraints of the two main institutional arrangements (e.g.,
jurisdictional REDD+ programs and voluntary REDD+ projects) regarding due diligence
mechanisms for procedural justice.
1.1. The History of International REDD+ Negotiations
The first multilateral meetings on climate and environmental issues were already
looking for mechanisms that could help solve the climate crisis. The Kyoto Protocol (KP),
created at COP3 (1997-Kyoto), established the first binding international agreement on
climate change, along with rules for the mitigation and compensation of GHGs by Annex
I countries (developed countries). The KP was innovative by creating the carbon credit
market, in which Annex I countries could offset the emissions they lacked to meet their
reduction targets by purchasing credits from Annex II countries (developing countries),
through the Clean Development Mechanism (CDM), in its Article 12 [5]. The KP and CDM
were a breakthrough in the climate agenda and in defining institutional arrangements
for reducing GHGs. Many of these arrangements have served as the basis for, or have
been incorporated into, the definition of new reduction mechanisms [5]. The KP and the
CDM have established institutional arrangements that underpin voluntary carbon markets,
the main ones being: (1) the definition of a GHG reduction target (Carbon Emissions
Reduction Target—CERT); (2) the quantification of emissions and the issuance of tradable
carbon equivalent certificates (Certified Emission Reduction—CER); (3) the creation of
standards that follow rigorous scientific methodology, recognized by peers, as a necessary
condition for issuing tradable CER; (4) third-party mechanisms for monitoring, verification, and reporting (MRV) as a necessary condition for CER. All these new economic and
institutional technologies have been recognized by the IPCC and UNFCC, and by the
most important climate researchers and experts. KP was responsible for the institutional
change needed to establish a new market in which ecosystems become economic assets
to be internalized in economic transactions and the GDP of countries [15]. With Kyoto’s
extreme focus on carbon-generated biases and some anomalies, the REDD+ discussions
launched the possibility of covering other emitting activities and valuing different ES,
including services generated by tropical forests to overcome climate change with elements
of social justice for tropical countries and forest communities [16]. In 2003, Brazil led the
creation of the Coalition for Rainforest Nations (CfRN) and presented the first proposal for
Compensated Emission Reductions (COP 9-Milan), starting negotiations to include tropical
forests in the international GHG compensation and mitigation agenda. In 2005, the acronym
RED (Reducing Emissions on Deforestation) appeared at COP 11 (2005-Montreal) as an
alternative and complementary mechanism to the KP. In 2007 (COP13-Bali), RED became
REDD (Reducing Emissions on Deforestation and Degradation), the Bali Action Plan was
created, and the conditions for countries to start their national REDD readiness programs
were defined. In 2009 (COP15-Copenhagen), REDD+ incorporated sustainable forest management activities and consolidated its acronym, after intense negotiations and pressure
from the BRICs (Brazil, China, and India), who wanted to establish an international agreement that prioritized their forests, replacing the KP, which was approaching expiry [2,3].
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Figure 1 shows the timeline of the COPs’ discussions, indicating relevant milestones to the
REDD+ discussions.
Figure 1. Timeline of the COPs’ discussions and milestones for REDD+ discussion.
Bali (COP13) began the process of structuring and identifying the constitutive objectives of REDD+ from the multilateral discussions parallel to the COPs. These discussions
culminated in the addition of new activities (“plus”) that promote the conservation and
enhancement of forest carbon stocks (e.g., forest management, extraction of non-timber
products, etc.) [4]. As for financing mechanisms, the positions of the United States and
Brazil differed—the former focused on market-based mechanisms, while the latter on
funds and donations from developed countries to developing countries, as a compensatory
policy. The social aspects and other non-carbon benefits (e.g., biodiversity) of REDD+
projects highlighted issues of land tenure [17], compliance with the prerogatives related
to Free, Prior and Informed Consultation (FPIC), dysfunctions in forest governance in the
countries, and corruption issues [4,5,18]. Concerns about the trade-offs of REDD+ have
grown in proportion to the number of new projects and programs that have emerged
post-COP13. Added to these discussions are the ideal financing model for REDD+ and
the related poverty alleviation objectives [2]. The Cancun Safeguards, created in 2010
(COP16-Mexico), established a list of principles that should guide the implementation of
REDD+ projects as a possible prerogative to mitigate the trade-offs regarding equity and
benefit-sharing identified in the mechanism. Many expectations were placed on COP15
(2009) for the definition of new GHG emission reduction targets that would keep the global
temperature increase below two degrees Celsius from 2013 to 2020. However, none of these
expectations were met. COP15 ended with the signing of the “Copenhagen Accord”, which
is not binding on the UN system. The reasons for this failure and the freezing of REDD+
negotiations on the global agenda are controversial. Post-COP15, REDD+ has experienced
obstacles both in the creation of a binding global climate agreement and in the operational
deepening of the institutional arrangements linked to REDD+, as well as the acceptance
of this mechanism within the UNFCCC [4]. Unlike the KP, whose national targets were
linked to a regulated CDM market, and well-established compliance and MRV mechanisms,
underlying the processes of accounting for emission reductions, the interruption in the
multilateral REDD+ discussions redirected the credits produced by the mechanism toward
the voluntary market and decentralization [15]. The gap in discussions about the global
architecture of REDD+ has affected the design of the institutional arrangements that should
enable its application [1]. The post-COP15 scenario shifted national REDD+ strategies
towards sub-national REDD+ strategies that dialogues with the mechanisms defined in
the Bali Plan. Social actors migrated from national agents to state and district leaders.
