PAYMENT FOR ENVIRONMENTAL SERVICES, SUSTAINABLE CONDITIONS OF THE MARKET (MONEY FUNDS SUPPLY AND DEMAND OF PROJECTS) AND LEGAL BASIS: AN INTEGRATED POINT OF VIEW ON THE MUNICIPALITY OF BOTUCATU (SAO PAULO STATE, BRAZIL) CASE
Sabbatical Project developed at University of Washington
Luiz César Ribas, Ph.D, Professor at São Paulo State University “Júlio de Mesquita Filho”. College of Agriculture Sciences Department of Economy, Sociology and Technology. Campus de Botucatu, São Paulo State, Brazil E-mail:
[email protected]
Sponsor: Robert Harrison, Ph.D. Professor, Forest Soils, School of Environmental and Forest Sciences, College of Environmental, University of Washington)
Angels will rise (Twisted Jukeboxe)
Jan-July, 2016 Seattle, Washington State, United States of America 1
Acknowledgements To National Council of Technological and Scientific Development (CNPq – Brazil) To College of Agriculture Sciences (FCA), campus de Botucatu/SP To Sao Paulo State University “Júlio de Mesquita Filho” (UNESP) To School of Environmental and Forest Sciences, College of Environmental, University of Washington To University of Washington (Seattle, Washington)
To Robert Harrison, Ph.D., Professor, Forest Soils, School of Environmental and Forest Sciences, College of Environmental, University of Washington, To the multicultural amalgamation among people and places… true richness of the sustainability
To Rob´s wife, Márcia Ciol To Prof. De Lucca and Amanda, from Bloedel Hall To my “roommate” Nikolas, Marcela Leite de Campos Menegale, Jason, Amélia, Youfu Zhang and Cole To my “family” in São José do Rio Preto, Jales, Castro, Curitiba and Botucatu To my friends and professional colleagues in Botucatu To my colleagues, professors, students and members of the staff, from English Classes at University Presbyterian Church (Dave, Caroline, Carol, John, Laura, Shaina, Breanne, Emily)
To my wife Neusa, my daughter Marselle, my brothers, Sérgio, Lúcia and Cristina, and my nephews and niece In Memory of my fathers, Júlio César Ribas and Alice Ribas
To God, Who is the beginning and the end of everything (and everyone) here in this earth
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Summary
Abstract……………………………………………………………………………………….07 1. Introduction………………………………………………………………………………..11 2. Methods and Materials……………………………………………………………………..16 2.1 Materials……………………………………………………………….…………………..17 3. Discussion…………………………………………………………………………………..22 3.1 Money Supply……………………………………………………………………………..22 3.1.1 Climate Fund for Energy, Climate, and Social Actions ……………..…………………31 3.2 Demand of projects………………………………………………………………………..34 3.2.1 Rules to a PES Project (local and global approach) ……………………………………41 3.3 Economic criteria for an environmental (ecosystem services) valuation………………….44 3.3.1 EPA vision……………………………………………………………………………….48 3.3.2 Transferring value information on the EPA vision……………………………..……….51 3.3.3 American and other payment for environmental services examples…………………….52 3.3.3.1 Direct Payments for Ecosystem Goods and Services (Farm Bill Programs)………….53 3.3.3.2 Current and new PES (monetary and nonmonetary payment for environmental projects) under a Brazilian-American perspective…………………………………..57 3.3.4 Methods of environmental economic assessment on the VERA approach……..………58 3.4 Environmental market approach for a PES valuation……………………..………………59 4. LIFE Certification…………………………………………………………………………..62 5. LIFE – 01 Technical Guideline……………………………………………….…………….63 5.1 Environmental aspects………………………………………………….………………….63 6. Estimate of the Environmental aspects impact value……………………….………………67 3
6.1 Estimate of impact index for each environmental aspect……………….…………………68 6.1.1 Calculation of biodiversity impact estimated value…………………..…………………68 7. ACB minimum Estimate……………………………………………………………………68 8. General issues about LIFE method…………………………………………………………71 9. Environmental Compensation Project (Vpa) ………………………….……………………72 10. Methodology to the environmental indemnity calculus……………………………………73 10.1 Theoretical principles from Faustmann model……………………………………………74 10.2 Method of Expected Total Environmental Costs (CATE) ……………………………….75 10.2.1 Expected Total Environmental Costs – Intermittent Environmental Damage (CATE I) …………………………………………………………………………...….79 10.2.2 Expected Total Environmental Costs – Continuous Environmental Damage (CATE II)…………………………………………………………………………….....80 11. Variable “F i/d” ………………………………………………………………………..……83 12. Case study………………………………….……………………………………………..…85 12.1 Underlying assumptions for the process of environmental value calculus…….…………..86 13. Environmental assessment according to irreversible environmental damages…….………..87 14. Partial compensation project due to irreversible environmental damages – the “quantum” scope………………………………………………………………….....90 15. Final Comments about the method CATE – DAI - Vpa……………..……………………..92 16. Concluding Remarks…………………………….………………………………….……….94 17.Considerações Finais………………………………………………………………………..104 18. Reference………………………………..…………………………………………..……...115
Annex
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List of Figures
Figure 01- Municipality of Botucatu localization at São Paulo state map and Sao Paulo state localization at Brazil map………………………………..…………………………………17 Figure 02 – Present public water supply dam based on Pardo river´s watershed, at municipality of Botucatu, São Paulo state, Brazil. …………………………………..……………………..18 Figure 03 – Present conditions of the municipal dam. ……………………..……………………..18 Figure 04 – The final situation intended with the new municipal dam project……………………19 Figure 05 – APA Botucatu perimeter…………………………………………………….………..19 Figure 06 – APA Botucatu view…………………………………………………………………..20 Figure 07- Guarani aquifer´s water recharge area…………………………………………………20 Figure 08 – Cuestas Basálticas region´s view……………………………………………………..21 Figure 09 – Natural vegetation cover – 1993 (São Paulo state) …………………………………..27 Figure 10 – Metropolitan and Administrative regions (São Paulo state) ………………………….28 Figure 11 – Accurate Detail of Sorocaba´s Metropolitan and Administrative regions (São Paulo state) ………………………………………………………………….…………………….28 Figure 12 – Lake Okeechobee´s Payment for environmental services program (WWF)…………..55 Figure 13 – Kinds of value: VU and VNU…………………………………………………………59 Figure 14 – System of PES on a specific environmental market……………...……………………59
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List of Tables
Table 01 - Estimative of CO2 emission Brazilian inventory…………………………….………….36 Table 02 – Present American Energy Matrix and Present American CO2 Emission…………….…39 Table 03 - Ecosystem valuation according to monetary-based measures. …………………………45 Table 04 - Quantity value (VQ) and Severity value (VS) equations by each environmental aspect ………………………………………………….………….……………………………...…63 Table 05 - Quantity value (VQ) and Severity value (VS) equations by each environmental aspect……………………………………….…………………………………………..……64 Table 06 – Equations of Quantity value (VQ) and severity value (VS) and the terms (Table 04) ……………………………………….…………………..…………………………..………65 Table 07 – Impact value formula by aspect…..………………………………………..……………67 Table 08 – Comparative Scale. Direct Environmental Damages (d) and Indirect Environmental Damages (i) Relation……………………………………….…………………….…………84
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Abstract Several initiatives with regard to payment for ecosystem services (PES) have been implemented around the world, but particularly in Brazil on recent times. PES can be defined such as a monetary (or nonmonetary) compensation mechanism, on a input or financial incentives way, based on the principle provider-receiver, which an implemented direct payment earns by the environmental services produced, and all this environmental system produces, anyway, an incentive for the environmental protection and restoration supported by programs and projects. The main problem of PES system, inclusive on the specific municipality of Botucatu case, is the price mechanism determination which, within a specific local environmental market, comes forward the supply and demand forces toward an equilibrium point (prices and traded quantities which satisfy both supply and demand sides, on a sustainable, efficient and equitable manner). The municipality of Botucatu is located at Sao Paulo state, on Brazil, and based on 22º53'09" South Latitude and 48º26'42" West Longitude. The municipality has 483 km² and population around 115.606 people. The PES system discussed in this study is related, such as a case study, with a new project of the public water supply dam based on Pardo river´s watershed. This river is the principal source of public water supply to the city. Thus, considering these aspects, two questions are possible: i) which would be the main aspects on both sides (demand and supply) of a PES market under the sustainable perspective on this case study ?; ii) would be it possible to formulate a PES approach under an energy perspective of the Botucatu case and, on the limit, of the developing countries? Hence, this study developed, considering a demand side within a PES approach, an systematization, an discussion and a comparative analysis about the main international and national money supply and how to promote their integration on the specific case of the municipality of Botucatu, Sao Paulo state, Brazil, and, on this manner, to obtain the best sustainable outcomes regarding to the municipal environmental policy. This study discussed how the most important aspects (social, economic and environmental) should be considered, within both the thinking global to local (deductive approach) and local to global (inductive approach) point of view, on the environmental projects to be implemented on the municipality of Botucatu case. This paper also discussed how would be possible to define some economic criteria (LIFE methodology and Vpa method) such as a PES system´s price setting mechanism on this municipality Botucatu case.
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Finally, this study intended to make, with the outcomes, a new approach with regard to a guideline to a PES system, mainly for developing countries, based on water production to human, industrial and agricultural consumption on a certain watershed and its drainage network. It was developed the case study methodology. More specifically, it was developed the municipality of Botucatu and its PES municipal policy´s case study and the methodologic approach was developed on this case study on both deductive and inductive manners. Under Money Supply point of view, the main financial aspects of PES projects, on this specific case study, could be involved with Actions and Supporting Transparency, mainly. They can be classified in the following categories: Type 1 - international source (Green Climate Fund); Type 2 international source (Green Bonds market; Type 3 - general international sources (Climate Bonds Initiative); Type 4 – Brazilian federal source; Type 5 – Brazilian state source; Type 6 – Brazilian municipal source, and; Type 7 - general Brazilian sources. This is important because the financial funds suppliers, according to the municipality of Botucatu environmental law, can be seen under an integrated way point of view because the municipal environmental law mentions that “it is permitted the environmental actions overlay on the same environmental services area since that be justified technically, with the Director Council authorization and doesn´t occur monetary incentives accumulation, as well as also doesn´t occur nonmonetary measures accumulation, promoting a disproportional way in front of the principles of proportionality and reasonability, and, finally, according to specific regulation”. The municipal environmental law permits several kinds of funds (public, private, federal, state and municipal) that are related with the group of 07 financial funds sources types mentioned above. These investments types are related, on another hand, with several important legal instruments such as Forest Remaining Program (Sao Paulo state) and New Forest Law (Federal government). They are related, finally, with wide national and international private funds possibilities. Consequently, considering that the municipality of Botucatu environmental law, according to the some of the most important aspects above mentioned, has the sustainable development proposition, as well as a financial funds suppliers integration that is permitted by the municipal law, is also possible concludes that the PES model proposed on the municipality of Botucatu is a main articulator and integrator of the federal, state and municipal environmental policies on direction at the local sustainable development. Anyway, an integrated strategy of the several financial resources possibilities (international, national, federal, state, municipal, private or public), under the climate change point of view, considering that the others environmental services could be also integrated on the environmental measures, is something very complex and still needs be developed, according to verified in one of the most environmental documents produced until now; The Conference of the Parties (CoP-21). Finally, as much as whatever PES project, mainly under the wide range of financial resources funs point of view, the Botucatu case could taking to account not only the environmental law (mandatory issues) but also non mandatory issues, such as “new” approaches of environmental services (integrated control of diseases on systems of production developed on agroecology way by familiar rural properties, medicinal plants) and another measures of best agriculture practices and best forest practices (low impact forest management, for example). It would also de interesting the utilization of systems and standards for quality control guarantee and systems of integrated management 8
(Forest Stewardship Council – FSC, GLOBALG.A.P. rules, among others), since all this strategy were something relatively simple mainly to the rural producers and farmers. All the main key issues about the knowledge and discussion of PES schemes (projects and/or systems) produced in this study are applied on [because several identical (or, at least, similar) conditions, characteristics, values, and others aspects] on the developing countries. In addition, it is possible classify economic criteria for an environmental (ecosystem services) valuation, according American vision, on the following categories: (i) Socio-ecological (Millennium Ecosystem Assessment - MA); (ii) Total Economic Value (TEV); (iii) Ecological (Key Biodiversity Areas - KBA); (iv) Critical Natural Capital (CNC), and; (v) Developmental (Sustainable Livelihoods Approach - SLA). Studies related to ecosystem services valuation mentions some groups of methods and their specific methodologies: (1) Direct market prices (Market prices); (2) Alternative Markets (Replacement costs; Damage cost Avoided; Production function); (3) Surrogate markets (Hedonic Price Method; Travel Cost Method); (4) Stated preference (Contingent valuation method; Choice experiments); (5) Participatory (Participatory environmental valuation), and; (6) Benefits Transfer (mean value, adjusted mean value, benefit function). Finally, according some authors, the different environmental (economic or not) kinds of assessment must consider several recommendations (“only use methods that are scientifically based and appropriate for the particular decision context at hand”). A specific discussion about environmental economic assessment methods, specially under the Environmental Resources Economic Value Total Environ also can be found at several studies. On another hand, relative to environmental market approach for a PES valuation, it was mentioned above that a PES is a kind of system based on a specific environmental “market”. However, it was supposed that, whatever environmental market, it needs, for its viability (on this case, sustainable viability), an “equilibrium” of both sides (Supply and Demand). It is important to note that all the environmental assessment methods have their limitations and restrictions linked to the following aspects: social variety; sensibility, they not translate very well the real value of the environmental services and goods (mainly concerning to no use values, and specially the existence value); fallible process; human relationships (moral damages), and very high values of the environmental assessments) Anyway, in despite of limitations and restrictions of these methods, this research analyzed some alternatives propositions called “Life methodology” and “Environmental Compensation Project (Vpa)” on the payment environmental services specific case. Concerning general issues about LIFE method and under the PES perspective, the LIFE method, considering the aspects above shown, raises several issues such as; “on the PES perspective, considering mainly the kinds of environmental measures, according to LIFE (2014, b), it would be extremely interesting if LIFE methodology were studied in order to develop a PES specific application, mainly according to the special legal, technical and economic issues discussed on this study”. 9
Another environmental economic assessment studied, on the PES projects perspective of this study, was the methodology “Environmental Compensation Project (Vpa)”. Method of Environmental Compensation Project (Vpa) is derived from the irreversible environmental damages assessment (method CATE-DAI) and also from the environmental measures (prevention, correction, mitigation, control, compensation, and/or indemnity), under technical and juridical point of view to environmental restoration due to a degraded local and according to the Brazilian judicial system as can be seen in the sequence. In this sense, it is discussed, in this study, if the method “Vpa” could collaborate for a satisfactory closing of these environmental judicial demands. This reasoning applied to this study (Soil Expected Value CATE I and CATE II DAI Vpa) lends for this methodology of irreversible environmental damages monetary assessment (economic value of the environmental indemnity), and mainly for the compensation environmental project (Vpa), the same mathematical reason of both Faustmann model and method CATE, although on a present basis of time, that is to say, “cash flow has produced by the future value of expected total environmental costs due to an intermittent / continuous environmental damage, according to an infinite series of “n” years useful times, or on another hand, the present value of expected total environmental costs produced by a specific environmental degradation process”. Finally, Vpa value (CATE divided by 11,73) can be used not only for purposes of environmental indemnity but also, and mainly, for PES purposes.
Key words: Payment for environmental services, environmental assessment, environmental valuation, developing country, Brazil.
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1. Introduction It is not necessary to emphasize the environment importance for the business and economic surviving and also, probably, for the humanity too. The present rhythm of development, both on the qualitative and quantitative terms, is (social, economic and ecologically) unsustainable. Considering all the types of environmental instruments to fight against the risk of resources natures breakdown it can be mentioned that “Economic and financial interventions provide powerful instruments to regulate the use of ecosystem goods and services” (MILLENIUM ECOSYSTEM ASSESSMENT, 2005). According to this source, the economic instruments use on an environmental policy assumes that many ecosystem services are not traded in regular markets. On another hand, markets fail to contribute to the efficient allocation and sustainable use of the services. Economic and financial instruments can be used, alternatively to control and command instruments of environmental policy, to influence human behavior to modify this challenge in relation to the natural resources protection whereas this use be also followed by supporting institutions and institutional capacity to enable more widespread use of these mechanisms (MILLENIUM ECOSYSTEM ASSESSMENT, 2005). With this purpose, Millennium Ecosystem Assessment (2005) describes the following financial and economic interventions: (a) elimination of subsidies that promote excessive use of ecosystem services (and, where possible, transfer of these subsidies to payments for non-marketed ecosystem services, and; (b) greater use of economic instruments and market-based approaches in the management of ecosystem service such as (b.i) greater use of economic instruments and marketbased approaches in the management of ecosystem service; (b.ii) creation of markets, including through cap-and-trade systems; (b.iii) mechanisms to enable consumer preferences to be expressed through markets, and, finally; (b.iv) payment for ecosystem services. Payment for ecosystem services more specifically, can be considered not only a kind of knowledge response but also a technological and social and behavioral responses to the incorporation of nonmarket values of ecosystems in resource management and investment decision, mainly for to the policy makers and decision-making processes (MILLENNIUM ECOSYSTEM ASSESSMENT, 2005). On another hand, Payment for Environmental Services (PES) helps, particularly when used with a mix of several instruments of a public (environmental, sustainable) policy (such as prohibit and regulate land use changes, economic value of forest products valorization, monitoring, evaluation and capacity building improvement, among others), the competition increase with regard to other land uses (IIED, 2012). Several initiatives referring to payment for ecosystem services (PES) have been implemented around the world, but particularly in Brazil on recent times. PES can be defined such as a monetary (or nonmonetary) compensation mechanism, on a input or financial incentives way, based on the principle provider-receiver, which an implemented direct payment earns by the environmental services produced, and all this environmental system produces, 11
in turn, an incentive for the environmental protection and restoration supported by programs and projects (BOTUCATU, 2016) Environmental services can be considered as “ecosystem services produced by individual or collective actions to promote ecosystem maintenance, restoration or improvement and those that have impacts not only in the local that they were created” (BOTUCATU, 2016)1 Ecosystem services, according to Botucatu (2016)2, Millennium Ecosystem Assessment (2005), TEBB (2007)3, and EPA (2009), are “people ecosystem benefits caused by ecosystems, on the following types: (a) Provision services – those that supply directly environmental goods and services used by human being for consumption or trade, with or without economic value; (b) Supporting services – “those that are necessary for the production of all other ecosystem services; they differ from provisioning, regulating, and cultural services in that their impacts on people are often indirect or occur over a very long time, whereas changes in the other categories have relatively direct and short-term impacts on people (some services, as erosion regulation, can be categorized as both a supporting and a regulating service, depending on the time scale and immediacy of their impact on people.)”; (c) Regulating services – those that contribute to maintenance of ecosystem processes stability, such as carbon capture, air quality regulation, extreme climate phenomena moderation, maintenance of water cycle balance equilibrium, inundations and droughts minimizing and control of erosion and collapse on hillsides, and others that contribute to maintenance of ecosystem processes stability (at a local scale, for example, changes in land cover can affect both temperature and precipitation and, at the global scale, ecosystems play an important role in climate by either sequestering or emitting greenhouse gases), and; (d) Cultural services –“these are the nonmaterial (immaterial) benefits people and human society obtain from ecosystems through spiritual enrichment, cognitive development, reflection, recreation, and aesthetic experiences”. Millennium Ecosystem Assessment (2005), TEBB (2007) and EPA (2009) describe the following kind of Provision Services: Food (this includes the vast range of food products derived from plants, animals, and microbes); Fiber (materials included here are wood, jute, cotton, hemp, silk, and wool); Fuel (wood, dung, and other biological materials serve as sources of energy); Genetic resources (this includes the genes and genetic information used to animal and plant breeding and biotechnology); Biochemical, natural medicine, and pharmaceutical (many medicines, biocides, food additives such as alginates, and biological materials are derived from ecosystems); Ornamental resources (animal and plant products, such as skins, shells, and flowers, are used as ornaments, and whole plants are used to landscaping and ornaments); Fresh water (people obtain fresh water from ecosystems and thus the supply of fresh water can be considered a provisioning service), and; Fresh
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Incise II, article 14, Complementary Law n. 1.1.53/2015.
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Items “a”, “b”, “c” e “d”, incise III, article 4o, Complementary Law n. 1.153/2015.
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Ecosystem services mentioned by TEEB (2007): Provisioning Food; Provisioning Raw Materials; Provisioning Fresh Water; Provisioning Medicinal Resources; Regulating Local Climate; Regulating Carbon Sequestration; Regulating Extreme Events; Regulating Waste Water Treatment; Regulating Soil Erosion and Fertility; Regulating Pollination; Regulating Biological Control; Habitats for Species; Habitats for Genetic Diversity; Cultural Service: Recreation; Cultural Service: Tourism; Cultural Service: Aesthetic appreciation; Cultural Service, and: Spiritual Experience.
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water in rivers (also a source of energy, because water is required for other life to exist, however, it could also be considered a supporting service) The same author describes the following Supporting Services: Soil Formation (because many provisioning services depend on soil fertility, the rate of soil formation influences human well-being in many ways); Photosynthesis (produces oxygen necessary for most living organisms); Primary production (the assimilation or accumulation of energy and nutrients by organisms); Nutrient cycling (approximately 20 nutrients essential for life, including nitrogen and phosphorus, cycle through ecosystems and are maintained at different concentrations in different parts of ecosystems), and; Water cycling (water cycles through ecosystems and is essential for living organisms). In addition, still according to the author, Regulating Services could be: Water regulation (the timing and magnitude of runoff, flooding, and aquifer recharge can be strongly influenced by changes in land cover, including, in particular, alterations that change the water storage potential of the system, such as the conversion of wetlands or the replacement of forests with croplands or croplands with urban areas); Erosion regulation (vegetative cover plays an important role in soil retention and the prevention of landslides; water purification and waste treatment (ecosystems can be a source of impurities - in fresh water - but also can help filter out and decompose organic wastes introduced into inland waters and coastal and marine ecosystems and can assimilate and detoxify compounds through soil and subsoil processes); Disease regulation (changes in ecosystems can directly change the abundance of human pathogens, such as cholera, and can alter the abundance of disease vectors, such as mosquitoes); Pest regulation (ecosystem changes affect the prevalence of crop and livestock pests and diseases); Pollination (ecosystem changes affect the distribution, abundance, and effectiveness of pollinators), and: Natural hazard regulation (the presence of coastal ecosystems such as mangroves and coral reefs can reduce the damage caused by hurricanes or large waves). Finally, Millennium Ecosystem Assessment (2005), TEBB (2007) and EPA (2009) give these Cultural Services examples: Cultural diversity (the diversity of ecosystems is one factor influencing the diversity of cultures); Spiritual and religious values (many religions attach spiritual and religious values to ecosystems or their components); Traditional and Formal Knowledge systems (ecosystems influence the types of knowledge systems developed by different cultures); Educational values (ecosystems and their components and processes provide the basis for both formal and informal education in many societies); Inspiration (ecosystems provide a rich source of inspiration for art, folklore, national symbols, architecture, and advertising; Aesthetic values (many people find beauty or aesthetic value in various aspects of ecosystems, as reflected in the support for parks, scenic drives, and the selection of housing locations); Social relations (ecosystems influence the types of social relations that are established in particular cultures - fishing societies, for example, differ in many respects in their social relations from nomadic herding or agricultural societies -; Sense of place (many people value the “sense of place” that is associated with recognized features of their environment, including aspects of the ecosystem); Cultural heritage values (many societies place high value on the maintenance of either historically important landscapes - “cultural landscapes”- or culturally significant species), and; Recreation and ecotourism (people often choose where to spend their leisure time based on part on the characteristics of the natural or cultivated landscapes in a particular area). According to Millennium Ecosystem Assessment (2015), the ecosystem services provide the following constituents of well-being: (a) Security (personal safety , secure resource access, security from disasters); (b) Basic material for good life (adequate livelihood; sufficient nutritious food, shelter access to goods); (c) Health (strength, feeling well, access to clean air and water); (d) Good 13
social relations (social cohesion, mutual respect, ability to help others), and; (e) Freedom of choice and action (opportunity to be able to achieve what an individual values doing and being). Thus, a PES system is a kind of economic instrument (differently from command and control instruments, such as environmental standards or laws) of a certain environmental policy4 that has a great importance to countries as Brazil5, nowadays. However the distinction between these two types of political instruments has not importance because the instruments of environmental policies have been mixed, presently, every time more. They have also been based on a very strong legal structure, especially on the Brazilian case6. A PES is a kind of system based on a specific environmental “market”. So, this system, considering be a market, has both supply and demand sides. This kind of “market approach”, with respect to PES system analysis (or modelling), according to Trueba (1995) apud SARMIENTO (2010)7, can be find at papers such as Espinal y Martínez de Anguita (2010). For the financial funds supply side of a PES market, referring to the specific Brazilian case, are emerging a lot of money national and international sources, such as climate fund, private funds, public funds, private investments, among others (Painel Florestal, 2016). By the way, the range of financial alternatives is increasing a lot and very fast. These sources could/should be integrated in order to promote the best sustainable outcomes for everybody and around the world. On another hand, taking into account a direct payment market, there also are the environmental projects on the demand side of a special environmental market. These environmental projects must follow sustainable rules and economic criteria in order to get the money supply (Sarmiento, 2010).
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A certain policy (public policy or economic policy) that, under one sustainable (social, economic and environmental aspects) point of view, intends to reach several goals, such as: life quality, employment; richness; goods and services production; economic, environmental and social stability; sustainable development, and; natural raw material exploration, among others [adapted from Maar (1984)]. Kind of country that only “betted”, for a long time, on the environmental law (that is to say, on the command and control instruments). 5
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This could be seen on the new forestry code (Law n. 12.651, May 25, 2012). BRASIL. Lei n. 12.651, de 25 de maio de 2012. Dispõe sobre a proteção da vegetação nativa; altera as Leis nos 6.938, de 31 de agosto de 1981, 9.393, de 19 de dezembro de 1996, e 11.428, de 22 de dezembro de 2006; revoga as Leis nos 4.771, de 15 de setembro de 1965, e 7.754, de 14 de abril de 1989, e a Medida Provisória no 2.166-67, de 24 de agosto de 2001; e dá outras providências. Available at:< http://www.planalto.gov.br/ccivil_03/_ato20112014/2012/lei/l12651.htm>. Access: Jan, 18, 201. 7
SARMIENTO, M. Sistemas de Pagamento por Serviços Ambientais. Botucatu, SP: Faculdade de Ciências Agronômicas. Universidade Estadual Paulista “Júlio de Mesquita Filho” (UNESP). Campus de Botucatu/SP, 2010. 14
All of these aspects (supply and demand sides of an environmental market), as much as the instruments of environmental policies, are also the outcome of a mixed of multiples command-and control and economic instrument of an environmental policy and, at the end, have been established on an international and national legal8 base too. So main problem of PES system on the case of municipality of Botucatu, is the price mechanism determination which, within a specific local environmental market, comes forward the supply and demand forces toward an equilibrium point (prices and traded quantities which satisfy both supply and demand sides, on a sustainable, efficient and equitable manner). TEEB has produced since 2007 several documents linked to several issues about the “mainstream” the economics of ecosystems and biodiversity. The TEBB´s studies have reached not only ecological and economic foundations of TEEB, which synthesizes today’s ‘state of the art’ valuation methodology and local governments and decision makers as an opportunity for a local development, but also national and international policy makers, business and enterprise and, finally, a website for citizen. According to Cruz et al. (2014), the German sociologist Ulrich Beck, in his book “Qué es la globalización: Falácias del globalismo, respuestas a la Globalizacion. Translation of Bernardo Moreno y Maria Rosa Borras. Barcelona: Paidos, 2004”, the origin of the term that incorporated (inclusive involving cooperation, solidarity, approach and mutual meeting of the local cultures and also transnational States) the guideline to the establishment of whatever public policy focused on the local sustainable developing. Farley et Costanza (2010) discussed, on the opposite way, the local to global approach on PES systems according to Heredia Declaration on Payment of Ecosystem Services, document produced in Costa Rica, in March, 2007. The main aspects of this local-global scope considered by the authors at their study were measurement, bundling, scale-matching, property rights, distribution issues, sustainable funding, adaptive management, education and politics, participation and policy coherence. Kumar et al (2013) also argued about this king of vision but they did it concerning of local analysis to national policies approach, and discussing the economics of ecosystem services. Considering these aspects, two questions can be done: i) what would be the main aspects on both sides (demand and supply) of a PES market under this case study sustainable perspective?; ii) would be it possible to formulate a PES approach under an energy perspective of the Botucatu case and, on the limit, of the developing countries? Hence, this study intends to do, considering a demand side within a PES approach, an systematization, an discussion and a comparative analysis about the main international and national money supply and how to promote their integration on the specific case of the municipality of Botucatu, Sao Paulo state, Brazil, and, in this manner, to obtain the best sustainable outcomes regarding to the municipal environmental policy.
