Dr Maria Brockhaus gave this presentation in Bonn, Germany on 5 June 2013 at an event organized by CIFOR titled ‘REDD+ performance and verification: Insights from CIFOR’s Global Comparative Study (GCS) on REDD+’. This was an official side event to the 2013 Bonn Climate Change Conference.

1. THINKING beyond the canopy
REDD+ progress: a qualitative
comparative analysis
Maria Brockhaus, Kaisa Korhonen-Kurki,
Jenniver Sehring, and Monica Di Gregorio
Bonn, 5th June 2013

2. How is progress in REDD+ defined?
The phased approach (Meridian 2009, UNFCCC)
2

3. THINKING beyond the canopy
To move forward with REDD+ toward
result based payments,
transformational change is needed:
Definition and policy outcomes
 a shift in discursive practices, attitudes, power
relations, and deliberate policy and protest action
that leads policy formulation and implementation
away from business as usual policy approaches
that directly or indirectly support deforestation
and degradation

4. THINKING beyond the canopy
Examples of
transformational change
In the context of REDD+, transformational outcomes can be
i) changes in economic, regulatory and governance
frameworks, including the devolution of rights to local
users;
ii) removals of perverse incentives, such as subsidies and
concessions that serve selective economic interests and
stimulate deforestation and forest degradation; and
iii) reforms of forest industry policies and regulations that
effectively reduce unsustainable extraction

5. THINKING beyond the canopy
How to measure country progress?
QCA
Kaisa Korhonen-Kurki, Jenniver Sehring, Maria Brockhaus and Monica Di
Gregorio. Enabling factors for establishing REDD+ in a context of weak
governance: A Qualitative Comparative Analysis. (submitted to Climate Policy)
 QCA designed for comparisons of a small to
intermediate number of cases (Ragin, 1987 2000,
2008; Rihoux & Ragin, 2009; Schneider & Wagemann
2012)
 QCA allows for systematic cross-case comparison
without neglecting case complexity  modest, medium-
range generalization and theorizing
 In QCA, each case is understood as a specific
combination (or ‘configuration’) of factors, called
‘conditions’

6. THINKING beyond the canopy
 Background studies (country profiles, media analysis,
comparative analysis) in 12 countries in South America,
sub-Saharan Africa, Asia and Oceania
 Expert country teams with in-depth case knowledge
• Workshops: Identification of relevant factors,
identification of relevant indicators
• Online survey: revision of factors, indicators, and first
assessment  selection of final factors and
assessment
• Final workshop in September 2012: assessments
finalised and verified
 2-step QCA
QCA for REDD+: approach

7. THINKING beyond the canopy
Analysis :Two-step QCA
Outcome variable: Establishment of comprehensive policies
targeting transformational change in the REDD+ policy
domain (phase II)
Remote conditions spatiotemporally distant from the outcome,
stable over time , difficult to change  institutional setting
Proximate conditions spatiotemporally close, vary over time
and easier to change  policy arena
 Six factors divided into two categories to explain outcome
• Institutional setting: pressure from forest-resource shortage;
effective forest legislation, policy and governance; already
initiated policy change
• The policy arena: national ownership; transformational
coalitions; inclusiveness of the policy process

8. THINKING beyond the canopy
Definition of the outcome: Establishment of
comprehensive policies targeting transformational
change in the REDD+ policy domain
Presence Absence Indicators of presence Evaluation
New institutions,
procedures and
capacity-building
measures are
established by
committed actors.
Such policies and
outputs are built on a
broad societal
consensus for change.
New institutions and
procedures are not
established or are met
with resistance, thus
undermining their
capacity to function.
REDD+ policy
formulation remains
fragmented or is
undertaken mainly by
external actors.
Business-as-usual
approaches dominate
media and politics.
* MRV system
developed
* Coordination body
established
* REDD financing used
effectively
* National strategy in
place
* Grievance
procedures or other
mechanisms to
enhance accountability
in REDD+ systems
established
Two or more indicators
of presence = 1
Zero or one indicator of
presence = 0
Only Brazil, Indonesia and Vietnam (at least two indicators present) - outcome 1.

