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© 2024. Sérgio Castro Gomes, Luis Fernando Cardoso e Cardoso, Eugênia Rosa Cabral, Antônio Cordeiro de Santana, Keila
Regina Mota Negrão & Pablo Queiroz Bahia. This research/review article is distributed under the terms of the Attribution-
NonCommercial-NoDerivatives 4.0 International (CC BY-NC-ND 4.0). You must give appropriate credit to authors and reference
this article if parts of the article are reproduced in any manner. Applicable licensing terms are at https://creativecommons.org/
licenses/by-nc-nd/4.0/.
Unlocking Community Engagement in REDD+ Initiatives: Insights
from a Case Study in the Amazon
By Sérgio Castro Gomes, Luis Fernando Cardoso e Cardoso, Eugênia Rosa Cabral,
Antônio Cordeiro de Santana, Keila Regina Mota Negrão & Pablo Queiroz Bahia
University of the Amazon
Abstract- The literature on national plans to reduce emissions from deforestation and forest degradation
(REDD+) shows that the stakeholders present in the territory, especially the communities, are the focus of
these actions. The article questions the level of community engagement in a proposed REDD+ project in
the Amazon by private companies, with the aim of analyzing the socio-economic and environmental
aspects of community residents. The theoretical framework integrates stakeholder theory and community
participation theory to support the analysis of the level of engagement. 338 small rural producers were
chosen from among the residents of 23 communities in four municipalities in the state of Pará. The
sociodemographic characteristics were collected and structured in tables and graphs. The results reveal
that the communities are socially disjointed, with problems defining property rights and access to
government goods and services, which makes it difficult to achieve the benefits declared by the REDD+
project.
Keywords: community participation; socio-economic and environmental conditions; social organisation;
greenhouse gas emissions.
GJHSS-B Classification: LCC Code: GE300-350
UnlockingCommunityEngagementinREDD+InitiativesInsightsfromaCaseStudyintheAmazon
Global Journal of HUMAN-SOCIAL SCIENCE: B
Geography, Geo-Sciences, Environmental Science & Disaster
Management
Volume 24Issue 2Version 1.0 Year 2024
Type: Double Blind Peer Reviewed International Research Journal
Publisher: Global Journals
Online ISSN: 2249-460x &Print ISSN: 0975-587X
Strictly as per the compliance and regulations of:
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Sérgio Castro Gomes α,Luis Fernando Cardoso e Cardoso σ
,Eugênia Rosa Cabral ρ,Antônio Cordeiro de Santana Ѡ,
Keila Regina Mota Negrão ¥& Pablo Queiroz Bahia §
Author α:University of the Amazon, Post-graduate program in
administration, Belém, Pará, Brasil. e-mail: sergio.gomes@unama.br,
ORCID: https://orcid.org/0000-0002-1731-8766
Author σ:Federal University of Pará, Post-graduate program in political
science, Belém, Pará, Brasil. e-mail: lfcardoso@ufpa.br,
ORCID: https://orcid.org/0000-0001-9384-1498
Author ρ:Federal University of Pará, Post-graduate program in political
science, Belém, Pará, Brasil. e-mail: ercabral@ufpa.br,
ORCID: https://orcid.org/0000-0002-7601-1465
Author Ѡ:Federal Rural University of the Amazon and NAEA/UFPA,
Belém, Pará, Brasil. e-mail: acsufra@gmail.com,
ORCID: https://orcid.org/0000-0002-4324-9178
Author ¥:University of the Amazon, Post-graduate program in
administration, Belém, Pará, Brasil. e-mail: knegrao@gmail.com,
ORCID: https://orcid.org/0000-0002-8012-0365
Author §: University of the Amazon, Post-graduate program in
administration, Belém, Pará, Brasil. e-mail: pablobahia@gmail.com,
ORCID: https://orcid.org/0000-0003-4168-6451
Unlocking Community Engagement in REDD+
Initiatives: Insights from a Case Study in the Amazon
Abstract-
The literature on national plans to reduce emissions
from deforestation and forest degradation (REDD+) shows
that the stakeholders present in the territory, especially the
communities, are the focus of these actions. The article
questions the level of community engagement in a proposed
REDD+ project in the Amazon by private companies, with the
aim of analyzing the socio-economic and environmental
aspects of community residents. The theoretical framework
integrates stakeholder theory and community participation
theory to support the analysis of the level of engagement. 338
small rural producers were chosen from among the residents
of 23 communities in four municipalities in the state of Pará.
The sociodemographic characteristics were collected and
structured in tables and graphs. The results reveal that the
communities are socially disjointed, with problems defining
property rights and access to government goods and
services, which makes it difficult to achieve the benefits
declared by the REDD+ project.
Keywords: community participation; socio-economic
and environmental conditions; social organisation;
greenhouse gas emissions.
I. Introduction
ver the last three decades, environmental
changes have been occurring rapidly and
frequently on the planet, with long-term effects
on temperature and climate, largely due to human
activities (Souza et al., 2020). The main drivers of
climate change are the burning of coal and fossil fuels
and deforestation, which lead to an increase in the
emission of greenhouse gases (GHGs) on the planet
(Shivanna, 2022). In this context, there are traditional
communities living in the Amazon who survive by
sustainably using natural resources and suffer from the
negative externalities caused by deforestation and the
O
increase in the area planted with monocultures such as
palm and soy.
