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International Forestry Review Vol.11(4), 2009 427
PAPERS
Reducing Emissions from Deforestation and Forest
Degradation (REDD) and decentralized forest management
S. IRAWAN and L. TACCONI
Crawford School of Economics and Government, #13 J.G. Crawford Building, The Australian National University, ACT, Australia
Email: silvia.irawan@anu.edu.au and luca.tacconi@anu.edu.au
SUMMARY
The implementation of a mechanism for Reducing Emissions from Deforestation and Forest Degradation (REDD - plus) will be affected
by governance conditions within host countries. The top eight countries, which are responsible for 70 percent of the world’s total annual
deforestation, have implemented certain forms of decentralization in public administration and forest management. This paper analyzes
implications of decentralized forest management for the implementation of REDD. Three possible options for the involvement of local
governments in the implementation of REDD are: 1) the central government decides on a national reference level and devolves the
implementation to local governments; 2) the central government decides on a national reference level and seeks expressions of interest from
local governments to implement REDD in their administrative areas; and 3) the central and local governments decide on a national reference
level jointly and local governments implement REDD activities locally. This paper also highlights fiscal instruments for REDD revenue
distribution.
Keywords: reducing emissions from deforestation and degradation (REDD), decentralization, forest management, subnational
level, fiscal instruments
Réduction des émissions de la déforestation et de la dégradation des forêts (REDD) et de la
gestion forestière décentralisée
S.IRAWAN et L.TACCONI
La mise en pratique d'un mécanisme pour réduire les émissions de la déforestation et de la dégradation de forêts (REDD - plus) va être
affectée par les conditions gouvernementales dans les pays hôtes. Les 10 principaux pays, responsables de 70% de la déforestation annuelle
dans le monde, ont mis en pratique certaines formes de décentralisation dans l'administration publique et la gestion forestière. Cet article
analyse les implications de la gestion forestière décentralisée dans la mise en pratique de la REDD. Trois options possibles pour impliquer
les gouvernements locaux dans la mise en pratique de la REDD sont: 1) le gouvernement central décide un niveau de référence national
et décentralise sa mise en pratique vers les gouvernements locaux, 2) le gouvernement central décide d'un niveau de référence national et
recherche des expressions d'intérêt de la part des gouvernements locaux pour mettre en pratique la REDD dans leur région administrative, et,
3) Les gouvernements central et locaux décident ensemble d'un niveau de référence national et le gouvernement central met en pratique les
activités de la REDD localement. Cet article met également en évidence les instruments fiscaux utilisés pour distribuer les revenus de la REDD.
La Reducción de Emisiones por Deforestación y Degradación forestal (REDD) y la gestión
forestal descentralizada
S. IRAWAN y L. TACCONI
La implementación de un mecanismo para la Reducción de Emisiones producidas por la Deforestación y Degradación forestal (REDD plus) se
verá afectada por las condiciones gubernamentales dentro de los países anfitriones. Los ocho países más importantes, que son responsables por
un 70 por ciento de la deforestación total anual, han implementado ciertos modelos de descentralización en lo que se refiere a la administración
pública y la gestión forestal. Este estudio analiza las implicaciones de una gestión forestal descentralizada para la implementación de una
política de REDD. Las tres opciones posibles para la participación de los gobiernos locales en la implementación de una política de REDD
son las siguientes: 1) el gobierno central se decide por un nivel de referencia nacional y pasa la implementación a las administraciones
locales; 2) el gobierno central se decide por un nivel de referencia nacional y solicita a las administraciones locales propuestas posibles para la
implementación de políticas de REDD en sus áreas administrativas; y 3) las administraciones central y local se deciden conjuntamente por un
428 S. Irawan and L. Tacconi
nivel de referencia nacional y la administración local implementa las actividades de REDD en la zona correspondiente. Este estudio destaca
también instrumentos fiscales posibles para la distribución de ingresos procedentes de la REDD.
