Lessons Learned from the Water Producer Project in the Atlantic Forest, Brazil
Abstract
:1. Introduction
2. Project Site, Structure, and Support
3. Project Implementation and Monitoring
4. Project Outcomes
5. Challenges
5.1. Social Challenges Impacting Landowner Participation and/or Engagement
- Mistrust in a new project after a sequence of unsuccessful projects: It is hugely challenging to change negative perceptions created from a history of unsatisfactory participation in funded projects [24]. Landscapes were selected for participation in the project based on the fact that government-funded initiatives had previously been attempted there. While this was efficient—because a significant amount of data on the landscapes was available for project planning—this selection also created a challenge because some of these previous projects did not meet landowners’ expectations. In addition, many landowners recognized that some Water Producer/PCJ partners had participated in these previous initiatives, decreasing their trust in the project. We also noticed that, across the four landscapes, mistrust was sometimes related not to unsatisfactory participation in a specific project, but to the wariness that some landowners had towards the technical abilities and general capabilities of NGOs and official government bodies. Finally, landowner wariness towards participation also arose due to the novelty of PES schemes [6,24]. Landowners in all landscapes had not previously participated in PES projects. Thus, the idea of receiving funds for conservation practices implemented on their land initially stimulated suspicion regarding whether it was true or possible. To deal with these challenges, project partners communicated and met with landowners frequently to explain project details. While this was effective at convincing landowners that payments would be made for implemented conservation practices, most landowners were hesitant to participate until the first participants had received their PES payments.
- Short duration and uncertainty of renewal of PES contracts: PES contracts only lasted for three years, and uncertainty over contract renewal posed a great challenge in terms of landowner participation. Short duration of PES contracts was a particular challenge when FLR practices required landowners to change from a productive land-use to forest restoration. In these cases, landowners argued they would move from a free-chosen productive and profitable system to a permanent system (forest restoration) which would generate income for them for just three years. This was one of the reasons why fewer landowners accepted forest restoration practices compared to other practices. Restrictions in the availability of funds limited the establishment of long-term PES contracts. Furthermore, as mentioned previously, PES payments are just one small component of the overall cost of projects like this, as the sustainability of FLR projects depends on funds for project communication, monitoring, and FLR practice implementation. In fact, regular funding and, consequently, long-term sustainability have previously been cited as challenges for FLR implementation [24,26].
- Low value of PES payments: PES payments were defined based on opportunity costs (Table 1), which is common practice in PES scheme implementation [6]. Opportunity costs were based on low-technology pastures, which was the most common land-use in all of the project’s landscapes. However, other more profitable land-uses existing in the landscapes, such as the Eucalyptus plantations that were expanding in the four landscapes at the time of project implementation, were ignored in this process [24]. Since there was no option to change the PES values (see the next challenge below), the low PES value became a challenge for landowner participation. Furthermore, initial budgeting of PES payments did not take Brazilian inflation rates into account, and an annual correction of 7% in PES values was only implemented after 2013. Since annual inflation rates varied from 5.9% to 10.7% [33] during the project (2008 to 2015), this significantly reduced the positive impacts of the PES payments over time and, consequently, decreased the attractiveness of these payments to landowners.
- Restrictions in the use and flexibility of funds available for the project: Water Producer/PCJ was funded by water use charges from the PCJ Watershed Committee, as an application of the users-pay principle, which was a pioneering and promissory strategy for funding PES projects at the time [22]. However, the way that this was operationalized proved to be inefficient for the project and for PES projects in general. Funds had to be received and managed by a third party (i.e., funds did not go directly to landowners from the Watershed Committee), via a contract signed between this third party and a Brazilian federal bank that outlined specific financing rules for this contract. Once this contract was signed, resources could not be reallocated among funded FLR practices, and PES values, contract duration, and project budget disbursement could not change over time. Payment for ecosystem services was a novel approach for the region at the time, and there was significant unpredictability in landowner participation and in the choice of FLR practices. Thus, this lack of flexibility in the use of the PES funds was a barrier to addressing the challenges identified as limitations at the beginning of the project, such as low PES values and short duration of PES contracts. Consequently, this lack of flexibility directly contributed to reduced landowner participation. We also identified biannual payments to landowners as a limitation, as landowners argued for the monthly payments that were being used in the neighboring “Conservador das Águas” project, located at Extrema-MG [19,26]. Project partners also agreed that monthly payments could increase engagement. However, since there were restrictions in place to prevent changes such as this, and the fact that monthly payments would be more laborious to operationalize, payments were kept to twice a year. In short, this highlights an important limitation of the project: These restrictions meant that adaptive management could not be applied to improve program effectiveness. Positive examples overcoming this limitation have been practical field investigations with different contractual types that have been performed in the USA and Germany [34].