Reducing the impacts of climate change
requires the use of strategies that lead to the adoption
of sustainable production practices, such as the policy
of reducing emissions from deforestation and forest
degradation (REDD+) in developing countries, resulting
from discussions on climate change that took place at
COP13, in Bali, Indonesia (Streck, 2020). In this strategy,
traditional populations, indigenous peoples, and
quilombolas have a central role in the success of this
type of action, as their settlement in these areas,
through the adoption of inclusive policies, will largely
ensure the achievement of GHG emission reduction
targets in the long term, which will occur as these
people benefit from the actions foreseen in the REDD+
implementation projects (Nhem et al., 2017).
Implementing and incentivising a REDD+
project with t h e aim of maintaining forest areas and
recovering degraded areas for carbon retention requires
an understanding of the motivations of residents in the
communities under study to continue reproducing within
a production system based on temporary crops that
guarantee subsistence and the commercialisation of
surpluses. It is therefore important to highlight the
incentives for changes in land use, the direct costs of
production and the opportunity cost for the
environmental service provided and envisaged in
REDD+ projects. It is also important to consider the
level of social organisation of the communities (Bruk
Molla, 2019; Santana, 2021; Wunder et al., 2020).
In 2015, the Brazilian government established
the National REDD Strategy. In operational terms, the
action plan for the prevention and control of
deforestation in the biomes is the main instrument
presented by the federal government to articulate
REDD+ initiatives in the country (MMA, 2016). With
regard to state jurisdiction, the Secretariat for the
Environment and Sustainability (SEMAS) is making
progress on building the REDD+ jurisdictional system,
which is expected to be finalised in 2024 (SEMAS,
2023). In these cases, as the instruments guiding
REDD+ policy have not been defined and regulated,
this makes it difficult to fulfil the safeguards for the
communities involved in REDD+ projects, even if the
private projects present the actions for the community to
receive the benefits provided by the project.
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Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
The conditions for the participation of rural
communities located in the area of influence of a
REDD+ project to be proposed by a large palm oil
production company in the state of Pará are then
questioned. Analyzing the socioeconomic and
environmental aspects of the residents in the
communities that enhance the participation of residents
is the objective of this work.
The theoretical framework combines
stakeholder theory with the theory of community
participation as a way of analysing socio-economic and
environmental patterns, and the evidence that guides
the definition of the level of participation of residents
in communities, according to Choguill (1996) and
Dirgantara (2021).
The methodological approach follows the mixed
model, with the application of a questionnaire containing
closed questions and single or multiple answers. The
sample is made up of community residents, chosen
intentionally. In addition to the questionnaire, in-depth
interviews were carried out among residents who
participated or participate in the management of
community associations.
The study was carried out in 23 communities
where 338 residents were interviewed, 12 of whom took
part in the in-depth interviews. The communities are
located in four municipalities in the Tocantins Integration
region, which are territories affected by the expansion of
oil palm cultivation in the region and are part of the area
of interest of the REDD+ proposal to be developed by a
large company in the oil palm production sector in the
state of Pará.
The article is structured in five sections,
including this introduction and the conclusion. The
theoretical aspects are presented and discussed in the
second section. The research methodology is described
in the third section. In the fourth section, the results of
the study are presented and analysed in the light of the
theoretical framework.
II. Theoretical Framework
a) The REDD+ policy for tackling climate change
The latest report from the Intergovernmental
Panel on Climate Change, released in March 2023, once
again brought alarming conclusions about the increase
in global levels of greenhouse gas (GHG) emissions,
mainly as a result of traditional forms of land use, the
use of fossil fuels, forest degradation and agricultural
activity (Fearnside, 2008). Controlling GHG is a
challenge for governments in terms of institutionalising
effective public policies against the accelerating
consequences of climate change.
The Brazilian Amazon is well placed to face this
challenge, as it has the second largest forest cover in
the world and plays a central role in carbon stocks, as
well as providing other ecosystem services, such as
climate regulation and balancing energy and water flows
(Fearnside, 2008; Toledo et al., 2022). In 2013, after
almost a decade of rounds of negotiations, the Parties
to the United Nations Framework Convention on Climate
Change (UNFCCC) defined an international architecture
to provide incentives to developing countries for REDD
(Streck, 2020).
REDD+ is a mechanism created to incentivise
the conservation of forests in developing countries,
based on the payment-by-results logic of the carbon
market. Its central objective is to reduce GHG emissions
through conservation actions and sustainable forest
management. In a context of climate change mitigation,
REDD+ values the ecosystemic role played by standing
forests, proposing local development through a
combination of reducing deforestation and encouraging
sustainable economic activities that are appropriate to
the territories and local reality.
Seven guidelines were drawn up by the
UNFCCC, also known as the "Cancun Safeguards", to
ensure that REDD+ initiatives adequately address
sensitive issues, especially considering the rights of
groups that are impacted and must be taken into
account when implementing projects: legal compliance
with applicable international agreements and legislation;
respect for the tenure rights of traditional communities
and peoples; fair, equitable and transparent distribution
of benefits that result from REDD+ actions; economic
and sustainable diversification of natural resources;
environmental conservation and recovery; ensuring
the broad participation of stakeholders involved in and
affected by projects; monitoring and transparency of
data on initiatives (Christen et al., 2020).
However, as Toledo et al. (2022) point out, the
implementation of REDD+ in Brazil has faced various
challenges, mainly related to governance and the
distribution of benefits among different actors involved.
Numerous critiques have been formulated identifying
flaws in the implementation process of REDD,
highlighting the possibility that projects may result in
violations of territorial and cultural rights, compromising
the rights of local communities (Skutsch & Turnhout,
2020).