INTRODUCTION 2003). A similar situation has also occurred in Indonesia,
district governments have been playing a greater role in the
A mechanism for Reducing Emissions from Deforestation and management of forest resources following the introduction
Forest Degradation (REDD - plus, hereafter simply referred of decentralization laws in 1999.
to as REDD) was adopted at the climate change conference This paper considers the implications of decentralized
in Copenhagen to provide incentives to developing countries forest management for the implementation of REDD within
to reduce emissions from the forest sector (UNFCCC participating countries. The discussion will specifically focus
2009a)1. Thus far, most analyses of REDD have focused on on state-owned forests, which account for 86 percent of the
international to national level design issues. The issues of total world’s forests (Agrawal et al. 2008)2. After having
how to set up an appropriate reference level and to address set the scene by summarizing key aspects of proposals
leakage and non-permanence have attracted significant concerning the design of REDD and the state of knowledge
attention. However, other challenges to the implementation on decentralized forest management, possible modes for the
of REDD are related to governance within host countries. involvement of local governments in the implementation
Porrúra et al. (2007) examine several governance indicators of REDD are identified. Drawing on the literature on fiscal
in eight developing countries responsible for 70 percent decentralization, options for fiscal instruments to distribute
of emissions from deforestation and land degradation, REDD revenues are then discussed. The paper concludes by
including Brazil, Bolivia, Democratic Republic of Congo discussing considerations to be addressed by host countries
(DRC), Cameroon, Ghana, Indonesia, Malaysia and Papua when choosing which option to adopt in order to implement
New Guinea (PNG). They conclude that most of these REDD effectively.
countries are facing governance challenges particularly
related to the effectiveness of public service delivery, the
rule of law and the control of corruption. These governance REDD DESIGN
issues do affect many countries that may become eligible for
REDD. However, the intensity of the governance problems A number of proposals have been put forward regarding
differs. For instance, a country like the DRC has more the design of REDD. The scope of REDD has expanded
profound governance problems and lower implementation since the scheme was first discussed by the United Nations
capacity than Brazil or Indonesia. Some countries may have Framework Convention on Climate Change (UNFCCC)
significant governance and capacity problems limiting the parties in 2005 at the Montreal Conference (Meridian
implementation of decentralized REDD measures at the Institute 2009). The proposals for a REDD scheme
subnational level. However, there are countries that have the initially focused on deforestation and later included forest
capacity to implement those measures and can benefit from degradation. The concept of REDD adopted in Copenhagen,
the discussion presented here. encompasses deforestation and forest degradation, increase
Most of the aforementioned countries have implemented anthropogenic removals from afforestation, reforestation
certain forms of decentralization in public administration, and enhancement of forest carbon. Several key elements
including in forest management. Bolivia has devolved the that are important for the implementation process within
power to manage important forest areas to municipalities host countries include: reference levels, the implementation
(Larson 2003). In Cameroon, “the 1994 Forestry Law scale, financing options and implementation phases (Parker
transfers to councils ownership rights over the forests et al. 2008, Meridian Institute 2009). These elements are
within their jurisdiction” (Oyono et al. 2007: 3). In Ghana, a discussed below. This paper focuses mostly on deforestation
number of key functions have been devolved to the District and forest degradation.
Forestry Offices (Sasu 2005). The Democratic Republic of
Congo in 2008 issued a decentralization law, which devolves Reference levels
the management of forest programmes to the provincial
level (Africa Research Bulletin 2008). In Brazil, although The approach to setting reference levels has become one of
no specific policy regulates the transfer of powers over forest the most debated issues concerning the design of a REDD
resources to the local level, municipal governments, which mechanism. The reference level is the level against which
control important infrastructure development programmes, the impacts of REDD policies and measures are assessed
have an important role in forest management (Larson to determine whether participating countries have reduced
1 At the time of finalizing this paper, detailed text on REDD agreed in Copenhagen was not yet available to the authors.
2 FAO (2006) reports a slightly different figure of the state-owned forests, which is 84 percent of the total world’s forests. Forests under
community or private ownership could be dealt more straightforward within REDD because property rights are better defined as compared
to state forests which often have multiple overlapping claims.
