Este informe profesional se basa en el análisis de la experiencia laboral del autor durante el desarrollo del Plan de Implementación de la Declaración Conjunta de Intención entre Perú, Noruega y Alemania, en el período 2017 a 2019. El Plan fue presentado por el Programa Nacional de Conservación de Bosques para la Mitigación del Cambio Climático, en el Ministerio del Ambiente, a la cooperación internacional noruega como propuesta de política pública para reducir las tasas de deforestación y degradación de la selva amazónica y desarrollar un mecanismo REDD+ en Perú. El análisis de este proceso utilizó técnicas de las ciencias sociales centradas en un enfoque etnográfico de las organizaciones e instituciones; complementado con la teoría de juegos para comprender la negociación de acuerdos internacionales y el comportamiento de los actores encargados de llevar a cabo las reformas de política pública. El estudio también incorpora una revisión de la literatura sobre la crisis climática y los testimonios de actores clave durante el período en cuestión para reflexionar sobre la dificultad de implementar reformas urgentes en el Perú, como las / This professional report is based on the analysis of the author’s work experience during the development of the Implementation Plan for the Joint Declaration of Intent between Peru, Norway and Germany, considering the period 2017 to 2019. The Plan was presented by the National Forest Conservation Program for Climate Change Mitigation, Ministry of the Environment, to the Norwegian international cooperation as a public policy proposal to reduce the rates of deforestation and degradation of the Amazon forest and develop a REDD+ mechanism in Peru. The analysis of this process used social science techniques centered on an ethnographic approach to organizations and institutions; complemented by game theory for understanding the negotiation of international agreements and the behavior of actors charged with carrying out public policy reforms. The study also incorporates a review of the literature on the climate crisis and the testimonies of key actors during the period in question in order to reflect on the difficulty of implementing urgent reforms in Peru, such as those associated with mitigating climate change and reducing deforestation.

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La situation de la forêt tropicale dans les pays en développement en général, et en République Démocratique du Congo (RDC) en particulier, est inquiétante. Les émissions de dioxyde de carbone dues au déboisement sont de l’ordre de 1,6 GtCO2e/an, soit 17% des émissions mondiales de « gaz à effet de serre ». Sous l’égide de la Convention-cadre des Nations Unies sur les changements climatiques, le REDD+ a été institué pour lutter contre cette déforestation et la dégradation des forêts. Cette étude examine les différentes opportunités qu’offre ce programme pour l’aménagement écosystémique du couvert forestier de la RDC et les obstacles contextuels à sa mise en oeuvre. Pour la RDC, le REDD+ présente un certain nombre d’opportunités : réduction des émissions liées au déboisement et à la dégradation des forêts; amorce des travaux d’afforestation et de reforestation par une gestion durable des ressources conduisant à la création des emplois et favorisant la croissance des PIB et des exports; accroissement du rendement et maintien d’une plus grande couverture des besoins alimentaires. Le REDD+ peut favoriser la croissance du Produit intérieur brut agricole. Il peut contribuer à l’électrification des ménages et réduire de moitié les dépenses des ménages dépendant de l’exploitation minière et des hydrocarbures et, ainsi, générer des milliers d’emplois en infrastructures. Pour les populations locales et autochtones, il peut contribuer aussi à protéger et à valoriser les cultures liées à la forêt. Mais, face aux pesanteurs d’ordre juridique, politique, social, économique, technologique et culturel caractéristiques de ce pays, ces opportunités risquent d’être amenuisées, sinon annihilées. Étant donné que l’essentiel du déploiement du dispositif du REDD+ se réalisera dans les zones rurales congolaises, l’obstacle majeur reste le droit coutumier. La solution serait d’harmoniser les exigences et finalités du REDD+ non seulement avec le Code forestier de 2002 et ses mesures d’exécution mais aussi avec le droit coutumier auquel les communautés locales et autochtones s’identifient. / The situation of the rainforest in developing countries in general and the Democratic Republic of Congo (DRC) in particular is worrying. Emissions of carbon dioxide from deforestation are about 1.6 GtCO2e/an, or 17% of global emissions of "greenhouse gases". Under the auspices of the UN Framework Convention on Climate Change, REDD+ has been established to fight against the deforestation and degradation of forests. This study examines the different opportunities offered by the program for ecosystem-based management of forest cover in the DRC and contextual barriers to its implementation. For the DRC, REDD+ has a number of opportunities: reducing emissions from deforestation and forest degradation; work begins afforestation and reforestation for sustainable management of resources leading to job creation and promoting the growth of GDP and exports, increased yield and maintaining greater food needs. The REDD+ can promote the growth of the agricultural gross domestic product. It can contribute to the electrification of households and halve spending dependent on mining and oil and thus generate thousands of jobs in infrastructure. For local and indigenous communities, it can also help to protect and promote the cultures associated with the forest. But, faced with the burdens of legal, political, social, economic, technological and cultural characteristics of the country, these opportunities may be diminished, if not annihilated. Given that most of the deployment of the REDD+ will happen in Congolese rural areas, the major obstacle is the customary law. The solution would be to harmonize the requirements and objectives of REDD+ not only with the Forest Code of 2002 and its implementing rules but also with the customary law which local and indigenous communities identify.