8
The term “legal”, here, means both voluntary and mandatory devices. 15
This study intends to discuss how the most important aspects (social, economic and environmental) should be considered, within both the thinking global to local (deductive approach) and local to global (inductive approach) point of view, on the environmental projects to be implemented in the municipality of Botucatu case9. This paper also discusses how would be possible to define some economic criteria (LIFE methodology and Vpa method) such as a price setting mechanism for a PES system to be implemented on this municipality Botucatu case. Finally, this study intends to make, with the outcomes, a new approach in terms of a guideline to a PES system, mainly for developing countries, based on water production to human, industrial and agricultural consumption on a certain watershed and its drainage network. The methodologic approach was developed in this research on both deductive and inductive manners. Under the deductive point of view, this study developed several methodologic steps (research, lecture, systematization, analysis and applying) relating to the main general/global issues of the theme here discussed. These issues were applied on the specific/local conditions of the municipality of Botucatu. So, in this study, in relation to the inductive methodologic developing, the specific/local conditions of the municipality of Botucatu were identified, extended, applied and generalized resulting to the developing countries on a general way. 2. Methods and Materials It was developed the case study methodology. More specifically, it was developed the municipality of Botucatu and its PES municipal policy´s case study. The Case Study selection considers, according YIN (2001), that the research should be focused on question such “how” and “why”. On the other side, it was developed an exploratory and descriptive study, with a qualitative approach It were researched several sources, such as specific articles, sites, magazines, newspapers, national and international government institutions, and several organizations linked to the principal theme of the project. With this step, it was collected, in a systematic (deductive) manner, the main aspects of the (general and/or global) financial opportunities to the supply side of a municipality of Botucatu payment direct system and/or market (specific and/or local). After this, it was made a comparative analysis over the principal aspects of the most important (national or international) financial opportunities
9
This point of view is very interest because conserving natural capital is often a local task, with local costs, but with global benefits. Besides, “even if the overall benefits may outweigh these costs, there is often no incentive at the local level to provide services to other communities if they do not share the costs”. (TEBB, 2007). 16
(global approach) in order to obtain an integrated structure and also a general financial support in this specific case study (local approach). The same methodological steps will be followed in relation of the second objective of this paper. Considering the outcomes to be reached with the first goal, it was made a comparative analysis of the main aspects (social, economic and environmental) that should be considered on the environmental projects to be implemented on the municipality of Botucatu case. In sequence, it were collected and analyzed the main criteria about the price setting mechanism for a PES market and it was made a comparative analysis in order to define parameters for a model of PES system to be implemented on this municipality of Botucatu case (local) and, from this, on a inductive approach, it was elaborated some parameters to make a guideline to a general PES system for developing countries (global). 2.1 Materials The municipality of Botucatu is located at Sao Paulo state, on Brazil, and based on 22º53'09" South Latitude and 48º26'42" West Longitude. The municipality has 483 km² and population around 115.606 people (Figure 01). The PES system discussed in this study is related, such as a case study, with a new project of the public water supply dam based on Pardo river´s watershed. This river is the principal source of public water supply to the city (Figures 02, 03 and 04).
Figure 01- Municipality of Botucatu localization at São Paulo state map and Sao Paulo state localization at Brazil map
pt.wikipedia.org 17
Figure 02 – Present public water supply dam based on Pardo river´s watershed, at municipality of Botucatu, São Paulo state, Brazil.
Figure 03 – Present conditions of the municipal dam10.
10
It shall be make the lifting height by a new dam project, as it can be seen in figures 02, 03 and 04 pictures. It shall be implemented a PES system at rural properties based on Pardo river´s watershed, on its municipality of Botucatu´s portion. 18
Figure 04 – The final situation intended with the new municipal dam project11.
Municipality of Botucatu Anyway, this study intended to develop a pattern to be used on the PES projects to be implemented on Pardo river´s watershed considering the specific environmental attributes on the municipality of Botucatu region12 (figures 05, 06, 07 e 08). Figure 05 – APA Botucatu perimeter
Secretaria do Meio Ambiente. Coordenadoria de Planejamento Ambiental (2016)13 11
Flood area of the new dam project (yellow color) is 3,49 km2 , considering the area of the Pardo river´s watershed (128,20 km2), located only in the municipality of Botucatu (Pardo river´s watershed involves also the municipality of Pardinho, that is to say, bordering municipalities). 12
Botucatu Environmental Protection Area (APA Botucatu): forest remaining of the Brazilian savannah and Atlantic rainforest biomes; Cuestas Basálticas (a balsaltic geological constitution under a “table” form/shape), beauty landscape, Guarani Aquifer´s water recharge area, among others. 13
http://www.soscuesta.org.br/apa_botucatu.htm 19
Figure 06 – APA Botucatu view
SOS Cuesta (2016)14
Figure 07- Guarani aquifer´s water recharge area
SOS Cuesta (2016)15
14
See footnote 36.
15
See footnote 36. 20
Figure 08 – Cuestas Basálticas region´s view
SOS Cuesta (2016)16
16
See footnote 36. 21
3. Discussion 3.1 Money Supply According to Painel Florestal (2016), concerning to the Paris Climate Change Deal, firmed in December, 2015, and signed recently in New York, in April, 2016, within the Parties Conference-21 (COP-21), it was established, such one of the principal goals, to keep the temperature increasing until 2o Celsius, considering the pre-industrial era. Another main objective of this global event is the Low Emission Demand Financing, in specific by the developed countries, regarding to low emission technologies, water consumption reduction, energy and raw materials projects. All of these aspects shall be involved with Actions and Supporting Transparency17 and, mainly, a Climate Fund for Energy, Climate, and Social Actions (Green Climate Fund) to be applied on projects with a great social and economic value of its mitigation measures around the world (Type 1 - international source)18 In this sense, Brazil have already applied R$ 7,6 million of reais on climate change mitigation actions at 2015. The financial resources supported studies about biogas energetic using, population vulnerability indicators, meteorological data restoration and also headwaters and natural environmental protection and recuperation (PORTALBRASIL, 2016). On another hand, still the same source, the international private financial sector (including the banks and the European, American and Asiatic stock exchange) is developing the Green Bonds market. On this specific financial fund supply case, it is also necessary to develop a price mechanism determination of the captured carbon (Type 2 - international source) Anyway, a climate resilient development trend shall (first type source) / should (second type source) be a sine qua non condition on both international sources cases19 (PAINEL FLORESTAL, 2016). These international financial funds supply sources should be integrated with several international alternatives funds, mainly with a private origin (as companies of private sector, sectorial entities, non-governmental organizations, stock markets, among others), such as Climate Bonds Initiative20, still according to Painel Florestal (2016) (Type 3 - general international sources). On the Brazilian front, in contrast, there are three main legal ways (approaches) for the development of an environmental services market under the financial funs supply´s perspective: (i) federal; (ii) state, and; (iii) municipal.
17
This kind of international (and national) structure doesn´t exist yet.
18
This item will be resumed on the topic 3.1.1
19
The resiliency trend should be extended to all the financial sources.
20
INITIATIVE… (2016) 22
There is, first of all, the federal environmental law (Brazilian Constitution-199821, Environmental National Law22, Climate Change National Law23, New Forestry Code24, only to mention a few examples). With regard to federal financial funds supply (Type 4 - federal source) for the development of a local environmental services market (Botucatu case), considering the national environmental law above mentioned, it is possible to mention the following main issues: Intended National Assessed Contributions (Contribuições Nacionalmente Determinadas Pretendidas - INDC)25; Carbon Emission Redution´s Brazilian goal (37% until 2025)26, Low Carbon Agriculture Program (Programa de Agricultura de Baixo Carbono - ABC)27, and, mainly, The Water Producer Program28 (Programa Produtor de Água), linked to National Water Agency (Agência Nacional das Águas), and the New Forestry Code (system of federal PES and forestry reserve quote)29. The INDC Brazilian targets are strongly linked (mitigation, adaptation, lost and damage, finance, technology development, capacity-building, transparency of actin and support, global stocktaking, facilitating implementation and compliance and transfer), to the Paris Agreement. However, it is the finance approach the most important at this moment. Thus, financial resources only can be provided by developed countries30 if there are mitigation and adaptation policies and actions by the developing countries on rigorous compliance with the Paris Agreement terms. Besides the environmental measures by the developing countries must are linked to collective mobilization, 21
BRASIL. Constituição da República Federativa do Brasil, de 1988. Available at: Access: Jan, 18, 2016 22
BRASIL. Lei n. 6.938, de 31 de agosto de 1981. Dispõe sobre a Política Nacional do Meio Ambiente, seus fins e mecanismos de formulação e aplicação, e dá outras providências. Available at: < http://www.planalto.gov.br/ccivil_03/LEIS/L6938.htm>. Access: Jan, 18, 2016. 23
BRASIL. Lei n. 12.187, de 29 de dezembro de 2009. Institui a Política Nacional sobre Mudança do Clima PNMC e dá outras providências. Available at: < http://www.planalto.gov.br/ccivil_03/_ato20072010/2009/lei/l12187.htm>. Access: Jan, 18, 2016. 24
See footnote 5.
25
Intended Nationally Determined Contributions (based on deforestation combat and new forestry code, predominantly). Source: EBC (2015). See also MMA (2015) and UNITED NATION (2015). 26
Painel Florestal (2016).
27
MAPA. Plano Setorial de Mitigação e de Adaptação às Mudanças Climáticas para a Consolidação de uma Economia de Baixa Emissão de Carbono na Agricultura. Programa Agricultura de Baixa Emissão de Carbono. Ministério da Agricultura, Pecuária e Abastecimento, República Federativa do Brasil. Available at:< http://www.agricultura.gov.br/arq_editor/download.pdf>. Access: Jan, 18, 2016. 28
ANA. Programa Produtor de Água. Agência Nacional das Águas. Available at: < http://produtordeagua.ana.gov.br/>. Access: Jan, 18, 2016. 29
See footnote 3.
30
The Green Climate Fund and the Global Environment Facility reaches USD 100 billion per year, taking into account the needs and priorities of developing countries. 23
transparency on implementation, and others measures for the financial resources implementation control (UNITED NATIONS, 2015). Schomers et Matzdorf (2013) discussed the payments for ecosystem services economic approach relative to both developing and industrialized countries (Costa Rica, Mexico, European Union, USA, China, South Africa and Brazil).The authors, concerning to Brazil, emphasized the Proambiente program, predominantly. According to USA, they argued about the beginning of the PES, through the Environmental Quality Incentives Program (EQISP), in 1930. They also commented that the environmental trend had been introduced in the Farm Bill, in 1996, and, with the expanding financing and creation of the Conservation Security Program (CSP), in 2002. On the American case, the programs can be considered, typically, a Federal action to purchase environmental services from agriculture, according Dobbs (2006) apud Schomers et Matzdorf (2013). There also is the São Paulo state environmental law (considering that 26 states and the Brazilian capital form the country). On this case is virtually repeated the same federal legislation approach above mentioned, just with the specific characteristics inclusion of this state (Sao Paulo state Constitution-198931, Environmental Sao Paulo State Law32, Climate Change Sao Paulo State Law33, among others). With respect to the state financial funds supply source (Type 5 - state source) for an environmental services municipal market, on the municipality of Botucatu specific case, it could be mentioned the following alternatives: the Headwater Project34 (Projeto Mina d´água), the Environmental Services Payment for Natural Heritage Particular Reserve Project 35 (Projeto de Pagamento por Serviços
31
SAO PAULO. Constituição do Estado de São Paulo. Available at:< http://www.al.sp.gov.br/StaticFile/documentacao/cesp_completa.htm> Access: Jan, 18, 2016 32
SAO PAULO. Lei n. 9.509, de 20 de março de 1997. Dispõe sobre a Política Estadual do Meio Ambiente, seus fins e mecanismos de formulação e aplicação. Available at:< http://www.al.sp.gov.br/repositorio/legislacao/lei/1997/lei-9509-20.03.1997.html>. Access: Jan, 18, 2016 33
SAO PAULO. Lei n. 13.798, de 09 e novembro de 2009. Institui a Política Estadual de Mudanças Climáticas - PEMC. Available at:< http://www.al.sp.gov.br/repositorio/legislacao/lei/2009/lei-1379809.11.2009.html> . Access: Jan, 18, 2016. 34
SMA. Resolução SMA n. 123, de 24 de Dezembro de 2010. Define as diretrizes para a execução do Projeto Mina D’água - Projeto de Pagamento por Serviços Ambientais, na modalidade proteção de nascentes, no âmbito do Programa de Remanescentes Florestais, e revoga a Resolução SMA nº 61, de 24 de junho de 2010 (alterada pela Resolução SMA n. 51 de 23 de Setembro de 2011). Secretaria do Meio Ambiente do Estado de São Paulo. Available at: . Access: January, 18 of 2016. 35
SMA. Resolução SMA n. 89, de 18 de setembro de 2013. Institui as diretrizes para a execução do Projeto de Pagamento por Serviços Ambientais para as Reservas Particulares do Patrimônio Natural – RPPN, no âmbito do Programa de Remanescentes Florestais. Secretaria do Meio Ambiente do Estado de São Paulo. Available at: < http://www.ambiente.sp.gov.br/legislacao/resolucoes-sma/resolucao-sma-89-2013/ > Access: Jan, 18, 2016. 24
Ambientais por Reservas Particulares do Patrimônio Natural – RPPN), and Springs Program36 (Programa Nascentes). It important to say that the Sao Paulo state approach is supported by a superior legal structure, that is to say, the Section VIII – Remaining Forests Program (Programa de Remanescentes Florestais), of the Climate Change State Policy´s regulation instrument37 . Also, It is interesting to elaborate, within a state approach, a comparative analysis with other foreign environmental legal devices, such as the Washington Forest Practices Act (WILDERMUTH, 2016)
Finally, there is the municipality of Botucatu Environmental Legislation (here, specifically in respect to the PES Municipal Program)38, according to Botucatu (2016). By the way, Botucatu is the unique municipality on Sao Paulo state (perhaps on the country) that has a PES municipal program supported by a water supplier company (Companhia de Saneamento Básico do Estado de São Paulo – SABESP)39. On this case, the financial funds supply is supported with 5% of the SABESP´s gross invoicing (2% destined to PES projects and 3% for the improvement of the system of water supply). On another hand, the municipal environmental legislation has a very positive approach referring several financial alternatives integration, not only the SABESP´s financial source but also national and international donations, by individual or juridical person, capital incomes, and others public financial sources, predominantly (Type 6 - municipal source). Besides, all these federal, state and municipal legal baselines could be integrated with each other but also with a lot of alternatives environmental legal baselines, such as environmental compensation measures (associated to big projects and significant negative environmental impacts), just as well sources as water use granting, national/state water resources funds, among others. (Type 7 - general Brazilian sources) It is necessary to emphasize that the great focus on whatever the situation (federal, state or municipal environmental legal base), the new forestry code40, shall be the main structure of 36
SMA. Resolução n. 19, de 07 de abril de 2015. Cria o projeto de Pagamentos por Serviços Ambientais Mata Ciliar, no âmbito do Programa de Remanescentes Florestais. . Secretaria do Meio Ambiente do Estado de São Paulo. Available at:< http://www.ambiente.sp.gov.br/legislacao/files/2015/04/Resolucao-SMA-0192015.pdf>. Access: Jan, 18, 2016. 37
SÃO PAULO. Decreto n. 55.947, de 24 de Junho de 2010. Regulamenta a Lei nº 13.798, de 9 de novembro de 2009, que dispõe sobre a Política Estadual de Mudanças Climáticas. Available at:< http://www.legislacao.sp.gov.br/legislacao/dg280202.nsf/fc66ffd741d5df9683256c210061079c/0ffa3c89c48c 12690325774d0048ea14?OpenDocument >. Access: Jan, 18, 2016. 38
BOTUCATU. Lei Complementar n. 1153, de 07 de julho de 2015. Institui o Programa de Pagamento por Serviços Ambientais –PSA, cria o Fundo Municipal de Pagamento por Serviços Ambiental – FMPSA, revoga a Lei Complementar n. 1.045, de 21 de maio de 2013 e dá outras providências. Available at:< read:https://leismunicipais.com.br/a/sp/b/botucatu/lei-complementar/2015/116/1153/lei-complementar-n1153-2015-institui-o-programa-de-pagamento-por-servicos-ambientais-psa-cria-o-fundo-municipal-depagamento-por-servicos-ambientais-fmpsa-revoga-a-lei-complementar-n-1045-de-21-de-maio-de-2013-e-daoutras-providencias> Access: Jan, 18, 2016. 39
SABESP (2016)
40
BRASIL (2012) 25
whatever system of PES, whether by its supply side (financial funds) or, otherwise, by its demand side (sustainable environmental projects). It is also important, regarding the new forestry code aspect, that the Environmental Secretary (Sao Paulo state) enforced its environmental legislation recently with two legal norms: i) Law n. 15.684, of January, 14, 2015, and; ii) Decree n. 61.791, of January, 11, 2016, according to SAO PAULO (2015) and SAO PAULO (2016), respectively41. The New Forestry Code and these recent state rules determine that a system of PES be applied, among other characteristics, on Familiar Rural Properties case, preferably, a little bit different from the Botucatu case42. Anyway, the most important issue to be discussed in this field is the possibility of the financial fund integration and not the different kinds of financial funds. In this sense, by the way, the recent state legislation also permit the financial fund multiple sources integration (even according to own new forestry code), as such as the Botucatu case (this aspect is one of the principal purposes of this present study, along with the economic (valuation) criteria to the financial funds suppliers, such it will be seen later). On another hand, the approach of this study was both the “local to global”43 and “global to local”44 point of view, that is to say, the principal focus was the municipality of Botucatu´s environmental policy. In addition, within a local approach, more specifically according to the environmental municipal law, the forest sector, considering it both sides (forest production and environmental protection)45, is one of the main bases of the municipality of Botucatu sustainable development. This understanding can be also seen on several points. In this sense, considering Botucatu (2015), the municipal program has, such objective, “promote the sustainable development and stimulate the supply of the goods and services produced by the ecosystem”, such as: (i) carbon storage capture, conservation, 41
These new state environmental rules aren´t regulated by an Environmental State Secretary resolution yet, according to SMA (2016,a) and SMA (2016,b) 42
Environmental service supplier: private individual or artificial person, under public or private law, familiar group or community that, filled the eligibility criteria, hold, restore or improve the ecosystem environmental conditions that are environmental services producers, relating to item V, art. 4th , of Complementary Law n. 1.154, of July, 07, 2015 (Botucatu, 2015). 43
See authors such as TEEB (2016), Kumar et al (2013) and Farley et Costanza (2010).
Environmental principle of “Global Thinking and Local Actions” discussed and approved within the 21 Agend, on the Environmental and Development United Nations Conference (ECO-1992), at Rio de Janeiro, Brasil. Source: INFOESCOLA. Agenda 21. Available at:< http://www.infoescola.com/geografia/agenda-21/ >. Access: Jan, 25, 2016. These words are so important and now is a saying; “Pensar globalmente e agir localmente / To think on a global manner but to act on a local way”- Ulrick Beck, em Agenda da Humanidade para o Século 21 (Source: TUMBL. Os 390 melhores ditos populares ilustrados do Brasil e do mundo inteiro! Available at: . Access: Jan, 25, 2016). 44
45
Timber and non-timber products, with and without prices Market, as it will be seen ahead 26
maintenance and increase, as well as, carbon emission decrease; (ii) natural sightseen conservation; (iii) social biodiversity maintenance; (iv) water and water resources maintenance, reservation and distribution; (v) climate regulation; (vi) cultural and ecosystem traditional knowledge valuation, and; (vii) soil maintenance and restoration46 (assertive 01). Therefore, the environmental services are clearly associated, by the municipal environmental law, according Botucatu (2015), with sustainable development (assertive 02), with the municipality of Botucatu (assertive 03), and with the forest sector (assertive 04). The association between goods and services produced by the ecosystem and both sustainable development (assertive 02) and the forest sector (assertive 04), under the PES point of view, can be also observed in BRASIL (2012)47, and SMA (2015)48. Besides, it is necessary to consider that the forest sector is on the most important economic activities on the municipality of Botucatu (FUNDAÇÃO FLORESTAL, 2011; FCA, 2016). In addition, Botucatu belongs to the Sorocaba administrative region and, according to IPEF (1978) has already been the biggest and most expressive forest participation, of all the 11 administrative regions of São Paulo state, on the reforestation area of this state, in 1978, and one of the biggest, in 1967 (BRAGANTIA, 1978). These observations can be seen in Figures 09, 10 e 11, with relation of Martinelli (2010) and IGC (2916) (assertive 05). Figure 09 – Natural vegetation cover – 1993 (São Paulo state)
Martinelli (2010) 46
The municipal law also links these kind of forest goods and services produced by the ecosystem with several concepts strongly added with the forest sector (wood, soil fertility, water, seeds dissemination, biodiversity, genetic `patrimony, among others). 47
Items II, III and VI, single paragraph, article 1o-A; item VII, article 3o ; caput of the article 41, of the new forest code (Law n. 12.651/12). 48
Item V, article 3º; items I to XI, and caput of the article 52 of the Decree n. 55.947, of June, 24 in 2010 (SMA, 2015).
27
Figure 10 – Metropolitan and Administrative regions (São Paulo state)
IGC (2016) Figure 11 – Accurate Detail of Sorocaba´s Metropolitan and Administrative regions (São Paulo state)
Adapted from IGC (2016)
28
On another hand, considering that Botucatu Environmental Protection Area (APA Botucatu) has around by a surface of 215.615,12 hectares49 (2.156,15 square kilometers), the municipality of Botucatu has 25,94% of this total area50, according to Fundação Florestal (2016). In addition, the reforestation was intensively stimulated in Sorocaba administrative region, on the 60´s and 70´s decades. Besides, this region was chosen by Federal Government such as a Priority Forest District in order to receive forest incentives, according to CETESB (1985), apud FUNDAÇÃO FLORESTAL (2016) and ENGEA, 1990, apud FUNDAÇÃO FLORESTAL (2016). Consequently, the Eucalyptus and Pinus reforestations, in the APA Botucatu, are implanted on broad areas in the municipalities of Bofete (21%), Botucatu (18%), Guareí (21%), Itatinga (42%) e Angatuba (17%), still considering Fundação Florestal (2016) (all these aspects also validate assertive n. 5). Finally, the forest sector is strongly linked to all the goods and services produced by the ecosystem mentioned before (another way to see the assertive 4). As noted above, there are the following assertives: A) Sustainable development goods and services produced by the ecosystem (environmental services) (assertive 01) B) Environmental services sustainable development (assertive 2) C) Environmental services municipality of Botucatu (assertive 3) D) Environmental services forest sector (assertive 4) E) Forest sector environment services (assertive 4´) F) Forest sector municipality of Botucatu (assertive 5)
49
10.000 square meters.
50
9 municipalities of APA Botucatu: Angatuba: 1,24%; Avaré: 22,88%; Bofete: 71,19%; Botucatu: 25,94%; Guareí: 28,17%; Itatinga: 64,81%; Pardinho: 72,01%; São Manuel: 4,88%; Torre de Pedra: 51,62%. 29
Based on the exposed above, it is possible the following deductive conclusion: Considering that environmental goods and services produced by ecosystems are linked to sustainable development (assertive 2), especially on the municipality of Botucatu case (assertive 3), and considering that the forest sector is linked to the environmental services produced by the ecosystems in Botucatu region (assertive 4 and, mainly, assertive 4`), is possible to conclude, under the PES focus, that the forest sector is important to the municipality of Botucatu sustainable development. The financial funds suppliers, according to the municipality of Botucatu environmental law, can be seen under an integrated way point of view because the municipal environmental law mentions that “it is permitted the environmental actions overlay on the same environmental services area since that be justified technically, with the Director Council authorization and doesn´t occur monetary incentives accumulation, as well as also doesn´t occur nonmonetary measures accumulation, promoting a disproportional way in front of the principles of proportionality and reasonability, and, finally, according to specific regulation” (Botucatu, 2016)51. Besides, the municipal environmental law permits, several kinds of funds (public, private, federal, state and municipal) that are related with the group of 07 financial funds sources types mentioned on the item 3.1 Money Supply above. These investments types are related, on another hand, with several important legal instruments such as Forest Remaining Program (Sao Paulo state) and New Forest Law (Federal government). They are related, finally, with wide national and international private funds possibilities. Consequently, considering that the municipality of Botucatu environmental law, according to the some of the most important aspects above mentioned, has the sustainable development proposition (assertive 06), as well as a financial funds suppliers integration that is permitted by the municipal law (assertive 07)52, is also possible concludes that:
51
Article 9o; paragraphs 1o and 2o, article 19; Complementary Law n. 1.153, of July, 07 in 2015.