REDD and decentralized forest management 429
emissions and should receive financial rewards (Angelsen levels within host countries including at the national and
2008, Parker et al. 2008, Meridian Institute 2009). The most sub-national levels. The underlying causes of deforestation
challenging task in setting reference levels is to accommodate are usually influenced by social, political, economic,
the different circumstances found within developing demographic, and cultural factors that occur at different
countries. A REDD mechanism needs to be attractive levels within a country (Lambin et al. 2001). These causes
enough for countries with high and low deforestation rates to operate indirectly but can alter the proximate causes, which
participate. The greater the number of countries participating are directly caused by local communities and corporations.
in the REDD mechanism, the greater the expected reduction The underlying causes often cannot be controlled by local
of international leakage (Santilli et al. 2005)3. stakeholders. Hence, the implementation of REDD only at
Mollicone et al. (2007) recommend that the global the project level might not lead to a significant reduction
average deforestation rate be used as a benchmark to of deforestation in a country because it cannot address
accommodate countries with high and low deforestation underlying causes occurring at the district, provincial and
rates. Under this approach, host countries with deforestation national levels.
rates above the global average will be compensated for the
reduction of the national rates during the commitment period Financing options
as compared to the pre-commitment period. Countries with
past deforestation rates lower than the global average will In terms of financing options, there are a number of ways
be rewarded for not increasing their deforestation rates to implement REDD which can be categorized as either
higher than the pre-commitment level. This proposal also market or non-market approaches. Market approaches
adds the element of forest degradation into the calculation enable developing countries to generate credits from REDD
of reference levels. measures and sell them to Annex 1 (developed) countries of
The on-going negotiations on a REDD mechanism have the Kyoto Protocol, who may purchase and use the credits
not defined what approach will be used in determining to meet their emission reduction commitments. Non-market
the global reference level. The only statement related to or fund-based approaches propose a fund created by Annex
the global reference level in the ongoing negotiation text I countries to reward developing countries for their efforts to
reveals that the reference level should ensure additionality as reduce emissions from deforestation and forest degradation
compared to the business as usual level (UNFCCC 2009b). (Johns et al. 2008).
In addition, it is suggested that national reference levels Many parties to the ongoing negotiations propose that
be developed based on national factors including: historic REDD mechanism should not be linked to the quantified
emissions and removal rates, forest cover, expected future emission reduction objectives of developed country parties.
trends and capacity for emission reductions such as GNP The exclusion is suggested because of the concern that
per capita. REDD could undermine the environmental integrity of
global emission reduction goals. REDD credits, which are
Implementation scale considered very cost effective, might flood the carbon market
and overwhelm the efforts aimed at reducing emissions
Two options for the implementation scale of REDD are from fossil fuels (Schlamadinger et al. 2005). It has been
the national-based and project-based implementations proposed that a REDD mechanism be supplementary to
(UNFCCC 2007). National-based implementation requires the emission reduction objectives of developed countries
the national government to develop a national carbon (UNFCCC 2009b). Funding for this approach could be
accounting system and a national management system provided through official development assistance and also
to implement REDD projects and to distribute revenue market-linked revenue, such as the taxation of carbon in
generated to relevant stakeholders within the country. developed countries.
Project-based implementation allows buyers to interact
directly with project managers or third-party brokers with Implementation phases
an independent entity verifying the credit generation (Myers
2007). In order to ensure an effective and result-based mechanism,
Most of the proposals for a REDD mechanism support a REDD mechanism should be implemented in successive
the national-based approach for the implementation of phases (UNFCCC 2009b). Three phases have been proposed.
REDD. National-based implementation is better suited to Phase one is proposed to focus on strategy development and
address the issue of leakage within host countries because core capacity building. Phase two is to provide support for the
it enables a complete measurement and monitoring of implementation of national policies and measures together
emission reductions within a country as a whole. Moreover, with compensation for proxy-based results for emission
the national-based approach is more likely to address the reductions. Phase three is a fully result-based compensation
underlying causes of deforestation that originate at different mechanism for emission reductions and removals from the
3 International leakage occurs when the implementation of REDD policies and measures in one country causes an increase in emissions from
deforestation and forest degradation in other country.