- No direct implementation at any level by landowners: Implementation of FLR practices was funded and implemented entirely by project partners. On the one hand, this approach was necessary, because it enabled landowners that could not afford to implement conservation practices to join the project. Active forest restoration by planting native tree seedlings, for example, is an expensive practice with costs of more than USD 5000 per hectare in low-resilience Atlantic Forest patches [35]. Most landowners would not implement these practices without the financial support of project partners. On the other hand, since landowners were not directly involved in any of the FLR practices, they were not closely engaged in the project. This risked the quality of the implemented practices, because landowners were not necessarily engaged enough to take care of them on their own properties. Further, direct landowner engagement increases the feeling of ownership, which is essential for the long-term sustainability of FLR projects [10,36]. Therefore, we saw the lack of landowners’ responsibilities in practice implementation as a challenge that negatively affected landowner engagement.
- Institutional arrangements: Creating a multi-stakeholder project is favorable as it aggregates the funds and competencies available for a FLR project [8,37]. However, the role that each institution assumes may impose challenges on or favor the success of the project. For Water Producer/PCJ, the fact that there was no single local leading institution working with landowners and implementing practices was clearly a challenge that restricted participation and project progress. The sharing of implementation practices among many partners was also a challenge, because landowners were talking with different institutions, which they found confusing and disliked. Comments heard from landowners were sometimes negative because of the fact that an international NGO which they did not know of before the project was leading the process, and because of the direct participation of the state environmental agency, which is responsible for fines and punishments. Although these two institutions were crucial for project planning and functioning [24], the perception from landowners was that they would prefer to work with a local institution that is well-known to them. Finally, there was no direct participation of landowners in the decision-making processes of the project, and decisions were made only by project partners in regular meetings. Project partners noticed all of these issues, but it was still challenging to have local institutions leading field activities and prospecting landowners. There were no technical protocols established in the local institutions to coordinate these activities, and there were no local companies trained to implement FLR practices. To address these issues, in 2012, Terra Roxa, a non-profit organization employing local people, was hired to exclusively prospect landowners and to plan all aspects of the technical projects. We believe this was crucial for the increases in landowner participation and in the number of PES contracts observed in 2012 and 2013.
- Land tenure issues: All of the landscapes were colonized centuries ago, during a time when documentation to prove land tenure was incomparable to that required currently. Thus, in many cases, absence of land tenure documents restricted landowner participation, as has been observed in other PES and FLR projects [38]. Collecting and processing the long list of land tenure and personal documents required for participation in the project took time. Additionally, project partners did not want to risk paying those living on the lands without a legal title, given that the funds for PES were public. This delay frequently created a time lag between the landowner’s expression of interest and the implementation of FLR practices, which possibly negatively affected the willingness of fellow landowners to participate. Over time, the land tenure documentation required for participation was revised and simplified, but this was still a challenge up until the end of the project, given the characteristics of the region.
- Proximity to the “Conservador das Águas” Project: The “Conservador das Águas” Project is a successful and well-known PES program for rural landowners in the municipality of Extrema-MG [19,26], which is just few kilometers away from Joanópolis and Nazaré Paulista. This was initially a positive factor for Water Producer/PCJ, because landowners in Joanópolis and Nazaré Paulista had heard positive feedback on a PES scheme in the region. However, this proximity also raised comparisons between the two projects, and lead to the expectation of landowners in Joanópolis and Nazaré Paulista that Water Producer/PCJ would be similar to the “Conservador das Águas” project. Although both projects were working in biophysically and socioeconomically similar landscapes, the projects were dissimilar in institutional arrangement, source of funds, strategies for elaboration of PES contracts, and practice implementation [19,39] and, consequently, in the results that they achieved [14,26]. For example, the “Conservador das Águas” project was created, coordinated, and fully implemented by the municipal environmental secretary, while Water Producer/PCJ lacked leadership from local institutions. Although not fully explicable, the differences in outcomes between these two projects raise the question of how invisible and frequently neglected components of the landscapes, such as the social relationships between landowners and project partners, may be relevant for the overall implementation success of FLR projects.