As mudanças nas políticas públicas ambientais que ocorreram a partir da década de 1990 têm levado comunidades tradicionais a trilharem novos caminhos na busca da adequação aos paradigmas contemporâneos de produção, renda e legalização ambiental. Neste contexto, passa a ser adotado um modelo de manejo florestal comunitário introduzido por agentes externos às comunidades. Este modelo tem sido objeto de avaliações econômicas que apontam para a inviabilidade financeira dos projetos, a despeito de outros benefícios sociais e ambientais. Os objetivos desta tese foram: analisar os desafios vivenciados pelas comunidades tradicionais para se adequarem às novas políticas ambientais e avaliar os resultados de projetos de manejo comunitários em relação aos meios de vidas de seus protagonistas. Será o modelo introduzido manejo florestal viável? Quais os resultados que os projetos que adotaram este modelo alcançaram em relação aos meios de vida? A tese compreende quatro estudos de casos, apresentados em capítulos. As análises e avaliações dos projetos foram realizadas utilizando-se como marco analítico os \"meios de vida sustentáveis\" (capital humano, social, físico, financeiro e natural). O levantamento de dados foi realizado por meio dos métodos de entrevistas, diálogo mediado pela floresta, pesquisa documental e observação participante. Os dados foram analisados com base em análise interpretativa, triangulação de dados, estatística descritiva, análise de variância e testes de médias. O primeiro estudo de caso analisou o projeto de manejo florestal de uma associação comunitária, no município de Boa Vista do Ramos - AM, no seu trajeto de organização social até a obtenção da licença ambiental e da certificação florestal. O segundo estudo, comparou os resultados advindos da extração de madeira entre extratores que desenvolveram projetos de manejo florestal, com os resultados daqueles que permaneceram praticando a extração ilegal de madeira. O terceiro e o quarto estudos de caso foram desenvolvidos na Reserva de Desenvolvimento Sustentável Mamirauá (RDSM). Um avaliando os resultados do manejo florestal comunitário e outro avaliando resultados de um esquema de REDD+ denominado Programa Bolsa Floresta, ambos em relação aos meios de vida de seus protagonistas. Os resultados gerais da pesquisa indicam que o modelo introduzido manejo florestal não se apresenta, ao menos sem um forte suporte externo, como um meio de vida sustentável para as comunidades tradicionais. O capital natural mostrou os melhores resultados e o capital financeiro, os piores. Os resultados indicam um viés das políticas públicas florestais a favor da conservação ambiental em detrimento da produção florestal. Em relação específica ao esquema de REDD+, os moradores da RDSM não o identificam como um mecanismo que contribui com o capital natural, porém, há uma percepção de melhorias relativas aos outros capitais. Conclui-se que: para o manejo florestal comunitário tornar-se um meio de vida sustentável, devem ser centrados esforços em questões de educação e capacitação das populações e valorização dos conhecimentos tradicionais (capital humano); fortalecimento das redes sociais/institucionais e estímulo à participação efetiva (capital social); maior autonomia, equidade e projetos de geração de renda (capital financeiro); para além de projetos que visem prioritariamente à conservação ambiental (capital natural). / Changes in environmental policy that have occurred since the 1990s has led traditional communities to tread new paths in search of adaptation to contemporary paradigms of production, income and environmental legalization. In this context, starts to be adopted a model of community forestry introduced by external agents to communities. This model has been the subject of economic evaluations that link to the financial unfeasibility of projects, regardless of other social and environmental benefits. The objectives of this thesis were: analyze the challenges experienced by traditional communities to conform to new environmental policies and evaluate community management projects in relation to the livelihoods of its protagonists. Is the introduced forest management model viable? What results the projects that have adopted this model have achieved in relation to the livelihoods? The thesis comprises four case studies presented in chapters. The analysis and evaluation of the projects were carried out using the \"sustainable livelihoods framework\" (human, social, physical, financial and natural, capitals). The survey was conducted through interviews, forest mediated dialogue, documental research and participant observation. Data were analyzed using interpretative analysis, triangulation, descriptive statistics, analysis of variance and tests for difference of means. The first case study examined the forest management project in a community association, in Boa Vista do Ramos county, Amazonas state, in their path of social organization to obtain the environmental license and forest certification. The second case study compared the results derived from logging between extractors that developed forest management projects, with the results of those who remained practicing illegal logging. The third and fourth case studies were developed within the Mamirauá Sustainable Development Reserve. One evaluating the outcomes of community forest management and other evaluating the outcomes of a REDD+ scheme, called Bolsa Floresta Program, both in relation to the livelihoods of its protagonists. The