52
The financial funds suppliers for the PES will be originated by sources such as: annual budgeting law; national and international institutions donations, plus personal and juridical entities donations; financial investments originated by the environmental services financial funds applications; return of not applied annual balances; financial resources of the Pollution Prevention and Control State Fund (Fundo Estadual de Prevenção e Controle da Poluição - FECOP) headed for payment of environmental services programs ( programas de PSA), according to Forest Remaining Program (Programa Remanescentes Florestais – Decree n.55.947/2010); financial funds of the Water Resources State Fund (Fundo Estadual de Recursos Hídricos), applied for Watershed Committee to PSA programs, according of the use of water resources collection rules; another financial funds, public or private, municipal, state or federal, that come to be created with this purpose; SABESP´s financial resources destined to the municipality of Botucatu river basin area preservation, in according to the municipal annual budget; Complementary Law n. 1045, of May, 21, 2013 remaining resources; financial resources originated by agreements and other kinds of similar legal instruments, signed by federal or state entities, and; financial resources originated by judicial agreements (Botucatu, 2015). Besides, this formal writing covers almost entirely all the financial sources mentioned on the topic 3.1 Money Supply above. 30
The PES model proposed on the municipality of Botucatu is a main articulator and integrator of the federal, state and municipal environmental policies on direction at the local sustainable development. That is to say: G) Municipal environmental law municipality Botucatu sustainable development (assertive 06) F) Financial funds suppliers integration municipal environmental law (assertive 07)
3.1.1 Climate Fund for Energy, Climate, and Social Actions TEBB (2007) developed a strong relationship among local policy, ecosystem services and climate change due to reference about several issues, such as “atmospheric carbon is sequestered through natural processes; plants and trees take up carbon through the action of photosynthesis whilst the oceans soak up carbon dioxide on a dissolved form, and ecosystems store an enormous amount of carbon”. An integrated vison of PES and the REDD+ measures and actions is considered something possible and extremely worthwhile. However, the relationship between them can be positive but not necessary automatic. For this purpose, that is to say, a successful relationship between payment for environment services projects and REDD+53, the following challenges around designing inclusive payment for environmental must be solved: (i) reaching the poor; (ii) elite capture54; (iii) (dis)economies of scale, and; (iv) limited marketing ability and financial sustainability (PORRAS et BLACKMORE, 2014). The main aspects of PES have already introduced above but is still necessary to present the REDD, REDD+ and REDD++ concepts under The Climate Fund for Energy, Climate, and Social Actions point of view. According to Jalowitzcki (2010), REDD means Reduction of Forest Degradation and Deforestation Emission and it is a mechanism created by international entities to pay that landowners whose keep the stand forests, without deforestation/cut. The REDD financial mechanism (Green Fund) doesn´t takes into account the private Carbon Market. This concept emerged at Bali way Letter, on the Bali Conference (COP-13) and stablished the positive incentives and policies in relation of environmental questions such as: i) emission decrease due to deforestation; ii) emission decrease 53
The essence of this project intends the integrated vision of PES within a REDD+ approach, particularly on Botucatu case. “Projects not grounded in local realities can increase poverty, for example by exacerbating inequalities in access to resources, which can happen as a result of elite capture” (PORRAS et BLACKMORE, 2014) 54
31
due to forest degradation reducing in developing countries; iii) stand forest conservation; sustainable forest management, and: iv) carbon stock increase on developing countries forests (reforestation). The author classifies the REDD concept on the following categories: i) REDD Forest valuation element is the emission reducing due to deforestation and forest degradation, on developing countries (COP - 16, Cancun); ii) REDD+ REDD plus sustainable forest management plus carbon stock increase, on developing countries, and: iii) REDD ++ REDD + plus agriculture (appropriated use of the lands), included the carbon stock increase on the developing countries forests (COP – 19, Varsovia)55. However, during the 21a. session of the Parties Conference, on the United Nations Climate BoardConvention (COP-21), when it was signed the Paris Agreement, the REDD+ concept was firmly linked to the carbon emission reducing due to deforestation and forest degradation, with the sustainable forest management´s paper, with the forest carbon stock increase, and, finally, with the payment possibility according the REDD`s actions outcomes (Green Climate Fund). Nevertheless, in order to receive this king of financial support wouldn´t be possible others benefits (environmental services) not directly associated with carbon emission (MMA, 2016,b). This restriction reduces significantly the use Type 1 – international funds possibilities on the present case, that is to say, the PES (within the environmental policy of the municipality of Botucatu context). Besides, the main Brazilian sources of the quantities of CO2 emission relative contributions, considering 2000, were: (i) land use, land use change and forest (78%); (ii) energy (18,1%), and; (iii) industrial processes (3,9%). Naturally, the “land use, land use change and forest” element is crucial to the Brazilian participation on the environmental impacts mitigation due the greenhouse gases emission. Considering this source, the CO2 emission estimative of the Brazilian biomes, also in 2000, were: (i) Amazon (50,8%), Brazilian savannah (18,9%) and others biomes (8,3%) , according to Table 01 ahead. In fact, the natural conditions on the municipality of Botucatu region aren´t so much interesting for the main Green Climate Fund purposes56 (Type 1 – international source). On another hand, Type 2 – international source and Type 3 – general international sources international are also strongly linked to the Carbon Market. Besides, it is expected that they require an expressive effort to their “internalization” (federal and state intervention and regulation, bureaucracy, large size of the projects, transaction costs, among others). It is figured out that the same reasoning can also be applied, according to a national sphere, to the Type 4 – federal source, Type 5 – state sources and Type 7 – general Brazilian sources. Furthermore, the financial resources aren´t available yet (regulation lack, financial availability lack, on the federal case or small scale of the programs, on the state case). Anyway, the several possibilities of financial sources on the environmental law of the municipality of Botucatu cover 55
Varsovia mark for REDD+ (Marco de Varsóvia para REDD+).
56
CO2 emission reducing (amazon biome) versus maintenance of CO2 emission (Brazilian savannah and tropical rainforest biomes) as previously observed. 32
very well theses state and federal possibilities. In another words, the several financial sources integration process (Types 1 to 6 of financial funds) is a potential and promising issue, but still demands federal and state specific regulation, without one more incisive municipal (local) intervention. Finally, there is the Type 6 – municipal source possibility to be analyzed. This case, under the financial funds integration point of view, and according the local possibilities (local public power control, flexibility, agility, potential increase, among others) appears be the best alternative for the system of PES, considering the environmental law of the municipality of Botucatu conditions57. The Type 6 – municipal source will be that analyzed within special conditions on the Figure 14 situation further more (left side, financial funds source suppliers, on a system of PES on the municipality of Botucatu environmental market case. It will be showed, under the “national and international institutions donations, plus personal and juridical entities donations” and “another financial funds, public or private, municipal, state or federal, that come to be created with this purpose” point of view, an adaptation of a new financial fund source alternative (and its methodology named “LIFE method”)58 Anyway, an integrated strategy of the several financial resources possibilities (international, national, federal, state, municipal, private or public), under the climate change point of view, considering that the others environmental services could be also integrated on the environmental measures59, is something very complex and still needs be developed, according to verified in one of the most environmental documents produced until now: “The Conference of the Parties (CoP-21) recognizes the importance of adequate and predictable financial resources, including for results-based payments, as appropriate, for the implementation of policy approaches and positive incentives for reducing emissions from deforestation and forest degradation, and the role of conservation, sustainable management of forests and enhancement of forest carbon stocks; as well as alternative policy approaches, such as joint mitigation and adaptation approaches for the integral and sustainable management of forests; while reaffirming the importance of non-carbon benefits associated with such approaches; encouraging the coordination of support from, inter alia, public and private, bilateral and multilateral sources, such as the Green Climate Fund, and alternative sources in accordance with relevant decisions by the Conference of the Parties”
UNITED NATIONS (2015)
57
See footnote 45, particularly referring underlined topics.
LIFE. LIFE-BR-TG01-3.0-Português. GUIA TÉCNICO LIFE – 01. Definição de desempenho mínimo em Ações de Conservação da Biodiversidade Abordagem Quantitativa da Certificação LIFE. Instituto LIFE. Publication: 24/09/2014. Available at: . Access: 29,jan, 2016 58
59
Why not? If all kind of environmental services here discussed have linked, direct or indirectly, to the carbon emission cycle and its REDD+ policies and actions? 33
3.2 Demand of projects In this same sense, it is necessary enforce that all the kind of ecosystem services (very similar referring whatever is the federal, state, municipal, public or private PES system), according seen above, can be linked to positive answers about climate change effects mitigation. Thus, such as seen at BRASIL (2012), even the ecosystem service associated with “culture valorization and ecosystem traditional knowledge”60, depending of the environmental criteria considered (ecological model of agriculture) promotes the natural fertility soil restoration and improvement (and, thus, the carbon conditions at the soils too). In this way, this specific kind of ecosystem service also contributes to the climate change mitigation. Turning back to the COP-21, and on the sustainable background, to the principle (even philosophic, why not) of “thinking global and local actions”, one of the most important focus on whatever environmental policy in any country (Brazil61) must consider, due to the climate change, the actions to the reduction of greenhouse effect emission due to deforestation, forest degradation, forest carbon stock maintenance, forest sustainable management and forest carbon stock increase (REDD+). These government actions (in fact, federal legal measures) will start from now on, with the REDD+ National Commission. This commission will have the responsibility for both “REDD+ National Strategy” and “REDD+ policies and actions payment”62. The Amazon biome, according to USAID (2007), is also countenanced by foreign programs, with technical support and advocacy from USAID and partners (Imazon). These programs have developing proposals to deforestation decrease, forest protection, mitigate climate change, preserve biodiversity and advance the interest of indigenous peoples, such as “Sustainable Forest management and Protected Areas Development”. It has been developed several projects linked to the following themes: sustainable forest management; forest monitoring, landscape, management and planning, and; community empowerment, such as: Creation of a 15 million hectare mosaic of conservation units in Pará state (the largest in any tropical forest in the world; located in a region with violent land conflicts and illegal logging; vast preservation corridor with the size of Alabama) USAID (2007) Protection of nearly 2,800,000 hectares of the Xingu Indigenous Park in Mato Grosso state” USAID (2007) 60
Item F, incise I, article 41, Law n. 12.651/2012 (New Forest Code).
61
BRASIL, Decreto n. 8.576, de 26 de novembro de 2015. Institui a Comissão Nacional para Redução das Emissões de Gases de Efeito Estufa Provenientes do Desmatamento e da Degradação Florestal, Conservação dos Estoques de Carbono Florestal, Manejo Sustentável de Florestas e Aumento de Estoques de Carbono Florestal – REDD. Available at:< https://www.planalto.gov.br/ccivil_03/_ato20152018/2015/decreto/d8576.htm> Access: February 02, 2016. 62
Promotion of synergy and integration of public policies such as forests, biodiversity, climate change, deforestation prevention and control, necessary requirements to the payments for REDD+ policies and actions outcomes, among others (BRASIL, 2015). 34
State of-the-art technology for mapping deforestation and forest degradation, enabling complete and full satellite monitoring of the entire Brazilian Amazon and monthly, near-rea time estimates of deforestation (social control, government accountability, open and transparent access by the general public). USAID (2007)
The European Community has also created its climate change program with the target to reduce EU domestic GHG emissions by at least 40% below the 1990 level by 2030. This environmental effort is important because, with the “increasing energy-efficiency”, “reforming the EU Emissions Trading System (ETS)” and “new governance system” actions, the European planning aims the increasing the share of renewables energies:63.
“Renewable energy will play a key role in the transition towards a competitive, secure and sustainable energy system. Therefore the EU has set an objective of increasing the share of renewable energy to at least 27% of the EU’s energy consumption by 2030”64 (EUROPEAN COMISSION, 2015)
On another side, biomass from forests is very important because wood and wood waste is one of the main sources of biomass in the EU65. However, the European Commission believes that “the use of trees as biomass for bioenergy production can negatively affect forest biodiversity and carbon stocks through direct land use change (deforestation) and unsustainable forest management”. Thus, on the European case, in particular, one of the sustainability issues revolves around the lifecycle performance of biomass cultivation and biofuel production in terms of land use and GHG emission, including land use, land use change and forestry (LULUCF) activities (EUROPEAN COMISSION, 2015). On the Brazilian climate change point of view, estimative of CO2 emission inventory in this country, according MAPA (2015) can be seen on Table 01.
63
“Renewable energy will play a key role on the transition towards a competitive, secure and sustainable system of energy (EUROPEAN COMISSION, 2015). The biomass participation is 15% of the all European sources of energy [biogas (26%); energy efficient buildings (25%); biofuels (20%); biomass (15%); energy networks (6%); solar (4%); geothermal (2%); tidal (1%); fuel cell (1%), and; hydroelectric (1%)] nowadays (EUROPEAN COMISSION, 2015). 64
65
Biogas, energy efficient buildings, biofuels and biomass are responsible for 86% of all European sources of energy. 35
Table 01 - Estimative of CO2 emission Brazilian inventory Antropic sources LULUCF Energy Industrial Process Total MAPA (2015)
Biomes sources 78,0% 18,1% 3,9% 100%
Amazon biome Brazilian savannah biome Others biomes Total
50,8% 18,9% 8,3% 100%
In this manner, in despite of Brazilian efforts are concentrated on effective environmental actions to a REDD+ government strategy based on Amazon biome66, according to BRASIL (2009), MMA (2016,a) and MMA (2016,b), the local sustainable context induces necessary, within the integrate focus of the main themes of this study, that the others kind of Brazilian biomes also be considered. In this way, the Brazilian savannah (Cerrados) and the Tropical Rainforest (Mata Atlântica) biomes67 should be considered, referring the Brazilian federal approach of REDD+ in the country, within an environmental policy (system of PES) on the municipality of Botucatu case. Anyway, the Mata Atlântica biome, have been research by several important Brazilian institutes, under a PES perspective, and considering, inclusive, both agriculture and forest aspects, such it can be seen on EMBRAPA FLORESTAS (2016). EMBRAPA FLORESTAS (2015), on this same approach, discussed several issues regarding to the main focus of this study such as: economic criteria for environmental services valuation process (avoided costs; cost of restoration; lost production; cost of opportunity and even market prices); technical elements of the environmental services projects (environmental services68 such as support services69, supply services70, regulation services71 and cultural services72; system of integrated crophusbandry-forest; direct planting; systems of agroforestry; conservation of soil; management of land use and soil; management of water use and water; carbon stored at forest biomass in native forests and forest plantations; soil carbon stock and land use; soil fauna biodiversity; riparian vegetation; among others). Furthermore, anything prevents that, in regarding national, state or municipal policy linked to REDD+ strategies, PES projects on Botucatu region, plus environmental actions linked to 66
Reduce of CO2 emission target.
67
Maintenance of CO2 emission target.
68
Embrapa Florestas (2016), apud Milenium Ecosystem Assessment (2005).
69
Biodiversity maintenance, life cycle maintenance (nutrients and water/photosynthesis cycle) and soil formation. 70
Food, fibers, wood, genetic resources, medicine resources, ornamental resources, clean water.
71
Air quality regulation, climate regulation (inclusive Carbon capture), water flow regulation (flooding and drying), water treatment, fertility of soil, erosion prevention, biological control, (plagues and diseases), pollination, disaster prevention and residues control. 72
Aesthetic values (landscape), recreation, tourism, spiritual and religious values, educational/cultural values. 36
deforestation decrease, forest degradation, forest carbon stock maintenance, forest sustainable management and forest carbon stock increase, can be implanted by biomass producer forests (Eucalyptus spp) on permanent preservation areas (áreas de preservação permanente – APP) and legal forest area (área de Reserva Legal - RL) environmental restoration, according to BRASIL (2012)73, SÃO PAULO (2015)74 and BOTUCATU (2015)75. However, on a few specific cases76, it can exist restrictions such as the not permission of the exotic species use on the forest restoration measures, relative some state programs77 (SAO PAULO, 2016). Others issues that shall considered on a system of PES, mainly within a municipal point of view (global thinking and local actions) are the familiar rural properties and the environmental protection of water supplier areas. These elements can be noted not only on Botucatu case (BOTUCATU, 2015), but also on others municipalities with a strong economic, social and environmental problem linketo the water resources such as Louveira, and even with the carbon capture, according to LOUVEIRA (2015)78 and LOUVEIRA (2016)79. Others municipalities of Sao Paulo state also have specific municipal laws about systems of PES (or projects). However, municipal laws before 2015 are simplest, mainly under the financial funds and kinds of environmental services to be supplied point of view, than Botucatu case, such as Atibaia (2014) and Itatiba (2014). On another hand, municipal laws after 2015 have almost the same characteristics than Botucatu case, such as Campinas (2015). Any way, it appears that the local actions (municipal laws), specifically on the PES approach (global thinking), are something already consolidated on Sao Paulo state.
73
Law n. 12.651/2012: items II, III, V, VI, paragraph 1o, article 1o; items VI and VII, article 3o; article 11; item II, article 13; article 14; paragraphs 1o and 2o, article 17; article 20; article 22; articles 31 to 34; items “a”, “e”, “g” and “h”, incise I, and paragraph 4o, article 41; item 4o, paragraph 13, article 61-A, and; items I and II, paragraph 3o, article 66. 74
Item IV, article 14; article 25; item IV, article 28; item I and II, plus single paragraph, article 29; item 1 and 4, single paragraph, article 38; Law n. 15.684, January, 14, 2015. Items III (“c”), VII, VIII, IX, XIII, XIV, XV and XVI, and single paragraph, article 4o; Item II, and single paragraph, article 5o; items I, II and III, article 7o; items I, II and III, plus paragraphs 1o and 2o, article 28; Complementary Law n. 1.153, of July, 07, 2015. 75
76
Item I, article 12, Decree n. 61.792, January, 11, 2016.
77
Incentives for riparian vegetation restoration on watershed program (Programa de Incentivos à Recuperação de Matas Ciliares e à Recomposição de Vegetação nas Bacias Formadoras de Mananciais de Água - Programa Nascentes), according to Decree n. 60.521 of July, 05 in 2014. 78
Virtually the entire Municipal Law n. 2.456, of August, 05, 2015 treats water resources aspects such as environmental protection of water resources producer areas. 79
Items VI and VII, article 2o; items X, XI, XII, VII,XIX, XX, XXI, XXII, single paragraph, article 5o, Law Project n. 86/2013. 37
It can be seen that, considering Alisson (2015), local environmental actions have a great potential to the climate change mitigation. The author indicated, according to the “Five year Overview Report of the carbon Climate Registry (cCR) report”, written within a more than one thousand cities and metropolitan regions around the world context. This initiative involved 4.709 mitigate actions and 1.472 climate change adjustment actions implemented or planned by 608 municipalities, states or regions, at 62 countries, during the 2010-2015 period, affecting 553 million people (8% of global population), on different size, geography localization and local climate conditions aspects. The report cited, wrote Alisson (2015), that more than 92% of the implemented actions have been supported by local sources. It is important to explain, in this sense, that several actions are linked to environmental aspects worked in this study, such as native species trees reforestation and reintroduction, mainly on spring water regions. Alisson (2015) cited that “local agents” (608 municipalities, states and regions of the report) emit 2,2 carbon Gigaton (GtCO2) at the atmosphere per year and took on the 1 GtCO2 reduce voluntary obligation, until 2020. Finally, based on Millenium Ecosystem Assessment (2015), the local approach, inclusive on the institutes and governance point of view, should be enforced considering the following steps: (A) Overcome barriers Linked to: (i) important practices, institutions and policies changes; (ii) environmental and institutional governance structures changes; (iii) corruption and inefficient regulation and provision of accounts system; (iv) failure of markets and misaligned economic instruments; (v) behavior and social elements, included lack of economic and politic power relative some groups of the society (small-sized farmers), whose are extremely dependents of the environmental services and their quality; (v) insufficient investments to the technological diffusion and development to the environmental quality increase; (vi) insufficient knowledge and a low grade of its use to the ecosystem services and policies management and also their technological answers; (vii) human and institutional low capacity to the assessment due insufficient investment on environmental regulation and use management, and; (viii) lack of public and decision makers awareness referring environmental threats and their sustainable management opportunities. (B) Institutions and Governance Global and national institutions have authority need more cooperation in order to implement coordinate answers on multiple scales; It is required new institutions and the reform of some already present, mainly on a national scale, due environmental issues don´t considered on the institutional planning yet (in fact, national and global institutions aren´t planned to take into account environmental threats to the ecosystem services degradation, neither to deal with the common nature resource access of many environmental services); Property rights, access to resources, participation rights on the decision process, and the regulation of different resource uses or waste disposal can have a strong influence 38
to the ecosystem sustainable management. Besides these elements are determinant to the “who gains who loses” and “ecosystem changes losers” relations (C) Economies and Incentives Economic and financial actions are powerful tools to ecosystem services and goods use regulation. Many ecosystem services can´t be commercialized and so the markets aren´t able to give information about the sustainable use and efficient allocation of the ecosystem services This challenge needs a wide range of opportunities to influence the human behavior. There are the worthwhile financial and economic instruments. However, it will be necessary a good positioned supporting institutions. In this manner, institutional capacity development is necessary to a better efficiency of both mechanisms (economies and incentives). Promising actions include payment for ecosystem services (Costa Rica case, where environmental brokers made contracts between domestic and international “buyers” and local suppliers of environmental services (carbon captured, biodiversity, quality of watershed and beauty of landscape) and also environmental compensations80 (companies pay by conservation measures due environmental damages done). Several structures and methods can be used, in despite of data, prognosis, context and scale imprecisions, by the decision makers in a more appropriate manner, such as decision support methodologies (cost x benefit analysis, multiple criteria analysis, principle of prevention, scenery vulnerability analysis, among others). Relative any event, the government policies and actions linked to Climate Change, under the Paris Agreement, is something so many complex because involve social, economic and environmental measures that depend strongly by the legal support. The American economy is supported by coal, natural gas, nuclear and others energy sources. These kinds of energy are responsible by the CO2 emission how can be seen at Table 02. Table 02 – Present American Energy Matrix and Present American CO2 Emission Coal Electric energy quote 37% participation CO2 emission 74% quote participation Adapted from Ninio (2016)
Natural gas 30%
Nuclear 19%
Others 14%
24%
0%
2%
80
This way opens opportunity to explore news economic methodology approaches how it will be seen on items 3.4.1 and 3.42 ahead. 39
On the American case, according to Ninio (2016), the president of the United States of America, Barack Obama (democratic party, chief of the Executive Power) deals, at this moment, with a strong judicial (Supreme Court81, on the Judicial Power, and republican party opposition, on the Legislative Power), political (governors from 29 American states that depend on coal energy production) and economic resistance (coal energy supplier industry). The Obama´s planning intends, considering that the environmental actions are public health protection, social well-being and environmental measures, to limit the greenhouse gases emission by the American energy sector (reducing 30% of the CO2 emission by the thermoelectric plants until 2030 and considering the 2005´s levels; closing of highly polluting coal energy plants; increase of solar and wind energy use, and; growth economic promotion and innovation incentive). However, the government-s political opponents contradict with several arguments (threat to the American economy, elimination of coal energy supplier industries, high costs to the energy consumers, workers and employments protection, cost saving) (NINIO, 2016) This same author mentioned that, on another hand, the government´s measures in based on, according to White House, solid legal and technical fundaments and the Executive Power will continue to help American states that support the Obama´s planning. The challenge could be overcome by the social, economic and environmental issues negotiation such as financial funds and others measures, such as a temporary willingness to pay by consumers to the industries, to help workers, states and the coal industrial sector modification (assistance for kind of energy source transformation). It would be extremely important to search win-win relations among all stakeholders involved. However, according to Galbraith (2016), U. S. Supreme Court granted the 27 states, several companies and various business groups request against Obama´s Clean Power Plan82. On another hand, Galbraith (2016) wrote “Oregon state became the first state to ban coal outright, passing a bill that will phase out any electricity generated by coal by 2035”83. All this energy scenario, not only the social, economic and environmental, but also political point of view, will go still produce many news because, on the Merchant (2016)´s words, “in the presidential election, the candidates stances on coal and diversifying energy have been important on both sides of the race”. Finally, it is impossible put aside the fact that, on this issue, the biomass´s energy source (mainly forest sources) has not be deeply discussed. Remembering that “in 2016, natural gas is expected to produce
81
Divided by ideological trends: five conservative members (pro the Barack measure suspension) and four liberal (against to the Barack measure suspension). 82
On a fight named “War on Coal” (Merchant, 2016).