The Governors’ Climate and Forest Task Force (GCF), created in 2008, marks this migration
of REDD+ governance. [19]. The migration of discussions on institutional arrangements
for the climate from the UNFCCC to sub-national governments has opened a new avenue
for multilateral agreements. The decentralization and voluntarism of countries regarding
their ambitions for the climate agenda was the hallmark of the Nationally Determined
Contribution (NDC) and Article 6 in the Paris Agreement (COP21-2015) [5,20]. The same
trail follows the definition of the REDD+ architecture by the UNFCCC and the basic institutional design for the operationalization of the mechanism. These uncertainties have made
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REDD+ ambiguous and plastic, available to solve a wide range of challenges related to
forest governance [8]. REDD+ becomes, following McDermott et al. [8], a ’boundary object’,
discussed in more detail in the next section. The signing of the Paris Agreement and the
discussion of Article 6 pointed to the creation of a new regulated carbon market, which still
needs to overcome political difficulties and technical bottlenecks [5,20].
2. Theoretical Background
The REDD+ mechanism seeks to generate changes in land use and occupation in tropical forest areas, to reduce deforestation and forest degradation, and encourage sustainable
uses of the forest. The change expected in the application of the mechanism involves the
relationship established between humans and nature, whether through cultural, spiritual,
production, or regulatory relations. Considering that human relations and interactions
are mediated by institutions, the changes sought by the REDD+ mechanism move towards institutional changes. The limited understanding of institutions in the payment for
ecosystem services (PES) literature could be a significant factor in developing more robust
intervention policies, and it remains a “blind spot” in discussions on political ecology [21].
According to Douglass North, institutions are “rules of the game in a society or, more
formally, the humanly devised constraints that shape human interaction” [9] providing
formal and informal rules that regulate human interactions. Geoffrey Hodgson, in his
important article “What are Institutions?”, discusses the various concepts and ramifications
of institutional theory, and deepens North’s [22] definition by establishing that “institutions are durable systems of established and embedded social rules that structure social
interactions, rather than rules as such. Institutions are social rule systems, not simply rules”
(p. 13) [22]. Hodgson [22] stresses the importance of the interdependence between systems
of social rules, in which formal institutions depend on informal institutions, emphasizing
that institutionality created by external agents is only effective when it is incorporated into
the concrete realities of local agents. Although there is no consensus among theorists on
which analytical elements constitute institutions, concepts such as norms, laws, and formal
and informal rules are common to institutional theory. For this paper, the definition of
formal and informal rules is used according to Hodgson [11,22], with formal rules being
those that can be codified and sanctioned by some authority or set of identified social actors,
and informal rules being those that are normatively imposed by a social grouping based on
collective intentions, being customary and tacit, and therefore, often difficult to codify and
understand. Mahoney and Thelen [23] highlight the importance of power not just to define
a law, but in establishing the way in which laws are translated into rules. Considering that
PSE processes are often characterized by power asymmetry that perpetuates the persistence
of inequities, understanding the historical context, social actors involved, and governance
processes in place is key to understanding what has influenced and shaped REDD+ institutional architecture and how its environmental goods are being distributed throughout
communities [24]. Using Mahoney and Thelen’s [23] theory on patterns of institutional
change and environmental justice components [24], this article mobilize a multi-method
approach to identify the different institutional arrangements related to REDD+ projects
in Brazil, the procedural justice related to institution definition and changes (e.g., power,
representation, deliberation, and governance) [25], and its results regarding distributive
justice in those different REDD+ arrangements. Mahoney and Thelen [23] explain that,
in most cases, institutional change is incremental and related to four types of patterns:
(1) Displacement; (2) Layering; (3) Drift; (4) Conversion. In displacement, a new rule
replaces the old one. Layering introduces a new rule that acts in parallel to the existing
rule. In drift, there is a change in the political environment that generates a change in
the impact of an existing rule. In conversion, the rule remains the same but is interpreted
differently. According to the authors, in environments of extreme competition, where
the veto power of political actors is high, drift and conversion patterns of institutional
change tend to prevail [23]. The permanence of a rule depends not only on the continuity
of its application, or on the maintenance of the rule in a country’s legal framework, or in
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international agreements, but on the way it is substantiated in practice, on the interaction
between the external and internal context, and on how the rule is interpreted by the social
actors to whom it falls. Incremental institutional changes can arise from new interpretations
of the rule since written laws and agreements have flaws, blind spots, and gaps subject
to interpretation [23]. In addition, the influence of different institutional logics which
influence the results of REDD+ programs and projects must be considered [26]. The process
of creating international REDD+ agreements is a good example of these different patterns
of institutional change. REDD+ emerged in parallel to the Kyoto Agreement (layering),
as explained in Section 1.1, as a possible alternative substitution mechanism (displacement),
based on multilateral negotiations that took place within the framework of the UNFCCC.