9. THINKING beyond the canopy
Key features of effective forest
legislation, policy and governance (EFF)
Presence Absence Indicators of presence Evaluation
A sound and clear legal
framework with clearly
assigned rights and
management
regulations is in place.
Laws and policies are at
least partly effectively
implemented by
national and local
administrations, which
have at their disposal a
minimum of
enforcement
mechanisms and
implementation
capacity.
Tenure and rights are in
many respects unclear
and contested.
There are unresolved
contradictions between
formal and customary
law.
There are no adequate
laws and policies, or
they exist but are
ineffective because of
lack of implementation
mechanisms and
enforcement capacity
and/or elite capture and
corruption.
*Sound and consistent legal
forestry framework and policies
*Effective implementation and
enforcement mechanisms
*Capacity-building efforts for
implementing agencies
*High compliance with the law by
citizens and businesses
*Awareness and effective use of
rights
*Low level of corruption and
clientelistic patterns undermining
policy implementation
Two or more
indicators
present = 1
Zero or one
indicator
present = 0

10. THINKING beyond the canopy
Transformational coalitions (COAL)
Presence Absence Indicators of presence Evaluation
Existence of
coalitions of drivers
of change with room
to manoeuvre in the
political structures
and impact on the
discourse.
Policy actors and
coalitions calling for
transformational
change are more
prominent in the
media than those
supporting the status
quo.
No observable
coalitions of drivers
of change, or any
present are too
marginal to
influence policy-
making and are not
visible in the
political discourse
on REDD+.
Media and policy
circles are
dominated by
coalitions
supporting the
status quo and
business as usual.
*Notions or existence of coalition building
among actors supporting REDD+ policies (e.g.
umbrella organization, regular meetings, joint
statements, personal relations)
*There are drivers of change (policy actors
that lead discourse in pro-REDD+ direction)
both inside and outside government
institutions.
*Policy actor coalitions calling for substantial
political change in forest policies are more
prominent in media than those supporting the
status quo.
*Pro-REDD+ policy actors have good access to
political decision-makers (e.g. invited to
expert hearings, members in advisory
councils).
Two or
more
indicators
present,
including
the first
indicator = 1
Zero or one
indicator
present or
first
indicator
absent = 0

11. THINKING beyond the canopy
Results I: Institutional setting
The results reveal path dependencies and institutional stickiness
in all the study countries:
 Only countries already undertaking institutional change (CHA)
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 (PRES: Brazil
and Indonesia)
• or key features of effective forest legislation, policy and
governance (EFF: Vietnam).
positive outcome (REDD = 1):PRES*eff*CHA (Indonesia)
+ pres*EFF*CHA (Vietnam) + PRES*EFF*CHA (Brazil)

12. THINKING beyond the canopy

13. THINKING beyond the canopy
Results II: Policy arena
Where an enabling institutional setting is in place
(EFF*CHA or PRES*eff*CHA), two conditions of the policy
arena proofed to be crucial for all three successful
countries (Brazil, Vietnam and Indonesia):
 National ownership (OWN)
 Transformational coalitions (COAL)
Countries that have these two conditions of the policy
arena, but not the enabling institutional setting (e.g. Peru
and Mozambique), were not successful in establishing
REDD+ yet.

14. THINKING beyond the canopy
Note: Indonesia has the alternative configuration for enabling environment(PRES*eff*CHA)
and the policy arena configuration is *OWN*COAL*incl

15. THINKING beyond the canopy
Factors affecting national REDD+ policies
Case Institutional setting Policy arena Outcome
PRES EFF CHA OWN COAL INCL REDD
Bolivia 1 1 1 0 0 0 0
Brazil 1 1 1 1 1 1 1
Burkina Faso 1 0 0 0 0 0 0
Cameroon 1 1 0 0 0 0 0
DRC 0 0 1 0 1 1 0
Indonesia 1 0 1 1 1 0 1
Mozambique 1 0 0 1 1 1 0
Nepal 0 1 0 0 1 1 0
Peru 0 0 1 1 1 1 0
PNG 0 0 0 0 1 0 0
Tanzania 0 0 0 0 1 1 0
Vietnam 0 1 1 1 1 0 1

16. THINKING beyond the canopy
Measuring progress? Some
reflections
 Findings:
• Context matters: Already initiated institutional
change allows for faster REDD+ design , but
either forest pressure needs to be high or effective
forest legislation, policy and governance in place
• Actor-related factors of national ownership
and transformational coalitions crucial: but
could only be effective in an enabling institutional
setting

17. THINKING beyond the canopy
Measuring progress? Some
reflections
 Method:
• Combinations of conditions including
presence/absence specification allows to deal with
REDD complexity
• Factors (conditions) identified can be useful examples
for performance assessments in REDD+ countries
• Limitations are given with outcome variable, and with
limited case numbers that have achieved this, will be
very interesting when emission trajectories will be
affected through REDD+

18. We acknowledge the support from:
Norad and the Ministry of Environment of Norway,
AusAID (Australia),
European Commission,
Dept. of Energy and Climate Change & Dept. for Int. Dev. (UK),
& all research partners and individuals
that have contributed to the GCS research
Thanks