overall results of the survey indicate that the introduced forest management model does not present itself, at least without strong external support, as a sustainable livelihood for traditional communities. The natural capital showed the best results and financial capital, the worst. The results indicate a bias of forest policy in favor of environmental conservation at the expense of forest production. In specific relation to the REDD + scheme, residents of RDSM not identify it as a mechanism that contributes to the natural capital, however, there is a perception regarding other capital improvements. It is concluded that for the community forest management become a sustainable livelihood, efforts should be focused on issues of education and empowerment of people and appreciation of traditional knowledge (human capital); strengthening social / institutional networks and encouraging effective participation (social capital); greater autonomy, equity and income generating projects (financial capital); in addition to projects that aim primarily to environmental conservation (capital natural).

Submitted by Ricardo Camacho (rscamacho@ufpa.br) on 2018-04-24T19:58:37Z No. of bitstreams: 2 license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) Dissertacao_IndicadoresSustentabilidadeFerramentas.pdf: 7087421 bytes, checksum: e16fcab63d8a45b516ee6c8d0c841466 (MD5) / Approved for entry into archive by Ricardo Camacho (rscamacho@ufpa.br) on 2018-04-24T19:59:26Z (GMT) No. of bitstreams: 2 license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) Dissertacao_IndicadoresSustentabilidadeFerramentas.pdf: 7087421 bytes, checksum: e16fcab63d8a45b516ee6c8d0c841466 (MD5) / Made available in DSpace on 2018-04-24T19:59:27Z (GMT). No. of bitstreams: 2 license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) Dissertacao_IndicadoresSustentabilidadeFerramentas.pdf: 7087421 bytes, checksum: e16fcab63d8a45b516ee6c8d0c841466 (MD5) Previous issue date: 2011-11-03 / As elevadas taxas de desmatamento e degradação florestal na Amazônia – em especial no Estado do Pará – têm constituído um dos maiores desafios do Estado Brasileiro ao alcance do “meio ambiente ecologicamente equilibrado”, previsto em Constituição, bem como ao cumprimento de metas globais de redução de emissões de gases de efeito estufa, em observância ao contexto das Mudanças Climáticas. Dada a insustentabilidade do modelo vigente, ganha força o processo de instauração de uma nova lógica, cujo um dos componentes é a valorização de serviços ambientais prestados pela Natureza, como forma de associar economia e meio ambiente, por meio da aplicação do princípio da Sustentabilidade. Neste sentido, destaca-se o mecanismo de Redução de Emissões por Desmatamento e Degradação Florestal – REDD, que tem ganhado espaço nos últimos anos, inclusive no âmbito da Convenção-Quadro das Nações Unidas sobre Mudança do Clima, como uma possível alternativa a aliar dividendos econômicos e conservação ambiental, em prol do desenvolvimento local de grupos sociais mantenedores de áreas de floresta. Mesmo não dispondo de um marco legal específico nos contextos internacional, nacional e estadual, e tecnicamente em franco processo de construção, experiências de REDD têm iniciado e já são realidade em países em desenvolvimento com grande potencial florestal, como o Brasil. Em atenção à fragilidade desta conjuntura, buscou-se propor um conjunto de indicadores de sustentabilidade em quatro dimensões – ambiental, econômica, social e institucional – objetivando contribuir com uma metodologia básica para balizar tecnicamente a tomada de decisão do Estado quanto à implantação de projetos REDD, com vistas à eficiência de projetos dessa natureza e à maior participação do Estado enquanto agente promotor do desenvolvimento. / The high rates of deforestation and forest degradation in the Amazon, especially in the State of Pará, have been one of the biggest challenges for Brazil to reach the "ecologically balanced environment" provided by its Constitution, as well as the country to meet targets for reducing global emissions of greenhouse gases, observing the context of Climate Change. Given the unsustainability of the current model, a new logic process gains space and strength and one of its new components is the valuation of environmental services provided by Nature as a way of linking economy and environment, by applying the sustaintability principle. Thus, the mechanism for Reducing Emissions from Deforestation and Forest Degradation – REDD outstands and has broaden ground in recent years, including under the United Nations Framework Convention on Climate Change’s base, as a possible alternative to ally economic dividends and environmental conservation on behalf of local development of local of social groups maintainers of forest areas. Even not having a specific legal framework under international, national and state level, and being technically under a major development, REDD experiences have started and became real in developing countries with large forest potential such as Brazil. In attention to the fragility of this situation, we attempted to propose a set of sustainability indicators in four dimensions - environmental, economic, social and institutional - aiming to contribute with a basic methodology to technically guide the state's decision-making regarding the implementation of REDD projects targeting the efficiency of such projects and the increasing participation of the State as development promoter.