- Changes to environmental laws in Brazil: The project was active during a period when discussions over the Brazilian forest laws were occurring, which culminated in a change from the Forest Code to the Native Vegetation Protection Law of Brazil in 2012 [30]. This new federal law changed the amount of area in private rural properties that should be set aside for ecological restoration [30,40]. Clearly, this policy change negatively affected landowner participation in Water Producer/PCJ, given that they were not disposed to reserve areas for forest restoration in their properties until the new law was promulgated and the steps for its implementation by the Brazilian government were established (actually, this is still under discussion in São Paulo state).
5.2. Technical Challenges for Implementation Practices and Progress
- Nature of areas designated for forest restoration: A practical challenge for the implementation and success of forest restoration practices in Water Producer/PCJ was the presence of many degraded riparian areas subject to flooding. Restoration of seasonally flooded tropical forests remains challenging [30,41]. There was high seedling mortality during flooding events [42], and there is still a lack of effective techniques to perform forest restoration in these areas. This is a general issue for tropical forest restoration, and thus it is not a problem specific to Water Producer/PCJ. However, these difficulties negatively affected the progress of forest restoration practices, and resulted in unsatisfactory results in some areas. Thus, it is worth considering these restrictions prior to defining the goals and targets for forest restoration in a FLR project.
- Absence of a local forest restoration supply chain: Even though there are many large forest restoration projects and programs in the Brazilian Atlantic Forest [43,44], not all of its regions have a well-established forest restoration supply chain. Neither local tree seedling nurseries nor local institutions with the capacity to execute projects and implement forest conservation and restoration were present in the landscapes at the beginning of the project. This shortcoming was partially addressed by the project in 2012, when riparian forest restoration was initiated by a regional NGO (Appendix B) which hired and trained local people to work in the forest restoration chain. We believe this was an important step for the progress of the project practices, and that this should be carefully considered when planning PES or FLR projects for a specific region.
5.3. Challenges in Making the Project Notable and Valuable
- Absence of local hydrological monitoring: As with most of the water-related PES projects implemented in Brazil [14,45] and other countries in Latin America [8,46], Water Producer/PCJ started without baseline hydrological monitoring. When projects lack baseline data, calibration and validation of complex ecohydrological models are needed to explore FLR effectiveness through the simulation of scenarios [23]. The lack of a local hydrological monitoring system for collecting data since the beginning of the project limits evidence of its effectiveness in reaching its goals. For instance, in 2013 and 2014, the Cantareira System experienced an extreme drought that resulted in a severe water-crisis in São Paulo state [17,18]. During this water crisis, a unique field investigation with hydrological monitoring was established at Cantareira’s headwaters where PES projects had previously been set up [22]. Despite these 2013–2014 field campaigns addressing freshwater quantity and quality, they were not able to link the results to FLR practices because there was no previous hydrological monitoring data.
- Complexity of hydrological monitoring to prove the effectiveness of FLR in terms of water conservation: During the 2013–2014 water crisis, several public and private institutions joined efforts to select Water Producer/PCJ sites for long-term hydrological monitoring. This multi-stakeholder plan for hydrologic monitoring assumed that, if available, data from the Water Producer/PCJ project would be a valuable example of how FLR practices and projects could alleviate local water shortage crises [21]. Despite its importance, implementing hydrological monitoring in FLR projects or in water-related PES schemes remains a challenge. First, whole catchments are not always the limit of water-related project sites, as observed in one of the landscapes in the Joanópolis municipality, where headwaters were outside of the area covered by the project (Figure 1). In addition, there is usually a dispersion of FLR practices in the landscape, and expected water quality and regularity of flow benefits are achieved at the local scale (i.e., at small nested catchments), which may not be observed through monitoring at the landscape level [47]. This was the case for Water Producer/PCJ. In these situations, monitoring has to be done at the micro-watersheds where FLR practices are being implemented. Finally, water yield is influenced by many factors, such as scale, climate variability and change, landowner management practices, changes in Brazilian forest law, and other factors not controlled by the project. Therefore, simulating land-use and forest cover scenarios for 1990, 2010, and 2035 has introduced uncertainty as to the effectiveness of Water Producer/PCJ in terms of increasing water yield at the landscape level [23].
- Poor understanding of the length of time needed for positive changes: Some stakeholders and funding institutions of Water Producer/PCJ did not realize that many FLR actions take a long time to generate benefits at the landscape level. Forest restoration, for example, takes years to reestablish forest cover and biodiversity and to provide ecosystem services [48,49]. It is also true that PES are relatively new schemes, and consequently their results may take a longer time than expected to appear because there are many new situations and setbacks in their implementation. Although project partners recognized this, we highlight this should be better discussed prior to the project start, with the aim of establishing real goals and expectations among stakeholders.