REDD+ is an important tool for encouraging
forest conservation and sustainable development,
especially in countries like Brazil. Its implementation can
contribute to poverty reduction and the promotion of
social justice when carried out in a participatory,
inclusive, and dialogical manner, involving local
communities and respecting their rights (Cabral, 2022;
Hupffer et al., 2011). The involvement of communities
(stakeholders) in the REDD+ program is a central
necessity to ensure forest conservation and climate
change mitigation.
The way in which the projects have involved
the population has been criticised for perpetuating
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Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
socio-environmental inequality and excluding local
communities from decision-making (Newton et al.,
2015; Skutsch & Turnhout, 2020), showing that the
programme may not be taking into account the needs
and interests of local communities, resulting in conflicts
and socio-environmental injustices (Reed, 2008; Streck,
2020). In addition, there are concerns about the
effectiveness of the mechanisms that lead to achieving
the proposed objectives, as well as governance and
transparency issues in the implementation of REDD+
projects (Christen et al., 2020; Luttrell et al., 2013; Nhem
et al., 2017). The lack of community participation in the
REDD+ process can result in social injustices and
human rights violations, in other words, the reproduction
of a system that has historically been present in Brazil
(Streck, 2020).
The studies by Newton et al. (2015) and
Skutsch and Turnhout (2020) point out that communities
are often considered only as "beneficiaries" of projects,
without their effective participation and involvement.
There is also a lack of transparency and clear
information about REDD+ projects for local people,
which can hinder community participation (Streck,
2020). Another critical point is that local communities
often lack the technical knowledge needed to effectively
participate in projects, which can result in conflicts or a
failure to understand the benefits of the initiative (Hupffer
et al., 2011; Reed & Stringer, 2016; Sathler et al., 2015).
Several authors have emphasised the
fundamental role of local communities, as they are
the main users and guardians of forests and have
knowledge and practices that are essential for the
sustainable management of these resources and for the
sustainability of the initiative itself (Christen et al., 2020;
Luttrell et al., 2013; Newton et al., 2015; Sathler et al.,
2015; Vijge et al., 2016). In addition, the inclusion of
communities in the programme can bring social
benefits, such as improving the living conditions of
residents and strengthening local governance
(Dirgantara, 2021).
The literature therefore highlights the
importance of the REDD+ programme taking into
account the needs and demands of local communities,
ensuring their effective participation in decision-making
and in the management of forest resources. This shared
management should be made possible by constant and
effective dialogue between the various stakeholders
involved in REDD+ projects, especially local
communities, so that they are seen not just as suppliers
of information, but as actors who directly influence the
implementation of the programme, which will enable a
fairer distribution of the benefits generated by the
initiatives (Skutsch & Turnhout, 2020; Souza, 2013).
b) Stakeholder participation theory
Freeman (1984) defines stakeholders as a
group or individuals who affect the internal decisions of
organisations so that they achieve their objectives or are
affected by them. According to Andrade and Rossetti
(2004), stakeholders can be classified into four groups:
investors, made up of the organisation's owners;
internal, those directly involved in generating and
monitoring results; external, those integrated or not
integrated into the business chain; local society, the
government and its regulatory agents. According to
Reed (2008), stakeholder participation increases the
chances of securing the interests of secondary actors,
guaranteeing benefits for society in general.
The success of REDD+ policies lies, to a large
extent, in the incentives for the multiple actors
(stakeholders) who participate in the sustainable
management of forests and in the information and
knowledge generated by exchanges of experience that
improve the quality of environmental decisions.
However, Reed (2008) states that this quality depends
on the nature of the process that guides decisions.
As environmental problems are complex and
uncertain, affecting multiple actors, decision-making
must take into account the diversity of stakeholders'
knowledge and values, assuming that their participation
is a democratic right (Reed & Stringer, 2016). For Reed
(2008, p. 12), "participation is defined as a process in
which individuals, groups and organisations choose to
take an active role in making decisions that affect them".
In this case, participation is restricted only to those
interested in the issue, and does not extend to the
general public.
In this context, Redd (2008) states that
stakeholder participation brings a set of benefits that
improve the formation of environmental governance:
increased public confidence in decisions; empowerment
from the knowledge produced; greater likelihood of
environmental decisions being understood as holistic
and fair; promotion of social learning; learning
generated from new relationships. In effect, participatory
processes improve decision-making, since they are
based on complete information, relationships of trust,
reciprocity and co-operation.
Community participation in governmental and
non-governmental programmes plays a central role in
the viability of social projects, since the practices
developed in the community and the knowledge
produced in internal and external relations influence
political decisions (Choguill, 1996).
According to Choguill (1996), Arnstein's so-
called "ladder of citizen participation" is used to analyse
community participation in developed countries, but
does not apply to developing countries. A provisional
classification was proposed by Choguill (1996, p. 22),
"based on the degree of external institutional
involvement in terms of facilitating/realising community
mutual aid projects". Reed and Stringer's (2016)
proposal to build a theoretical framework to explain the
motivation for participation by communities and public
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agents considers context, process design, management
of power dynamics and scalar adjustment as essential
components to explain the degree of participation
(engagement) in a natural environment.
Dirgantara (2021) adopts the model developed
by Choguill (1996) to identify local community
participation in the implementation of REDD+ in the
Meru Betiri National Park on the island of Java in
Indonesia, developed from a collaborative perspective
between the government, neighbouring local
communities and the International Tropical Timber
Organisation (ITTO).