Submitted by Edisangela Bastos (edisangela@ufpa.br) on 2012-12-06T21:15:58Z No. of bitstreams: 2 license_rdf: 23898 bytes, checksum: e363e809996cf46ada20da1accfcd9c7 (MD5) Dissertacao_ImpactosREDDEconomia.pdf: 2140755 bytes, checksum: 50775f02798135ec356cd4c49251d780 (MD5) / Approved for entry into archive by Ana Rosa Silva(arosa@ufpa.br) on 2012-12-07T15:04:56Z (GMT) No. of bitstreams: 2 license_rdf: 23898 bytes, checksum: e363e809996cf46ada20da1accfcd9c7 (MD5) Dissertacao_ImpactosREDDEconomia.pdf: 2140755 bytes, checksum: 50775f02798135ec356cd4c49251d780 (MD5) / Made available in DSpace on 2012-12-07T15:04:56Z (GMT). No. of bitstreams: 2 license_rdf: 23898 bytes, checksum: e363e809996cf46ada20da1accfcd9c7 (MD5) Dissertacao_ImpactosREDDEconomia.pdf: 2140755 bytes, checksum: 50775f02798135ec356cd4c49251d780 (MD5) Previous issue date: 2012 / Esta dissertação tem por objetivo analisar as possíveis influências do REDD na economia camponesa amazônica, no que se refere a sua produção e reprodução. Consolidada como uma das estruturas camponesas mais antigas do Brasil, a trajetória tecnológica agroflorestal (T2), estudada nessa pesquisa, vem manejando de forma sustentável, ao longo dos séculos, os territórios onde predomina na Amazônia. Os agentes camponeses têm uma economia impulsionada por uma racionalidade muito específica quanto a sua microeconomia e suas relações com o ambiente capitalista do mercado. Tais peculiaridades da economia exigem análises mais complexas, desqualificando grandezas socialmente estabelecidas, especialmente lucro e renda, como forma de mensurar mudanças nessas estruturas. A Inserção dos recursos monetários do REDD (recursos monetários externos a produção familiar) tem impactos distintos de acordo com o campo de padrão reprodutivo que caracteriza as unidades familiares, padrão esse definido utilizando-se essencialmente as grandezas que atendem os requisitos da racionalidade econômica dessas estruturas: a eficiência reprodutiva (h), o montante de trabalho disponível que atende apenas a reprodução simples (β) e o investimento potencial (i). Caso h esteja convergindo para β, ou seja, para o campo de crise, o REDD promoverá aumento do investimento potencial no curto prazo e da produção em longo prazo. Caso h esteja convergindo para h°=(2*β)/(1+β), ou seja, para o campo de excitação a investimentos, os recursos do REDD possibilitaram o incremento do investimento potencial (já o mais elevado entre os campos) no curto prazo e da produção a longo prazo de acordo com a idade da família. Caso h esteja convergindo para 1, ou seja, o campo de conforto, o REDD a longo prazo causará redução do investimento potencial, da h, da produção e aumentará a dependência de produtos industrializados, o que pode comprometer a longo prazo a reprodução nas unidades desse campo. As famílias que convergem para o campo de excitação a investimentos são a maioria na amostra. Outro resultado é a qualificação dos serviços providos pelos agentes do agrário amazônico, utilizando a noção de paradigma tecnológico por trás das trajetórias tecnológicas e dos % de emissões de GEE por trajetória tecnológica, o que proporcionaria um critério justo e eficiente para um futuro regime de REDD no Brasil e auxiliará na concretização do seu objetivo. / This dissertation aims to analyze the potential impacts of REDD in the Amazon peasant economy, considering its production and reproduction. Consolidated as one of the oldest structures peasants of Brazil, the technological trajectory agroforestry (T2), studied in this research, has been managing sustainably, for centuries, the territories where it predominates in the Amazon. The peasants agents have an economy driven by a very specific rationality as its microeconomics and their relations with the capitalist market environment. Such peculiarities of the economy require more complex analyzes, disqualifying greatnesses socially established, especially lucre and income as a way to measure changes in these structures. The insertion of the monetary resources of REDD (monetary resources external the family production) have different impacts accordance with the reproductive patterns field that characterizes the family units, this pattern defined using essentially the greatnesses that meet the requirements of economic rationality of such structures: If h is converging to β, namely, for the crisis field, REDD will promote increased in potential investment short-term and production long-term. If h is converging to h ° = (2 * β) / (1 + β), namely, for the excitation investments field, resources REDD allowed the increase of the potential investment (already the highest among the fields) short-term and production long-term according to the age of the family. If h is converging to 1, namely, the comfort field, REDD cause long-term reduction of potential investment, h, production and increase the dependency of industrialized products which may compromise long-term the reproduction units in this field. The families that converge to the excitation field investments are mostly in the sample. Other result is the qualification of services provided by agents of agrarian Amazon, using the notion of technological paradigm behind the technological trajectories and of the % GHG emissions by technological trajectory, which would provide a fair and efficient criterion for a future REDD regime in Brazil and will assist in achieving your objective.