19. THINKING beyond the canopy
Pressure from shortage of forest
resources (PRES)
Presence Absence Indicators Evaluation
Forests are under
pressure from high
deforestation rate
Abundant or
recovering forest
resources with a low
to medium or
negative
(reforestation)
deforestation rate
*Forest transition
stagea
*Deforestation rate
Forest transition
stage 2 or 3 and
deforestation rate
above 0.5% annually
= 1
Forest transition
stage 1, 4 or 5 and
deforestation rate
below 0.5% annually
= 0

20. THINKING beyond the canopy
Key features of effective forest legislation, policy and
governance (EFF)
Presence Absence Indicators of presence Evaluation
A sound and clear legal
framework with clearly
assigned rights and
management
regulations is in place.
Laws and policies are at
least partly effectively
implemented by
national and local
administrations, which
have at their disposal a
minimum of
enforcement
mechanisms and
implementation
capacity.
Tenure and rights are in
many respects unclear
and contested.
There are unresolved
contradictions between
formal and customary
law.
There are no adequate
laws and policies, or
they exist but are
ineffective because of
lack of implementation
mechanisms and
enforcement capacity
and/or elite capture and
corruption.
*Sound and consistent legal
forestry framework and policies
*Effective implementation and
enforcement mechanisms
*Capacity-building efforts for
implementing agencies
*High compliance with the law by
citizens and businesses
*Awareness and effective use of
rights
*Low level of corruption and
clientelistic patterns undermining
policy implementation
Two or more
indicators
present = 1
Zero or one
indicator
present = 0

21. THINKING beyond the canopy
Already initiated policy change
(CHA)
Already initiated policy change
(CHA)
Presence Absence Indicators of presence Evaluation
The government has
already formulated and
is implementing policy
strategies on climate
change (e.g. NAMA)
and deforestation, or a
low-carbon
development strategies
or/and PES schemes
are already established
independently from
REDD+ policies
The government has
not yet formulated
advanced policy
strategies on climate
change (e.g. NAMA)
and deforestation or a
low-carbon
development strategy,
or existing policies are
highly insufficient or
not at all implemented.
No PES schemes have
been established.
* Evidence of
implementation of
policy strategies in
related fields (e.g. one
or more of the
following: NAMA, PES,
deforestation, low-
carbon development)
Present = 1
Absent = 0

22. THINKING beyond the canopy
National ownership (OWN)
Presence Absence Indicators of presence Evaluation
Pro-REDD+ media
statements by
government (national
and subnational).
National research and
NGO actors dominate
policy discourse (media
analysis).
Engagement of
national political
institutions in REDD+
policy formulation.
Donor agendas do not
dominate process.
Budget allocation to
REDD+.
Anti-REDD+ media
statements by national
state actors and/or
pro-REDD+ statements
by international actors
dominate policy
discourse.
Policy formulation is
mainly by foreign
actors.
Financial incentives
from donors are main
reason for REDD+
implementation.
No budget allocation
to REDD+.
*Regular pro-REDD+
statements by
government appear in
the media.
*REDD+ policy
formulation is led by
national political
institutions.
*Foreign donors/actors
have only a
minor/advisory role
and agenda in REDD+
policy formulation.
All 3 indicators present
= 1
Fewer than 3 indicators
present = 0

23. THINKING beyond the canopy
Transformational coalitions (COAL)
Presence Absence Indicators of presence Evaluation
Existence of
coalitions of drivers
of change with room
to manoeuvre in the
political structures
and impact on the
discourse.
Policy actors and
coalitions calling for
transformational
change are more
prominent in the
media than those
supporting the status
quo.
No observable
coalitions of drivers
of change, or any
present are too
marginal to
influence policy-
making and are not
visible in the
political discourse
on REDD+.
Media and policy
circles are
dominated by
coalitions
supporting the
status quo and
business as usual.
*Notions or existence of coalition building
among actors supporting REDD+ policies (e.g.
umbrella organization, regular meetings, joint
statements, personal relations)
*There are drivers of change (policy actors
that lead discourse in pro-REDD+ direction)
both inside and outside government
institutions.
*Policy actor coalitions calling for substantial
political change in forest policies are more
prominent in media than those supporting the
status quo.
*Pro-REDD+ policy actors have good access to
political decision-makers (e.g. invited to
expert hearings, members in advisory
councils).
Two or
more
indicators
present,
including
the first
indicator = 1
Zero or one
indicator
present or
first
indicator
absent = 0