In Dirgantara's (2021) logical construction, the
attributes of participation have been aggregated into
four dimensions, each of which contemplates the
additionality of the attributes of Choguill's (1996) original
proposal, as a way of showing the level of government
and community involvement.
Table 1 summarises Choguill's (1996) idea of
the attributes that define the level of community
participation in government actions and expresses the
formation of residents' behaviour in participating or not
in government projects and those of non-governmental
institutions. The last column of the table presents the
authors' understanding of the model for analysing the
results of the research carried out by Dirgantara (2021),
which contributes to the examination of socio-economic
and environmental characteristics in the context of the
REDD+ project proposal of interest to the research.
The dimensions of Choguill's (1996) proposal
are: empowerment, considered the highest degree on
the scale in which community members have the
majority of seats or powers; partnership, with shared
responsibilities; conciliation, arising from government
action ratified by the people; dissimulation, expressed
by apparent participation; diplomacy, also understood
as a manipulation of the community; information,
concerning the flow of information from officials to the
community with no room for negotiation; conspiracy, in
which no participation in decision-making takes place;
self-management, in which the public authority
abdicates from solving local problems.
Chart 1: Ladder of community participation/non-participation (Choguill, 1996).
Hierarchy in
the level of
participation Attributes Dimension Understanding from the theoretical-empirical
perspective of Dirgantara (2021)
Higher level Strengthening Support Community members are proactive in making alliances
with the government.
Participation Sharing responsibilities; informal problem-solving
mechanisms. Co-operation between communities and
public and private institutions.
Conciliation
This occurs when solutions to problems are drawn up by
the government or by consensus between stakeholders,
taking into account the economic power of large estates.
Adequate waste disposal and concerted action in
communities
Dissimulation Manipulation Communities are provided with secondary actions made
possible by the public sector. Councils or committees are
created to act in a symbolic way.
Diplomacy
Community improvements are carried out with the
participation of residents and non-governmental
institutions. The government is oblivious to internal
changes and acts opportunistically. The NGO trains
residents to form a labour force to be employed in the
community's internal transformation actions.
Information
Information about its decisions to residents without the
possibility of negotiation. The realisation of actions in the
community is defined and planned with little evidence of
the reality experienced by the residents, without taking
into account the successful or unsuccessful experiences
of the community's residents.
Conspiracy Rejection
Little or no aid to the community is decided by the
government, either because political issues benefit rival
political groups or because there are no programme
competences in the community. The most vulnerable are
the groups on the margins of government social policies.
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Lowest level Self-
management Negligence
NGOs provide financial, social and psychological
assistance through specific projects among the residents.
There is an absence of public authorities in the
community, where internal demands are neglected. The
community needs to make a greater effort to (re)build the
social fabric.
Source: Adapted from Choguill (1996) and Dirgantara (2021).
c) Characteristics of relationships between residents of
communities located around large oil palm projects
in the state of Pará
Academic research on oil palm cultivation in
the Para Amazon has revealed profound socio-
environmental and economic transformations in
traditional communities, highlighting the complexity of
the interactions between agriculture, sustainability and
rural development. Studies by Costa and Teles (2022),
Mota et al. (2019), Nahum and Santos (2013) and Souza
and Macedo (2020) offer important clues about these
dynamics, each addressing different aspects of the
influence of oil palm cultivation in the region.
Souza and Macedo (2020) investigate peasant
territoriality in north-eastern Pará, revealing that
peasants have diversified their economic activities
beyond subsistence farming. Oil palm cultivation has
emerged as a significant economic alternative, although
this dependence has led to a series of survival
strategies, such as migration and wage labour,
reflecting the adaptability of peasants in the face of
economic challenges.
Costa and Teles (2022) analyse the socio-
environmental consequences of the introduction of oil
palm cultivation in the Nazaré Settlement, highlighting
negative impacts such as the degradation of streams
and a reduction in the availability of natural resources.
The expansion of this monoculture has reconfigured the
socioeconomic and environmental fabric of rural
communities, affecting traditional farming practices and
the sustainability of farming families.
Nahum and Santos (2013) highlight the
environmental damage caused by oil palm cultivation,
such as the contamination of water resources by the
intensive use of pesticides, and the social impacts,
including the concentration of land and the threat to
food security. They conclude that, despite being a
source of economic development, oil palm cultivation
presents significant challenges for environmental
sustainability and the well-being of traditional
communities.
Mota et al. (2019) focus on the organisation of
family labour in oil palm cultivation in Tomé-Açu, noting
a significant reduction in the cultivation of annual crops
due to the volume of work required by oil palm
cultivation. The research points to a change in the
management of family farm labour and a trend towards
self-exploitation of the workforce, reflecting the socio-
economic transformations induced by oil palm
cultivation.
These studies collectively illustrate the
complexity of the changes caused by oil palm cultivation
in the Para Amazon, highlighting the need for integrated
approaches that respect local dynamics and the
environment in order to tackle socio-environmental
challenges and promote sustainable rural development.
III. Methodology
This article followed, in part, the guidelines
outlined by Dirgantara (2021). The research benefited
from both qualitative and quantitative methods to
produce the necessary information for the development
of the analyses. Based on the results of the qualitative
research, it was possible to understand the underlying
factors in the social organization process of the
communities. Through the use of quantitative methods,
the systematization of variables and the generation of
the necessary descriptive statistics were carried out
to obtain the patterns of the sociodemographic
characteristics and social organization of the
communities.