83
According to Galbraith (2016), U.S. Energy Information Administration (EIA) just have reported that 80 percent of 2015´s energy was derived from coal sources. 40
3.2.1 Rules to a PES Project (local and global approach) Each financial fund supply source (national/federal, state, municipal, international, public, private, among others) has its own rules to be followed with regard to one specific way to deal with direct PES projects. The new forestry code defines its criteria, such as carbon capture, conservation and maintenance, carbon stock increase, carbon flow decrease, natural beauty landscape conservation, water and water resources conservation, climate regulation, ecosystem traditional knowledge and cultural valorization, soil conservation and improvement, permanent preservation areas, legal reserve areas and restricted use areas (BRASIL, 2012). The federal trend is followed by the state environmental issues about payment of environmental services strategies. On another hand, on the municipality of Botucatu case, its municipal environmental program defines some criteria (carbon stock maintenance, carbon capture, soil maintenance and conservation, beauty landscape84 maintenance or restoration, water production (quality and quantity), social biodiversity, climate regulation, greenhouse effects mitigation), according to Botucatu (2015). In this manner, it is possible to note that whatever the legal and technical dispositive (federal, state, municipal, public, private), the environmental attributes to be considered on the direct payment projects are, as a general rule, practically the same. Strong and positive interaction among sustainability, biodiversity, familiar farmers and PES, also under a REED+ perspective, can be emphasized not only relative of timber products but with nontimber products too. In this sense, it is possible to mention Ramos et al (2016) which, working with mushrooms theme, commented about production and others several important issues such as conservation and transformation technology, and market and trading. This approach is relevant because considers unquestionable aspects of social, economic and environmental sustainability such as quality life and purchasing power improvement, adding value, middleman problem mitigation, among others. The same Ramos et al. (2016) purpose can be found in several similar themes to this mushroom´s point of view, such as worm composting, worm-created on organic agriculture, social and therapeutic horticulture, alcohol and non-alcohol beverages, edible wild fruits and herbs, spices and season plants, medicine and aromatic plants, essential oils, environmental education and nature ludic treatment for young people, people with disabilities, third age people and/or people in general. Special emphasis about this same approach could be borrowed to the natural resources use (tradition values, food innovation, among others) on for the touristic trials and ways, according to the same source. Finally, as much as whatever PES project, mainly under the wide range of financial resources funs point of view, the Botucatu case could taking to account not only the environmental law (mandatory issues) but also non mandatory issues, such as “new” approaches of environmental services 84
Aesthetic views or recreational experiences. 41
(integrated control of diseases on systems of production developed on agroecology way by familiar rural properties, medicinal plants) and another measures of best agriculture practices and best forest practices (low impact forest management, for example)85. It would also de interesting the utilization of systems and standards for quality control guarantee and systems of integrated management (Forest Stewardship Council – FSC86, GLOBALG.A.P. rules87, among others), since all this strategy were something relatively simple mainly to the rural producers and farmers. In order to have a better comprehension of “new” approaches of environmental services it would be interesting takes back the Carbon Cycle according to Silva et Machado (2000). These authors reported about the five main global carbon reservoirs: i) oceans (38.000 Pg88); ii) geologic formation (5.000 Pg), divided in carbon (4.000 Pg), oil (500 Pg) and natural gas (500 Pg); iii) soil (2.500 Pg), divided in organic carbon component (1.550 Pg) until 1 meter deep and inorganic carbonate (950 Pg); iv) atmosphere (760 Pg), and; v) terrestrial biomass89 (620 Pg). Silva et Machado (2000), on an evident advantage of the system of “Direct Planting” agriculture, what should be considered in terms of new environmental services approaches, enforced that the carbon soil stored quantity is directly linked to the vegetal residues addiction rate e indirectly linked to the organic material decomposition rate. Considering; Botucatu, São Paulo state and Brazil are inserted on the developing countries (social, economic, environmental) characteristics, The main key issues about PES knowledge and discussion produced on the municipality of Botucatu case (Sao Paulo state and Brazil), such as environmental services produced; environmental market conditions (demand and supply´s basis) and possibilities of environmental services projects, can be applied (identical or, at least, similar) on the developing countries case too, The main key issues about technical, legal, institutional, culture, social, environmental and ethics, on the PES projects conditions for the municipality of Botucatu (São Paulo state and Brazil) case, also can be applied (identical or, at least, similar) on the developing countries case, The main key issues about economic valuation (economic environmental assessment, environmental services assessment, PES schemes valuation, environmental damages assessment, environmental indemnity assessment) can be applied on whatever kind of country around the world (developed 85
The soil (the biggest carbon reservoir on the continents, followed by atmosphere and forests, whereas 50% of the carbon forest occurs in tropical rainforests), according to its management, can works as a source for the reduction of greenhouse effect CO2 emission (mainly under a REDD+ perspective) or for the CO2 emission increasing (D´Andrea, et al (2010), apud Houghton (2001), Grace (2001) and Dias (2006). 86
See: https://us.fsc.org/en-us
87
See: http://www.globalgap.org/de/
88
Pg = 1015 gr
89
Tropical rainforest is responsible for 50% 42
country, developing country). They can be applied on both can be applied (identical or, at least, similar) on the municipality of Botucatu case (Sao Paulo state and Brazil) and on the developing countries case too, The main key issues about the bibliographic review and references can be applied on whatever kind of country around the world (developed country, developing country). They can be applied on both can be applied (identical or, at least, similar) on the municipality of Botucatu case (Sao Paulo state and Brazil) and on the developing countries case too, The main key issues about extremely important issues for the success of the PES projects (efficiency and equity) are designed for whatever the type of country around the world, although they can be applied, specially, on the both situations [municipality of Botucatu (Sao Paulo state and Brazil) and developing countries cases], and, Finally, the principle of common (everyone) but differentiated responsibilities (between developed and developing countries, specially), It is established that; All the main key issues about the knowledge and discussion of PES schemes (projects and/or systems) produced in this study are applied on the municipality of Botucatu case (Sao Paulo state and Brazil), The main key issues about PES schemes (projects or systems) municipality of Botucatu (São Paulo state, Brazil) (Assertive 08)
The municipality of Botucatu case (Sao Paulo state and Brazil), according to this study, it has several identical (or, at least, similar) conditions, characteristics, values, and others aspects, relative to developing countries, Municipality of Botucatu (São Paulo state, Brazil) Conditions, characteristics, values, and others aspects, referring to developing countries, (Assertive 09) Then, All the main key issues about the knowledge and discussion of PES schemes (projects and/or systems) produced in this study are applied on [because several identical (or, at least, similar) conditions, characteristics, values, and others aspects] on the developing countries. (Assertive 10)
43
3.3 Economic criteria for an environmental (ecosystem services) valuation TEEB (2007) classified the focus of economic criteria for an environmental valuation, and their specific frameworks on the following categories: (i) Socio-ecological (Millennium Ecosystem Assessment - MA); (ii) Total Economic Value (TEV); (iii) Ecological (Key Biodiversity Areas KBA); (iv) Critical Natural Capital (CNC), and; (v) Developmental (Sustainable Livelihoods Approach - SLA). However, TEEB (2007), concerning to ecosystem services valuation mentions some groups of methods and their specific methodologies: (1) Direct market prices (Market prices90); (2) Alternative market (Replacement costs91; Damage cost Avoided92; Production function93); (3) Surrogate markets (Hedonic Price Method94; Travel Cost Method95); (4) Stated preference (Contingent valuation method96; Choice experiments97); (5) Participatory (Participatory environmental valuation98), and; (6) Benefits Transfer99 (mean value, adjusted mean value, benefit function). The first step for a system of PES can be the discussion of economic criteria for an environmental valuation according to the main stream and, in this sense, it there are several trends of environmental economic assessment linked to the PES issue, such as “Western Cost Benefit Analysis” method, according to Vincent (2016). In fact, there have been used economic criteria by an ecosystem valuation according to monetarybased measures100. These monetary-based measures economic criteria could be classified on: (i) Market Prices – Revealed Willingness to Pay; (ii) Circumstantial Evidence – Imputed Willingness to Pay, and: (iii) Surveys – Expressed Willingness to Pay (ECOSYSTEM VALUATION, 2016). 90
Observe market prices (TEEB, 2007)
91
Finding a man-made solution as an alternative to the ecosystem service (TEEB, 2007)
92
How much spending was avoided because of the ecosystem service provided? (TEEB, 2007)
93
How much is the value-added by the ecosystem service based on its input to production processes? (TEEB, 2007) 94
Consider housing market and the extra amount paid for higher environmental quality (TEEB, 2007)
95
Cost of visiting a site: travel costs (fares, car use) and also value of leisure time expended (TEEB, 2007)
96
How much is the survey respondent willing-to-pay to have more of a particular ecosystem service? (TEEB, 2007) Given a ‘menu’ of options with differing levels of ecosystem services and differing costs, which is preferred? (TEEB, 2007) 97
98
Asking members of a community to determine the importance of a non-marketed ecosystem service relative to goods or services that are marketed (TEEB, 2007) ‘Borrowing’ or transferring a value from an existing study to provide a ballpark estimate for current decision (TEEB, 2007) 99
100
Another environmental assessment approaches also can be seen in EPA (2009) ahead. 44
The market prices (revealed willingness to pay) criteria are related with ecosystem functions (goods and services) with market prices, traded in markets, measured by their contribution to the profits made from the final goods or services (wood of the forest, plants, fruits, natural medicine products and others kind of timber products and services), or not directly bought and sold in markets, but people are willing to pay the prices in markets, considering the estimative of their goods and services values101 (ECOSYSTEM VALUATION, 2016). The circumstantial evidence (imputed willingness to pay) criteria measure the environmental value (or cost of actions to avoid the adverse effects that would happen if some environmental attributes were lost, or even to replace the lost environmental services) what people are willing to pay, such as the wetlands protection (ECOSYSTEM VALUATION, 2016). In relation to expressed willingness to pay, these are methods where surveys can be applied to ask people, directly, what they are willing to pay, based on a hypothetical scenario, considering, besides, tradeoffs among different alternatives, about some ecosystem services that are not traded in markets or are not closely related to any marketed goods (ECOSYSTEM VALUATION, 2016). In relation of all these economic criteria ranking can be used the methods in accordance with Table 03. Table 03 - Ecosystem valuation according to monetary-based measures102. Monetary-based measures economic criteria Market Prices – Revealed Willingness to Pay Circumstantial Evidence – Imputed Willingness to Pay Surveys – Expressed Willingness to Pay Ecosystem valuation (2016)
Methodologies Market Price Method Productivity Method Hedonic Pricing Method Travel Cost Method Damage Cost Avoided, Replacement Cost, and Substitute Cost Methods Contingent Valuation Method Contingent Choice Method
Considering the main stream of environmental economic assessment, the economic criteria to the environmental services valuation can also be classified, according to GARCIA JÚNIOR et al (2015) on: (i) Direct Methods103 [Contingent Valuation (Direct Revealed Willingness to Pay and Direct Revealed Willingness to Receive); Travel Costs and Hedonic pricing (both in terms of Indirect Revealed Willingness to Pay and Indirect Revealed Willingness to Receive)], and; (ii) Indirect Methods104 [Marginal Productivity (Production Function), and; Avoided Costs, Control Costs, Costs of Restoration and Cost of Opportunity (all these methodologies in terms of Substitute Goods Markets)]. 101
People can pay a higher price for a home over a beautiful hill.
102
More details in relation to these methodologies can be found in Ecosystem Valuation (2016), for instance (http://www.ecosystemvaluation.org/dollar_based.htm). 103
Simulation of hypothetical markets.
104
Nature resource valuation according to its contribution to economic services production. 45
Besides, Kumar et al. (2013) discussed this subject using ecological sciences and economics for informed choices and decision making. For this, the authors mentioned The Economics of Ecosystems and Biodiversity (TEEB) document105, published in 2007, during the meeting G8+5, in Postdam, Germany. Kumar et al (2013), referring TEEB document and according to economic valuation in general, argued that it’s a complex, spatial and institutional cross-scale problem. They also discussed several environmental economics issues: a) Assessment such as intertemporal distribution of costs and benefits (disproportional to different sectors of society); b) Challenge for the decision markers in justifying resource allocation for projects and policies especially when they have competing demand for the resource available; c) Dependence on diversity and on the ecosystem services by different groups “within and across” societies; d) Impacts on ecosystems in the long term; e) Appropriate rate of discount to guide better choice of environmental strategies and policies; f) Degree of uncertainty, ethical responsibility (poverty and future generations); g) Scope of environmental project and/or policy being evaluated; h) Irreversibility and resilience, and; i) Kinds of uncertainty (delivery or supply of ecosystem services and biodiversity; preference uncertainty and; technical uncertainty of valuation methods)106. Millennium Ecosystem Assessment (2015), with regard to uncertainties in data, prediction, context, and scale, on environmental valuation, recommended the following methods; cost-benefit or multicriteria analysis, risk assessment, the precautionary principle, and vulnerability analysis. One the most recent studies about PES was written by Galati et al (2016). These authors discussed an alternative criterion to improve the efficiency of payments for ecosystem services 107 for C
105
TEEB (2007)
106
In regarding of uncertainty see also EPA (2009)
107
Galati et al (2016) also discussed about the two important issues concerning to PES, that is to say, Efficiency and Equity. 46
sequestration, through agri-environmental measures, in semiarid vineyards at Sicilian region, in Italy108. Galati et al (2016) also discussed about the two important issues concerning to PES (efficiency and equity). In despite of the economic approach of these two concepts, on the present case is important to link, both efficiency and equity, under the perspective of the PES projects, with the measure or demonstration capacity to prove the real ecosystem benefits produced in a local according two situations, with and without the project implantation (additionality, social justice, equal conditions to access the financial resources). The most important issues form Galati et al (2016), on the context of the present study, was the comparative analysis between two economic criteria for the environmental assessment linked to the PES (egalitarian criterion and actual provision criterion). Pascual et al (2010), in order to explain some criteria to environmental services assessment (compensation109, common goods, egalitarian, maxi-min, actual provision, expected provision and status quo), and according the “win-win” principle, discussed PES (PES) under the point of view of “key factors conditionings the relationship between equity and efficiency”. The authors described “efficiency” how it is used on the “Coasen policy approach” (“efficiency gains may be achieve independent of the allocation of the property rights”; “what really matters is the aggregate gains and losses by different economic agents and not how they are distributed in society”. It is also necessary to emphasize, in regarding of “efficiency” applied to PES, the traditional economic issues such as the pollution minimization and the maximization of (environmental) good and services, employment creation, income increase and distribution, tax collection improvement, nature resource use, correct allocation of costs and prices and equilibrium of supply, demand and prices at markets. On another side, referring to “equity” on PES application, Pascual et al (2010) mention the following both general and specific aspects: reduction of multiple dimensions of poverty (income, vulnerability, dignity, distribution of benefits, accountability, legitimacy); sense of satisfaction with resources allocation among different society segments; fairness; procedural justice (social and public participation in decision making); distributive justice (allocation of outcomes); welfare; eligibility; ability; willingness to pay (or to receive); capabilities. Tacconi (2012) still includes, relative to equity and efficiency on PES application, conditionally110 and transparency. Within the context of “Eco-sustainable (voluntary) management methods”, established by the Rural Development Program 2007-2013, Axe 2, Action 214/1A, that is to say, agri-environmental payments due to the sustainable use (adoption of agricultural production methods and sustainable practices of land management) of agricultural land. 108
109
Compensation criteria concept isn´t the same concept according to apply in this study ahead. The compensation meaning in this sutdy is linked to several specific technical and juridical issues on the environmental indemnity and/or environmental damage´s economic estimate on the Brazilian case. 110
Possibility of monitoring (well) the provided environmental services. 47
Finally, Pascual et al (2010) introduce the following “fairness” criteria and design implications for a system of PES: 1. Compensation – Differentiated payments (according to the cost of provision) should compensate landholders for the forgone benefits related to the provision of environmental services; 2. Common goods – Payment (not differentiated, no direct payment) should be invested in common goods, so all providers benefit indirectly and according to their relative use of the common goods in question; 3. Egalitarian – Design should distribute the fund equally among all the providers (per unit of land area), independently of the level and cost of environmental service provision. Not differentiated payments; 4. Maxi-min – Differentiated (according to the income of providers) payments aim to maximize the net benefit to the poorest farmers, even at a cost of efficiency loss; 5. Actual provision – The allocation of funds (differentiated payments according to the actual provision of the service) among farmers corresponds to the actual income level of provision of environmental services; 6. Expected provision – Differentiated (according to the expected provision of environmental services) payment to farmers depend on the expected level of provision of services for a given land use. Payments compensate farmers to particular land use changes or practices expected to enhance the provision of environmental services, and; 7. Status quo – Differentiated payments (according to its impact on income inequality) should maintain the previous level of relative distribution of income among providers. 3.3.1 EPA vision However, EPA (2009) also discussed methods for assessing environmental value and criteria for choosing environmental valuation methods, without prescribes any specific criteria, but only offering some suggested environmental methods. In this sense, the United States Environmental Protection Agency, making reference to several studies, had the following methodologic classification: measures of attitudes, preferences and intentions; economic methods; civic valuation; decision science approaches; ecosystem benefit indicators; biophysical ranking methods, and; cost as a proxy for value111.
111
This kind of method will be specially considered when the methodologies of LIFE and Vpa have been discussed ahead. 48
EPA (2009), specifically about the economic methodologies, mentioned: i) market-based methods112; ii) Travel cost113; iii) Hedonic pricing114; iv) Averting behavior115, and v) Survey questions eliciting stated preferences116. Besides, EPA (2009), according to “cost as a proxy value” method117 discussed, under the specific scope of this study, the method of replacement cost118, that is to say, “monetary estimate of the cost of replacing an ecosystem service using the next best available alternative”. In this same sense, EPA (2009) also discussed a method linked to the compensation measure on the environmental damages assessment according to mentioned forward; the habitat equivalency analysis (units of habitat or other compensating changes needed to replace ecosystem services lost through a natural resource injury119. EPA (2009) has understood, about the use of cost as a proxy for value methods specially on the PES schemes, that the main aspect to be considered is the distinction between benefits and costs (EPA, 2009). According the American agency: “In the context of ecosystem services, economic benefits reflect what is gained by increasing the amount of a given service relative to some baseline, while costs reflect what must be given up in order to achieve that increase” EPA (2009) “Costs can provide information about benefits or value only under specific and limited conditions. Nonetheless, several methods based on costs have been used in the valuation of ecosystem services”. EPA (2009)
“Monetary measure of willingness to pay (WTP) for ecosystem services that contributes to the provision of marketed goods and services” (EPA, 2009) 112
113
“Monetary measure of WTP for ecosystem services which affects decisions to visit different locations”
(EPA, 2009) “Monetary measure of marginal WTP or willingness to accept (WTA) as revealed by price for houses or wages paid for Jobs with different environmental characteristics” (EPA, 2009) 114
“Monetary, or other measure, of WTP as revealed by response to opportunities which avoid or reduce damages, for example, through expenditures on protective goods or substitutes” (EPA, 2009) . 116 “Monetary, or other measures of WTP or WTA, as expressed in survey questions about hypothetical tradeoffs” (EPA, 2009) 115
117
See footnote 91.
118
See methodology of “CATE-DAI-Vpa” ahead.
119
See LIFE method ahead. 49
The value of a given ecosystem service, on the method of replacement cost, is linked to the cost of replacing that service by some alternative means120 (EPA, 2009). Anyway, the value of the ecosystem service must be “greater than or equal to” the cost of producing the service via this alternative means121. EPA (2009) also takes into account, on the cost as a proxy for value approach, habitat equivalency analysis method (HEA)122. This method searches a set of projects provides sufficient compensation for a environmental loos, and its tries to determine (tradeoffs required to make the public whole using utility equivalents of the associated losses and gains) the restoration projects that would provide ecosystem or other related services (including capital investments such as boat docks) sufficient to compensate for a loss from a natural-resource injury (e.g., a hazardous waste release or spill)”. However, according to EPA (2009), HEA method “is often based on a service-to-service approach specified in biophysical equivalents (e.g., acres) rather than utility equivalents (value)” 123. Because “restoring habitat far from where people live and recreate may not create value equivalent to nearby lost habitat, even if the replacement habitat is of the same size”. On this case, HEA method needs to take care with several restrictions. One of the most important issues is that “the value of the ecosystem or other services provided by the restoration projects may not exceed the cost of providing those services” (EPA, 2009). Finally, according to EPA (2009), the different environmental (economic or not) kinds of assessment must consider the following recommendations: “Only use methods that are scientifically based and appropriate for the particular decision context at hand”; Develop a set of criteria to use in evaluating methods to determine their suitability for use in specific decision contexts. This is an important first step in implementing the valuation approach proposed in this report”; Explicitly identify relevant criteria to be used in determining whether a contemplated values transfer is appropriate for use in a specific ecological valuation context. Both EPA analysts and those providing oversight of their work must take into account the differences between study site and policy site to flag problematic transfers and clarify the assumptions and limitations of the study site results”; 120
On the Vpa method case, for instance, the environmental restoration costs.
On the VPA method, for instance, the final environmental value (CATE, DAI or Vpa), because variable “F i/d” (indirect values consideration), this condition is satisfied. 121
122
Used on Natural Resource Damage Assessments under the Comprehensive Environmental Response, Compensation and Liability Act and the Oil Pollution Act 123
A so much similar kind of criterion relative to LIFE methodology that it will be seen ahead. 50
Support efforts to develop Web-based databases of existing valuation studies across a range of ecosystem services, with careful descriptions of the characteristics and assumptions of each, to assist in increasing the likelihood that the most comparable existing valuations will be identified”, and; “Conduct additional original research on valuation that is designed to be used in subsequent value transfers”. EPA (2009) 3.3.2 Transferring value information on the EPA vision EPA (2009) also commented, in regarding of environmental economic assessment, applied (or not) to PES projects, about the transfer of value information from one policy context to another. Value transfers, especially on the form of benefits transfer, on the EPA (2009) words, are important to environmental assessment initiatives, but it is necessary to take into account several issues (concerns and conditions) for the consistently and/or adequately transfers validity. It takes into account EPA (2009), it is important to describe the following transfer methods: i) transfer of a unit value; ii) function transfer approach, and; iii) preference calibration. Transfer of a unit value means “a unit-value transfer usually interprets an estimate of the tradeoff people make for a change in environmental services as locally constant for each unit of change in the environmental service” EPA (2009). Function transfer approach means “replace of the unit value with a summary function describing the results of a single study or a set of studies”124 EPA (2009). Preference calibration “uses information from the study site to identify the parameters that describe underlying preferences125, with the objective of then using the resulting preference relationship to estimate benefits at the policy site” EPA (2009). According to EPA (2009), “with calibration, not all relevant parameters (in this case relating to preferences) are estimated directly from the data. Rather, some are calculated or inferred from available estimates of other parameters and assumed or observed relationships and constraints. When the parameters can be calibrated or estimated from the existing literature, the transfer uses the calibrated preference function, together with the conditions at the policy site, to measure the tradeoff”.
124
Meta-analyses, which statistically combine results from numerous studies, can also involve a type of function transfer. 125
WTP or WTA, primarily. 51
3.3.3 American and other payment for environmental services examples A public policy (environmental policy) can occur at many different geographic levels, by international agreement, national legislation, state, or even local government action (DOREMUS, 2003). According Doremus (2003), for the integrated environmental policy, the policymakers should evaluate the spectrum of policy options considering: feasibility (determined strategy can be or not adopted and implemented taking into account political barriers, costs, and informational requirements), effectiveness (if actions produce benefits desired according aspects such as resistances), fairness (the most important aspects is the distribution of costs and benefits), and implications for the future (temporal durability, future generations, long-term project). Anyway the best portfolio of several and different actions must consider the following elements; addressing multiples goals; synergistic effects; reducing risk, and; reducing uncertainty. It is possible, in order to construct an integrated environmental policy, follow a suggested and flexible flowchart: clarify the goals; carefully evaluate existing programs; be sensitive to the context; monitor policy implementation and its results, and; maintain flexibility so that policies can be changed in response to new information (DOREMUS, 2003). Baylis et al. (2008) had an approach about Agri-environmental policies (AEP) in the United States of America and European Union126. They discussed that AEP are a kind of payments (public funds transferring to the farmers) for environmental services (attractive landscape, scenic vistas, spiritual and symbolic value of preserving a farming heritage, soil conservation, water quality, air quality, wildlife habitat, enduring benefits, carbon sequestration in soil and in perennial plants, methane emission reduction, pollinator health, sediment and flood control and salinization and water table regulation on the American perspective) for the farmers which reduced the negative externalities (soil erosion deforestation, and nutrient run-off) of agricultural production. However, according the authors, American (negative externalities focus such as soil erosion) and European (positive externalities focus, such as traditional farming and agro-biodiversity) AEP can´t be considered as “payment for environmental services (PES)”, under the Center for International Forestry Research (CIFOR) point of view127. USDA spends over $5 billion per year on conservation programs, mostly on voluntary programs that pay farmers and landowners to provide environmental services and there is a recent American PES model regarding of the use of auctions in conservation programs to determine if auction design can reduce Government expenditures or encourage landowners to provide greater environmental services (HELLERSTEIN et al, 2015)128. Some EU agricultural programs have wished environmental pollution reducing and not exactly environmental services producing. It have also been applied on the Uruguay Round basis. Finally, 126
Environmental payments have been administered through the Conservation Titles of recent 202 Farm Bills (United States) and Pillar 2 of the Common Agricultural Policy (Union Europe). 127
One specific environmental service must be “‘well-defined’, according to CIFOR.
128
This will be discussed again ahead. 52
European agricultural programs have been developed under the relationship among agriculture, environment and development (management) of rural areas around the multi-functionality concept (BAYSIS et al., 2008). The authors understand that the American situation is similar, although, focused on World Trade Organization (WTO) requirements129. In this context, payment for environmental services, a king of non-commodity markets for providing ecosystem services130 (it can be considered an efficient market-based approach due the prices using to allocate resources that allows producers to use their own private information in the production of some environment service131) in the United States of America is strongly linked to farmers and rangers and the United States Department of Agriculture (USDA) stimulates this environmental policy´s trend since 2006132. Besides, others kind of environmental tools (financial and technical assistance, regulation, and education), although relatively simple to implement, are costly and inefficient (RIBAUDO et al., 2010). 3.3.3.1 Direct Payments for Ecosystem Goods and Services (Farm Bill Programs) The federal government provides grants and other payments to private landowners, tribes, states, and nonprofit organizations for the protection, restoration, and enhancement of forests, grasslands, wetlands, and other ecosystem types. Most significant among these are Farm Bill conservation programs (SCARLETT et BOYD, 2011). In USA, payments to farmers to conserve soil and maintain farmland productivity date back to the 1930s but current conservation programs (in particular, Conservation Reserve Program – CRP, Wetlands Reserve Program – WRP, Water Quality Incentives Program, Farm and Ranchland Protection Program and Wildlife Habitat Incentives Program) have started with the 1985 Farm Bill (SCARLETT et BOYD, 2011). According the authors, Farm Bill conservation payments (“rental payments” from 5 to 30 years, reimbursements for land enhancement and restoration actions, term-limited easements, and easements consistent with state laws, with full payments or cost-share payments used to support specified conservation use) have considered the following categories: 1) education and technical assistance; 2) financial incentives to encourage landowners to achieve natural resource conservation objectives, including direct payments to place agricultural lands into specific conservation uses and establish permanent easements; 3) conservation support to reduce soil erosion, protect wetlands, improve water quality, and achieve other benefits; and 4) support to 129
http://www.usda.gov/wps/portal/usda/usdahome?navid=farmbill
130
Main existing markets for non-commodity ecosystem services are: Environmental service Market; Water quality trading; Chicago climate exchange; Retail carbon market; Wetland mitigation banking; Organic labeling, and; Fee hunting. 131
Such as climate regulation, water supply, waste treatment, recreation, biodiversity, cultural information, carbon sequestration in soils, carbon sequestration in perennial plants, methane emission reduction, water quality, erosion and sediment control, flood control, salinization and water table regulation, wildlife. 132
See Food, Conservation, and Energy Act of 2008. 53
farmers for meeting regulatory requirements regarding air and water quality, species protection, and wetland protection. Agricultural payment for environmental service programs in the United States and Canada were also discussed by Molnar et Kubiszewski (2012) in regarding of the following aspects (environmental services maintenance): Wetlands (wetlands mitigation; wetland payment for environmental services (PES) programs); Agricultural lands (agricultural payment for environmental services (PES) programs linked to water provision, fertile soils, pollination, aesthetics, recreation, carbon sequestration, and biodiversity habitats); Forests (forest carbon), and; Waters (water quality trading programs, watershed protection). In regard of wetlands mitigation, according the authors, it could be mentioned that permissions (permittees licenses) are required to compensate for wetlands loss, such as: (1) permitteeresponsible mitigation, where responsibility lies with permit applicant to meet mitigation requirements, including any required habitat protection or restoration; (2) mitigation banks, where a third party offers mitigation credits for wetland restoration or protection for which they are responsible; and (3) in-lieu fee mitigation, where permittees pay fees to a public agency or nonprofit organization to fund compensation projects. Molnar et Kubiszewski (2012) discussed some examples of private and public programs to protect and restore wetland habitats (through more direct payment for ecosystem services programs), inclusive within an agricultural landscapes approach: 1. “Walking Wetlands” program (California and Oregon), since 1997, through a partnership of diverse agencies, universities, nonprofit organizations, and farmers; 2. In the Skagit Delta, Washington State there is a similar program Wetlands restoration and agricultural landscapes management) called “Farming for Wildlife” (The Nature Conservancy, since 2006)133; 3. Wetlands Reserve Program (WRP), a voluntary and federal program funded through the 1990 Farm Bill that also offers guidance and incentives for private landowners to restore wetlands in agricultural landscapes, and; 4. Several similar PES Canadian programs (Saskatchewan, Assiniboine Watershed Stewardship Association, Ducks Unlimited Canada, and the Saskatchewan Watershed); All of these PES programs are based on opportunity cost (payments and/or benefits from conservation funding mechanisms at least equal to the value landowners get from the next best land allocation, which is often crop or livestock production). However, mechanisms must be found in order to get not only erosion control but also a variety of other environmental services (wildlife habitat and biodiversity) (MOLNAR et KUBISZEWSKI, 2012) In another sense, according to the authors, the US Department of Agriculture, in regarding of agricultural payment for environmental services (PES) programs (the Conservation Reserve 133
http://www.nature.org/ourinitiatives/regions/northamerica/unitedstates/washington/placesweprotect/skagitriver.xml 54
Program – CRP, within the Wetlands Reserve Program – WRP), has a number of conservation programs to protect environmentally sensitive areas as well as soil, water, and other ecosystem resources since 1980. One the first programs were the Florida Ranchlands Environmental Services Project (FRESP), a partnership between World Wildlife Fund (WWF), state agencies, researchers, and ranchers next to Lake Okeechobee. World Wildlife Fund has developed, within 2014 Fram Act´s proposals, a payment for environmental services (PES) program to enhance water management in the Lake Okeechobee (the largest freshwater source in Florida) watershed (Figure 12) (NRCS-SDA, 2016; USDA, 2016). Figure 12 – Lake Okeechobee´s Payment for environmental services program (WWF)
Source: Natural Resources Conservation Service - USDA In addition, according to Molnar et Kubiszewski (2012), the most common forest PES programs are based on carbon sequestration, watershed protection and biodiversity (American examples) and reducing forest biodiversity loss linked to tax programs (rewarding benefits provided by forests or removing incentives for economic activity that degrades forests). Forest PES programs include mechanism such as tax per ton of carbon emitted plus afforestation projects, certifiable carbon credits for forests, regional climate programs within and between US and Canada that also include forest mechanisms (forest offsetting) and cap and trade programs. In this sense, Nitrogen is an important agricultural input that is critical for crop production. However, the introduction of large amounts of nitrogen into the environment has a number of undesirable impacts on water, terrestrial, and atmospheric resources (RIBAUDO et al, 2011) The authors explored the use of nitrogen in U.S. agriculture and assess changes in nutrient management by farmers that may improve nitrogen use efficiency. They also reviewed a number of policy approaches for improving nitrogen management and identify issues affecting their potential performance. Findings in their study reveal that about two-thirds of U.S. cropland is not meeting 55
three criteria for good nitrogen management related to the rate, timing, and method of application. Several policy approaches, including financial incentives, nitrogen management as a condition of farm program eligibility, and regulation, could induce farmers to improve their nitrogen management and reduce nitrogen losses to the environment (RIBAUDO et al, 2011). Dominati et al. (2014), in regarding of the value of soil conservation practices related to shallow mass movement erosion in New Zealand, discussed the main ecosystem services (provision services, regulating services and cultural services). The authors, for loss of ecosystem services from erosion purposes, quantified several ecosystem services (food quantity, food quality, fiber wool, provision of physical support to humans, provision of physical support to animals, flood mitigation, filtering of nitrogen, filtering of phosphorus, filtering of contaminants, detoxification and recycling of wastes, net carbon accumulation, nitrous oxide regulation, methane regulation, regulations of pests and diseases populations, feed quantity trees, wood fiber, provision of shade to animals, provision of shelter to animals, net carbon accumulation/trees). In their study, valuation methods used at the catchment scale were market price, defensive expenditure, replacement cost and provision cost. The authors, finally, used the Present Value (PV) and also Net Present Value (NPV) of cash flows over 20 years, for an interest rate of 10% per year, and a sensitive analysis. In relation of water payment for environmental services (PES) programs the situation is similar to forest PES programs (cap and trade for carbon and other air pollutants programs). The Watershed protection programs case, however, are very interesting because several regions of the United States have chosen to protect their watersheds as a means of reducing capital costs of building filtration systems134. New York receives 90% of its water supply from the Catskills/Delaware watershed and, according the authors, it is spend US$ 1.5 billion on watershed protection instead of US$ 6 billion with US$ 300 million annual operating costs within a 10 years time135 (MOLNAR et KUBISZEWSKI, 2012). According to the authors, avoiding damages from forest fires also is the focus of forest PES programs within some municipal watershed plans (Santa Fe, New Mexico). Finally, in USA, nowadays, Conservation Reserve Program (CRP) area declined from 36 million acres (2007) to 24 million acres (2015). Besides, payment for environmental services and conservations actions are been discussed under several new perspectives but, in particular, on the general auctions136 point of view, with specific rules for caps137, bids138 and quotas actions139. This 134
See SABESP case, in the municipality of Botucatu, that is to say, in this Project.