As mudanças nas políticas públicas ambientais que ocorreram a partir da década de 1990 têm levado comunidades tradicionais a trilharem novos caminhos na busca da adequação aos paradigmas contemporâneos de produção, renda e legalização ambiental. Neste contexto, passa a ser adotado um modelo de manejo florestal comunitário introduzido por agentes externos às comunidades. Este modelo tem sido objeto de avaliações econômicas que apontam para a inviabilidade financeira dos projetos, a despeito de outros benefícios sociais e ambientais. Os objetivos desta tese foram: analisar os desafios vivenciados pelas comunidades tradicionais para se adequarem às novas políticas ambientais e avaliar os resultados de projetos de manejo comunitários em relação aos meios de vidas de seus protagonistas. Será o modelo introduzido manejo florestal viável? Quais os resultados que os projetos que adotaram este modelo alcançaram em relação aos meios de vida? A tese compreende quatro estudos de casos, apresentados em capítulos. As análises e avaliações dos projetos foram realizadas utilizando-se como marco analítico os \"meios de vida sustentáveis\" (capital humano, social, físico, financeiro e natural). O levantamento de dados foi realizado por meio dos métodos de entrevistas, diálogo mediado pela floresta, pesquisa documental e observação participante. Os dados foram analisados com base em análise interpretativa, triangulação de dados, estatística descritiva, análise de variância e testes de médias. O primeiro estudo de caso analisou o projeto de manejo florestal de uma associação comunitária, no município de Boa Vista do Ramos - AM, no seu trajeto de organização social até a obtenção da licença ambiental e da certificação florestal. O segundo estudo, comparou os resultados advindos da extração de madeira entre extratores que desenvolveram projetos de manejo florestal, com os resultados daqueles que permaneceram praticando a extração ilegal de madeira. O terceiro e o quarto estudos de caso foram desenvolvidos na Reserva de Desenvolvimento Sustentável Mamirauá (RDSM). Um avaliando os resultados do manejo florestal comunitário e outro avaliando resultados de um esquema de REDD+ denominado Programa Bolsa Floresta, ambos em relação aos meios de vida de seus protagonistas. Os resultados gerais da pesquisa indicam que o modelo introduzido manejo florestal não se apresenta, ao menos sem um forte suporte externo, como um meio de vida sustentável para as comunidades tradicionais. O capital natural mostrou os melhores resultados e o capital financeiro, os piores. Os resultados indicam um viés das políticas públicas florestais a favor da conservação ambiental em detrimento da produção florestal. Em relação específica ao esquema de REDD+, os moradores da RDSM não o identificam como um mecanismo que contribui com o capital natural, porém, há uma percepção de melhorias relativas aos outros capitais. Conclui-se que: para o manejo florestal comunitário tornar-se um meio de vida sustentável, devem ser centrados esforços em questões de educação e capacitação das populações e valorização dos conhecimentos tradicionais (capital humano); fortalecimento das redes sociais/institucionais e estímulo à participação efetiva (capital social); maior autonomia, equidade e projetos de geração de renda (capital financeiro); para além de projetos que visem prioritariamente à conservação ambiental (capital natural). / Changes in environmental policy that have occurred since the 1990s has led traditional communities to tread new paths in search of adaptation to contemporary paradigms of production, income and environmental legalization. In this context, starts to be adopted a model of community forestry introduced by external agents to communities. This model has been the subject of economic evaluations that link to the financial unfeasibility of projects, regardless of other social and environmental benefits. The objectives of this thesis were: analyze the challenges experienced by traditional communities to conform to new environmental policies and evaluate community management projects in relation to the livelihoods of its protagonists. Is the introduced forest management model viable? What results the projects that have adopted this model have achieved in relation to the livelihoods? The thesis comprises four case studies presented in chapters. The analysis and evaluation of the projects were carried out using the \"sustainable livelihoods framework\" (human, social, physical, financial and natural, capitals). The survey was conducted through