Next, a literature review was carried out in order
to obtain information related to the central aspects of the
discussion on the design and implementation of
REDD+ projects. The literature review is an important
stage in the production of knowledge on a given
research topic. A questionnaire with objective questions
was developed based on the authors presented in the
literature review on stakeholder theory and social
participation, aiming to capture the residents'
perceptions about various situations. This type of
instrument is recommended by Rowley (2014) for
research related to stakeholders.
The estimated number of families and residents
in the 23 communities is 7,221 and 29,095, respectively.
The sample size was determined in proportion to the
distribution of families in each community. The research
sample is non-probabilistic and utilized the purposive
selection process, as participation was a decision made
by the community resident. This type of sampling has
limitations and introduces biases such as the inability to
generalize the results to the population, the self-
selection process, and selection bias, which were
minimized by conducting interviews with the presidents
and directors of the community associations, and
seeking residents of different ages, genders, and
lengths of residence in the community.
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In the sample, 338 family representatives were
interviewed, chosen because they were responsible for
the family. In cases where those chosen were people
who participated or participate in the management of
the community association, an in-depth interview was
carried out to obtain information on the dynamics of
cooperation, collaboration and reciprocity between the
participants in the organisation. In this format, 12
residents were interviewed.
Data was collected in the field from 8 to 14
February 2022. Collection in the communities was
carried out by nine researchers, three groups with a field
supervisor and two collectors, all of whom took part in
the application of the questionnaires and interviews.
The administration of the questionnaires in the
field followed these steps: a) the community residents
were approached at their homes, and the Informed
Consent Form (ICF) was presented to them –if the
resident agreed to participate in the research, the
interview was conducted, and the Form was signed; b) if
the resident had been involved in the management of
the community association, an in-depth questionnaire
was administered; c) the average time for administering
the questionnaire ranged between 20 and 30 minutes,
and this time extended to 50 minutes for interviews with
the managers. Some criteria were used for conducting
the interviews: the participant had to be at least 18 years
old; the administration of the interviews had to be
gender-balanced; there was an effort to achieve the
greatest variability of respondents based on the variable
of length of residence in the community.
The Statistical Package for the Social Sciences
(SPSS) software was used to systematise the data and
produce the information. Frequency distribution tables
and descriptive statistical measures were drawn up to
find patterns of occurrence a m o n g all the
interviewees. The aspects considered for discussion are
related to the historical context of the communities,
infrastructure services, the social articulation of
associations and cooperatives, land use,
commercialisation and the interviewees' perception of
environmental services and externalities. The level of
participation was classified according to the typology
developed by Choguill (1996), applied by Dirgantara
(2021).
IV. Results and Discussions
a) Sociodemographic characteristics
The average number of people per household
was 3.94±1.8 SD (standard deviation). The average age
was 46.9±14.34 SD, with the lowest age being 18 and
the highest 87. The length of residence is 24.3±15.9
SD, which guarantees that the interviewees are
representative enough to talk about the history of the
formation of the communities, the transformations that
have taken place, the stage they are at and their
participation in the actions carried out. According to
Conceição et al. (2019), who studied generational
succession in oil palm integration in the community of
Arauaí, in the municipality of Moju, state of Pará, the
main reason for migrating to this community was the
realisation that oil palm cultivation would provide income
and improve the family's standard of living.
Men are the majority in the research (55.0%).
The predominant level of education is incomplete
elementary school (52%), which, together with those
who completed it, represents 61% of the respondents. It
is important to note that 2% of the research participants
declared themselves illiterate. This low level of education
among residents in the communities poses the greatest
challenge to initiating the process of transforming these
individuals, as the transfer of knowledge about
sustainable production and marketing practices requires
skills developed through basic education. In this case,
the low level of schooling among children and young
people will affect the development of these individuals'
intellectual capacities and will restrict future
opportunities for access to work and income, as
discussed by Sen (2000). Moreover, the transfer of
sustainable and low carbon emission agricultural
production technologies is compromised, due to the
limited capacity of small rural producers to assimilate
this knowledge (Santana, 2021).
The predominant family income is up to one
minimum wage (46%), followed by more than one to two
minimum wages. This totals 83.0% of the community's
residents, which highlights the income vulnerability of
the majority of families. In the Arauaí community, one
survey participant claimed to have an income of
between five and ten minimum wages. In this case, the
interviewee is part of a group of 50 small producers
living in the community, integrated into the Arauaí family
oil palm production system, which maintains a
partnership with the Agropalma agro-industry.
According to the findings of Santos et al. (2014) and
Conceição et al. (2019), this partnership provided higher
income to the participating families and the application
of sustainable production practices, differentiating from
communities where subsistence crops were
predominant such as cassava, rice, beans, and small
animal husbandry.
The main productive activity for 40.7% of the
families living in the communities is subsistence farming,
followed by salaried work, for 14.8% who work to receive
per diems, and15% receive social security benefits or
income transfer programmes from the federal
government. This structure of income generation shows
that the producers interviewed are on the margins of the
palm's income-generating potential, as they lack access
to credit, land and skilled labour, as pointed out by
Brandão et al. (2018).
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Chart 2: Interviewees' perceptions of the public services they have access to in their communities.
Community Health Education Sanitation Electricity Security Mobile
telephony Payphone Radio and
Television
Arauaí
Betânia
Boa Esperança
Calmaria I
Calmaria II
Cipoteua
Forquilha
Gonçalves
Igapó-Açu
Ipiranga
Jandira
Jupuuba
Nazaré-Auí-Açu
Nova Esperança
Nova Paz
Olho D
'Ág
ua
Palmares
Santo Expedito
São Francisco de Assis
Sempre Alegre
Soledade
Turi-Açu
Urucuré
Source: Data compiled by the authors.