135
Similar examples: Boston (Massachusetts), Seattle (Washington), Portland (Oregon), Portland and Alburn (Maine), and Syracuse (New York). 136
Leilões.
137
Limites.
138
Ofertas/Licitações
139
Leilões de quotas.
56
new approach considers Willingness to Pay or to Receive philosophy, costs, opportunity cost, but it still considers traditional PES issues such as baseline and additionality, leakage, spill-overs140, monitoring, compliance and permanence (HELLERSTEIN et al, 2015)141. 3.3.3.2 Current and new PES (monetary and nonmonetary payment for environmental projects) under a Brazilian-American perspective The future steps and new perspectives, within these project´s proposals are linked to the following aspects:
Cultural services strengthening under both ecologic agriculture and biodiversity (Brazilian biodiversity law´s regulating process) point of views;
Payment for environmental services under the Indian nations and cultures perspectives (payment for environmental services due to water resource use for irrigation by farmers around the reserves – Crow Nation -);
Soil fertility, soil management and soil depth management (nutrient nitrogen, for instance availability, water availability) versus Climate Change;
Recreational opportunities, such as hiking, camping, boating, fishing and sightseeing;
Payment for environmental services and conservations actions are been discussed under several new perspectives but, in particular, on the general auctions point of view, with specific rules for caps, bids and quotas actions. This new approach considers Willingness to Pay or to Receive philosophy, costs, opportunity cost, but it still considers traditional PES issues such as baseline and additionality, leakage, spill-overs, monitoring, compliance and permanence (HELLERSTEIN et al, 2015).
There also is a great opportunity to help Mustangs wild horses at Pryor Mountains Wild Horse Range142, in the American case, and at Samarco´s environmental damages case, in the Brazilian case. In the first example, there have showed some wonderful movies on You Tube, such as National Geographic143, where one of the worst problems was, precisely, degraded grassland areas). In the second example, there also are several news and reports144 about that can be considered one of the most (if not the biggest) terrible environmental injury caused to the Brazilian environment. 140
Efeitos secundários.
141
http://www.usda.gov/oce/environmental_markets/services.htm
142
Wikipedia (2016)
143
YouTube (2016)
144
Wiggins et Yolen (2016) 57
It is perfectly reasonable to work with this kind of PES, under several point of views, such as sustainable rural development, and cultural, social and environmental enforcement. Besides, it is not possible to forget the economic side and (why not?) the profitable for everyone, within a win-win relationship. 3.3.4 Environmental economic assessment methods on the VERA approach A discussion about environmental economic assessment methods, specially under the Environmental Resources Economic Value145 Total Environ also can be found in documents such as TEEB (2007) and Sarmiento (2010). It is important to note, for the economic valuation´s purpose, that ecosystem functions and services, in a specific environmental, have both use value and non-use value, that is to say, the environmental has an economic value by the use or non-use of its ecosystem functions and services (Equations 01 and 02, plus Figure 12).
VERA = VU + VNU (Equation 01) Where: VERA – Environmental Resources Economic Value; VU – Use Value VNU – Non Use Value
And, VERA = (VUD + VUI + VO) + (VE + VL) (Equation 02)
Where: VUD – Direct Use Value; VUI – Indirect Use Value; VO – Option Value; VE – Existence Value; VL – Legacy (heritage) Value
Valor Econômico dos Recursos Ambientais – VERA (In Portuguese language) or Total Economic Value (TEBB, 2007) 145
58
Figure 13 – Kinds of value: VU and VNU Use Value (VU)
No Use Value (VNU)
VE Future VUD e VUI Future Generations VUD
VUI
VO
Future VUD e VUI
LEGACY
Current Generations
Future Non Use Future Generations
Sarmiento (2010)
3.4 Environmental market approach for a PES valuation On another hand, it was mentioned above that a PES is a kind of system based on a specific environmental “market”. However, it was supposed that, whatever environmental market, it needs, for its viability (on this case, sustainable viability), an “equilibrium” of both sides (Supply and Demand), according to Figure 13: Figure 14 – PES system on a specific environmental market (PES system on a specific environmental market)
Supply side
≥
Demand side
Supply Source
≥
Demand Source ≥ Natural Resources Owners Provided Environmental Services Owners
Financial Funds Supply Source
Financial Funds Suppliers Source
≥
PES Receivers
59
Considering the Figure 13, it is important to mention one very interesting alternative to deal with both the supply and the demand sides of an environmental market (PES system), in order to use on the municipality Botucatu case. This criterion, according Equation 03, is found in Sarmiento (2010)146: (DAPanual * nº demandantes)m + (OI)m ≥ CAOm +CAEm + CIm + CCm +CDLm (Equation 03)
Where: CAO – Annual Opportunity Costs of the PES project´s suppliers CAE – Annual Costs of the environmental attributes protection and PES project implementation (personal, infrastructure, monitoring.) CC – Preliminary Fixed Costs of the PES project maintenance and environmental improvement CI – PES project implementation Preliminary Fixed Costs (preparation, motivation, public participation). CDL – Preliminary Fixed Costs of rural development measures. Health quality improvement of the PES project´s suppliers (additional rural roads improvement) DAPP versus no plaintiffs - Previous Willingness to Pay versus the number of PES project applicants OI – Other financial supply sources (national, international, public, private)
However, in the Equation 03 case, it is necessary to take care, on the financial viability point of view, with the potential difference between “preliminary fixed costs” and “annual cost difference”. Considering the same argument, it is also necessary to take care with the other financial supply sources (OI) too. Sarmiento et al (2015) applied the DAAP method147 on the habitants and direct users of the lake and not only by the visitants and tourists, in order to promote the economic and environmental ecosystem services assessment on the Laguna Sausacocha, at La Libertad State, Peru case. 146
Custo Anual de Oportunidade (CAO) dos provedores das zonas produtoras de água + Custos Anuais de Execução do PSA (CAE) das medidas recomendadas para a proteção da qualidade e da quantidade da água produzida + Custos anuais para conservação e melhoria ambiental (CC) + Custos de Implantação do SPSA (CI) VERSUS Disposição ao Prévio Pagamento (DAPP) 147
The authors also used, on the same case study but published the outcomes in other article, the Travel Cost Method. 60
However, concerning about the DAAP method limitations and restrictions, the authors emphasized data, strategy behavior, questions structure, DAPP sensibility problems, size changes of the environmental good (scope), encrustation effect148, alternative price mechanisms and others risks of the DAAP method. The main results of Sarmiento et al (2015), under the DAAP method use point of view, are: i) the habitant and the others respondents149 are not involved with the lake protection; ii) they don´t have a good knowledge (but only a consistent idea) about environmental services of the lake; iii) tourism, beauty of landscape, fish, food production, sports, water production are the main environmental services produced by the lake, and, finally; iv) the DAAP value of the Huamachuco District´s people (44.725 habitants), relative to Sausacocha lake, is US$ 122,398.19 per year. Consultoria...(2016) and Henriquez (2014), mentioned an environmental services measure system called UDESAS (Agriculture and environmental services unity). In this case, according to the developed agriculture, husbandry or/and forest activity of the small and familiar farms, and the farm´s size in relation of the watershed, the famers earn certain points called “UDESAS”. Each UDSA costs US$ 10,00 (PES basis, subject to the carbon market) and according to each specific environmental service [carbon capture per forest, methane (NH4), nitrous oxide (N2O), water resources protection and biodiversity conservation]. The payment system is annual and by environmental service realized (executed, such as good agriculture practices, number of digester biogas, number and quality of springs). This system ensures transparency and monetary control and it is applied on organized producers sectors, specific territories and priority water resources protection regions, during five years environmental project. It is important to note that, according to Da Cruz (1999) and Da Cruz (2000), on the same line of Sarmiento (2015), all the environmental assessment methods, such as showed on Table 03 above have their limitations and restrictions linked to the following aspects: social variety; sensibility, they not translate very well the real value of the environmental services and goods (mainly concerning to no use values, and specially the existence value150); fallible process; human relationships (moral damages), and very high values of the environmental assessments) Anyway, in despite of these limitations and restrictions of these methods, this research will analyze some alternatives propositions called “Life methodology” and “Environmental Compensation Project (Vpa)”151 on the payment environmental services specific case.
148
Change of environmental goods.
149
They were grouped by age, gender, family size, job, education level and monthly income,
150
Legacy value too.
“Life methodology” is derived from Life Certification and method “Vpa” is derived from method CATEDAI, according to seen ahead. 151
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4. LIFE Certification The LIFE Certification comprehension requires the knowledge of the assumptions, principles criteria, metrics and certification patterns that are present in LIFE – 01 and LIFE-02 Technical Guidelines. According to LIFE (2016), LIFE Certification is a LIFE Institute152 proposal and LIFE means Lasting Initiative For Earth. LIFE method is a single methodology intends investments attraction to biodiversity actions and projects. Besides, with regarding to the methodology, conservation actions divided on 4 groups: (i) Initiatives of formal protected areas; (ii) Initiatives of not formal protected areas; (iii) Initiatives of species and/or ecosystems conservation and management, and: (iv) Initiatives of conservation strategies, policies and/or educational programs. The main assumptions of LIFE certification are associated with not avoided negative impacts that, even mitigated, shall be compensated. The limitation of this compensation to a conservation measure doesn´t mind because each life form and each ecosystem have a single tangible and not tangible values LIFE (2012). After all the LIFE method requires total consideration of the assumptions, criteria and metrics aspects. The LIFE certification assumptions are outcomes of 8 principles: Common Responsibility (Principle 01); Legislation, Treaties and International programs observance (Principle 02); Biodiversity conservation as additionality action (Principle 03); Biodiversity, human wealth and business integration (Principle 4); Priority and complementariness between environmental management and negative impacts compensation (Principle 5); Science and Traditional knowledge (Principle 6); Benefits Repartition referring to genetic resources access to the biodiversity and/or associated traditional knowledge (Principle 7), and; Monitoring and continuous improvement (LIFE, 2014,c) Still the same source, LIFE patterns compliance depends on total attendance of assumptions, criteria and metrics applied to the audited organization. It is allowed a minimum of 70% compliance on year “zero” of the certification process, since 100% essential metrics were covered. One principle is attended since all their applied criteria were also covered. In turn, a criterion is attended if all their applied metrics were covered. An organization, in order to get the LIFE Certification, must follows the LIFE 01 and LIFE 02 technical guidelines. LIFE 01 Technical Guideline153 describes the minimum performance of an organization, considering its impact and size, in regarding of biodiversity conservation and ecosystem services actions. This document is used on steps of diagnosis, LIFE certification preparation and audit formal processes (LIFE, 2014, a) After this, according to LIFE (2014, a), the LIFE method suggests the VEIB (Biodiversity Impact Estimated Value) estimate of the following environmental aspects: residues production; water use; energy consumption; land occupation, and; greenhouse gas emission.
152
http://institutolife.org/
153
Environmental aspects are valuated considering the following issues: i) quantity, and; ii) severity. 62
In relation to these environmental aspects are developed, considering LIFE (2014, a), the following steps: i) environmental aspects estimate of the biodiversity, metrics; ii) environmental aspects estimate of the quantity and severity values; iii) environmental aspects estimate of impact metrics; iv) environmental aspects estimate of the residues production; water use; energy consumption; land occupation, and; greenhouse gas emission metrics; v) VEIB estimate, and; vi) ACBminimum estimate. Continuing, the organization prepares, using LIFE 02 Technical Guideline, it Biodiversity Actions Corporative Plan (PCAB). This plan shows a hierarchy of priorities and effectives actions according the impact and size of the company and it needs be recognized by third par certification system (LIFE, 2014, b) Finally, according to this source, LIFE 02 Technical Guideline shows the Biodiversity Conservation LIFE Guideline with the following parts: document structure; analysis categories; groups; themes; registers; qualifying; actions classification; flowchart; general rules for classification; registers interpretation; general guidelines for qualifying application; number of points estimate; points criteria for certification; points temporality, and; evidences and matters for verification guideline (GECV) 5. LIFE – 01 Technical Guideline According to LIFE (2014, a), VEIB (Biodiversity Impact Estimated Value)154 is a LIFE Institute metric to assess biodiversity and ecosystem services impacts caused by an organization. This metric is used for a quantitative definition of the expected minimum performance of specific organization in terms of Nature Conservation (ACM minimum). 5.1 Environmental aspects A LIFE certification requires a god performance of five environmental aspects: residues production, water use; energy consumption, land occupation and greenhouse gas emission (LIFE, 2014, a). The VEIB estimate requires two measures linked to each environmental aspect: quantity and severity. The quantity of an environmental aspect, on LIFE methodology, still according this source, means the contribution of an organization compared with national reference total value155. At this step, it isn´t considered data qualitative characteristics neither associated impacts. The severity of the impact and their main aggravating in terms of environmental management are took into account to define the severity of the impact (LIFE, 2014, a). Table 04 (Portuguese) and 05 (English) shows, for each aspect, the equations used to quantity and severity values.
154
VEIB can be determined by LIFE Institute tools (template or software).
155
This value is identified by official reports. 63
Table 04 - Quantity value (VQ) and Severity value (VS) equations by each environmental aspect.
LIFE (2014, a)
Table 05 - Quantity value (VQ) and Severity value (VS) equations by each environmental aspect.
LIFE (2014, a), apud Reale et al (2015)
64
The Table 06 describes the meaning of each term on Table 04 equations156. Table 06 – Equations of Quantity value (VQ) and severity value (VS) and the terms (Table 04)
Equation VQ resíduos VRresidues
Terms VQresíduos = Valor de Quantidade para Resíduos VQresidues = Residues Quantity Value GR=Quantidade total de resíduos perigosos e não perigosos gerados pela Organização (t/ano) GR = Hazardous waste and non-hazardous waste production total quantity produced by the Organization
VRresíduos = Valor de Referência nacional para resíduos (t/ano) conforme Anexo I VRresidues = National Reference value to residues (ton/year), according to Annex I VQágua VQwater
VQágua = Valor de Quantidade para Água VQwater = Water Quantity Value UA = Quantidade total de água utilizada pela Organização (vazão de retirada – m3/ano) UA = Water used total quantity by the Organization (withdrawal flow – cubic meters/year)
VQenergia VQenergy
VRágua = Valor de Referência para água (m3/ano),conforme Anexo I VRwater = Water reference value (cubic meters/year), according to Annex I VQenergia = Valor de Quantidade de Energia VQenergy = Energy Quantity Value CE = Quantidade total de energia consumida pela Organização (tep/ano) CE = Energy consumption total quantity by the Organization (petroleum equivalent ton/year) VRenergia = Valor de Referência para Energia (tep/ano), conforme Anexo I VRenergy = Energy Reference Value (petroleum equivalent ton/year), according to Annex I
156
From Tables 04 and 06 is possible to find the Table 05 variables meaning. However, this study has assumed that the mathematical formulas on Table 05 have a better comprehension.
65
VQ área VAarea
VQárea = Valor de Quantidade para Área VQarea = Area Quantity Value AO =Área da Organização (hectares) AO = Organization Occupation (area on hectares)
VQSGEE VQS greenhouse gases
AOE = Área original da ecorregião na qual a Organização está localizada (hectares), conforme Anexo II.g. AOE = Ecological region original area where the Organization is located (hectares), according to Annex II.g VQSGEE = Valor de Quantidade e Severidade para Gases de Efeito Estufa QQS greenhouse gases = Quantity and Severity Value for Greenhouse gases EGi = Quantidade de emissões do gás de efeito estufa i emitido pela Organização (tCO2e/ano) EGi = Type i Greenhouse Gas Emission produced by the Organization (CO2 equivalent ton/year) PAGi = Potencial de aquecimento global do gás de efeito estufa i PAGi = Type i Greenhouse Gas potential effect to the global warming
VSresíduos VSresidues
VRGEE = Valor de Referência para gases de efeito estufa (tCOe2/ano) VRGEE = Greenhouse Gases reference value (CO2 equivalent ton/year) VSresíduos = Valor de Severidade para Resíduos VSresidues = Residue Severity Value GRi = Percentual de geração do resíduo i pela Organização GRi = Percentage of i residue production by the Organization IDi = Impacto da destinação do resíduo i gerado pela Organização conforme Anexo II.a (RNP: resíduos não perigosos) e Anexo II.b (RP: resíduos perigosos) IDi = Residue I destination impact produced by the Organization, according to annex II.a (RNP: non-hazardous residues) and II.b annex (RP: hazardous residues)
VSágua VSwater
IDmáx = Impacto máximo observado entre os tipos de destinação de resíduos perigosos listados no Anexo II.b (RP: resíduos perigosos) IDmáx = Observed maximum impact between destination kinds of hazardous residues kinds of destination mentioned on Annex II.b (RP: hazardous residues) VSágua = Valor de Severidade para o aspecto água VSwater = Water aspect severity value BDDrhc = Balanço Demanda Disponibilidade da região hidrográfica mais crítica do país BDDrhc = Availability Demand Balance of the most critical watershed 66
of the country
VSenergia VSenergy
BDDrho = Balanço Demanda Disponibilidade da região hidrográfica onde se localiza a Organização BDDrho = Availability Demand Balance of the local watershed of the Organization VSenergia = Valor de severidade para o aspecto energia VSenergy = Energy aspect severity value CEi = Percentual do tipo de fonte energética i consumida pela Organização, conforme Anexo II.e CEi = Percentage of energy source type i used by the Organization, according to Annex II.e
VSárea VSarea
IEmáx= Impacto máximo observado entre as fontes energéticas do Anexo II.e IEmáx = Observed maximum impact between energy sources on Annex II.e VSárea = Valor de severidade para o aspecto ocupação de áreas naturais VSarea = Severity value of the used natural areas aspect ARE = Área com cobertura vegetal remanescente da ecorregião na qual a organização está localizada (hectares), conforme Anexo II.g ARE = Remaining vegetal cover of the ecological region where the Organization is located (hectares), according to Annex II.g AOE = Área original da ecorregião na qual a Organização está localizada (hectares), conforme Anexo II.g AOE = Original area of the ecological region where the Organization is located (hectares), according to Annex II.g
LIFE (2014, a) 6. Estimate of the Environmental aspects impact value Taking into account quantity and severity of each aspect, it is defined Aspect i Impact Value (VIi). At Table 07 are mentioned the used formulas to get VIi for each of the aspects i. Table 07 – Impact value formula by aspect Environmental aspect Residues production Water use Energy consumption Natural area use Greenhouse gases emission LIFE (2014, a)
Aspect impact value Vii = VQi x VSi
VIgee = VQSgee
67
6.1 Estimate of impact index for each environmental aspect LIFE (2014, a) suggests that impact values (VI) allow the impact representation of each aspect on a same dimensionless scale, from 0 to 1. Impact index is individually estimated for each environmental aspect on the following manner: Iii= (1 - ____1____) x 1000 1 + aiVIi (Equation 04) Where: IIi= Aspect i impact index ai157= Aspect i correction factor. This factor allows IIi changings from 0 to 1.000 VIi= Aspect i impact value 6.1.1 Calculation of biodiversity impact estimated value Biodiversity impact estimated value (VEIB) is calculated by Impact Index arithmetic average for the 05 environmental aspects used on the LIFE methodology (LIFE, 2014, a): IIresidues + IIwater + IIenergy + IIgreenhouse gases VEIB = _________________________________________ 5 (Equation 05) 7. ACB minimum Estimate The Organization, in order to be certified by LIFE Institute, needs to reach a minimum performance on Biodiversity Conservation Actions (ACBm). This performance is determined by two elements: biodiversity impact estimated value (VEIB), and; gross invoicing of the organization (FB), on dollars (LIFE, 2014, a). ACB minimum is found by the following equation: 0,42
0,29
ACB m= 50 x VEIB x FB (Equation 06)
“ai” is the correction factor of environmental index distribution range of each environmental aspects. Factors are defined to a 850 index equal to the maximum value observed in the country in relation to the environmental aspect. The Brazilian correction factors nowadays are: (i) Waste: 53.620; (ii) Water: 124.557; (iii) Energy: 2.756; (iv) Area: 28.245; (v) Greenhouse gases: 2.384. 157
68
Considering valuation and number of points of the Biodiversity Action Plan´s Organization (ACBrealized), according to LIFE – 02 Technical Guideline158, it is possible to find ACB to be realized (LIFE, 2014, b): ACD to be realized = ACB m- ACB realized (Equation 07) REALE et al (2015) applied the LIFE certification method on an automotive industry located in the metropolitan region of the Paraíba do Sul river valley and North Coast, Sao Paulo state, Brazil. The Organization has eight thousand direct employees, gross sales around US$ 780 million (2012), and ISO 14001 series certification. The Organization, according to these authors, would have to reach on ACBm of 78.757,24 points. However, its two environmental actions were not completely considered, within the LIFE 2 Technical Guidelines criteria, for ACBrealized: i) Expansion of Sewer Treatment Plant ant Water Treatment Plant (measure 01), and; ii) Monitoring of water quality of the Paraíba do Sul river (measure 02). Measure 01 was not considered by REALE el al (2015) because of its reactive and not proactive attitude context. Besides, the Organization intends to increase the industrial production on the future. This measure didn´t have relation with the environmental water aspect under the LIFE certification point of view. Measure 02, on another hand, could be performed by ABCrealized, according to REALE at al (2015), within a partnership proposal with companies, Non-Government Organizations (NGO), municipal, state and federal public agencies, but always with biodiversity preservation focus. For this purpose, the authors suggested, as a complementary environmental measures, a creation, developing or adoption of one or more areas whit a total 5749,53 hectares (same biome and state where the Organization is located). Besides, ABC to be realized could consider, according to Borsato el al (2014), apud Reale at al. (2015), and LIFE (2014, b) several environmental measures types159. However, for the purpose of this research, of this environmental actions group, one measure should be highlighted: the implementation of specific mechanisms on conservation lands (PSA, PSE160, 158
LIFE – 01 Technical Guideline
159
Maintain, buy or donate land for conservation, Implement fauna management actions and/or flora conservation, Operationalize protected areas, Conserve protected areas beyond legal requirements, Connect fragments and/or mosaics created, Monitor protected areas or equivalent, Conduct studies, research and monitoring for conservation, Strengthen policies and networks for biodiversity conservation, Manage activities aimed at the sustainability of natural resources, Conduct environmental education activities aimed at conservation, Create, structure and make available databases for conservation, Manage impacts on biodiversity and Conservations actions ex-situ. 160
Payment for ecosystem services. 69
REDD, and others biodiversity conservation or sustainable use´s projects, programs and/or public policies). Implementation of PSA/PSE projects/programs161 means compliance of several issues162 (institutionalization by public agencies; evidences such as PES routine; real actions in the yield, such as land restoration by the farmers registered on the PSA project, among others). Anyway, ACBm and ACB to be realized rules are gave by LIFE (2014, b) and consider, preliminary, the following aspects; creation of protected area (weight 100), actions planning (weight 60), and actions implementation (weight 40). From this point, the standard163 equation used for conservation actions determination by LIFE method is: n C = G x T x (∑ pq x jq ) q=1 (Equation 08) Where: C = Points of the Conservation Action G = Weight of the Group where the action is classified T = Weight of the Theme where the action is classified q = Identification of qualifiers applied to the action (1 ≤ q ≤16) n = number of qualifiers applied to the action (1 ≤ n ≤ 16) pq = weight of each qualifier (1,1 ≤ p ≤ 2,0) jq = class value within of the qualifier (1,00 ≤ j ≤ 2,0)
Finally, according to LIFE (2014, b), after individual performance of each action register, it is possible estimate the ACB realized: n ACB realized = ∑ Ck k=1 (Equation 09) Where: Ck = Performance of each register k (1 ≤ k ≤ n) n = number of performed registers
PSA is considered “creation of protected areas”, and projects and programs are considered “actions planning”, as can be seen on sequence of this study. 161
162
Typical example of “actions implementation”, as can be seen on sequence of this study.
LIFE (2014, b) shows some “C” equation variations (3) according to the influences on specific conservation actions caused by variables such as size and localization on the area. 163
70
8. General issues about LIFE method Concerning general issues about LIFE methodology and under the PES perspective, the method LIFE, considering the aspects shown in this study, emphasizes the following aspects: 1. On despite of the perfect compatibility between the LIFE method´s principles164 and the PES system such as can be seen until now, it is necessary a more appropriated discussion, under the rural (not urban or industrial) perspective165, about the LIFE method use; 2. In this sense, LIFE certification requires a good performance of five environmental aspects (residues production, water use; energy consumption, land occupation and greenhouse gas emission) whose could not be appropriate for the natural (and rural) of the PES conditions (rural properties; agriculture, cattle and forest activities; different kinds of inputs and impacts; different aspects of severity and quantity; different elements, consequently, for mathematical formulation of Quantity value (VQ) and Severity Value (VS); different elements, additionally, for the estimate of the environmental aspects and their values of environmental impacts; different elements for the estimate of impact index for each environmental aspect; gross invoicing of the organization, among others); 3. It is also necessary to discuss the calculation of biodiversity impact value (VEIB), considering the specific condition applied on PES systems, and, consequently, for ACBminimum estimate, and, finally, for ACB realized and ACB to be realized; 4. On another hand, the LIFE method use on not agriculture, cattle or forest enterprises, but considering its application on urban, industrial and commercial enterprises, is perfectly possible and recognized by the own methodology, according to LIFE (2014, b). Besides biodiversity conservation actions and/or PES projects are also perfectly possible and necessary not only to the rural but also to the urban sustainable developing; 5. On the PES perspective, according to the special legal, technical and economic issues discussed on this study and considering mainly the kinds of environmental measures, mentioned by LIFE (2014, b), it would be extremely interesting if LIFE methodology were studied in order to develop a PES specific application; 6. LIFE methodology, such as verified here, is very consistent in order to propose a compensation mechanism to the urban environment but, even in this case, it is still necessary to translate the ACB measures on PES projects. This translation would be possible if the ACB measures could be expressed on monetary values to support, financially, the PES projects; 164
Common Responsibility (Principle 01); Legislation, Treaties and International programs observance (Principle 02); Biodiversity conservation as additionality action (Principle 03); Biodiversity, human wealth and business integration (Principle 4); Priority and complementariness between environmental management and negative impacts compensation (Principle 5); Science and Traditional knowledge (Principle 6); Benefits Repartition with respect to genetic resources access to the biodiversity and/or associated traditional knowledge (Principle 7), and; Monitoring and continuous improvement. 165
A methodology applied on agriculture, cattle and forest enterprises. 71
7. Besides, the method LIFE should (or could) be adapted, maybe through the five environment aspects (water consumption, energy consumption, Greenhouse emission, solid waste produced and final disposal of each kind of residue) to the rural environment (agriculture entrepreneurships on the Biome of Brazilian Savannah), and; 8. Anyway, ACB measures, such as proposed, could be a limit (or restriction) linked to the possibilities of compensation area due to the potential conflicts of land uses. This is a solid argument to support the translation of ACB measures, considering the importance of the environmental services according stablished until here, to monetary values of PES projects linked to several relevant environmental issues (areas of permanent preservation, legal reserve areas, conservation areas and other kinds of protected areas, as planned on mandatory or voluntary mechanisms). 9. Environmental Compensation Project (Vpa) Method of Environmental Compensation Project (Vpa) is derived from the irreversible environmental damages assessment and also from the environmental measures (prevention, correction, mitigation, control, compensation, and/or indemnity), under technical and juridical point of view to environmental restoration due to a degraded local and according to the Brazilian judicial system as can be seen in the sequence. With the Environmental Crimes Law publication, that is to say, Law n. 9.605, of November 12, 1998166, that provides on the legal and administrative penalties resulting from conducts and activities that are harmful to the environment, and makes other provisions, new perspectives occurred relative to environmental damage assessment´s scope and, mainly, when they are brought to judicial sphere. This new perspective have endorsed the National Environmental Policy implemented on August 31 of 1981167 among others environmental legal regulations: “Article 4th – National Environmental Policy will aim; ….VII – to enforce, to the polluter and to the degraded person, the restoration and/or indemnity obligation of the environmental damages and, to the environment users, the contribution for the natural resources economic uses”. In this sense, it is discussed, in this study, if Ribas (1996) and Ribas (1998), could collaborate for a satisfactory closing of these environmental judicial demands. It is searched such proposal because Ribas (1996)´s methodology intends to serve how an negotiation instrument and, in front of estimated pecuniary values, defines, with safety, correct environmental measures of environmental prevention, control, mitigation, correction, compensation and indemnity.