On the other hand, the change in the political environment has led to a change in the impact
of the mechanism (drift), which has come to be interpreted differently (conversion) among
the different social actors and organizations responsible for the practical implementation of
REDD+ in the territories. In this sense, this article aims to understand the formal institutions derived from binding international agreements on the application of REDD+ under
the UNFCCC and their impact on the mechanism’s institutional architecture and design in
Brazil. The article demonstrates how these uncertainties have made REDD+ ambiguous
and plastic, as defined by Mcdermott et al. [8] as a boundary object, a new apparatus
available to solve a wide range of challenges related to forest governance. The article points
to the importance of NGOs in the Amazon, which act as institutional entrepreneurs [27]
to generate innovation and institutional change in the application of the mechanism in
different contexts. In the examples studied, NGOs acted as thinktanks and invested human
and financial resources to create institutional arrangements for REDD+ projects, including
voluntary projects.
3. Materials and Methods
The study used a mixed-methods approach to collect data [12], including open-ended
interviews by snowball sampling, literature review [13], and action research [14]. The first
step in data collection involved conducting open-ended interviews, both online and in
person, with stakeholders involved in the REDD+ agenda in the country, during the period
between 14 March 2022 and 3 April 2023. Open interviews were chosen as a mechanism for
in-depth exploration of the participants’ perceptions, experiences and views on institutional
arrangements for REDD+ projects in Brazil in the face of a variety and diversity of possible
arrangements (e.g., funding sources, institutional arrangements, ecosystem services of
interest, among others). Instead of directing the interviewee towards semi-structured or
structured responses, the researchers were interested in understanding divergent views,
deepening contradictions and co-constructing, in parallel with the current scientific literature on the subject, the first image of institutional arrangements for REDD+ projects. The
researchers defined an initial interest group for the research, which started with managers
linked to jurisdictional REDD+ projects in the states of Acre and Mato Grosso. These
managers then indicated other people of interest to be interviewed, using the snowball
technique [12]. A total of 29 stakeholders were interviewed. The snowball technique presented a bias that limited the interviews to governmental institutional arrangements and
related actors, with a low representation of indigenous institutions, and without reaching
private organizations, which were the object of interest of this research. Through this
technique, the following were interviewed: managers of Brazilian NGOs (7), government
managers (10), social movements (9), indigenous organizations (3). To reduce the bias
regarding institutional arrangements, the research focused on analysis of the literature
review, explained in more detail in the following subsection. The review provided important information, especially on institutional arrangements arising from international
agreements and discussions. The articles also provided us with a theoretical overview
of the discussions in the literature on the topic, especially with regard to the points of
analysis of the effectiveness of REDD+ projects, the conflicts related to local communities,
and the possible models of valuation of ecosystem services that would fit into REDD+.
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These two methods of data collection and analysis were still unable to reach the recent
institutional arrangements that dealt with web 3.0 technology. Little was mentioned about
voluntary REDD+ project arrangements. It was necessary to incorporate field data and
action research [14] data acquired by the researchers in the context of their work with
voluntary REDD+ projects. The researcher’s connection to networks that connect carbon
investors in the Amazon (e.g., Amazon Investor Coalition, ReFi DAO, OFP, EarthShot
Labs, Forest Base, Moss) was essential for the research on new institutional arrangements
for voluntary REDD+ projects, opening up a new network of connections that was not
available. Even with the opening of this new node of relations with Amazon investors, it
was not possible to apply the snowball technique; many of the companies did not know or
were not interested in presenting other carbon investment companies. There were even
restrictions on access to the websites of certain companies. This scenario of instability
and high competitiveness brought limitations on the scope of interviews that could be
carried out with companies involved in REDD+ projects. The variety of arrangements
and companies, in a market not yet as consolidated as that of web 3.0 methodologies for
carbon projects, directed this thesis to the analysis only of projects certified by Verra, as a
consolidated platform, which follows principles of transparency and accountability for
its projects, from the creation of a fungible currency (carbon credits, based on equivalent
avoided carbon) based on emissions reductions and removals related to the forest.
Systematic Review Methodology
The systematic review methodology was structured around the systematic review
protocol drawn up by the authors of this article (Table 1). The protocol systematized the
research context data and established research questions and indicators following the PiCo
framework (Population/Problem, Interest, Context) [13,28]. The review was carried out
in relation to the research question: What are the institutional arrangements for REDD+
projects? Table 1 summarizes the authors’ choices regarding the selection and filtering of
literature. CADIMA software, version 2.2.4.2 [28] was used to organize the metadata and
PDFs of the articles selected in the searches of the Web of Science (WoS) journal databases.
Table 1. Table of the systematic review protocol, indicating the PiCo framework and the inclusion
and exclusion variables for the selection of articles.
PICo
POPULATION: Recognition
of the institutional
arrangements that
operationalize forest REDD+
INTEREST: What are the
different institutional
arrangements related to
REDD+ projects in Brazil?
CONTEXT: Brazil, Latin
America, Tropical Forests
Inclusion Criteria
Exclusion Criteria
REDD+/REDD/REDD plus
REDD+ program REDD+
project Forest governance
Forest policy Climate
governance
REDD related to fish ecology,
REDD+ related to carbon
measurement (aboveground/
above-ground biomass),
Bio-diversity abundance
related to REDD+ (abundance
and composition of mammals,
etc), Blue Carbon (watersheds)
CDM and Kyoto mechanism,
Biodiversity benefits, REDD+
not PSE in general Books
Institution arrangements,
Safeguard, Participation.
Indigenous people ILO
Remote sense, MRV,
Agroforestry (food)
Amazon, Latin America,
South America Brazil, Review
Africa
Prepared by the authors.