Colour representation: Nonexistent Insufficient Regular Good
Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
b) Satisfaction with public services in communities
Given the socio-economic conditions of those
interviewed, which leave some of them out of the initial
links in the palm value chain, small producers come to
depend on the services offered by public authorities as
a way of gaining access to education, health, sanitation,
electricity, security and technology, information
and communication services. Table 2 shows the
interviewees' perception of the quality of these services
for all 23 communities -rated as non-existent,
insufficient, fair and good.
In 56.5 per cent of the 23 communities, health
services were classified as insufficient or non-existent by
the majority of those interviewed. Residents of the
communities of Arauaí, Calmaria I, Cipoteua, Gonçalves,
Jandira, Jupuuba and Nazaré-Auí-Açu, Nova Paz and
Urucuré reported that they seek care in other
municipalities, as the health care provided by the
community's health units is precarious and is most often
carried out by community health workers from other
communities. An interviewee living in Vila Gonçalves
says: "There used to be medical care at DENPASA, but
it was abolished, so nowadays health care takes place
in Tailândia, in other words, it's necessary to travel when
you need medical attention."
For 73.9 per cent of those interviewed, basic
education services in the communities were classified
as regular or good. This satisfaction shows, in part, the
presence of school units in the communities, but it does
not guarantee the quality of education, as one
interviewee from the Cipoteua community said: "Basic
education is poor, as are the facilities at the only public
school and the negligence towards the students, since
they don't even have water to drink".
Sanitation services were classified as inefficient
or non-existent by 74.0% of the 23 communities, which
shows the absence of a sewage system. Where there
was access to a drinking water network, the interviewees
lived in communities along the PA-150 (Betânia, Vila
Boa Esperança, Jupuuba, Nova esperança, Olho
D'Água and Palmares).
For 82.5% of the 23 communities, the electricity
service was considered good or regular, which reflects
the reach of the actions of the Federal Government's
Light for All Programme. It is worth emphasising that,
according to Angelo et al. (2009), access to electricity
has a positive correlation with human development.
From the degree of dissatisfaction of those
interviewed with the public services offered, it can be
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Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
inferred that these people have a high level of
vulnerability that prevents them from taking advantage
of future opportunities that may arise with the increase in
agricultural production and agro-industry and with the
downstream and upstream multiplier effects in the palm
production chain. The reduction in this vulnerability is
largely due to the implementation of social programmes
designed by the Federal Government under the
Ministries of Cities, Social Development and Integration.
c) Socio-economic organisation and the environment in
communities
Of all those interviewed, 80% do not take part in
associative organisations. This can be seen as a weak
point for the inclusion of these residents in the area of
influence of the REDD+ project, as the lack of
coordination between rural producers makes it difficult
to define actions of collective interest and implement
projects. The survey data shows that this interest
group is dispersed; there is a low level of trust
between producers, representatives of the associations,
governments and the company, which form the group of
stakeholders in the project.
This context is evidenced by the fact that a large
majority of those interviewed, 80 per cent, are not
affiliated to any association. This situation indicates a
vulnerability for the inclusion of these farmers in REDD+
projects, because the lack of articulation between them
makes it difficult to define and implement such
initiatives. The dispersion of this group -combined with
a varied level of political organisation, both formal and
informal, between farmers, associations, governments
and companies -constitutes a significant challenge.
This political configuration of farmers in the Para
Amazon is marked by a diversity that involves
participation in rural unions, community associations,
agricultural cooperatives and social movements
dedicated to the defence of land rights and rural
workers (Souza & Macedo, 2020).
Some interviewees said that in the past there
had been greater political organisation in the
community, but this had never been a highlight in that
space, since it depends on the initiative and motivation
of a leader who takes the lead in the process. In fact, the
culture of social organisation is neither strong nor
perceived as a possibility for resolving everyday
problems in dialogue with government bodies.
According to Costa and Teles (2022), in
contrast to areas of territorial conflict, regions where
land ownership is legally guaranteed show a distancing
of farmers from formal structures of social
representation, due to the absence of demands
perceived as essential and the lack of local leaders.
This scenario differs significantly from contexts
in which struggles for territory are taking place, led by
landless farmers, quilombola communities and
indigenous peoples, whose demands for recognition
and rights are more visible and assertive (Costa & Teles,
2022). In the communities surveyed, 59 per cent of
those interviewed said they owned rural property; 55 per
cent of them have a deed of ownership, 17 per cent
have no document, 14 per cent are registered in the
Rural Environmental Registry and 11 per cent have a
purchase and sale document. This distribution of land
ownership conditions without deeds weakens residents'
participation in the REDD+ project.
On rural properties, açaí, manioc, flour, black
pepper, rice and palm oil are sold, which are produced
in monoculture or agroforestry systems. Cassava
production in the communities is used to guarantee
flour to be consumed by the families, and the surplus
is commercialised. In short, agricultural production
is basically for their own consumption, and
commercialisation, when it takes place, is carried out in
the community itself.
Most of the producers who sell their products
use middlemen to get their produce to neighbouring
communities or to the municipal headquarters. The main
difficulties faced by producers are the high price of
agricultural inputs, the lack of technical assistance and
the low qualifications of the labour force. Transport and
the poor condition of the roads make it difficult to
transport production and receive inputs purchased
elsewhere.