interviews, forest mediated dialogue, documental research and participant observation. Data were analyzed using interpretative analysis, triangulation, descriptive statistics, analysis of variance and tests for difference of means. The first case study examined the forest management project in a community association, in Boa Vista do Ramos county, Amazonas state, in their path of social organization to obtain the environmental license and forest certification. The second case study compared the results derived from logging between extractors that developed forest management projects, with the results of those who remained practicing illegal logging. The third and fourth case studies were developed within the Mamirauá Sustainable Development Reserve. One evaluating the outcomes of community forest management and other evaluating the outcomes of a REDD+ scheme, called Bolsa Floresta Program, both in relation to the livelihoods of its protagonists. The overall results of the survey indicate that the introduced forest management model does not present itself, at least without strong external support, as a sustainable livelihood for traditional communities. The natural capital showed the best results and financial capital, the worst. The results indicate a bias of forest policy in favor of environmental conservation at the expense of forest production. In specific relation to the REDD + scheme, residents of RDSM not identify it as a mechanism that contributes to the natural capital, however, there is a perception regarding other capital improvements. It is concluded that for the community forest management become a sustainable livelihood, efforts should be focused on issues of education and empowerment of people and appreciation of traditional knowledge (human capital); strengthening social / institutional networks and encouraging effective participation (social capital); greater autonomy, equity and income generating projects (financial capital); in addition to projects that aim primarily to environmental conservation (capital natural).

Submitted by Edisangela Bastos (edisangela@ufpa.br) on 2015-03-02T20:26:10Z No. of bitstreams: 2 license_rdf: 22974 bytes, checksum: 99c771d9f0b9c46790009b9874d49253 (MD5) Dissertacao_REDDEstadoPara.pdf: 1892768 bytes, checksum: 714d945a028d54d616249175a5782d79 (MD5) / Approved for entry into archive by Ana Rosa Silva (arosa@ufpa.br) on 2015-03-04T16:50:37Z (GMT) No. of bitstreams: 2 license_rdf: 22974 bytes, checksum: 99c771d9f0b9c46790009b9874d49253 (MD5) Dissertacao_REDDEstadoPara.pdf: 1892768 bytes, checksum: 714d945a028d54d616249175a5782d79 (MD5) / Made available in DSpace on 2015-03-04T16:50:37Z (GMT). No. of bitstreams: 2 license_rdf: 22974 bytes, checksum: 99c771d9f0b9c46790009b9874d49253 (MD5) Dissertacao_REDDEstadoPara.pdf: 1892768 bytes, checksum: 714d945a028d54d616249175a5782d79 (MD5) Previous issue date: 2013 / A inserção do mecanismo de Redução de Emissões por Desmatamento e Degradação Florestal (REDD) no contexto do ordenamento jurídico-normativo e institucional do Estado do Pará, é a temática abordada pelo presente trabalho. A metodologia aplicada na presente pesquisa se baseou em duas técnicas de coletade dados, quais sejam o levantamento documental e a aplicação de questionário estruturado junto aos órgãos estaduais responsáveis pela articulação e implementação desse mecanismo no território paraense. De recente surgimento no cenário das discussões internacionais sobre meio ambiente e mudanças climáticas globais, levadas a efeito no âmbito da Convenção-Quadro das Nações Unidas sobre Mudança do Clima, o REDD se apresenta como proposta de desmatamento evitado para os países em desenvolvimento, cuja preservação do patrimônio florestal, em vista dos potenciais benefícios para a mitigação do aquecimento global, deveria ser compensado por meio da remuneração de indivíduos, comunidades, projetos e países, conforme a proposta originalmente lançada no ano de 2005, durante a COP 11, realizada em Montreal, no Canadá. Nesse contexto, o Estado do Pará, que encerrou o ano de 2012 como líder nos números de desmatamento entre os Estados da Amazônia Legal, ainda em 2009 previu a inserção do mecanismo de REDD no quadro jurídico regulatório e institucional paraense como parte das ações do (Decreto Estadual nº 1.697/2009). Decorrida a primeira fase de execução do Plano, qual seja o interstício de agosto de 2009 a agosto de 2012, verificou-se que osprocessos decisórios para implementação do mecanismo não avançaram, em que pese a existência de projetos dessa natureza em curso no território paraense, e o avanço dos demais Estados amazônicos quanto à temática, cujos arcabouços normativos já dispõem de políticas públicas atinentes ao REDD e REDD+ e importantes medidas adicionais correlatas, a exemplo da regulação sobre pagamento de serviços ambientais e políticas estaduais sobre mudanças climáticas. / The insertion of the mechanism for Reducing Emissions from Deforestation and Forest Degradation (REDD) in