430 S. Irawan and L. Tacconi
forestry and land-use sectors. A number of criteria need reference levels, fail to take into account the causes of
to be met and specific activities are to be performed by deforestation originating from land-use changes triggered
participating countries to be eligible for the financial benefits by local factors (Bird 2005). Even when the drivers of
provided for each phase (Table 1) (UNFCCC 2009b). deforestation are identified, predictions using national
REDD funding would be granted based on performance. models are of limited use in understanding the strength
Measurable, reportable and verifiable indicators need to of the drivers, the influence of the drivers across time and
be developed for the implementation of REDD policies space and the inter-relationship between the drivers. The
and measures. Subject to ex-post verification, upfront understanding of the social process influencing the decision
financing may also be granted based on spending plans and to pursue land-use change at the local level is necessary to
stated commitments (UNFCCC 2009b). After receiving assess forest cover changes at the national level (Mascia et
compensation, distribution of REDD derived benefits al. 2003, Dalle et al. 2006).
among all stakeholders, including indigenous peoples and
local communities, should be fair, efficient, transparent and
equitable (UNFCCC 2009b). DECENTRALIZED FOREST MANAGEMENT: KEY
ISSUES
Involvement of subnational level
Decentralization in public administration is defined as
Negotiations have also acknowledged the importance “transfer of planning, decision-making, or administrative
of subnational level involvement in the implementation authority from the central government to local administrative
of REDD. National strategies for REDD should include units, semi-autonomous, parastatal organizations, local
subnational actions and strategies that are consistent with governments, or non-governmental organizations” (Cheema
national development goals (UNFCCC 2009b). Effective and Rondinelli 1983: 18). As the concept of decentralization
forest governance at all governance levels is considered a in forest management is used interchangeably between the
prerequisite for managing forests sustainably. Moreover, transfer of authorities from state to local communities and
national governments need to develop subnational reference from the central to local governments (Tacconi 2007), it is
levels, where appropriate, to calculate changes in emissions important to define its meaning in the present context. In this
from deforestation and forest degradation. Due to the wide- paper, decentralization refers to the latter concept.
variation of regional situations across a country, local Proponents of decentralization have both political
reference levels would vary between one locality to another and economic rationales. From the political and public
depending on, inter alia, the total forest area, opportunity administration point of view, decentralization is expected to
costs and capacity to implement policies and measures at (Cheema and Rondinelli 1983):
the local level. • bring the decision-making process closer to the public.
In order to develop national and subnational reference Decentralization will increase sensitivity to local needs
levels, the analysis of land-use change patterns at the local and ensure that decision makers are more flexible and
level is necessary. Macroeconomic models, which are often innovative. Hence, the policies and decisions made
considered as the appropriate approach to forecast national should be better tailored to the local needs;
TABLE 1 Eligibility criteria and activities of REDD implementation phases
Phase Eligibility Criteria Activities
1) Establish policies and measures for measuring,
monitoring, analysing, reporting and verifying emission
Phase 1 Must be a Party to the Convention and in compliance reduction from the forestry sector
with its commitment 2) Develop an initial institution to address the reductions
of emissions and identifying necessary adjustments in
forest law and governance
Demonstrate commitment to implement REDD by 1) Develop a comprehensive legal framework including
ensuring: land tenure related to collective land rights, land use
1) transparent, rule-based forest governance; planning, forest governance and law enforcement;
Phase 2 2) multi-stakeholder consultations and cooperation 2) Establish Monitoring Reporting and Verification
including with indigenous people and local communities; (MRV) institutions and capacities; and
3) safeguards against the conversion of natural to 3) Develop action plans within the framework of a
plantation forests and national low carbon development strategy
4) biological diversity protection
Remain in compliance with the criteria of phase 1 and 2
Phase 3 and demonstrate that previously received compensation Implement a national inventory of greenhouse gases.
has been spent according to agreed guidelines
Source: Adapted from UNFCCC (2009b, p. 128-129)
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