This land tenure structure in the communities
under study guides the distribution of the benefits of a
REDD+ project to different land tenure categories,
considering the contribution of each category to
maintaining carbon stocks and reducing deforestation
(Guerra & Moutinho, 2020). This aspect is pointed out
as a challenge for the implementation of REDD+
projects and ends up influencing the decision on the
participation of community residents, who stated that
they have low participation in decision-making (Pham et
al., 2021).
The attributes of cooperation and reciprocity,
which underpin the formation of networks, are present
when there are interactions between community groups
with the aim of collaborating with producers from
neighbouring communities in production activities and
the transfer of agricultural practices, such as the mutual
help in flour production reported by the interviewees.
The main actions carried out by the interaction between
the Palma production companies and the communities
were rural technical assistance and improvements to the
infrastructure of roads and bridges.
There is concern for the environment in the
process of producing crops such as açaí, manioc,
cocoa, black pepper and palm oil. This combination of
products has the potential to create an agroforestry
system that enables the recovery of degraded areas and
ensures income generation for a period of one year,
which corresponds to a short cycle. In effect, residents
feel motivated to make changes in land use with a view
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Source: Survey results.
Figure 1: Interviewees' environmental perceptions.
Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
to participating in global value chains that make it
possible to increase family income, improve well-being
and reduce impacts on the environment (Santana,
2021). The burning of forest areas is carried out by 69
per cent of the producers taking part in the survey. The
practice is observed in all the communities, with the
exception of just two: Jandira and Soledade. Slash and
burn is the most common technique used to prepare
land for use. However, 70% of those interviewed used
fire to prepare the land in the following communities:
Jupuuba, Nova Esperança, São Francisco de Assis,
Gonçalves, Turi-Açu, Ipiranga, Betânia, Calmaria I and
Igapó-Açu. The practice of firebreaks to prevent the
expansion of the burnt area is carried out by producers
in the following communities: Ipiranga, Sempre Alegre,
São Francisco de Assis, Igapó-Açu, Gonçalves, Turi-
Açu, Calmaria II, Urucuré, Betânia, Calmaria I, Forquilha,
Jupuuba and Nazaré-Auí-Açu.
Figure 1 shows the producers' perception of
environmental issues related to their experience in the
community over the last five years. There is agreement
with the statement that there has been an increase in
temperature (87%). In their perception, deforestation
and fires were central to explaining this increase.
In the opinion of 82% of those interviewed, the
amount of hunting has decreased. 76% of them agree
that there has been a reduction in the amount of burning
when preparing the fields. The explanations for this,
according to the producers, were the increase in
population in the communities, which increased the
demand for animals, and the reduction in burning, partly
as a result of increased inspection by Ibama and
monitoring by Semas, the Pará state government.
For 74 per cent of the survey participants, there
has been an increase in water pollution in the rivers and
streams, which can be explained in part by the
insecticides used by the oil palm companies, which
reach the rivers with the rains or by contamination of the
water table. The average perception of a decrease in
wood and firewood extraction was expressed by 71 per
cent of the interviewees. However, it was observed that
the dynamics of timber extraction continue in these
communities. In fact, it was possible to verify in the field
-and in reports -the passage of lorries with logs from
6pm onwards. There are also reports of charcoal being
produced from the wood that remains after burning.
The residents of the communities also say that
the communities are abandoned, that there has been an
increase in the number of people in these places, that
the extraction of hardwoods persists, that young people
prefer to work for the companies as day labourers and
that the inputs for production are expensive. The effect
of this combination of factors is explained by one
interviewee: "this community is going through a process
of emptying of residents due to the lack of job
opportunities in the region and the difficulties of road
access".
d) Degree of participation
Table 3 summarises the main evidence that
guided the definition of the level of community
participation, according to the dimensions presented by
Choguill (1996) and Dirgantara (2021).
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Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
The Support dimension includes the attributes
strengthening, participation and conciliation and reflects
the level of articulation in the communities. It was
observed that the absence of community leaders
weakens internal and external coordination to take
advantage of opportunities. Cooperation and reciprocity
actions, in turn, take place in small groups of
neighbours, without the incentive to expand the
capillarity of actions and families. In this respect, Toledo
et al. (2022) emphasise that the concentration of
decision-making in small groups makes governance
fragile and therefore violates communities' territorial and
cultural rights (Skutsch & Turnhout, 2020).
According to the results of the survey, the
attributes of the Manipulation dimension -dissimulation,
diplomacy and information -reflect the effects of the
isolated actions carried out by NGOs that aim to meet
specific demands according to the degree of social
fragility in the community, particularly actions to reduce
poverty, guarantee access to water and provide
adequate sanitary sewage disposal. The lack or
insufficiency of public basic sanitation services
perceived by the survey participants is met by non-
governmental institutions.
This fragility of the social fabric jeopardises
the construction of REDD+ projects and requires
developers to make a high level of commitment so that
the Cancun Safeguards (Christen et al., 2020) are met,
especially ensuring the broad participation of the
communities affected by the project, the monitoring and
transparency of the actions established between the
parties in order to guarantee the benefits to residents
and the fulfilment of the carbon capture deliveries
promised by the project.
Analysing the data relating to the Rejection
dimension emphasises the existing conflicts between
some communities (traditional, indigenous and
quilombola) and oil palm companies due to the lack of
definition of land ownership rights, which has
transformed the socio-economic and environmental
fabric of communities and altered traditional cultivation
and commercialisation practices (Costa & Teles, 2022),
with direct effects on the increase in GHG levels, the
reduction and degradation of forest areas and climate
change (Fearnside, 2008).