166
BRASIL (1998)
167
BRASIL (1981) 72
On another hand, this method could be a rational, logic, weighted and useful instrument to the conciliation of environmental and anthropic conflicting interests always present on environmental demands. Besides, this “spirit” allows the searching of sustainable economic developing, that is to say, the continuous searching the compatibility between economic growth and rent and employments creation and environmental attributes maintenance (conservation and protection). In this way, life quality maintenance and improvement of the present and future generations could be implement as one of the most important goals of the whatever society. On another hand, a real Brazilian state could be built under a new mentality and a new position of all agents of environmental management´s process (Public Power, Enterprises, Market and, why not, the own society), on searching of economic developing. It has noted that, at face of available judicial instrumental, mainly after the legislation of environmental crimes, and within an environmental management process, mechanisms for monetary value´s assessment linked to the environmental indemnity have been researched (specially under the irreversible environmental damages point of view). According to this scenario, one doubt and/or one necessity have emerged, that is to say, if this new environmental demand´s perspective (economic value estimate of environmental indemnity by certain and specific environmental damage valuation´s process), inclusive under the PSE perspective, can be satisfied by Ribas (1996)´s methodology168. This question is relevant because the method in Ribas (1996), modified after by Ribas (1998), emphasizes, first of all, the entire group of environmental measures169 and not only the environmental indemnity measure “per se”. Besides, environmental measures, direct and indirect environmental damages, reversible and irreversible damages, and monetary estimative of environmental damages need be improved in order to promote technical, economic, administrative, judicial and legal conjunction. This conceptual analysis, this methodologic review, this reflection process of the original model developed in Ribas (1996) and Ribas (1998) are also intended to research in this article. 10. Methodology to the environmental indemnity calculus Ribas (1996) and Ribas (1998) considered, preliminary, several and important aspects of Faustamnn model, according to Faustmann (1849). After this, the main aspects of the environmental measures issues (environmental prevention, control, mitigation, correction, compensation and indemnity measures) were incorporated on this study according also with the main elements of judicial, legal, 168
Method has complemented by Ribas (1998).
169
Environmental prevention measures, control measures, mitigation measures, correction measures, compensation measures and indemnity measures. 73
economic, technical, social and environmental trends on the environmental demands. Finally, the outcomes were applied on specific case in order to check its model´s congruence with the most important scientific criteria (repeatability) as much as the economic value of environmental indemnity´s principles. 10.1 Theoretical principles from Faustmann model The present environmental damages assessment model, under forest perspective170, would borrow, in the first moment, the theoretical principles from Faustmann model such as disposed in Ribas (1996). Original Faustmann model, called Soil Expected Value (Se)171 could be understood, according to Scheneider (1987), mentioned in Ribas (1996), such “the initial value of a periodic parameters perpetual series that starts at a certain time”. This is the first and principal point to be noted on the methodology of Faustmann. This because when this aspect is applied on Ribas (1996)´s model, the economic value of environmental indemnity assessment´s process acquires a flexibility character172. The Soil Expected Value (Se) mathematical formula is: A Se =________________ r (1 + p) - 1 (Equation 10) Where; 0 A [____________________________] ano 0 ano n
And; Se – Soil Expected Value (land´s value). Present value. A - Future Net Income (on “r” forest crop rotation age). 170
It is necessary to remember that other natural resource, not only forest resource, according to our strong and scientific opinion, also can be used in the Ribas (1996) and Ribas (1998)´s model. On another hand, the “mathematical axis” of Faustmann model is present on one of the most important Economic Engineering´s model, as can be seen on Chang (1982). And this methodology (according to disposed in Chang, 1982) can be used on the most variable cases, not only natural resources cases, but also artificial resource´s cases (industrial investments alternatives, expansion´s mills.) 171
Valor Esperado do Solo (In Portuguese language).
172
See footnote 3. 74
p - Interest rate (% per year). r - Time of forest crop rotation (years). 10.2 Method of Expected Total Environmental Costs (CATE) According to exposed above, the method of Expected Total Environmental Costs (CATE), here proposed as an economic value´s model to estimate environmental indemnity on forest resources demands173, is got from method of Faustmann. The Expected Total Environmental Costs (CATE) could be understood, at the first moment, how the perpetual income that the society is willing to receive due to indemnity (monetary or nonmonetary174) on a specific kind of environmental damage. CATE starts, additionally, from certain theoretical assumptions of whatever environmental damages assessment´s process. On another words, when the potential of environmental damages occurrence at a specific local is effectively noted, it is imagined that these aspects of environment injuries, particularly on their not correction, not control, not prevent and/or not mitigation´s case175, even their not compensation´s case, have possibilities of indemnity measures estimate. In this sense, some examples of these environmental measures would be: (a) Prevention measures – Implementation of environmental safety measures (combat of forest fires); (b) Correction measures – Forest project´s changings in order to consider certain environmental elements (local communities, animals, vegetation, among others), and; (c) Compensation measures – Whose with a clear pecuniary focus (wide forest´s royalties on a specific municipality), or not pecuniary focus (environmental schools, programs or projects, green fields donation, leisure areas, among others) The Faustmann model adaptation intended, in order to make its theoretical assumptions viable, when on the environmental damages assessment´s case, and under a forest view, considers the methodology changing (morphism) in regarding of two (2) of four (04) basic variables of the Se: “A” (net income on the rotation age) and “r” (or “n”, expected lifetime or environmental damages occurrence´s horizon, equal as “rotation age” variable on the forest economic criteria).
173
See footnote 3.
174
“Nonmonetary” indemnity means, here, “project of compensation measures” and this will be seen ahead.
175
Whatever environmental assessment´s process considers these kinds of environmental measures (technical reports and studies for environmental licenses). 75
In this manner, the environmental damages economic valuation, with a particular indemnity characteristic, must to consider, on scientific, conventionally and well-founded mathematical and analytic proceeding, the basic factors of Faustmann model. On the forest case, variable “r” would be the forest plantation´s age (similar to useful lifetime concept), that is to say, the age which the forest plantation would be cut (clear cut or final cut). On the environmental damages assessment case, in turn, considering that negative environmental impacts have an expressive residual power over the time (soil natural fertility decrease), 25 years old was the time estimated to the variable “r” (also because this time would mean the generation cycle period, on the society view176). On another hand, 25 years also would find supporting on several authors mentioned on Ribas (1996) because the following arguments: medium useful lifetime of forest plantations; useful lifetime of native and exotic heterogeneous forest plantations; among others. Anyway, parameter “lifetime” how “25 years” would not be anything established previously and definitely. It can be changed according to the arguments on a specific environmental case177. Finally, considering these aspects, 25 years lifetime is a good parameter for the CATE´s model. Element “A”, in turn, would be the final outcomes of the basic aspects: a) economic variable, that is to say, economic purposes to an environmental degradation process (variable “1”) 178; b) direct environmental value directly linked to the restoration efforts in a certain degraded area (soil conservation, reforestation and others prevention, control, correction and mitigation measures 179) considered an tangible/direct environmental costs (variable “2”)180, and; c) indirect environmental value or, particularly, intangible/indirect environmental costs (flow regime regulation, soil stabilization, flora and fauna biodiversity, flood control, natural resources quality, among others), called “variable 3”. These factors (“A” = variables 1, 2 and 3), according to Faustmann model, adapted at CATE`s model, must be capitalized by parameter “n” (lifetime), according to basic principles of financial mathematic, because the variable “A” must be understood how the future value on the year “r”, at mathematical equation (10), both Faustmann181 and CATE182´s models. 176
According to Statistic and Geography Brazilian Institute´s studies (Instituto Brasileiro de Geografia e Estatística – IBGE), an important, official and public researching institute in Brazil. 177
Environmental uses and/or changes promote modification of interaction patterns between effects sequences in social and nature systems, at a long term period. So lifetime doesn´t be so extended and neither several generations have involved on an environmental assessment. 178
Variable “1” or variable “Vc” as can be seen ahead.
Correction, compensation and indemnity measures will not be considered here, but on variables “DAI” and “Vpa”, resulting from CATE´s model, as can be seen ahead. 179
180
Variable “2” or variable “Cd” as can be seen ahead.
181
Ribas (1996) 76
This way, environmental assessment must also consider, if and when possible, not only environmental specific elements, but also, economic purposes (estimative of commercial value) for certain environmental damage. It is mentioned “when possible” considering the following reasons: i) it wouldn´t always be possible, under technical and economic point of view, to find economic parameters of an enterprise at a continuous sequence of “n” years lifetime, on a long time period´s base, and; b) it wouldn´t always be possible consider or insert economic variable183 at the environmental damages assessment´s processes, according to several authors cited by Ribas (1996). Regarding others variables of CATE´s model, particularly variable “p” (interest rate), it is necessary to consider several authors dispositions according to Ribas (1996); the economic (and anthropic) activities, related to the forest/nature/environmental scopes, don´t permit high interest rates. Therefore, “p” values, on the specific Brazilian conditions, must be considered around 6% per year. At any event, it is extremely recommended a sensibility analysis proceeding of this parameter within the CATE´s environmental assessment model. In relation of this sensibility analysis, in contrast, several authors recommend that economic assessment of environmental damages, on a public sphere view, use “social” interest rates and, on a private sphere view, the opportunity cost. Return to the initial “A” point below, the variable “2” (direct environmental damages/costs) would be considered the total environmental restoration expenses184 Finally, it is necessary to discuss the “indirect environmental value or, particularly, intangible/indirect environmental costs”, or simply, “variable 3”. For this purpose, Saaty (1977) and Saaty (1980), apud Ribas (1996), must be mentioned because that author used a parameter (factor “F i/d”) widely recognized on the scientific way and this same parameter can used, in order to estimate the variable “3”185, on CATE`S model too. The estimate of total (others direct but, mainly, indirect) environmental costs, not attributable to the restoration and others environmental costs (variable “2”) discussed below186, can reach until nine (9)
182
Ribas (1998)
183
Sometimes, on determined environmental damage´s cases, have not a specific economic purpose (industrial or commercial use) to the degradation of the natural resources local. 184
Restoration costs are one the most important and traditional environmental assessment´s criteria.
185
Variable “3” or Variable “F i/d” as can be seen ahead.
186
See footnote 11. 77
times187 the respective direct environmental costs wasted to the variable “2”´s environmental measures188 on a specific environmental damage case. Variable “3” therefore, on CATE´s model, would have a new denomination called “F i/d”, and it could be until 9 times the variable “2” value with relation to equilibrated, unchanged and complex ecosystems Besides, indirect environmental values (variable “3” or “F i/d”) would be indirectly considered on CATE´s model, according to 1 to 9 scale, considering intensity, gravity and potentiality of the environmental damages, These values also consider the complexity of the damaged ecosystem. The mathematical relationship between variable “2” (Cd) and variable “3” (F i/d) considers that both parameters are causes and effects in relation to each other and within a multiplicative and not additive property. This assumption is due to the aspect that, in general environmental conditions, are impossible the existence of direct environmental values (value 1) but not the existence of indirect environmental values (value 0). On this case (and vice-versa), it is impossible an additive mathematical property because a determined sum admits 0 (zero) and 1 (one) conditions and, in contrast, a multiplication formula, doesn´t admit this kind of condition. Direct and indirect environmental value keep always keep proportionality between them in the nature conditions. As much high be the direct values (value of the wood), as much will be the indirect value (value of the shadow). In other words, direct environmental aspects have influence on indirect environmental aspects and vice-versa. This mathematical relationship is only captured by a multiplicative property. Finally, this reasoning considers even basic principles of numbers algebra resulting both Commutative Law of Multiplication and Associative Law of Multiplication, in regarding of direct and indirect environmental values Variable “F i/d” must be estimated, on a 1 – 9 scale, according to the following aspects: i) conditions of anthropic changes on the local ecosystem; ii) environmental damages gravity; iii) environmental damages potentiality; iv) feasibility, under technical, economic, judicial and legal point of view, of environmental restoration linked to the identified environmental problems In sequence of the CATE´s model developing, it is necessary to emphasize that environmental damages have, as a general rule, an intermittent189 or continuous190 “behavior”. In thesis, the more and the better environmental measures (variable “2”) have less variable “F i/d” is and vice-versa. 187
188
See footnotes 11 and 16.
189
A simple and unique cut of one tree, without other anthropic intervention on an specific environment.
190
Daily launching of atmosphere pollutants. 78
The two environmental situations, according to Ribas (1996) can be captured by also two different mathematical relations (variations) called: (a) Expected Total Environmental Costs / Intermittent Environmental Damages (CATE I)191, and; (b) Expected Total Environmental Costs / Continuous Environmental Damages (CATE II)192. 10.2.1 Expected Total Environmental Costs – Intermittent Environmental Damage (CATE I) On this damage´s alternative, CATE´s model193 would be used considering the existence of environmental damages under an intermittent perspective, that is to say, whose that not continuous, without intermittent environmental risks. This kind of environmental damages would be specific environmental damages due to annual, unique, not repetitive and not periodic degradation action. On an analytical way: n (Cd . F i/d) . (1 + j) CATE = __________________________ n (1 + j) - 1 (Equation 11) It there was one economic purpose then the discussion of CATE I´s model would need to incorporate the variable “Vc”194 on the following manner: n (Vc + Cd . F i/d) . (1 + j) CATE = _________________________ n (1 + j) - 1 (Equation 12) At this alternative (CATE I), it is been imagined that anthropic changings will happen only at period “0” (zero), according to following cash flow: X = f (period “0”) 0 A [________________________] year 0 year n X 191
Custos Ambientais Totais Esperados / Dano Ambiental Intermitente (CATE I) (In Portuguese language).
192
Custos Ambientais Totais Esperados / Dano Ambiental Contínuo (CATE II) (In Portuguese language).
193
CATE I is estimated from “Se” model (equation 10) changing.
194
See footnote 21. 79
Where: X = environmental damages made at period 0 (annual, unique, not repetitive and not periodic degradation action), and; A = “X” capitalized until year “n”, to the annual interest rate “j” n A = X (1 + j) (Equation 13) Original variable “A” understanding, according to the mathematical equation (10), can be interpreted as the numerator of both mathematical equations (11)195 and (12)196, according to Ribas (1996). 10.2.2 Expected Total Environmental Costs – Continuous Environmental Damage (CATE II) The present focus considers environmental damage occurring, continuously, during long time (annual, but not unique and, besides, repetitive, with continuous environmental risks and periodic degradation action), such as systematic emission (diary annual or monthly) of residual/industrial waters or atmosphere pollutants 197. This intention would happen according to Expected Total Environmental Costs / Intermittent Environmental Damage, but into the future value systematic given the uniform value. The estimation of mathematical equation of CATE II´s model is necessary to consider that: n [(1 + j) - 1] / j = Factor used on numerator position which reflects the future valuation of an infinite or continuous actions sequence. On CATE II´s case is expected that the anthropic changings cause environmental damages on a repetitive / continuous way, exactly on the moments “0”, 1, 2, …, n, and the method developing would be given by the following cash flow: X X X X X X X X .... 0
X A
[________________________] 195
Not considering (without) economic variable “Vc”
196
Considering (with) economic variable “Vc”
197
See footnote 23. 80
year 0...1...2...3...4...5...6...7.......n Thus, CATE =
A ___________ n (1 + j) - 1 (Equation 14)
“A” would be understood such future value of an Annual Periodic Series of the “X” continuous environmental damages, according to the following mathematical reasoning: n X [(1 + j) - 1] A = ______________ j (Equation 15) Replacing; n X [(1 + j) - 1] ____________ n j X [(1 + j) - 1] 1 X CATE = ________________ = _______________ x ____________ = __________ n j n j (1 + j) - 1 (1 + j) - 1 (Equation 16) Where; X = Cd . F i/d ou Vc + Cd . F i/d (Equation 17) Mathematically; (Cd . F i/d) CATE = _____________ j (Equation 18) If whatever economic motivation for a specific environmental damages was considered, the mathematical equation of Continuous Environmental Damage would be: (Vc + Cd . F i/d) CATE = _____________ j (Equation 19) Due to the mathematical calculus showed above, the understanding of original variable “A” such the factor on the Equations (13) and (14) numerators can be also got according to disposed by Ribas (1996). 81
In this manner, considering the variable “A”, on Equation 10, is possible to get Equations 11 and 12, because the mathematical composition of the variables “Vc”, “Cd” and “F i/d” would be, according to the explanation so far proven, the exact value of “A”, at Equation I, on Faustmann model198. Regarding with mathematical equations 18 and 19 (considering mathematical equations 11 and 12 such reference), the basic understanding would be the value modification calculus according the time, using a specific interest rate, based on the Final Value of an periodic, repetitive and annual terms series. It is necessary observe that: CATE I/II = Future value of expected total environmental costs due to an intermittent / continuous environmental damage, according to an infinite series of “n” years useful times produced cash flows or, on another hand, the present value of expected total environmental costs produced by a specific environmental degradation process (monetary unit by area unit)199; Cd = Environmental costs (present value) of (known direct and indirect) environmental damages restoration, for the purpose of direct and indirect environmental values consideration (monetary unit by area unit)200 Vc = Commercial value of the damaged local of a direct benefits received by a specific economic purpose´s annual periodic series (monetary unit by area unit)201; F i/d = Factor for direct environmental costs to indirect environmental costs conversion, according to disposed in Ribas (1996), on a scale 1 to 9202; j = Interest rate (% per year). In general, 6% per year (social interest rate), and; n = Rotation period. Environmental effects existence´s horizon into the time (25 years, on general). 198
Denominators at Equations 10, 11 and 12 are similar.
199
Valor presente dos custos ambientais esperados em função de determinado tipo de dano ambiental intermitente/contínuo produzido a partir dos fluxos de caixa produzidos por uma série infinita de vidas úteis de n anos ou, de outra forma, valor presente dos custos ambientais totais esperados de um determinado processo de degradação ambiental, em unidade monetária por unidade de área (In Portuguese language). 200
Custos ambientais (valor presente) para fins de reparação dos danos ambientais diretos, para efeito da consideração dos valores ambientais diretos, em unidade monetária por unidade de área(In Portuguese language). 201
Valor comercial da área, em termos de uma série periódica anual, benefício direto a ser auferido por motivo econômico (em unidade monetária por unidade de área) Valor comercial da área, em termos de uma série periódica anual, benefício direto a ser auferido por motivo econômico (em unidade monetária por unidade de área) (In Portuguese language). 202
Fator de conversão de custos ambientais diretos em indiretos, para efeito da consideração dos valores ambientais indiretos, conforme depreendido de RIBAS (1996), numa escala de 1 a 9 (In Portuguese language). 82
It is important to emphasize that factor “Cd . F i/d” can be understood such indirect and direct total environmental costs due to a specific environmental damages process (consideration of both direct and indirect environmental values). 11. Variable “F i/d” Considering both intermittent environmental damages and continuous environmental damages, within Expected Total Environmental Costs model, it must be necessary explain better the variable “F i/d”. This parameter, firmly linked to indirect environmental values and costs consideration, would be which one, on the same time that it is highly important on the CATE´s model, that has an wide subjectivity characteristic and also highly relative values under a society point of view. It is necessary, for this purpose, to mention some authors whose could, eventually, give subsidies about F i/d using on CATE´s model. These authors, within a multiple criteria analysis, were mentioned in Ribas (1996) and discussed a specific F i/d approach used on this study. Variable “F i/d”, on another hand, could be found in Saaty (1977) and Saaty (1980), according to disposed by Ribas (1996). The two first authors showed the scale of intensity, and it element (range) intervals, relative to the importance of several activities that contribute to one same purpose. This systematic, called “Priority Matrix” (comparative scale of goals and alternatives), helps, methodologically, the selection of multiple goals´ alternatives. Priority Matrix also helps the action prevision and the future decisions choice, according to Saaty (1977) and Saaty (1980)203. Priority Matrix comes to help (to support) the extra market values and preference scale (very similar to externality approach on environmental assessments), within a multiple goals decision´s process. Saaty scale could be used only the following conditions were satisfied: (i) if it is possible all the kind of people feelings representation when same problem, issue or aspect is compared among the interviewers, and; (ii) if it is possible to fix a scale of preference values on X1, X2, …,Xp, so it can be possible to have Xi + 1 - Xi = 1 (i = 1,..., p - 1). Saaty (1997) had a simulation of his priority scale with another 25 different scales, according to several people suggestion and always got the best outcomes when confronted with real values. 203
The authors also discussed 10 different ponderation methods, similarly to Priority Matrix.
83
On another hand, Priority Matrix showed itself such an excellent negotiation pattern because it permits people discussion among them about estimative motivations, consensus reaching and mutual engagements stablishing. These Priority Matrix advantages (preferences issues and extra market values, particularly) were discussed, under an environmental assessment process, on Ribas (1996). Similar approach of index and priority matrix, in despite of a not direct and indirect environmental values application, could be found on alternative methodologies for public projects assessment. Environmental assessment approach, with relation to direct and indirect values, could be also found on several authors (RIBAS, 1996). On another hand, social project assessment has usually used one ponderation system to estimate the benefits of several and different projects. Therefore, according to the aspects disposed above, a kind of ponderation principle, consequently, could be used on the indirect environmental values (costs) assessment. Ribas (1996) argued that hierarchical analytical process, such as mentioned by Saaty (1977) and Saaty (1980), would be a scientific basis not only for forest and land management under a public values point of view, but also for environmental assessment processes. In this manner, factor “F i/d” could be understood on the same sense under goals and alternatives comparative scale point of view (Priority Matrix), according to Table 08. Table 08 – Comparative Scale. Direct Environmental Damages (d) and Indirect Environmental Damages (i) Relation F i/d
Meaning
1
“i” over “d” inexistent predominance relation
3
“i” over “d” small predominance relation
5
“i” over “d” expressive predominance relation
7
“i” over “d” strong predominance relation
9
“i” over “d” absolute predominance relation
2, 4, 6, 8
intermediary values
Adapted from Saaty (1977) and Saaty (1980) by Ribas (1996) 84
12. Case study It is interesting, at this moment, to show method CATE implementation on a case study, with the following date. Investigation case / Environmental demand / Judicial demand Focus of the environmental expertise:
Possibilities of the construction process continuity without heritage (anthropic and environmental) damages and the necessity of environmental measures implementation (control, prevention, mitigation, correction, compensation)
Environmental issues:
Horizontal house condominium implemented in a permanent preservation area (PPA) irregularly204 Total area of the technical project – 10.274,91 square meters Illegal construction of 2 houses, 1 gatehouse with safe guard place
Riparian vegetation removing Removing of trees with “cut immunity (legal) declaration” Environmental damages of existing spring and its water resources (one of the most environmental aspect of the investigation case and environmental situation with difficult restoration odds and, therefore, very few technical and juridical negotiation possibilities)
Area surrounding around the habitational enterprise affects, expressively, the technical point of view in this environmental demand (similar general conditions): superficial water table, public services in the region, urbanistic index, kind of local urbanization, high environmental quality, among others).
Cooperation on the habitational enterprise´s owner (professionalism, ethics, positive background, cooperative attitude, willingness to negotiate, among others).
Additional technical suggestions:
Green areas maintenance
Environmental measures of water resources protection (houses, gatehouse and safe guard´s places), such as an environmental education program with water resources values conservation by public fountain construction.
It was considered, at first moment, that the irreversibility (or not) of the local environmental damages, within the CATE method, would be took into account indirectly by the (to up or to down) consideration of the two main methodological parameters, that is to say, “Vc” and “Cd . F i/d”. 204
Place with a high level of environmental restriction referring to anthropic use and/or modification. 85
In this way, a strong consideration of anthropic interests should consider the high ponderation of variable “Vc” with relation to “Cd x F i/d”. In contrast, methodologically, a better consideration of environmental interests should consider the high ponderation of “Cd . F i/d” relative to variable “Vc” (this reasoning would be another understanding about the irreversibility statement of the environmental damages). In another side, the environmental damages consideration as ‘intermittent” or “continuous” depends on several additional aspects such as consensual agreement between the parts, nature of the anthropic enterprise, nature of the environmental damages caused in a place, possibilities of anthropic and environmental conciliations with respect to the local natural resources, natural conditions of the areas surrounding the enterprise, technical knowledge about anthropic and environmental issues (restoration conditions). Finally the appropriated and correct way to the issues consideration of variable “Cd”, “F i/d” and “Vc” is extremely important, relevant and crucial. According to the nature of wide, diversified and particular focus that is necessary to apply on environmental demands, also the “Cd”, “F i/d” and “Vc” consideration is something with a comprehensive, diversified and particular characteristic. This kind of consideration must be done on a “case by case” approaching. 12.1 Underlying assumptions for the process of environmental value calculus After all these aspects, the consideration of the variables, according to the method CATE, must take into account, the following aspects: (i) Environmental damages, considering the elements disposed above, classified as “intermittent”; (ii) High anthropic scope consideration with relation to environmental scope when Vc and Cd x F i/d estimates (highest ponderation of the first variable with respect to the second variable or vice-versa); (iii) Anthropic modification of the enterprise local considered, according to the environmental damages, on its totality (local consideration as a permanent preservation area by the existing of a spring and its water resources); (iv) Therefore, under the habitational enterprise project point of view, it there would be a legal mechanism (Forest Code) that determine an environmental protection around the spring (a 50 meters radius). (v) As a consequence, 14 houses would be affected (environmental restrictions); (vi) It is also necessary, considering this new environmental damages scenario (effective and final houses construction), a new environmental damages estimate;
86
a – Parameter for variable “Vc” assumed profit = R$ 97.563,00 by house205 b – Number of houses = 14; c – Total impacted area by the houses construction = it was considered the total area of the habitational enterprise = 10.274,91 square meters d – direct costs of the environmental restoration = R$ 2.200,00 / hectare e - 1,027491 hectare x R$ 2.200,00 / hectare = R$ 2.260,48 f - F i/d = 9 25
(R$ 97.563,00 x 14 + R$ 2.260,48 x 9) . (1,06) CATE = ______________________________________ = R$ 1.807.332,26 25
(1,06) - 1 (Equation 20) 13. Environmental assessment according to irreversible environmental damages Till this moment, this study has focused on a methodology of environmental damages assessment approaching linked to prevention, mitigation, correction, compensation and/or indemnity´s environmental measures206. The group of environmental measures should have, as main purpose, to eradicate environmental damages scenario such as it had identified on the studied cases. However, if these environmental measures don´t be implemented on their totality (and satisfactorily), an irreversible damages case would happen. This situation (irreversible environmental damages) could be the example of a huge blood loss by a patient, if it were possible to trace a parallel example. The patient lost blood (quantity), on an irreversible manner (that is to say, the blood couldn´t be replaced by the own patient) till the moment when the blood loss process were stopped by one or another way, according to the best medical treatment207. The blood loss´s “irreversibility” scope would be directly linked to the necessary time to stop, with the medical treatment implementation, the bloodletting.