6. Conclusions
6.1. Having Funds Is Not a Guarantee of Success for FLR Projects
6.2. PES Schemes Are More Complex than Initially Thought, and PES Alone May Not Engage Landowners in a FLR Project
6.3. Acceptance Is Easier for Forest Conservation Practices Than It Is for Practices That Require Land-Use Change
6.4. Monitoring of the Ecosystem Services That Motivated the PES Scheme in FLR Projects Is Essential
Author Contributions
Funding
Acknowledgments
Conflicts of Interest
Appendix A
Appendix B
Institution | Type | Start of Participation | Main Role |
---|---|---|---|
The Nature Conservancy (TNC) | NGO - international | 2008 | Management of PES funds and elaboration of contracts; elaboration and implementation of forest conservation (up to 2011) |
São Paulo State Environmental Secretariat (SMA-SP) | Public - state | 2008 | Elaboration and implementation of forest restoration (up to 2011) |
State São Paulo State Agriculture and Supply Secretariat (CATI) | Public - state | 2008 | Elaboration of soil conservation projects (up to 2011); prospection of landowners |
Brazilian National Water Agency (ANA) | Public - national | 2008 | Support for project planning and execution; implementation of hydrological monitoring |
Extrema City Government - MG | Public – municipal | 2008 | Support for project planning; share of experiences from the Conservador das Águas project |
PCJ Watershed Committee and PCJ Watershed Agency (collegiate of stakeholders) | Foundation – regional | 2008 | Funds for PES; properties monitoring to release PES |
Nazaré Paulista City Government | Public – municipal | 2010 | Prospection of landowners |
Joanópolis City Government | Public – municipal | 2010 | Prospection of landowners |
Associação Mata Ciliar | NGO - regional | 2011 | Implementation of soil conservation practices |
World Wildlife Fund (WWF) | NGO - international | 2011 | Funds for elaboration and implementation of technical projects from 2011 onwards |
Banco do Brasil/Banco do Brasil Foundation | Public company/Public foundation | 2011 | Funds for elaboration and implementation of technical projects from 2011 onwards |
Iniciativa Verde. | NGO - regional | 2012 | Implementation of forest restoration from 2012 onwards |
Appendix C
Forest Successional Status | Amount of the APP with Forest or Accepted for Restoration by the Project | ||
---|---|---|---|
15–30% | 31–60% | >60 | |
Early successional forest | 6.25 | 12.5 | 18.75 |
Medium to advanced successional forest | 10.5 | 20.75 | 31.25 |
Soil Erosion Abatement for the Practice | Value (USD. ha−1. Year−1) |
---|---|
25–50% | 6.25 |
51–75% | 12.5 |
>75% | 18.75 |
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FLR Practice | Payment for Ecosystem Service Value (USD. ha−1. Year−1) |
---|---|
Forest restoration in areas under permanent protection (APP) | 31.25 |
Forest conservation: early successional forest | 6.25–18.75 |
Forest conservation: medium to advanced successional forest | 10.5–31.25 |
Soil conservation | 6.25–18.75 |
Practice Type | Joanópolis | Nazaré Paulista | Total | |||
---|---|---|---|---|---|---|
N | Area (ha) | N | Area (ha) | N | Area (ha) | |
Forest restoration in areas under permanent protection (APP) | 23 | 64.2 | 5 | 4 | 28 | 68.1 |
Forest conservation | 28 | 187.4 | 11 | 134 | 39 | 321.4 |
Soil conservation practices | 17 | 90.8 | 3 | 8.5 | 20 | 99.3 |
Total | 29 | 342.4 | 12 | 146.5 | 41 | 488.9 |
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Viani, R.A.G.; Bracale, H.; Taffarello, D. Lessons Learned from the Water Producer Project in the Atlantic Forest, Brazil. Forests 2019, 10, 1031. https://doi.org/10.3390/f10111031
Viani RAG, Bracale H, Taffarello D. Lessons Learned from the Water Producer Project in the Atlantic Forest, Brazil. Forests. 2019; 10(11):1031. https://doi.org/10.3390/f10111031
Chicago/Turabian StyleViani, Ricardo A. G., Henrique Bracale, and Denise Taffarello. 2019. "Lessons Learned from the Water Producer Project in the Atlantic Forest, Brazil" Forests 10, no. 11: 1031. https://doi.org/10.3390/f10111031
APA StyleViani, R. A. G., Bracale, H., & Taffarello, D. (2019). Lessons Learned from the Water Producer Project in the Atlantic Forest, Brazil. Forests, 10(11), 1031. https://doi.org/10.3390/f10111031