Keywords in English (REDD+, REDD+ AND concept, REDD+ AND institution,
REDD+ AND history) and the “Brazil” filter were used to search for articles in WoS. A total
of 393 articles were uploaded to the CADIMA platform as .RIS files. Of these, 17 were
selected for the scoping analysis. These articles were supplemented with gray literature
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publications from thinktanks that play an important role in the conceptual construction of
REDD+ in Latin America (e.g., CIFOR, IPAM, Forest Trends, ICV, The Ea articles of interest). A total of 50 documents were analyzed, including articles, books, and book chapters,
subjected to scoping and coding in Nvivo, as well as critical analysis of the documents
and files found [13]. The articles were coded in Nvivo in two stages: exploratory coding
and systematic coding. In exploratory coding, all the articles were divided into broad
categories. The doc coding of the articles resulted in 11 codes. In the second stage, the codes
themselves were analyzed to identify the key information for the six groupings mentioned
in the previous section: (1) levels of governance, (2) ownership of the SE, (3) type of SE
evaluated, (4) financial models, (5) methodologies for measuring results, (6) safeguards
and benefit sharing. These analyses were augmented by the transcription and coding of
30 unstructured interviews conducted online and in person between January and December
2022, and by action research [28] of the Amazon Regenerative Frontiers Research Group
(Instituto Fronteiras/UFAC-Floresta) during the process of developing REDD+ actions in
the context of the Upper Juruá basin.
4. Results
REDD+ Typologies
The institutional typologies of REDD+ projects in Brazil have varied greatly since
their inception. Although most of the articles analyzed focus on the analysis of one or
other REDD+ typological conditions, this session tries to reconstruct, based on categories
and typologies that organize the institutional arrangements that constitute the architecture and design of REDD+ projects [1,2], the typology of institutional arrangements for
REDD+ projects in Brazil, combining elements from the systematic review, action research,
and interviews. The challenge of this effort was to organize the institutional arrangements
built up over the history of the mechanism, as well as recent innovations in the field of
PES and nature-based solutions. Another challenge, of a conceptual nature, was to fit the
different recent types of PES into the REDD+ framework. The article focuses on describing
the acronym and its ultimate goal of reducing deforestation and forest degradation as a
heuristic way of framing the typologies of institutional arrangements that have not yet
been systematically described in the literature, especially the new Web 3.0 market models.
Figure 2 seeks to compose the typologies associated with REDD+ in Brazil. Some elements
of the figure were derived from the analysis of the articles selected by the systematic review, others from action research and interviews on the REDD+ mechanism, with a focus
on Brazil.
Figure 2. REDD+ typologies in Brazil (Source: prepared by the authors).
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In terms of levels of governance, REDD+ projects can be national, international, or subnational, the latter of which the literature considers includes private and local projects. Some
authors also call national and sub-national projects “jurisdictional” [15,19,29]. In Brazil,
this term is used especially for projects run by state governments, although use of this
name is not yet a consensus in the literature analyzed. Jurisdictional projects can go beyond the jurisdiction of the state, linking another geographical category, such as the basin,
although this has not yet happened in Brazil. The “nested” category represents projects
that integrate jurisdictional and project strategies, with different perspectives, and with
many doubts about how it can be operationalized. Verra, a certifier of REDD+ projects
for voluntary markets, has created a specific certification called the “VCS Jurisdictional
and Nested REDD+ Framework”, which aims to integrate “project-level REDD+ activities”
with a “government-led program”, created based on consensus on the reference levels of
emissions and shared methodology, using the Verra system of registration and independent
auditing. In the literature, the financing mechanism for this governance category is often
confused. Although “government-led programs” mainly receive grants from bilateral or
multilateral arrangements, it does not impede projects in state areas (e.g., protected areas)
to receive private funding, even if this is not yet common practice in REDD+ projects.