205
Monetary value linked to 2000.
206
Although indemnity can be marginal on the process of present environmental damages assessment.
207
In the environmental case, prevention, mitigation, correction, compensation and/or indemnity´s environmental measures 87
Within the environmental situation, the environmental damages “irreversibility” scope (bloodletting process) would happen on the same way, that is to say, irreversible environmental damages would happen, since the moment “zero”, till the moment of the environmental measures implementation in a specific local. On a graphic representation, and within the environmental assessment process discussed above, the irreversible environmental damages would happen when: 0
n (years)
__________________________ moment 0
moment A
..............X 0............ n`` Where: X – group of environmental measures implemented on the moment 0 + n`` 0 + n`` = irreversible environmental damages time (number of years since the moment “zero”, till the moment of the implementation of the environmental measures in a specific local) According this irreversibility approach, if n`` = 0 (instant moment), there are not irreversible environmental damages, given the immediate environmental measures implementation. But, if n`` ≠ 0, irreversible environmental damage would happen until the moment when environmental measures have been satisfactorily implemented (that is to say, during the period o + n``). So; (i) Irreversible environmental damages = f (period since the environmental damages happening until environmental measures effective implementation according to a specific damaged local) (ii) Anyway, according to everything had showed in this study till now, the proposed environmental measures would be linked to the environmental assessment process around the method CATE (CATE I or CATE II). Analytically; DAI = f (t, CATE) (Equation 21)
88
Where: DAI = irreversible environmental damages (monetary unit by year or R$/year); t
= period of years (time) between environmental damages happening and environmental measures implementation
CATE = CATE I or CATE II (monetary unit or R$) Analytically; t DAI = [ CATE . ( 1 + j ) ] - CATE (Equation 22) or; t DAI = CATE [ ( 1 + j ) - 1 ] (Equation 23) Where; j = interest rate per year (%) The mathematical reasoning showed above is similar to used by financial system (the debt problem, principal amount and interest), mainly when it were considered the “default” period (each period without the payment of portions of debt obligation causes an interest increase on the same period of time). It is important to note that the great advantage of DAI (irreversible environmental damages) is the temporary advantage too, that is to say, if the environmental measures implementation has delayed, it will be increased the monetary value of the irreversible environmental damages208. The method CATE-DAI mathematical trend forces a quick environmental measures implementation, which is extremely important to the environmental protection interests. On an extremely synthetic way, the illustrative example of equation 20, that is to say, the environmental damage value of R$ 1.807.332,26, it the environmental measures implantation happens one year after the environmental damage on certain environment, the irreversible environmental damages would be: t DAI = CATE . [ ( 1+ j ) - 1 ] = 1
= R$ 1.807.332,26 . [ (1 + 0,06) - 1 ] = R$ 108.439,94 (Equation 24) 208
It is the same reasoning in regarding of financial system (if the payment delays the interest increases). 89
The monetary value of the irreversible environmental damages, according to mathematical equation above (DAI) would be R$ 108.439,94 (one hundred and eight thousands and four hundred and thirty and nine reais and ninety and four cents), in the case of the environmental measures have been implanted one year before the environmental damages happening. It analytical methodology (CATE-DAI) has another great advantage, that is to say, it is possible to decide which, when, where and how should be the environmental measure to be implement on a specific degraded local. 14. Partial compensation project due to irreversible environmental damages – the “quantum” scope The irreversible environmental damage monetary assessment showed till this moment (method CATE-DAI) could still be complemented with the possibility209 of irreversible environmental damage monetary value (DAI) to environmental compensation project (Vpa) conversion. However, the same environmental conditions of the degraded local should be also considered (damaged natural resources, environmental attributes, natural values). On another words, it one spring (and it water resources) were damaged (DAI), these same nature attributes should be considered on the environmental compensation project (Vpa)210. Besides, Vpa can´t be considered on the CATE II alternative because it doesn´t make sense an environmental compensation project to produce environmental outcomes (positive benefits or impact) on a “continuous” way. Also doesn´t make sense an environmental compensation project to consider the variable Vc because when an environmental damage must be linked, priority, with the environmental restoration and not with the economic purposes. It is necessary, in order to estimate Vpa, to consider both methods CATE I and CATE II, according to the following proceedings211:
Analytically;
209
According criterion established by competent authority.
If this condition has not established, the variables of VPA must be modified (mainly “F i/d”), according the example of Table 08 above. 210
211
Considering the same nature attributes in terms of F i/ = 9,n = 25 years and j = 6% per year. 90
CATE (or DAI)212 25
(Cd . F i/d) . (1 + j) CATE = __________________________ n (1 + j) – 1 (Equation 25) 25
(Vpa . 9) . (1,06) CATE = __________________________ 25
(1,06) – 1 (Equation 26)
CATE = 11,73 . Vpa (Equation 27) Thus, CATE213 Vpa = _______ 11,73 (Equation 28) This reasoning applied to this study (Se CATE I and CATE II DAI Vpa) lends to this methodology of irreversible environmental damages monetary assessment (economic value of the environmental indemnity), and mainly to the compensation environmental project (Vpa), the same mathematical reason of both Faustmann model and method CATE, that is to say, “future value of expected total environmental costs due to an intermittent / continuous environmental damage, according to an infinite series of “n” years useful times produced cash flows or, on another hand, the present value of expected total environmental costs produced by a specific environmental degradation process”, although on a present basis of time. Finally, Vpa value (CATE divided by 11,73) can be used not only for purposes of environmental indemnity but also, according several authors, such as BRASIL (2015) and Millennium Ecosystem Assessment (2015), to PES purposes.
212
If DAI can be converted in Vpa, the final monetary value of the environmental compensation Project could produce the same environmental outcomes relative to CATE (CATE would be a negative impact and Vpa would be a positive impact). 213
See footnote 46. 91
BRASIL (2015) argues about the promotion of synergy and integration of public policies such as forests, biodiversity, climate change, prevention of deforestation and control, necessary requirements to the payments for REDD+214 policies and actions outcomes. Additionally, Millenium Ecosystem Assessment (2015), referring to the local approach om the environmental issue, inclusive on the institutes and governance point of view, should be enforced considering the instruments of Economies and Incentives: “Promising actions include payment for ecosystem services (Costa Rica case, for instance, where environmental brokers made contracts between domestic and international “buyers” and local suppliers of environmental services (carbon captured, biodiversity, quality of watershed and beauty of landscape) and also environmental compensations (companies pay by conservation measures due environmental damages done)”. 15. Final Comments about the method CATE – DAI - Vpa It is necessary, when it happens an environmental damage, to promote the environmental restoration of the specific degraded local through the environmental measures (environmental prevention, control, mitigation and correction actions) implantation. The irreversible environmental damages (DAI) occur during the period since the environmental damages happening until the environmental measures implantation and they need to be estimated on a monetary basis. The method “Total Expected Environmental Costs” (CATE) as a methodology for monetary calculus of the irreversible environmental damages on a specific degraded local was showed in this study. This method is supported by Faustamm model (Soil Expected Value, a traditional forest economic assessment criterion) and it considers several technical, economic and juridical issues such as environmental conditions to the environment restoration, direct and indirect environmental values and the indemnity scope of the environmental damages. The method CATE also considers two alternatives; intermittent environmental damages (CATE I) and continuous environmental damages (CATE II). The methodology discussed here, in order to consider the indemnity scope, shows, considering both CATE I and CATE II, the equation “DAI” (irreversible environmental damages) and also the equation “Vpa” (environmental compensation project). The qualitative and quantitative estimates of the environmental damages according the present methodological approach permits, on a fast, direct and objective way, that the competent authority can establish the appropriate environmental measures (not only prevention, control, mitigation and correction, but also compensation and indemnity).
214
The actions to the reduction of greenhouse effect emission due to deforestation, forest degradation, forest carbon storage maintenance, forest sustainable management and forest carbon storage increase 92
Besides, the methodology has a “time dependent” characteristic, that is to say, the longer time the environmental damages restoration delays, the monetary value of the irreversible environmental damages will increase more. This reasoning applied to this study (Soil Expected Value CATE I and CATE II DAI Vpa) lends for this methodology of irreversible environmental damages monetary assessment (economic value of the environmental indemnity), and mainly for the compensation environmental project (Vpa), the same mathematical reason of both Faustmann model and method CATE, although on a present basis of time, that is to say, “cash flow has produced by the future value of expected total environmental costs due to an intermittent / continuous environmental damage, according to an infinite series of “n” years useful times, or on another hand, the present value of expected total environmental costs produced by a specific environmental degradation process”. Finally, Vpa value (CATE divided by 11,73) can be used not only for purposes of environmental indemnity but also, and mainly, for PES purposes.
93
16. Concluding Remarks Economic and financial instruments can be used, alternatively to control and command instruments of environmental policy, not only to influence human behavior to modify the challenge in relation to the natural resources protection but also to supporting institutions and institutional capacity to enable more widespread use of these mechanisms. In this sense, several initiatives in regarding of payment for ecosystem services (PES) have been implemented around the world, but particularly in Brazil on recent times. PES can be defined such as a monetary (or nonmonetary) compensation mechanism, on a input or financial incentives way, based on the principle provider-receiver, which an implemented direct payment earns by the environmental services produced, and all this environmental system produces, in turn, an incentive for the environmental protection and restoration supported by programs and projects. The main problem of PES projects, on the municipality of Botucatu case is the price mechanism determination which, within a specific local environmental market, comes forward the environmental services supply and demand´s forces toward an equilibrium point (prices and traded quantities which satisfy both supply and demand sides, on a sustainable, efficient and equitable manner). Considering these aspects, two questions are possible: i) wich would be the main aspects on both sides (demand and supply) of a PES market under the sustainable perspective on this case study?; ii) would be possible to formulate a PES approach under an energy perspective of the Botucatu case and, on the limit, of the developing countries? Hence, this study developed, considering a demand side within a PES approach, an systematization, an discussion and a comparative analysis about the main international and national money supply and how to promote their integration on the specific case of the municipality of Botucatu, Sao Paulo state, Brazil, and, in this manner, to obtain the best sustainable outcomes relative municipal environmental policy. Besides, this study discussed how the most important aspects (social, economic and environmental) should be considered, within both global to local (deductive approach) and local to global (inductive approach) point of view, on the environmental projects to be implemented on the municipality of Botucatu case. This paper also discussed how would be possible to define some economic criteria (LIFE methodology and Vpa method) such as a mechanism for the system of PES´s price setting on the municipality Botucatu case. Finally, this study intended to make, with the outcomes, a new approach in terms of a guideline to a system of PES, mainly for developing countries, based on water production to human, industrial and agricultural consumption on a certain watershed and its drainage network. It was developed the case study methodology. More specifically, it was developed the municipality of Botucatu and its PES municipal policy´s case study. 94
The methodologic approach was developed in this case study on both deductive and inductive manners. Under the deductive point of view, this study developed several methodologic steps (research, lecture, systematization, analysis and applying) referring to the main general/global issues of the theme here discussed. These issues were applied on the specific/local conditions of the municipality of Botucatu. Also in this study, in relation to the inductive methodologic developing, the specific/local conditions of the municipality of Botucatu were identified, extended, applied and generalized with respect to the developing countries on a general way. The municipality of Boucatu is located at Sao Paulo state, on Brazil, and based on 22º53'09" South Latitude and 48º26'42" West Longitude. The municipality has 483 km² and population around 115.606 inhabitants. The system of PES discussed at this study is related, such as a case study, with a new project of the public water supply dam based on Pardo river´s watershed. This river is the principal source of public water supply to the city. Anyway, this study intended to develop a pattern to be used on the PES projects to be implemented on Pardo river´s watershed considering the specific environmental attributes on the municipality of Botucatu region (APA Botucatu). It was verified, within the Results and Discussion Topic, that under Money Supply point of view, the main aspects of PES projects, on this specific case study, could be involved with Actions and Supporting Transparency, mainly. They can be classified in the following categories: Type 1 international source (Green Climate Fund); Type 2 - international source (Green Bonds market; Type 3 - general international sources (Climate Bonds Initiative); Type 4 – Brazilian federal source; Type 5 – Brazilian state source; Type 6 – Brazilian municipal source, and; Type 7 - general Brazilian sources. It is necessary to emphasize that the great focus on whatever the specific Brazilian situation (federal, state or municipal environmental legal base), the new forestry code, shall be the main structure of whatever system of PES (mainly on the municipality of Botucatu case), whether by its supply side (financial funds) or, otherwise, by its demand side (sustainable environmental projects). The New Forestry Code and these recent state rules determine that a system of PES be applied, among other characteristics, on Familiar Rural Properties case, preferably (a little bit different from the Botucatu case). Anyway, the most important issue to be discussed in this study is the possibility of the financial fund integration and not the different kinds of financial funds. In this sense, by the way, the recent state legislation also permit the financial fund multiple sources integration (even according to own new forestry code), as such as the Botucatu case (this aspect is one of the principal purposes of this present study, along with the criteria of economic valuation for the financial funds suppliers). In addition, it was observed that, within a local approach, more specifically according to the environmental municipal law, the forest sector, considering it both sides (forest production and 95
environmental protection), is one of the main bases of the municipality of Botucatu sustainable development. This understanding can be also seen on several points. In this sense, the municipal PES program has, such objective, “promote the sustainable development and stimulate the supply of the goods and services produced by the ecosystem”, such as: (i) carbon storage capture, conservation, maintenance and increase, as well as, carbon emission decrease; (ii) natural sightseen conservation; (iii) social biodiversity maintenance; (iv) water and water resources maintenance, reservation and distribution; (v) climate regulation; (vi) cultural and ecosystem traditional knowledge valuation, and; (vii) soil maintenance and restoration. Therefore, the environmental services are clearly associated, by the municipal environmental law, with sustainable development, with the municipality of Botucatu, and with the forest sector. As seen in this study, considering that environmental goods and services produced by ecosystems are linked to sustainable development, especially on the municipality of Botucatu case, and considering that the forest sector is linked to the environmental services produced by the ecosystems at Botucatu region, is possible to conclude, under the PES focus, that the forest sector is important to the municipality of Botucatu sustainable development. In contrast, the financial funds suppliers, according to the municipality of Botucatu environmental law, can be seen under an integrated way point of view because the municipal environmental law mentions that “it is permitted the environmental actions overlay on the same environmental services area since that be justified technically, with the Director Council authorization and doesn´t occur monetary incentives accumulation, as well as also doesn´t occur nonmonetary measures accumulation, promoting a not balanced way at the principles of proportionality and reasonability, and, finally, according to specific regulation”. Besides, the municipal environmental law permits several kinds of funds (public, private, federal, state and municipal) that are related with the group of 07 financial funds sources types mentioned above. These investments types are related, on another hand, with several important legal instruments such as Forest Remaining Program (Sao Paulo state) and New Forest Law (Federal government). They are related, finally, with wide national and international private funds possibilities. Consequently, considering that the municipality of Botucatu environmental law, according to the some of the most important aspects above mentioned, has the sustainable development proposition, as well as a financial funds suppliers integration that is permitted by the municipal law, is also possible concludes that the PES model proposed on the municipality of Botucatu is a main articulator and integrator of the federal, state and municipal environmental policies on direction at the local sustainable development. In contrast, an integrated vison of PES and the REDD+ measures and actions is considered something possible and extremely worthwhile. However, the relationship between them can be positive but not necessary automatic. For this purpose, that is to say, for a successful relationship between payment for environment services projects and REDD+, according to some authors, the following challenges around designing inclusive payment for environmental services must be solved: (i) reaching the poor; (ii) 96
elite capture; (iii) (dis)economies of scale, and; (iv) limited marketing ability and financial sustainability. Anyway, an integrated strategy of the several financial resources possibilities (international, national, federal, state, municipal, private or public), under the climate change point of view, considering that the others environmental services could be also integrated on the environmental measures, is something very complex and still needs be developed, according to verified in one of the most environmental documents produced until now; The Conference of the Parties (CoP-21). Furthermore, anything prevents that, according some national, state or municipal policy linked to REDD+ strategies, PES projects on Botucatu region, plus environmental actions linked to deforestation decrease, forest degradation, forest carbon stock maintenance, forest sustainable management and forest carbon stock increase, can be implanted by biomass producer forests (Eucalyptus spp) on permanent preservation areas (áreas de preservação permanente – APP) and legal forest area (área de Reserva Legal - RL) environmental restoration. This, because on a few specific cases, inclusive it can exist restrictions such as, for instance, not allow the exotic species use on the forest restoration measures, relative to some state programs. Others issues that shall considered on a system of PES, mainly within a municipal point of view (global thinking and local actions) are the familiar rural properties and the environmental protection of water supplier areas. It is important emphasize, in relation of the rules to a PES Project (local and global approach), that each financial fund supply source (national/federal, state, municipal, international, public, private) has, its own rules to be followed referring one specific way to deal with direct PES projects. The new forestry code defines its criteria, such as carbon capture, conservation and maintenance, carbon stock increase, carbon flow decrease, natural beauty landscape conservation, water and water resources conservation, climate regulation, ecosystem traditional knowledge and cultural valorization, soil conservation and improvement, permanent preservation areas, legal reserve areas and restricted use areas. This federal trend is followed by the state environmental issues about payment of environmental services strategies. On another hand, on the municipality of Botucatu case, its municipal environmental program defines some criteria (carbon stock maintenance, carbon capture, soil maintenance and conservation, beauty landscape maintenance or restoration, water production (quality and quantity), social biodiversity, climate regulation, greenhouse effects mitigation). In this manner, it is possible to note that whatever the legal and technical dispositive (federal, state, municipal, public, private), the environmental attributes to be considered on the direct payment projects are, as a general rule, practically the same. Strong and positive interaction among sustainability, biodiversity, familiar farmers and PES, also under a REED+ perspective, can be emphasized not only in regarding of timber products but also with non-timber products too. In this sense, it is possible to mention some studies which, working with mushrooms theme, commented about production and others several important issues such as 97
conservation and transformation technology, and market and trading. This approach is relevant because considers unquestionable aspects of social, economic and environmental sustainability such as quality life and purchasing power improvement, adding value, middleman problem mitigation. Another issues also can be found in several similar themes to this mushroom´s point of view, such as worm composting, worm-created on organic agriculture, social and therapeutic horticulture, alcohol and non-alcohol beverages, edible wild fruits and herbs, spices and season plants, medicine and aromatic plants, essential oils, environmental education and nature ludic treatment for young people, people with disabilities, third age people and/or people in general. Special emphasis about this same approach could be borrowed to the natural resources use (tradition values, food innovation) on for the touristic trials and ways, according some authors. Finally, as much as whatever PES project, mainly under the wide range of financial resources funds point of view, the Botucatu case could taking to account not only the environmental law (mandatory issues) but also non mandatory issues, such as “new” approaches of environmental services (integrated control of diseases on systems of production developed on agroecology way by familiar rural properties, medicinal plants) and another measures of best agriculture practices and best forest practices (low impact forest management, for example). It would also be interesting the utilization of systems and standards for quality control guarantee and systems of integrated management (Forest Stewardship Council – FSC, GLOBALG.A.P. rules), since all this strategy were something relatively simple mainly to the small rural producers and farmers. In order to have a better comprehension of “new” approaches of environmental services it would be interesting to observe the Carbon Cycle. Besides, in an evident advantage for the system of “Direct Planting” agriculture, some authors enforce that the carbon soil stored quantity is directly linked to the vegetal residues addiction rate e indirectly linked to the organic material decomposition rate (elements which should be considered in terms of new environmental services approaches). Considering; Botucatu, São Paulo state and Brazil are inserted within (social, economic, environmental) characteristics of developing countries, The main key issues about PES knowledge and discussion produced on the municipality of Botucatu case (Sao Paulo state and Brazil), such as environmental services produced, environmental market conditions (demand and supply´s basis) and possibilities of environmental services projects, can be applied (identical, or at least, similar) on the developing countries case too, The main key issues about technical, legal, institutional, culture, social, environmental elements and ethics, on the PES projects conditions for the municipality of Botucatu (São Paulo state and Brazil) case, also can be applied (identical, or at least, similar) on the developing countries case, The main key issues about economic valuation (economic environmental assessment, environmental services assessment, PES schemes valuation, environmental damages assessment, environmental indemnity assessment) can be applied on whatever kind of country (developed country, developing 98
country). They can be (identical, or at least, similarly) applied on the municipality of Botucatu case (Sao Paulo state and Brazil) and also on the developing countries case too, The main key issues about the bibliographic review and references can be applied on whatever kind of country (developed country, developing country). They can be applied on both can be applied (identical, or at least, similar) on the municipality of Botucatu case (Sao Paulo state and Brazil) and on the developing countries case too, The main key issues about extremely important elements for the success of the PES projects (efficiency and equity) are designed for whatever the type of country, although they can be applied, specially, on the both situations [municipality of Botucatu (Sao Paulo state and Brazil) and developing countries cases], and, Finally, the principle of common (everyone) but differentiated (between developed and developing countries, specially) responsibilities, It is established that; All the main key issues about the knowledge and discussion of PES schemes (projects and/or systems) produced at this study are applied on the municipality of Botucatu case (Sao Paulo state and Brazil), Besides, The municipality of Botucatu case (Sao Paulo state and Brazil), according to this study, it has several identical (or at least similar) conditions, characteristics, values, and others aspects, in relation to the developing countries, Then, All the main key issues about the knowledge and discussion of PES schemes (projects and/or systems) produced in this study are applied on [because several identical (or, at least, similar) conditions, characteristics, values, and others aspects] on the developing countries. In addition, it is possible classify economic criteria for an environmental (ecosystem services) valuation, according American vision, on the following categories: (i) Socio-ecological (Millennium Ecosystem Assessment - MA); (ii) Total Economic Value (TEV); (iii) Ecological (Key Biodiversity Areas - KBA); (iv) Critical Natural Capital (CNC), and; (v) Developmental (Sustainable Livelihoods Approach - SLA). Besides, studies related to ecosystem services valuation mention some groups of methods and their specific methodologies: (1) Direct market prices (Market prices); (2) Alternative market (Replacement costs; Damage cost Avoided; Production function); (3) Surrogate markets (Hedonic Price Method; Travel Cost Method); (4) Stated preference (Contingent valuation method; Choice experiments); (5) Participatory (Participatory environmental valuation), and; (6) Benefits Transfer (mean value, adjusted mean value, benefit function). According some authors, the different environmental (economic or not) kinds of assessment must consider the following recommendations: 99
1. “Only use methods that are scientifically based and appropriate for the particular decision context at hand”; 2. Develop a set of criteria to use on evaluating methods to determine their suitability for use on specific decision contexts. This is an important first step for implementing the valuation approach proposed in this report”; 3. Explicitly identify relevant criteria to be used on determining whether a contemplated values transfer is appropriate for use on a specific ecological valuation context. Both EPA analysts and those providing oversight of their study must take into account the differences between study site and policy site to flag problematic transfers and clarify the assumptions and limitations of the study site results”; 4. Support efforts to develop Web-based databases of existing valuation studies across a range of ecosystem services, with careful descriptions of the characteristics and assumptions of each, to assist in increasing the likelihood that the most comparable existing valuations will be identified”, and; 5. “Conduct additional original research on valuation that is designed to be used in subsequent value transfers”. Finally, a specific discussion about methods of environmental economic assessment, specially Environmental Resources Economic Value, also can be found in several documents. On another hand, with relation to environmental market approach for a PES valuation, it was mentioned above that a PES is a kind of system based on a specific environmental “market”. However, it was supposed that, whatever environmental market, it is necessary, for its viability (on this case, sustainable viability), an “equilibrium” of both sides (Supply and Demand). It is important to note that all the methods of environmental assessment have their limitations and restrictions linked to the following aspects: social variety; sensibility, they not translate very well the real value of the environmental services and goods (mainly concerning to no use values, and specially the existence value); fallible process; human relationships (moral damages), and very high values of the environmental assessments) Anyway, in despite of limitations and restrictions of these methods, this research analyzed some alternatives propositions called “Life methodology” and “Environmental Compensation Project (Vpa)” on the payment environmental services specific case. The LIFE Certification comprehension requires the knowledge of the assumptions, principles criteria, metrics and certification patterns that are present in LIFE – 01 and LIFE-02 Technical Guidelines. LIFE Certification is a LIFE Institute proposal and LIFE means Lasting Initiative For Earth. LIFE method is a single methodology intends investments attraction to biodiversity actions and projects. Besides, with regarding to the methodology, conservation actions divided on 4 groups: (i) Initiatives of formal protected areas; (ii) Initiatives of not formal protected areas; (iii) Initiatives of species 100
and/or ecosystems conservation and management, and: (iv) Initiatives of conservation strategies, policies and/or educational programs. The main assumptions of LIFE certification are associated with not avoided negative impacts that, even mitigated, shall be compensated. The limitation of this compensation to a conservation measure doesn´t mind because each life form and each ecosystem have a single tangible and not tangible value. Concerning general issues about LIFE methodology and under the PES perspective, the method LIFE, considering the aspects shown in this study, emphasizes the following aspects: 9. On despite of the perfect compatibility between the LIFE method´s principles and the PES system such as can be seen until now, it is necessary a more appropriated discussion, under the rural (not urban or industrial) perspective, about the LIFE method use; 10. In this sense, LIFE certification requires a good performance of five environmental aspects (residues production, water use, energy consumption, land occupation and greenhouse gas emission) whose could not be appropriate for the natural (and rural) of the PES conditions (rural properties; agriculture, cattle and forest activities; different kinds of inputs and impacts; different aspects of severity and quantity; different elements, consequently, for mathematical formulation of Quantity value (VQ) and Severity Value (VS); different elements, additionally, for the estimate of the environmental aspects and their values of environmental impacts; different elements for the estimate of impact index for each environmental aspect; gross invoicing of the organization); 11. It is also necessary to discuss the calculation of biodiversity impact value (VEIB), considering the specific condition applied on system of PES, and, consequently, for ACBminimum estimate, and, finally, for ACB realized and ACB to be realized; 12. On another hand, the LIFE method use on not agriculture, cattle or forest enterprises, but considering its application on urban, industrial and commercial enterprises, is perfectly possible and recognized by the own methodology. Besides biodiversity conservation actions and/or PES projects are also perfectly possible and necessary not only to the rural but also to the urban sustainable developing; 13. On the PES perspective, according to the special legal, technical and economic issues discussed on this study and considering mainly the kinds of environmental measures, mentioned by LIFE (2014, b), it would be extremely interesting if LIFE methodology were studied in order to develop a PES specific application; 14. LIFE methodology, such as verified here, is very consistent in order to propose a compensation mechanism to the urban environment but, even in this case, it is still necessary to translate the ACB measures on PES projects. This translation would be possible if the ACB measures could be expressed on monetary values to support, financially, the PES projects; 15. Besides, the method LIFE should (or could) be adapted, maybe through the five environment aspects (water consumption, energy consumption, Greenhouse emission, solid waste 101
produced and final disposal of each kind of residue) to the rural environment (agriculture entrepreneurships on the Biome of Brazilian Savannah), and; 16. Anyway, ACB measures, such as proposed, could be a limit (or restriction) linked to the possibilities of compensation area due to the potential conflicts of land uses. This is a solid argument to support the translation of ACB measures, considering the importance of the environmental services according stablished until here, to monetary values of PES projects linked to several relevant environmental issues (areas of permanent preservation, legal reserve areas, conservation areas and other kinds of protected areas, as planned on mandatory or voluntary mechanisms). Another environmental economic assessment studied, on the PES projects perspective of this study, was the methodology “Environmental Compensation Project” (Vpa). Method of Environmental Compensation Project (Vpa) is derived from the irreversible environmental damages assessment (method CATE-DAI) and also from the environmental measures (prevention, correction, mitigation, control, compensation, and/or indemnity), under technical and juridical point of view to environmental restoration due to a degraded local and according to the Brazilian judicial system. With the Environmental Crimes Law publication, that is to say, Law n. 9.605, of November 12, 1998, that provides on the legal and administrative penalties resulting from conducts and activities that are harmful to the environment, and makes other provisions, new perspectives occurred relative to environmental damage assessment´s scope and, mainly, when they are brought to judicial sphere. This new perspective have endorsed the National Environmental Policy implemented on August 31 of 1981 among others environmental legal regulations: “Article 4th – National Environmental Policy will aim; ….VII – to enforce, to the polluter and to the degraded person, the restoration and/or indemnity obligation of the environmental damages and, to the environment users, the contribution for the natural resources economic uses”. In this sense, it is discussed, at this study, if the method “Vpa” could collaborate for a satisfactory closing not only of these environmental judicial demands but also for the PES economic supporting. It is searched such proposal because this methodology intends to serve such as negotiation instrument and, in front of estimated pecuniary values, to define, with safety, correct environmental measures of environmental prevention, control, mitigation, correction, compensation and indemnity. On another hand, this method could be a rational, logic, weighted and useful instrument to the conciliation of environmental and anthropic conflicting interests always present on environmental demands. Besides, this “spirit” allows the searching of sustainable economic developing, that is to say, the continuous searching the compatibility between economic growth and rent and employments creation and environmental attributes maintenance (conservation and protection). In this way, life quality maintenance and improvement of the present and future generations could be implement as one of the most important goals of the whatever society. 102
On another hand, a real Brazilian State could be built under a new mentality and a new position of all agents of environmental management´s process (Public Power, Enterprises, Market and, why not, the own society), on searching of economic developing. It has noted that, in the face of available judicial instrumental, mainly after the legislation of environmental crimes, and within an environmental management process, mechanisms for monetary value´s assessment linked to the environmental indemnity have been researched (specially under the irreversible environmental damages point of view). According to this scenario, one doubt and/or one necessity have emerged, that is to say, if this new environmental demand´s perspective (economic value estimate of environmental indemnity by certain and specific environmental damage valuation´s process), inclusive under the PSE perspective, can be satisfied by the methodology “Vpa”. This question is relevant because the method emphasizes, first of all, the entire group of environmental measures and not only the environmental indemnity measure “per se”. Besides, environmental measures, direct and indirect environmental damages, reversible and irreversible damages, and monetary estimative of environmental damages need be improved in order to promote technical, economic, administrative, judicial and legal conjunction. It is necessary, when it happens an environmental damage, to promote the environmental restoration of the specific degraded local through the environmental measures (environmental prevention, control, mitigation and correction actions) implantation. The irreversible environmental damages (DAI) occur during the period since the environmental damages happening until the environmental measures implantation and they need to be estimated on a monetary basis. The method “Total Expected Environmental Costs” (CATE) as a methodology for monetary calculus of the irreversible environmental damages on a specific degraded local was showed in this study. This method is supported by Faustamm model (Soil Expected Value, a traditional criterion of forest economic assessment) and it considers several technical, economic and juridical issues such as environmental conditions to the environment restoration, direct and indirect environmental values and the indemnity scope of the environmental damages. The method CATE also considers two alternatives; intermittent environmental damages (CATE I) and continuous environmental damages (CATE II). The methodology discussed here, in order to consider the indemnity scope, shows, considering both CATE I and CATE II, the equation “DAI” (irreversible environmental damages) and also the equation “Vpa” (environmental compensation project). The qualitative and quantitative estimates of the environmental damages according the present methodological approach permits, on a fast, direct and objective way, that the competent authority 103
can establish the appropriate environmental measures (not only prevention, control, mitigation and correction, but also compensation and indemnity). Besides, the methodology has a “time dependent” characteristic, that is to say, the longer time the environmental damages restoration delays, the monetary value of the irreversible environmental damages will increase more. This reasoning applied to this study (Soil Expected Value CATE I and CATE II DAI Vpa) lends for this methodology of irreversible environmental damages monetary assessment (economic value of the environmental indemnity), and mainly for the compensation environmental project (Vpa), the same mathematical reason of both Faustmann model and method CATE, although on a present basis of time, that is to say, “cash flow has produced by the future value of expected total environmental costs due to an intermittent / continuous environmental damage, according to an infinite series of “n” years useful times, or on another hand, the present value of expected total environmental costs produced by a specific environmental degradation process”. Finally, Vpa value (CATE divided by 11,73) can be used not only for purposes of environmental indemnity but also, and mainly, for PES purposes. 17. Considerações Finais Instrumentos econômicos e financeiros podem ser usados, alternativamente aos instrumentos de comando e controle de política ambiental, para influenciar não somente o comportamento humano, e com isto, modificar o desafio com respeito à proteção dos recursos naturais, como também, para o apoio às instituições e ao próprio fortalecimento institucional para fomentar ainda mais o tratamento econômico da proteção ambiental. Neste sentido, diversas iniciativas relacionadas ao Pagamento por Serviços Ambientais (PSA) têm sido implantadas recentemente ao redor do mundo, e mais particularmente, no Brasil. PSA pode ser definido como um mecanismo remuneratório (monetário ou não), sob a forma de recursos ou incentivos financeiros, baseado no princípio do provedor-recebedor, que representa um ganho direto em face de um determinado serviço ambiental produzido, sendo que todo o sistema ambiental produz, por seu turno, um incentivo para a recuperação e proteção ambiental apoiado por programas e projetos. No caso específico do município de Botucatu, por exemplo, o principal problema é o mecanismo de determinação do preço que, dentro das condições específicas locais do mercado ambiental, aproxima as forças de oferta e demanda de serviços ambientais em direção a um ponto de equilíbrio (preços e quantidades transacionadas que satisfazem a ambos os lados de oferta e demanda, de forma sustentável, eficiente e equitativa). Assim, considerando estes aspectos, duas questões se apresentam: i) quais seriam os principais aspectos em ambos os lados (oferta e demanda) de um mercado de Pagamento por Serviços Ambientais, sob a perspectiva sustentável do presente estudo de caso?; ii) seria possível formular uma abordagem de PSA sobre a ótica energética do caso de Botucatu e, no limite, do caso dos países em desenvolvimento?