The participation of indigenous and quilombola
communities in these conflicts requires the project's
designers to develop actions that include these
communities as REDD+ beneficiaries (Streck, 2020). As
a result, there would be no profound changes in the
organisation of family work, in traditional production
systems that do not make intensive use of pesticides,
and in guaranteeing food security -which is consistent
with the socio-bioeconomic production model in which
the social, economic and environmental dimensions are
considered in an integrated manner (Mota et al., 2019;
Nahum & Santos, 2013; Santana, 2021).
As for the Negligence dimension, there is
evidence of the absence of public authorities as an
important agent in delivering services and encouraging
community residents to organise themselves, present
their demands and create mechanisms to monitor the
implementation of public policy. In this type of situation,
where the public authorities abdicate the solution to
problems, in some cases transferring it to non-
governmental institutions or leaving residents to their
own devices, Choguill (1996) and Dirgantara (2021)
emphasise that there is no degree of social
empowerment in communities. This type of situation will
lead to a lower level of community participation, with a
direct effect on the viability of the REDD+ project, since
it is these people who cultivate sustainable production
practices and who need to be included in the
programmes to reduce deforestation and payments for
environmental services (Christen et al., 2020; Luttrell et
al., 2013).
Dimension Research Evidence
Support
•According to Chart 1, the services offered by the public authorities to the communities are
considered non-existent or insufficient.
•The interviewees' low level of participation in associative organisations indicates incipient
social capital, which does not support deliberations based on solidarity processes.
Manipulation
•Some interactions are stated, such as the organisation of training courses, workshops and
lectures by companies and the city council, but there is no continuity in these activities.
•NGOs are developing social inclusion projects and sustainable agricultural production
alternatives, such as structuring agro forestry production systems.
•Improvements in the community are carried out with the participation of residents and
NGOs; in some cases, the government participates by providing machinery and
equipment to free up side roads that are important for transporting produce.
•Little information is produced and disseminated among the parties involved in commercial
transactions and relations with the government.
•High transaction costs due to the lack of information for decision-making, with greater
bargaining power for middlemen.
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Unlocking Community Engagement in REDD+ Initiatives: Insights from a Case Study in the Amazon
Rejection
•The conflicts arising from the lack of definition of property rights reflect, to a large extent,
the lack of an effective policy for resolving land problems in the state.
•The effect of this lack of definition weakens the participation of community residents, as it
makes it impossible for them to access the direct benefits of REDD+ projects.
•Among the indirect benefits of the REDD+ project, we highlight the realisation of actions
to define property rights through the sharing of actions and common interests.
Negligence
•Interviewees say that NGOs provide technical assistance and training for new sustainable
business models based on co-operative processes. However, the frequency of
occurrence is low.
•The disarticulation of the social fabric in communities weakens the definition of actions,
and the search for shared solutions is made impossible by the absence of social capital.
Source: Survey results.
Considering the objectives of a REDD+ project,
the participation of communities and state or non-state
agents is understood to be decisive in mitigating climate
change, reducing emissions, increasing the carbon
stock and ensuring the credibility of the project, in line
with the reality in the communities (Nhem et al., 2017).
However, the results presented show that, given
the precarious conditions of income, education,
agricultural production, and the absence of an
organized social fabric in the communities, it is to be
expected that any REDD+ proposal from a private
organization, which includes the population of these
areas affected by the project, must include actions to
rebuild human, social, physical, and environmental
capital in these communities, so that the benefits are
equitable, and not only the REDD+ proponent takes
advantage of the incomes provided by the carbon
market.
V. Conclusion
In the case under study, the low level of political
organisation in the communities of interest to the
REDD+ project could compromise the participation of a
greater number of residents, who could benefit from the
project's incentives in various ways: by strengthening
property rights, enforcing environmental legislation and
transferring technologies. Inclusion through participation
can ensure that they take advantage of future
opportunities created by a sustainable development
process guided by structuring projects focused on
agricultural activities in the municipalities that include the
communities surveyed.
The research indicates the situation of
economic, environmental and social vulnerability of
community residents, aggravated by conflicts between
palm oil companies and communities, which has led to
the adoption of production processes that lead to the
degradation of forest areas and deforestation.
When analysing the dimensions of Choguill's
(1996) and Dirgantara's (2021) model, considering the
factors representing the socio-economy as necessary
conditions for the development of the social fabric in the
communities, it was observed that, given the low level of
participation and organisation, the communities will
contribute little to the process of building the REDD+
project being developed by a large oil palm company. In
effect, the safeguards to ensure that the project's
initiatives guarantee the rights of the most impacted
communities and promote a fair, equitable and
transparent distribution of the benefits are jeopardised
by the low level of human development, the weakening
of the social fabric and the lack of coordination between
communities.
The article contributes to expanding the body of
empirical research that shows the need to produce
knowledge about the conditioning factors that affect
the effectiveness of the REDD+ strategy and guide
the formulation of economic, financial, social and
environmental actions that benefit the communities that
are part of a REDD+ project.
Among the limitations, the short period of time
for data collection in the communities, the small number
of interviewees with historical knowledge about local
productive development, and the non-generalization of
the results to the population of residents in the
communities stand out.
Future research should shed light on the
underlying factors to the implementation of the REDD+
strategy with the aim of qualifying the elements that act
on the dimensions of the social participation of the
communities and to describe the mechanisms of
integration among the different stakeholders. Similarly,
longitudinal studies are needed to assess changes in
the organizational structure of the communities.
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