In Brazil, multilateral investments and funds (e.g., Global Environmental Facility—GEF,
Green Climate Fund—GCF) are normally the finance model for jurisdictional projects,
such as the REDD+ for Early Movers (REM)’s program provided by the Acre and Mato
Grosso state governments that was initially financed by German bank BMZ and operated in
partnership with NGOs (e.g., ICV, PCI, CPI- Acre, IPAM, WWF, CI, FUNBIO), cooperation
companies (e.g., especially GIZ—Deutsche Gesellschaft für Internationale Zusammenarbeit), and government agencies (e.g., FUNAI, SEMAs). Safeguards and benefit sharing
interact with aspects of governance. Problems exist related to inefficiency in FPIC processes, lack of transparency or vagueness about benefit-sharing policy, legal insecurity for
communities regarding their permanence in the territory as a driver of food insecurity,
intensification of internal community conflicts, co-optation of community leaders by local
elites, and permanence of colonial power structures, among others [30–32]. The local negative impacts generated by the implementation of REDD+ projects refer to the mitigation
principles set out in the Cancun Safeguards, and to mechanisms identified in local contexts
as follows: compliance with national laws; respect for the knowledge of indigenous peoples
and traditional communities; compliance with international and national declarations;
“full and effective” stakeholder participation; the involvement of local communities in
decision-making, the need for benefit-sharing, and the possibility of establishing clear
and reliable local arrangements between entrepreneurs and communities as a requirement
for the permanence of REDD+ results [8,32]. These programs have managed to generate
important institutional changes to the inclusion of indigenous peoples [11], from the design
of the program to the creation of instances of social participation for multi-stakeholder
decision-making, such as CEVA (State Commission for Validation and Monitoring of SISA)
and the Indigenous and Women’s Thematic Chambers of REM-AC, in addition to extensive
FPIC processes, which included support for the structuring of indigenous representative
associations, such as FEPOIMT (Federation of Indigenous Peoples of Mato Grosso) in
REM-MT, and the creation of indigenous affairs secretariats linked to the organizational
structure of the state government. These programs have managed to overcome some aspects of the path-dependence of the institutions in place, creating a process of institutional
change at the sub-national level [11]. In addition to the changes in state legislation to
include payment for environmental services programs (Law No. 2.308/2010 SISA/AC
and Law No. 5.235/2018 PESA/MT), there has been the creation of social participation
spaces for collective decision-making, where local social actors, state agents, financiers,
and NGOs meet, in an attempt to overcome the trade-offs of the multi-level governance
characteristic of REDD+. In addition, the inclusion of local actors right from the design
of the project seems to have generated relevant results for the legitimacy of the program,
as well as democratic gains in the socio-environmental agenda of the states mentioned,
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according to the reports of the interviewees. The inclusion of indigenous peoples in the
decision-making process of these programs was an undeniable innovation. For the first
time in Acre’s history, a secretariat for indigenous affairs was created, and in MT, a superintendence for indigenous affairs (State Decree No. 480/2020). Recently, a new public-private
arrangement for financing jurisdictional programs based on public areas that mobilize
private investment has emerged, the so-called LEAF (Lowering Emissions by Accelerating Forest Finance) Coalition. The LEAF Coalition presented the ART/TREES standard
in Glasgow (COP26), aiming to certify avoided carbon emissions from jurisdictions that
have signed the LEAF agreements, so that their carbon equivalent verified emissions (e.g.,
TREES—The REDD+ Environmental Excellence Standard) can be sold to private entities to
meet their voluntary targets based on their ESG (Environment, Social, and Governance)
agendas. The states of Amapá, Amazonas, Mato Grosso and Pará have already signed the
letter of intent to join the LEAF Coalition and to use the ART Registry (Architecture for
REDD+ Transactions Registry). However, the issue of both private projects and private
financing of public projects and areas are still a stumbling block in discussions on REDD+.
Who owns the ecosystem service (SE) in place is the subject of a relevant discussion on
governance and measurement methodologies [29,33,34]. Issues related to land tenure were
among the most discussed in the articles found in the systematic review. The mainstream
argument is that land ownership drives ecosystem service property rights and, therefore,
defines who benefits financially from the SE. However, the argument does not stand in
cases where ownership of the resource is not clear or even when it is in dispute. Examples include private projects in Indigenous Lands or Conservation Units [34,35] or any
another collective areas in use that do not have a clear land tenure definition (e.g., Acre’s
rubber tappers territories, open access areas, such as non-designated government areas,
etc). In Brazil, land tenure issues are responsible for violent conflicts all over the Amazon
region [21]. The complexity of land tenure policy and occupation in Brazil dates back to
colonial times, with military dictatorship, and entails great complexity in environmental
governance approaches [30,36]. The discussion is beyond the scope of this article, but we
suggest referring to [21] for more details on this matter. The methodologies for measuring
REDD+ results are divided into cap-and-trade, programmatic stock flow, and web 3.0
methodologies [15,19,29,37,38]. The first is linked to REDD+ projects aimed at voluntary
or regulated markets, the second to mechanisms for measuring results at the state level,
and the third to new mechanisms using artificial intelligence, metaverse, NFTs, cryptoassets,
apps, crowdsource, and other technological contributions. In summary, the cap-and-trade
methodology uses a reference target area as control to measure the deforestation rate over
time in a business-as-usual scenario. A REDD+ project has to prove it has avoided planned
or unplanned deforestation and forest degradation depending on the carbon reduction
methodology adopted by the project. In Brazil, the voluntary carbon market is mainly
settled according to the Verra standard, which adopted cap-and-trade as the main carbon
measurement methodology. This research found that almost ninety percent of all private
carbon projects in Brazil use Verra standard bases. Verra is a non-profit private organization
from California that creates carbon standards that can be used to take part in the California and European Union regulated carbon market. In Brazil, the VM0007 and VM0015
Verified Carbon Standard (VCS) methodologies are the most used in REDD+ projects’
certification process (AFOLU—Agriculture, Forestry and Other Land Use). Although,
these regulated markets prohibit the use of Verified Emission Reduction Ton (VERT) from
AFOLU projects [15], what has significantly impacted the carbon equivalent price of these
projects is that private enterprises in Brazil manage to sell their VERT in voluntary markets.
The programmatic stock-flow methodology was developed in 2011 by IPAM (Instituto
de Pesquisa Ambiental da Amazônia) researchers [19,29]. The proposal was initially created
for the Carbon Environmental Services Incentive Program program (ISA Carbono) in Acre
and has been adopted by other jurisdictional programs related to the REM arrangement.