the context of the legal-normative and institutional framework of the State of Pará, is the theme addressed by this work. The methodology used in this research was based on two techniques of data collection, namely the documentary survey and application of questionnaires given to state agencies responsible for coordination and implementation of this mechanism within Para. In recent emergence on the scene of international discussions on the environment and global climate change, carried out under the Framework Convention of the United Nations on Climate Change, REDD is presented as a proposal for avoided deforestation in developing countries, whose preservation the forest estate, in view of the potential benefits to the mitigation of global warming should be offset by compensation of individuals, communities, projects and countries, as proposed originally released in 2005, during COP 11, held in Montreal, Canada. In this context, the State of Pará, which ended the year 2012 as the leader in numbers of deforestation among states in the Legal Amazon, in 2009 predicted the inclusion of REDD in its legal regulatory and institutional as part of the actions of the Plan for Prevention and Control of Deforestation Alternatives of Pará State (State Decree n. 1.697/2009). Elapsed the first phase of implementation of the Plan, the interstitial August 2009 to August 2012, research found that decision-making processes for implementation of the mechanism have not progressed, despite the existence of such projects within Pará State territory, and the advancement of the other Amazon states regarding theme, whose normative frameworks already have policies relating to REDD and REDD+ and important additional measures, such as the regulation on payment for environmental services and state policies on climate change.

Environmental positive externalities from public provision, such as the benefits yielded from the public measure of nature conservation, are often not internalized. Potential sub-optimal public service provision can be expected from such a condition, leading to inefficiency, if the benefits at a greater territorial scale are not acknowledged. This holds particularly true for intergovernmental fiscal relations in a decentralizing multi-tiered governmental system. Moreover, in developing countries the fiscal capacities to perform measures of ecological public functions are limited with their fiscal needs for these functions often appearing to outweigh their fiscal capacities. Research at the interface of the economic theory of fiscal federalism, the sustainability concept, and policies related to conservation and the environment is relatively new. Furthermore, in the literature on environmental federalism the emphasis tends to be comparatively less on the benefits of positive environmental externalities. The essential contribution of this study is an extension of this research field that is still in its infancy by applying the specific case of Indonesia as the context, on account of this tropical country‟s ecological significance as well as its recent developments during the fiscal decentralization process. The overall aim of this study is to assess the possibilities of ecological fiscal transfers as a set of instruments in the public sector to internalize environmental externalities. To this end, the study traces the development as well as the current state of intergovernmental fiscal transfers in Indonesia in terms of ecological purposes. On the basis of this knowledge, the study offers new policy perspectives by proposing a number of policy options for ecological fiscal transfers in the context of the functioning fiscal transfer system and institutions between the national and the subnational (province and local) governments as well as among jurisdictions at the same governmental level. The incorporation of an explicit ecological indicator into general-purpose transfers is the first option. The second option is derived from a revenue-sharing arrangement. In this arrangement, two sub-options are proposed: first, shared revenues from taxes are distributed on the basis of the ecological indicator and, second, shared revenues from natural resources are earmarked for environmental purposes. Finally, the third option suggests an extension of existing specific-purpose transfers for the environment. The potential and limitations of the respective options are addressed. Additionally, a short treatment is given to the discourse on the possible mobilization of fiscal resources in the context of tropical deforestation and global climate change. The research concentrates mainly on the first option, namely the incorporation of an ecological indicator into the structure of general-purpose transfer allocation. In order to substantiate an explicit ecological dimension in the transfer, it extends the present area-based approach by introducing a protected area indicator while maintaining the remaining socio-economic indicators in the fiscal