What drives policy change for REDD+? : A qualitative comparative analysis of the interplay between institutional and policy arena factors

Reducing Emissions from Deforestation and forest Degradation (REDD+) has emerged as a promising climate change mitigation mechanism in developing countries. In order to identify the enabling conditions for achieving progress in the implementation of an effective, efficient and equitable REDD+, this paper examines national policy settings in a comparative analysis across 13 countries with a focus on both institutional context and the actual setting of the policy arena. The evaluation of REDD+ revealed that countries across Africa, Asia and Latin America are showing some progress, but some face backlashes in realizing the necessary transformational change to tackle deforestation and forest degradation. A Qualitative Comparative Analysis (QCA) undertaken as part of the research project showed two enabling institutional configurations facilitating progress: (1) the presence of already initiated policy change; and (2) scarcity of forest resources combined with an absence of any effective forestry framework and policies. When these were analysed alongside policy arena conditions, the paper finds that the presence of powerful transformational coalitions combined with strong ownership and leadership, and performance-based funding, can both work as a strong incentive for achieving REDD+ goals. Key policy insights The positive push of already existing policy change, or the negative stress of resource scarcity together with lack of effective policies, represents institutional conditions that can support REDD+ progress. Progress also requires the presence of powerful transformational coalitions and strong ownership and leadership. In the absence of these internal drivers, performance-based funding can work as a strong incentive. When comparing three assessments (2012, 2014, 2016) of REDD+ enabling conditions, some progress in establishing processes of change can be observed over time; however, the overall fluctuation in progress of most countries reveals the difficulty in changing the deforestation trajectory away from business as usual.Peer reviewe

Adapting agricultural water use to climate change in a post-Soviet context: challenges and opportunities in southeast Kazakhstan

The convergence of climate change and post-Soviet socio-economic and institutional transformations has been underexplored so far, as have the consequences of such convergence on crop agriculture in Central Asia. This paper provides a place-based analysis of constraints and opportunities for adaptation to climate change, with a specific focus on water use, in two districts in southeast Kazakhstan. Data were collected by 2 multi-stakeholder participatory workshops, 21 semi-structured in-depth interviews, and secondary statistical data. The present-day agricultural system is characterised by enduring Soviet-era management structures, but without state inputs that previously sustained agricultural productivity. Low margins of profitability on many privatised farms mean that attempts to implement integrated water management have produced water users associations unable to maintain and upgrade a deteriorating irrigation infrastructure. Although actors engage in tactical adaptation measures, necessary structural adaptation of the irrigation system remains difficult without significant public or private investments. Market-based water management models have been translated ambiguously to this region, which fails to encourage efficient water use and hinders adaptation to water stress. In addition, a mutual interdependence of informal networks and formal institutions characterises both state governance and everyday life in Kazakhstan. Such interdependence simultaneously facilitates operational and tactical adaptation, but hinders structural adaptation, as informal networks exist as a parallel system that achieves substantive outcomes while perpetuating the inertia and incapacity of the state bureaucracy. This article has relevance for critical understanding of integrated water management in practice and adaptation to climate change in post-Soviet institutional settings more broadly

Position Paper on Water, Energy, Food and Ecosystem (WEFE) Nexus and Sustainable development Goals (SDGs)

The EU and the international community is realising that the Water, Energy, Food and Ecosystem components are interlinked and require a joint planning in order to meet the daunting global challenges related to Water, Energy and Food security and maintaining the ecosystem health and in this way, reach the SDGs. If not dealt with, the world will not be able to meet the demand for water, energy and food in a not too far future and, in any case, in a not sustainable way. The strain on the ecosystems resulting from unsustainable single-sector planning will lead to increasing poverty, inequality and instability. The Nexus approach is fully aligned with and supportive of the EU Consensus on Development. Key elements of the Consensus will require collaborative efforts across sectors in ways that can be supported/implemented by a Nexus approach. In this way, transparent and accountable decision-making, involving the civil society is key and common to the European Consensus on Development and the Nexus approach. The Nexus approach will support the implementation of the SDG in particular SDG 2 (Food), SDG 6 (Water) and SDG 7 (Energy), but most SDGs have elements that link to food, water and energy in one or other way, and will benefit from a Nexus approach. The SDGs are designed to be cross-cutting and be implemented together, which is also reflected in a WEFE Nexus approach. A Nexus approach offers a sustainable way of addressing the effects of Climate Change and increase resilience. The WEFE Nexus has in it the main drivers of climate change (water, energy and food security) and the main affected sectors (water and the environment). Decisions around policy, infrastructure, … developed based on the WEFE Nexus assessments will be suitable as elements of climate change mitigation and adaptation. In fact, it is difficult to imagine solutions to the climate change issue that are not built on a form of Nexus approach. The Nexus approach is being implemented around the world, as examples in the literature demonstrate. These examples together with more examples from EU and member state development cooperation will help build experience that can be consolidated and become an important contribution to a Toolkit for WEFE Nexus Implementation. From the expert discussions, it appears that because of the novelty of the approach, a Toolkit will be an important element in getting the Nexus approach widely used. This should build on experiences from practical examples of NEXUS projects or similar inter-sectorial collaboration projects; and, there are already policy, regulation and practical experience to allow institutions and countries to start applying the Nexus concept.JRC.D.2-Water and Marine Resource

‘We Are Not Bad People’- Bricolage and the Rise of Community Forest Institutions in Burkina Faso

From a critical institutionalism and institutional bricolage perspective, this article analyses what drives institutional change in the commons and the outcomes for forest and people. It builds on the comparison of three neighbouring villages in Burkina Faso that in 1989, expecting higher returns, agreed to release their common lands for the creation of a community forest called Chantier d’Aménagement Forestier (CAF) within an international forestry project. The project created new bureaucratic institutions to replace the pre-existing customary and socially embedded system. Decades later, the three villages display different institutional change pathways and outcomes: one village abandoned the CAF, converted, and sold its forest and land; another maintained the CAF; and a third operates in-between. Using qualitative research methods, we ask why and how these different change trajectories and outcomes occurred among villages of identical cultural and sociopolitical background. The results show that poor design and implementation of the new bureaucratic institutions, as well as their disrespect of customary and socially embedded rules, led to forestland disputes between the villages. The bureaucratic institutions failed to solve those disputes, effectively manage the forest, and share the benefits equitably. This caused local people’s discontent and prompted actions for change. Actors in diverse ways made use of their social networks, agency, and power relations within and between the villages to either reshape, re-interpret or reject the new forest institutions. These processes of institutional bricolage led to highly diverse trajectories of change. The findings demonstrate the crucial role of locals as agents of change from below and question universal claims in institutional theory on how institutions induce rule-guided behaviour and create path dependencies

Enabling factors for establishing REDD plus in a context of weak governance

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