This methodology measures both the past impact (stock) of avoided deforestation and
forest degradation, along with the current rate (flow) of deforestation within a specific
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jurisdiction. By comparing these metrics to the national deforestation baseline over a
defined period, it facilitates the development of a feasible results-based payment scheme
for jurisdictional REDD+ projects. Web 3.0 methodologies and blockchain technology
are more difficult to identify, analyze, and even classify as REDD+. Some examples of
crowdsource methodology for reforestation projects (Open Forest Protocol) or standing
forest maintenance (AtomicFund, ForestBase), with financing in crypto-assets, especially
Ethereum, and NFTs, as well as strategies for using metaverse technology, are populating
the climate market. The World Bank sees in this new technological frontier a great opportunity to reduce the trade-offs related to multi-level governance related to the mechanisms
that make up the climate agenda [37,38]. These methodologies adopt unique approaches
to financing forest conservation. AtomicFund, for instance, utilizes a projected replica
of the real forest within the metaverse to attract funding for protecting the actual forest.
The Open Forest Protocol, on the other hand, provides direct financial support for reforestation projects. Their app serves as a tool for measuring the effectiveness of these
replanting efforts. Another example is ReFi DAO (Regenerative Finance Decentralized
Autonomous Organization), a community-oriented organization that uses decentralized
finance (DeFi) to finance regenerative projects, involving around 75 organizations, with diverse investment interests (harvesting, seeding, nurturing, growing) in the carbon market,
distributed across all continents. The diversity of arrangements, business models, institutionalities, countries and interests, highlights the size of the proportion that the carbon
market can take, especially from the perspective of web 3.0 methodologies. Financial
models for REDD+ show significant convergence with governance levels and outcome
measurement methodologies. In this context, the terms “public” and “private” are defined
based on the funding organization rather than the recipient of the funds. In many cases,
the analyzed papers connect projects in designated public areas (e.g., Indigenous Lands)
to financial models involving multilateral funds or state-led financing, although this is
not always the case (e.g., Suruí Carbon Project). Private financing models include private
donation funds, revenues from the sale of SE, and funds derived from the web 3.0 market.
Private projects are not well represented in the systematic review papers, so gray literature, standards reports (e.g., Verra, Gold Standard), and action research were crucial for
understanding the system behind private projects. The nomenclature surrounding these
projects is also somewhat controversial. In Brazil, these projects are referred to as REDD+
offset, in reference to REDD+ cap-and-trade projects, or voluntary REDD+, but typically
refer to private projects that are not state-driven. Finally, issues related to safeguards and
benefit sharing, although included in one category, are cross-cutting aspects for REDD+
projects and programs, and concern aspects of equity related to transparency, social sharing,
and decision-making, sharing benefits both between countries and between entrepreneurs,
governments, and communities [6] and will be further discussed in the next section.
5. Discussion
The current uncertainty about what a REDD+ mechanism actually means, in terms
of safeguard and benefits sharing, measurement methodologies, ecosystem services type,
ecosystem services ownership, governance level, financial models, and governance levels,
has to do with how the REDD+ institutional arrangement process took place over time.
With the final date of the Kyoto Protocol as the horizon, in an environment of high competitiveness to establish a new climate agreement backed by the UNFCC, countries in the global
south, holders of tropical forests, sought to create REDD+ as an alternative arrangement
that could provide financial resources to protect its forests. However, considering that “UNFCCC only nation-state are the only delegates with voting power” [25], in situations of high
competitiveness where the veto power of political actors is high, patterns of drift and conversion of institutional change tend to prevail. Although the global south sought a REDD+
architecture as a “layering” process over the Kyoto Protocol, created by the Coalition for
Rainforest Nations (CfRN) as a parallel mechanism to the existing Clean Development
Mechanism (CDM), REDD+ has not been accepted as a binding mechanism under the
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UNFCCC climate change mitigation umbrella at COP15 as expected. The failure of the
“Copenhagen Accord” and the lack of a binding global climate agreement has deepened the
controversial institutional arrangements for REDD+, reflected not just internationally but
at national levels as well. A change in the international political environment (e.g., REDD+
withdrawn in “Copenhagen Accord”) generated an adjustment (drift) and conversion in
the REDD+ rule. This generated ambiguities in the understanding of the rule (“gaps”),
in the sense of possible institutional arrangements for REDD+, which opened a space
for interpretation regarding its application, stimulating incremental institutional change
towards drifting and conversion processes, as explained by Mahoney and Thelen [23]. The
drift process was reflected in the diversity of governance arrangements created for the
REDD+ mechanism in a multilateral context that surpassed UNFCCC binding climate
agreements. Without a clear direction from UNFCCC, national states and local jurisdictions launched their own concepts regarding REDD+ institutionalization, creating bilateral
agreements to encounter climate goals using jurisdictional REDD+ programs even without
UN presence and support. The REM-Acre and REM-Mato Grosso are programs born as a
result of the UN binding climate change agreement drifting process. In the same move, the
voluntary REDD+ market appeared as a different rule interpretation, converting an initial
state-focused arrangement into a market-driven mechanism, that recalls some aspects of
the initial REDD+ idea, but includes diverse possibilities in terms of ecosystem evaluation,
methodology, finance arrangement, and so on. The emergence of web 3.0, crowdsourcing
and cryptoactive technologies, has presented new possibilities for reinterpretation and
conversion of REDD+ institutional arrangements. However, the absence of a binding international mechanism has changed the scope of REDD+, broadening the possibilities for its
application and acceptance as a “boundary object”. REDD+ continues to grow, albeit slowly,
in the absence of international agreements and despite the instability of national programs.