need calculation. The parameter values of area-related indicators are adjusted and subject to the properties of the existing formula. The simulation at the provincial level yields the following results. First, more provinces lose rather than gain from the introduced ecological fiscal transfer when compared to the fiscal transfer that they received in the reference fiscal year. Second, on average the winning provinces obtain a higher level of transfer from the introduction of an ecological indicator in the fiscal need calculation. The extent of the average decreases for the losing provinces, however, it is lower compared to the extent of the average gain by their winning counterparts. In terms of spatial configurations of the general-purpose transfer with an ecological indicator, provinces in Papua would benefit most from the new fiscal regime whereas provinces in Java and Sulawesi, with a few exceptions, would suffer a transfer reduction. Kalimantan and Sumatera show a mixed pattern of winning and losing provinces. The analysis on the equalization effects of the general-purpose transfers makes the following important contributions. It suggests that, first, the transfers are equalizing and, second, the introduction of the protected area indicator into the structure of these transfers plays a significant role in the equalizing effect, particularly in the presence of provinces with a very high fiscal capacity and when the area variable is also controlled. All of these new insights are imperative in the design of fiscal policy which intends to integrate explicit ecological aspects into the instruments of intergovernmental fiscal transfers. Since a formula-based fiscal transfer distribution is intrinsically zero-sum, the aforementioned configuration of winning and losing jurisdictions is conceivable. Among other future perspectives, it is the task of further research to explore ecological fiscal transfer instruments and associated measures that on the one hand seek to induce the losing provinces to join their winning counterparts and, on the other hand, are still subject to the requirements of the rational fiscal transfer mechanism.

Comment le droit international peut-il règlementer des phénomènes complexes ? Cette question se pose avec une acuité particulière en ce qui concerne la déforestation tropicale. En effet, les difficultés techniques et les intérêts divergents des États, découlant de l’interaction des multiples services assurés par les forêts, ont empêché l’adoption d’une convention internationale en ce domaine. Néanmoins, les négociations menées au sein du régime international du climat ont créé un mécanisme dit de « réduction des émissions résultant du déboisement et de la dégradation des forêts et le rôle de la conservation et de la gestion durable des forêts et du renforcement des stocks de carbone forestiers dans les pays en développement » (REDD+). Défini par un ensemble de décisions de la Conférence des parties à la convention-cadre des Nations-Unies sur les changements climatiques, il a déjà permis d’initier, sur le territoire des pays en développement, une amélioration substantielle du contrôle des ressources forestières et des réformes règlementaires et institutionnelles de grande ampleur. Notre étude se propose d’évaluer les spécificités du système normatif mis en place sur la REDD+. Elle a pour objet, en dépassant l’apparente faiblesse formelle des instruments juridiques sur lesquels il repose, de mettre en évidence sa portée normative. Elle révèle l’aptitude du droit international à règlementer des phénomènes complexes en donnant naissance à des systèmes juridiques adaptatifs. Elle démontre que la spécificité de tels systèmes normatifs réside dans la satisfaction de deux exigences opposées : la flexibilité et la sécurité juridique / How International law can regulate complex phenomenon? This question appears particularly relevant if we consider tropical deforestation. Technical issues and the opposite interests of States, stemming from interlinked services provided by forest, had prevented International community to adopt a convention on forests. Nevertheless, climate regime has recently created a so-called mechanism on « reducing emissions from deforestation and forest degradation in developing countries and the role of conservation and sustainable management of forests and enhancement of forest carbon stocks in developing countries » (REDD+). The normative framework laid down in decisions of the Conference of the parties has stimulated control improvement on forest resources and wide-ranging reform in developing countries. The study will evaluate the specificities of this normative system by going further its apparent normative weakness. It will expose how International law manage to regulate complex phenomenon by producing adaptive legal system. The study will demonstrate that the specific feature of this system lies in its ability to conciliate two opposite needs: flexibility and legal security