The expansion of REDD+ to decision-making levels that were previously peripheral to the
climate agenda (e.g., sub-national and local) may have brought about important changes,
not only in the architecture of the mechanism but also in the revision of the design of
climate governance, as shown in Figure 3.
Figure 3. Difference between the scales of action of climate agreements in the environment without
REDD+ (blue) and with REDD+ (red) (Source: Prepared by the authors).
Despite international agreements, REDD+ has created room for sub-national and international organization cooperation (e.g., REM) as well as local and international ones (e.g.,
voluntary REDD+). In certain ways, REDD+ in a place of “boundary object” opens possibilities to diminish the distance between other decision spheres, shortening the decisionmaking process and reducing the influence of top-down decisions in defining institutional
arrangements compared to CDM. The new institutional arrangements emerging from
REDD+ have improved multi-level synergies by linking community (bottom-up) and state
government (top-down) institutional arrangements in the search for positive results to
maintain the forest. Jurisdictional REDD+ programs in Brazil are heavily influenced by
international government founders who emphasize procedural justice [24] in terms of democratic governance instruments as a precondition for continued support. “Due diligence”
processes are fostered by governments, ensuring transparency, participation, and equitable
benefit sharing. These programs encourage the inclusion of NGOs, social movements,
and frontline communities (e.g., indigenous people, traditional communities, minorities,
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and poor communities) [25] in the political arena, aiming to create a more transparent and
accountable system. This can be interpreted as an attempt to mitigate power imbalances in
land-use decisions, particularly regarding the rural elite lobbying for land conversion from
forest to cattle ranch or soy bean production, especially in the Amazon. To achieve equity
and address historical imbalances, jurisdictional REDD+ programs require FPIC at the
initiation of the process. This ensures the extensive participation of civil society, particularly
those with a proven track record of forest protection, such as indigenous peoples and traditional communities. The goal is to empower civil society by guaranteeing their inclusion in
all program development phases alongside government agencies. However, even though
environmental governance for the REDD+ program has increased in ways to assure and
enforce participation in decision-making processes, there is a concern about procedural
justice, which is “the ability to participate in and influence decision-making processes”
(p. 38) [25]. Data from interviews suggest that jurisdictional programs are susceptible to
change during electoral cycles, similar to many public policies contexts. This can lead to the
dismantling of established due diligence procedures. The interviews also revealed instances
of resource misuse (e.g., REDD+ funds used for road construction), low transparency and
accountability. Reports indicate potential geographical bias in program implementation,
regarding participation and benefits distribution focusing on areas near state capitals and
favoring groups aligned with the current administration [24]. Additionally, concerns exist
about the lack of robust outcome indicators to measure the program’s effectiveness on
deforestation and fire reduction rates, forest permanence, additionality, leakage (PAV),
and double carbon counting problems. The difficulty of measuring the impact of public
policies is a recognized challenge in the political science literature [23]. Providing spheres
of participation and governance structures that consider councils and facilitate benefits
sharing dialogue does not represent a real change in environmental justice in terms of
justice distribution [24]. Procedural justice elements have to be considered in order to
translate participation into meaningful engagement. Difficulty in accessing documents
that report jurisdiction program expenses and investments, board meeting minutes, or
reports about carbon and non-carbon indicators and outcomes, meant that the article’s data
analysis and discussion had to rely on interviews with social actors, secondary data reports
from NGOs, and published articles, reducing the potential accuracy of the jurisdiction
REDD+ analysis.
By contrast, voluntary REDD+ projects’ transparency efforts were higher. For these,
it was standard to provide all project documentation in English, available for download
on project websites.This passive transparency was important to acquire more information about these projects. Audit reports were extremely important to understand project
deficiencies and their need to improve, although report quality in terms of data collection robustness and analysis varied enormously. The interviews and articles examined
highlighted concerns about safeguards compliance in terms of procedural justice, benefit
sharing, and participation. Currently, these projects are identified as lacking FPIC processes,
social participation, and benefits sharing. As market-driven projects, due diligence processes regarding deforestation leakage, forest permanence, and human rights indicators are
tied to projects’ finance accomplishments. If the carbon price goes down, the monitoring,
evaluation and report process of these projects suffers. The research suggested that voluntary REDD+ programs often face limitations in achieving a power equilibrium between
investors and local stakeholders. Investors might be wary of sharing information freely
due to concerns about trust and misuse. While standards mandate public access to project
documentation, this transparency does not always translate into meaningful changes to
improve project practices. Four main limitations are apparent as follows: (1) language barriers, (2) limited understanding of REDD+ mechanisms, (3) limited participatory approaches;
and (4) variable audit quality. Firstly, project documents are often in English, creating a
knowledge gap for local social movements in Brazil. Effective participation requires skills
in content evaluation, report production, and English fluency, which may not be readily
available at the local level. Even though some documents are translated from English to
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Portuguese, there is little concern about the literacy level of the frontline communities,
and lack of attention to cultural constraints affecting understanding.
Secondly, successfully navigating the program requires comprehension of REDD+
project structures and specific standard evaluation processes. This includes knowledge
of third-party audit schedules, their role in monitoring compliance, and how they suggest modifications based on project results, stakeholder interviews, and on-site monitoring. Thirdly, concern has been raised about frontline communities participation in
REDD+ voluntary projects. FPIC processes are required for standards acceptance of
the project. However, consent that “grants some power and authority to communities in the decision-making” normally translates into consultation “only requires sharing
information” [25]. The lack of an external body that can exercise significant power over
project finance, management, and the development process, in comparison with jurisdictional REDD+, reduces the potential for voluntary REDD+ projects to improve participation
towards achieving procedural justice. Fourth, the project report heavily relies on the auditing company’s institutional policies and thoroughness in analyzing facts. While these
companies undergo certification and regular evaluations, the quality of their reports can
vary significantly, potentially affecting the standard’s final project assessment. Improvement in standard methodologies and minimum standards for third-party consultancy
companies report quality may be possible solutions for improving outcomes regarding due
diligence mechanisms for procedural justice.
6. Conclusions
As the end of the period of application of the Kyoto Protocol approaches, countries in
the global south with tropical forests will come together to create an alternative mechanism
that could meet the demand for mitigating greenhouse gases through the maintenance
of tropical forests. REDD+ appears as a possible supplementary mechanism to the CDM.
Although the CfRN has strived over the years to approve REDD+ as a binding mechanism
at the UNFCCC level, the Copenhagen Agreement (COP15) ended up not including it
as a UN mechanism. The lack of a binding multilateral mechanism has made REDD+ a
boundary object whose meaning, concepts, and arrangements are defined in the concrete
operationalization of each project’s activities. This has been a driving force behind the
emergence of different institutional arrangements linked to the mechanism. This generated
a process of drifting and conversion of the initial proposal designed for the mechanism,
which resulted in a multiplicity of institutional arrangements that are considered within the
REDD+ umbrella. Currently, REDD+ projects vary according to six types of institutional
arrangement that are combined in different ways: (1) safeguards and benefits sharing, (2) financial models, (3) measurement methodologies, (4) ecosystem service type, (5) ecosystem
service ownership, and (6) governance levels. All are considered in this article, detailing
jurisdictional and voluntary REDD+ projects in terms of procedural justice in environmental goods distribution [24]. Although these advances have generated a feeling of greater
socio-environmental justice in REDD+ projects, their real impact on the well-being of frontline communities that depend on the forest as the territory of their material and immaterial
existence is controversial. There is still a lot of progress to be made in reflecting on the
institutional arrangements that can best serve the reality of tropical forests and their peoples.
The withdrawal by the state or the market in order to restrict the open access to which
tropical forests are subject is evident in the documents analyzed. Multilevel governance
poses the challenge of creating decision-making and social participation arrangements in
the face of the multiplicity of actors involved in these projects, from the international to the
local level. Lack of transparency in jurisdictional programs has impeded the production of a
more accurate analysis of outcomes and impact regarding programs’ effectiveness in terms
of deforestation and fire reduction rates, forest permanence, PAV indicators, and double
carbon counting problems. By contrast, passive transparency is high in voluntary REDD+
projects, as the standards require information sharing for third-party accountability. Interview data and article review presented an acute problem regarding safeguards required in
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terms of FPIC, participation, and benefits sharing. The lack of an external body that can
exercise significant power over project finance, management, and development processes,
in comparison with jurisdictional REDD+, reduces the voluntary REDD+ possibilities
to improve participation towards procedural justice. Differences in voluntary standard
methodologies and accountability regarding FPIC and social participation, and lack of a
benefits sharing body that can exercise significant power over project finance, management,
and development processes, in comparison with jurisdictional REDD+, reduces the voluntary REDD+ possibilities to improve participation towards procedural justice. Standard
methodology improvement and requirements for a robust audit process may improve
outcomes regarding due diligence mechanisms for procedural justice. Further research
should include a systematic analysis of due diligence mechanisms for procedural justice of
all existing voluntary REDD+ project standards. More research is needed to understand
how jurisdiction REDD+ programs actually impact frontline communities with regard to
benefit sharing, forest permanence, additionality, and double carbon counting problems.
Author Contributions: Conceptualization, K.S.-D.; methodology, K.S.-D. and C.B.-R.; software,
K.S.-D.; validation, P.S.; formal analysis, K.S.-D. and C.B.-R.; investigation, K.S.-D.; resources, K.S.-D.;
data curation, K.S.-D.; writing—original draft preparation, K.S.-D.; writing—review and editing, P.S.,
K.S.-D. and C.B.-R.; visualization, P.S.; supervision, P.S.; project administration, K.S.-D.; funding acquisition, P.S. and K.S.-D. All authors have read and agreed to the published version of the manuscript.
Funding: This research was funded by CAPES and Instituto Fronteiras.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Data are contained within the article.
Conflicts of Interest: The authors declare no conflicts of interest.
Abbreviations
The following abbreviations are used in this manuscript:
PES
UNFCCC
COP
REDD+
PAV
NGO
CDM
KP
CER
MRV
CfRN
VCS
Payment for ecosystem services
United Nations Framework Convention on Climate Change
Conference of the Parties
Reducing Emissions from Deforestation and Forest Degradation
Permanence, additionality, and leakage
Non-governmental organization
Clean Development Mechanism
Kyoto Protocol
Certified Emission Reduction
Monitoring, verification, and reporting
Coalition for Rainforest Nations
Verified Carbon Standard
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