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Consequentemente, este trabalho pretendeu desenvolver, considerando o lado da demanda dentro de uma abordagem de um PSA, uma sistematização, uma discussão e uma análise comparativa sobre as principais fontes de oferta de recursos nacionais e internacionais e como promover a integração destas fontes no caso específico do município de São Paulo, situado no Estado de São Paulo, Brasil e, desta maneira, obter os melhores resultados sustentáveis relativos à política ambiental municipal. Além disto, este trabalho discutiu como os mais importantes aspectos (sociais, econômicos e ambientais) deveriam ser considerados, dentro tanto de um pensamento global para o local (abordagem dedutiva), quanto de uma abordagem local-global, em projetos ambientais a serem implantados no caso do município de Botucatu. Este trabalho também discutiu como seria possível definir alguns critérios econômicos (metodologia LIFE e método Vpa) enquanto um mecanismo de determinação de preço para um sistema de PSA a ser implantado no caso do município de Botucatu. Finalmente, este trabalho pretendeu, como um dos seus resultados finais, elaborar diretrizes para uma nova abordagem de sistema de PSA para países em desenvolvimento, baseadas na produção de água para consumo humano, industrial e agrícola, a ser formulado para determinada bacia hidrográfica e sua rede de drenagem. Foi desenvolvida a metodologia do Estudo de Caso. Mais especificamente, foi desenvolvimento o estudo de casa da política municipal de Pagamento por Serviços Ambiental, do Município de Botucatu. A abordagem metodológica desenvolvida neste Estudo de Caso ocorreu de maneira tanto dedutiva quanto dedutiva. Sob o ponto de vista dedutivo, este trabalho desenvolveu alguns procedimentos metodológicos (levantamento, leitura, sistematização, análise e formulação) referentes às principais questões gerais (globais) do tema aqui discutido. Estes pontos forem então aplicados, na sequência, nas condições específicas (locais) do município de Botucatu. Desta forma, neste trabalho, com respeito ao desenvolvimento metodológico indutivo, as condições específicas (locais) do município de Botucatu foram identificadas, ampliadas, aplicadas e generalizadas com respeito aos países em desenvolvimento de uma maneira em geral. O município de Botucatu está situado no Estado de São Paulo, Brasil, às coordenadas 22º53'09" Latitude Sul e 48º26'42" Longitude Oeste. O município tem uma área geográfica de 483 km² e uma população estimada de 115.606 habitantes.. O sistema de Pagamento por Serviços Ambientais discutido neste trabalho está relacionado, enquanto Estudo de Caso, com o novo projeto de represamento de água, para fins de abastecimento público, baseado na bacia hidrográfica do rio Pardo. O referido rio é a principal fonte de suprimento de água da cidade. De todo modo, este trabalho pretendeu desenvolver um padrão a ser utilizado em projetos de PSA a serem implantados na bacia hidrográfica do rio Pardo considerando os atributos ambientais específicos da região do município de Botucatu (APA de Botucatu, por exemplo). 105
Foi verificado, dentro do tópico Resultados e Discussão, que do ponto de vista da oferta de fontes de recursos monetários, que os principais aspectos dos projetos de PSA, no caso específico do presente estudo, deveriam estar envolvidos com Ações e Apoio à Transparência, principalmente. Tais fontes de recursos podem ser classificadas nas seguintes categorias: Tipo 1 – Recursos Internacionais (Fundo do Clima); Tipo 2 – Recursos Internacionais (Mercado de Bonificações Ambientais); Tipo 3 – Recursos Internacionais Gerais (Iniciativa de Bônus do Clima); Tipo 4 – Recursos nacionais federais; Tipo 5 – Recursos nacionais estaduais; Tipo 6 – Recursos nacionais municipais, e; Tipo 7 – Recursos nacionais gerais. É necessário enfatizar que o maior foco em qualquer que seja a situação brasileira em específico (consideração de bases legais quer nacionais, estaduais ou municipais), a nova Lei Florestal, deverá ser considerada como a estrutura central de todo e qualquer PSA (principalmente no caso do município de Botucatu), quer pelo lado da Oferta (fundos financeiros), quer pelo lado da Demanda (projetos ambientais sustentáveis). A nova Lei Florestal e os recentes dispositivos regulamentares estaduais determinam que um sistema de PSA pode ser aplicado, entre outras condições, no caso de propriedades rurais familiares, preferencialmente (um pouco diferentemente do caso de Botucatu). De qualquer forma, a mais importante questão a ser discutida neste trabalho é a possibilidade da integração de fontes financeiras e não as diferentes fontes de recursos financeiros. Neste sentido, a propósito, a recente legislação estadual também permite a integração das múltiplas fontes de recursos financeiros (mesmo com respeito ao próprio novo Código Florestal), tanto quanto no caso de Botucatu (este aspecto é um dos principais propósitos deste trabalho, em conjunto com os critérios de avaliação econômica para as ofertas de recursos financeiros). As abordagens dedutiva (global para local) e indutiva (local para o global) da oferta das fontes de recursos financeiros para fins de subsidiar a implantação de projetos de Pagamento de Serviços Ambientais no município de Botucatu foram, consequentemente, efetuadas. Em adição, foi visto que, dentro da abordagem local, mais especificamente, e de acordo com a legislação municipal ambiental, o setor florestal, considerando ambos os seus lados (produção florestal e proteção ambiental), é uma das principais bases do desenvolvimento sustentável do município de Botucatu. Neste sentido, o programa de PSA municipal tem, como objetivo, “promover o desenvolvimento sustentável e estimular a oferta de bens e serviços produzidos pelo ecossistema”, tais como; (i) captura, conservação, manutenção e incremento do estoque de Carbono, assim como a diminuição da emissão de Carbono; (ii) conservação da beleza cênica; (iii) manutenção da biodiversidade social; (iv) manutenção, armazenamento e destruição de água; (v) regulação climática; (vi) valorização do conhecimento tradicional e sistêmico, e; (vii) recuperação e manutenção do solo. Note-se, então, que os serviços ambientais estão claramente associados, por intermédio da legislação ambiental municipal, com o município de Botucatu e com o setor florestal. Assim, considerando que os bens e serviços ambientais produzidos pelos ecossistemas estão relacionados com o desenvolvimento sustentável, especialmente no caso do município de Botucatu, como visto no trabalho, bem como considerando que o setor florestal está relacionado aos serviços ambientais produzidos pelos distintos ecossistemas da região de Botucatu, é possível concluir, sob a 106
ótica do PSA, que o setor florestal é importante para o desenvolvimento sustentável do município de Botucatu. Por outro lado, as fontes de ofertas monetárias, de acordo com a legislação ambiental do município de Botucatu, podem ser vistas sobre um ponto de vista integrado porque a referida lei menciona que “é permitida a sobreposição de medidas ambientais numa mesma área de serviços ambientais desde que tecnicamente justificável, com a autorização do Conselho Diretor, não ocorra a sobreposição de incentivos tanto monetários quanto não pecuniários, de maneira a promover um desbalanceamento aos princípios da proporcionalidade e razoabilidade e, finalmente, de acordo com regulamentação específica”. Ademais, a legislação ambiental municipal permite, por exemplo, a utilização de diversos tipos de fontes de recursos financeiros (públicos, privados, federais, estaduais e municipais) que estão relacionados com os 07 grupos de recursos financeiros anteriormente mencionados. Estes tipos de investimentos estão relacionados, de outro modo, com diversos e importantes instrumentos legais, tais como o Programa de Remanescentes Florestais (Estado de São Paulo) e a nova Lei Florestal (Governo Federal). Estão também relacionados, finalmente, com uma vasta gama de possibilidades de fundos privados nacionais e internacionais. Consequentemente, considerando que a legislação ambiental do município de Botucatu, conforme alguns dos aspectos mais importantes acima mencionados, propõe-se ao desenvolvimento sustentável, bem como à integração das fontes de ofertas monetários permitidas na legislação municipal, é possível concluir que o modelo de PSA proposto pela municipalidade de Botucatu é o principal articulador e integrador das políticas ambientais federal, estaduais e municipais em direção ao desenvolvimento sustentável local. Adicionalmente, uma visão integrada de PSA e de ações e medidas de REDD+ é algo também considerado possível e extremamente louvável. No entanto, a relação entre eles podem ser positivas, mas não são necessariamente automáticas. Para este propósito, isto é, para um relacionamento exitoso entre projetos de Pagamento por Serviços Ambientais e REDD+, de acordo com alguns autores, os seguintes desafios sobre o esboço do projeto e mesmo o pagamento por serviços ambientais precisam ser resolvidos: (i) combate à pobreza; (ii) seletividade indesejada; (iii) deseconomias de escala, e; (iv) planos de marketing e de sustentabilidade financeiras limitadas. De qualquer maneira, uma estratégia integrada das diversas possibilidades de recursos financeiros (internacionais, nacionais, estaduais, municipais, públicas, privadas), sob a ótica das mudanças climáticas, considerando que outros serviços ambientais poderiam também ser integrados nas medidas ambientais, é algo muito complexo e ainda necessita ser desenvolvido, conforme verificado em um dos mais importantes documentos ambientais produzidos até agora; a Conferência das Partes (CoP-21). Adicionalmente, nada sugere mais concretamente que, de acordo com alguma política nacional, estadual ou municipal relacionada com estratégias de REDD+, PSA na região de Botucatu, mais ações ambientais visando a diminuição do desmatamento, a degradação ambiental, a manutenção do estoque de carbono florestal, o manejo florestal sustentável, assim como o incremento do estoque do carbono florestal, possam ser implementados por florestas produtoras de biomassa (Eucalyptus spp, 107
por exemplo), em projetos de recuperação ambiental de áreas de preservação permanente (APP´s) e de áreas de Reserva Legal (RL). Isto porque, ainda que em alguns poucos casos específicos, pode inclusive haver restrições tais como, por exemplo, não permitir o uso de espécies exóticas nas ações de restauração florestal, relativamente a alguns programas ambientais estaduais. Outras questões que deveriam ser consideradas em sistemas de PSA, principalmente dentro de um ponto de vista municipal (pensamento global e ações locais) são as propriedades rurais familiares e a proteção ambiental de áreas produtoras de água. É importante enfatizar, com relação às regras de projeto e PSA (abordagens local e global), que cada fonte de oferta de recursos financeiros (nacional/federal, estadual, municipal, internacional, pública, privada) tem suas próprias regras para seguir relativamente ao modo específico de lidar com projetos de PSA. Desta forma, o novo Código Florestal define seus critérios, como incremento do sequestro, conservação e manutenção de estoque de carbono, diminuição do fluxo de carbono, conservação da beleza cênica natural, conservação da água e dos recursos hídricos, regulação do clima, valorização do conhecimento tradicional e cultural, melhoria e conservação do solo, áreas de preservação permanente, áreas de reserva legal e áreas de uso restrito. Esta tendência federal é seguida pelas diretrizes ambientais estaduais sobre as estratégias de pagamento por serviços ambientais. E, por outro lado, no caso do município de Botucatu, por exemplo, seu programa ambiental municipal define alguns critérios (manutenção do estoque de carbono, sequestro do cargo, manutenção e conservação do solo, manutenção ou recuperação da beleza cênica, produção (qualidade e quantidade) de água, biodiversidade social, regulação climática e mitigação dos gases do efeito estufa). Todavia, é possível observar que qualquer que seja o dispositivo técnico ou legal (federal, estadual, municipal, público, privado), os atributos ambientais a serem considerados em projetos de pagamento por serviços ambientais, via de regra, são praticamente os mesmos. Consistentes e positivas interações entre sustentabilidade, biodiversidade, proprietários rurais familiares e PSA, também sobre uma ótica de REDD+, poderiam ser enfatizadas não apenas com respeito aos produtos madeireiros, como também, aos não madeireiros. Neste sentido, é possível mencionar alguns trabalhos que, pesquisando o tema de Cogumelos, discorreram sobre produção e outras importantes questões tais como tecnologia de conservação e transformação, mercados e comercialização. Esta abordagem é relevante porque considera inquestionáveis aspectos da sustentabilidade social, econômica e ambiental, tais como a qualidade de vida, a melhoria do poder aquisitivo, a agregação de valor, a mitigação do problema do atravessador. Outras questões também podem ser encontradas em diversos temas similares ao ponto de vista dos estudos com cogumelos, tais como, composto produzido por minhocas, criação de minhocas em agricultura orgânica, horticultura terapêutica e social, bebidas alcóolicas e não alcóolicas, ervas e frutas selvagens comestíveis, pimentas e plantas condimentares, plantas aromáticas e medicinais, 108
óleos essenciais, educação ambiental e tratamento natural lúdico para jovens, pessoas com deficiências, terceira idade e/ou pessoas em gerais, por exemplo. Ênfase especial sobre este tipo de abordagem pode ser emprestada no caso do uso de recursos naturais (valores tradicionais, alimentação inovadora) para caminhos e trilhas turísticas, de acordo com alguns autores. Finalmente, tanto quanto qualquer projeto de PSA sobre um amplo leque de fundos de recursos financeiros, o caso de Botucatu poderia considerar não apenas a legislação ambiental (questão mandatória), mas também aspectos não mandatórios, tais como “novas” abordagens de serviços ambientais (controle integrado de doenças em sistema de produção desenvolvidos por meio de Agroecologia por pequenas propriedades rurais familiares, plantas medicinais) e outras medidas de boas práticas agrícolas e boas práticas florestais (manejo florestal de baixo impacto, por exemplo). Também seria interessante a utilização de sistemas e normas de garantia da qualidade e sistemas integrados de gestão (Forest Stewardship Council-FSC, normas do GLOBALG.A.P.), desde que estas estratégicas sejam algo relativamente simples, principalmente para os pequenos produtores e proprietários rurais. Para o fim de ter uma melhor compreensão destas “novas” abordagens de serviços ambientais seria interessante ter em mente o Ciclo do Carbono. Além disto, numa evidente vantagem do sistema agrícola do “Plantio Direto”, alguns autores reforçam que a quantidade de carbono do solo estocado é diretamente relacionada com a taxa de adição de resíduos vegetais e indiretamente relacionada com a taxa de decomposição da matéria orgânica (aspectos os quais deveriam ser considerada em termos das novas abordagens dos serviços ambientais). Considerando consequentemente; Botucatu, Estado de São Paulo e o Brasil, estão inseridos dentro de características (sociais, econômicas e ambientais) de países em desenvolvimento, As principais questões chave sobre o conhecimento de PSA e a discussão no caso do município de Botucatu (Estado de São Paulo e Brasil), tais como serviços ambientais produzidos, condições do mercado ambiental (bases de oferta e demanda) e possibilidades de projetos de serviços ambientais, também podem ser aplicadas (idêntica, ou pelo menos, semelhantemente) nos casos de países em desenvolvimento, As principais questões chave sobre elementos técnicos, legais, institucionais, culturais, sociais, ambientais e éticos, nas condições dos projetos de PSA, para o caso do município de Botucatu (Estado de São Paulo, Brasil), também podem ser aplicadas (idêntica, ou pelo menos, semelhantemente) no caso dos países em desenvolvimento, As principais questões sobre avaliação econômica (avaliação econômica do meio ambiente, avaliação dos serviços ambientais, avaliação de esquemas de PSA, avaliação econômica de danos ambientais, avaliação da indenização ambiental) podem ser aplicadas em qualquer tipo de país (desenvolvido ou em desenvolvimento). Então, elas podem ser aplicadas (idêntica, ou pelo menos, semelhantemente) no caso do município de Botucatu (Estado de São Paulo, Brasil) e também no caso dos países em desenvolvimento, 109
As questões principais sobre a revisão bibliográfica e referências bibliográficas podem ser aplicadas em qualquer tipo de país (país desenvolvimento ou país em desenvolvimento). Então, elas também podem ser aplicadas (idêntica, ou pelo menos, semelhantemente) no caso do município de Botucatu (Estado de São Paulo, Brasil) e também no caso dos países em desenvolvimento, As principais questões a respeito de elementos extremamente importantes para o sucesso de projetos de PSA (eficiência e equidade, por exemplo) são estabelecidas para qualquer tipo de país, muito embora elas possam ser aplicadas, especialmente, em ambas as situações [caso do município de Botucatu (Estado de São Paulo, Brasil) e caso dos países em desenvolvimento], e, Finalmente, o princípio da responsabilidade comum (todos), mas diferenciada (entre países desenvolvidos e em desenvolvido, especialmente), É possível então depreender-se que; Todas as principais questões chave do conhecimento e da discussão de esquemas (projetos e/ou sistemas) de PSA produzidos neste trabalho podem ser aplicadas ao caso do município de Botucatu (Estado de São Paulo, Brasil), Ademais, O caso do município de Botucatu (Estado de São Paulo, Brasil), de acordo com este trabalho, tem diversas condições, características, valores e outros aspectos idênticos (ou pelo menos similares) em relação aos países em desenvolvimento, Então, Todas as principais questões chave do conhecimento e da discussão de esquemas (projetos e/ou sistemas) de PSA produzidos neste trabalho podem ser aplicados [em face de diversas condições, características, valores e outros aspectos idênticos (ou pelo menos semelhantes)] aos países em desenvolvimento. Uma vez estabelecidas as condições de oferta e demanda, de um determinado mercado de serviços ambientais, a próxima etapa é definir o preço e a quantidade de equilíbrio. A determinação de preço de um determinado mercado ambiental pressupõe, naturalmente, a utilização de um critério econômico de avaliação ambiental. Assim, é possível classificar os critérios econômicos para uma avaliação ambiental (serviços ambientais), conforme visão americana, nas seguintes categorias: (i) Socioecológicos (Millennium Ecosystem Assessment – MA); (ii) Valor Econômico Total (VET); (iii) Ecológicos (Áreas chaves de Biodiversidade – ACB); (iv) Capital Natural Crítico (CNC), e; (v) Desenvolvimentistas (Abordagem de Subsistência Sustentável – ASS). Além disto, trabalhos relacionados à avaliação de serviços ecossistêmicos mencionam alguns grupos de métodos e suas metodologias específicas: (1) Preços diretos de merco (preços de mercado); (2) Mercados alternativos (Custos de reposição; Custos evitados de danos; Função de produção); (3) Mercados Substitutos (Método do preço hedônico; método do custo de viagem); (4) Preferências reveladas/indicadas (Método da avaliação contingente; Opções reveladas); (5) Participativo 110
(Avaliação ambiental participativa), e; (6) Transferência de benefícios (valor médio, valor médio ajustado, função benefício). Ainda, de acordo com alguns autores, os diferentes tipos de avalição (econômica ou não) ambiental devem considerar as seguintes recomendações: 1. Utilizar apenas métodos que são apoiados cientificamente e apropriados para o contexto vigente de uma determinada decisão/situação; 2. Desenvolver um conjunto de critérios para utilizar como métodos de avalição para determinar suas conveniências no contexto de decisões específicas. Trata-se de um primeiro passo bastante importante na implementação de uma abordagem de avaliação conforme perseguida no presente trabalho; 3. Identificar, explicitamente, os critérios relevantes para serem utilizados na determinação se a transferência dos valores contemplados é apropriada para o contexto de uma avaliação ecológica em específico; 4. Apoiar esforços para desenvolver um banco de dados digitais a respeito da existência de estudos de avaliação a respeito de um amplo espectro de serviços ecossistêmicos, com descrição cuidadosa das características e pressuposições de cada exemplo, de maneira a contribuir para o incremento da probabilidade de que serão identificados mais casos comparativos de avaliações ambientais existentes, e; 5. Conduzir pesquisas inéditas adicionais em avaliação relativamente ao emprego subsequente em outros processos de transferência de valores (avaliação ambiental). Finalmente, uma discussão específica com respeito aos métodos de avaliação econômica ambiental, especialmente sobre o Valor Econômico dos Recursos Ambientais, também podem ser encontrados em diversos documentos. Por outro lado, com relação à abordagem de mercados ambientais para uma avaliação de um projeto de pagamento por serviços ambientais, foi mencionado que um PAS é um tipo de sistema baseado em um “mercado” ambiental em específico. Contudo, supõe-se que, qualquer se seja o mercado ambiental, é necessário, para sua viabilidade (neste caso, viabilidade sustentável), um equilíbrio de ambos os lados (Oferta e Demanda). É importante observar que todos os métodos de avaliação ambiental têm suas limitações e restrições relacionadas com os seguintes aspectos: variabilidade social; sensibilidade; não traduzem adequadamente o real valor dos bens e serviços ambientais (principalmente com respeito aos valores de não uso e, especialmente, valores de existência); processos falhos; relações humanas (danos morais, por exemplo) e valores muito elevados em casos de avalição ambiental. De qualquer forma, a despeito das limitações e restrições destes métodos, esta pesquisa analisou algumas proposições metodológicas alternativas denominadas “Metodologia LIFE” e “Projeto de Compensação Ambiental (Vpa)” para o caso específico de PAS.
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A compreensão da Certificação LIFE requer o conhecimento de pressuposições, princípios, critérios, métricas e padrões de certificação pautados nos seguintes documentos; dos seguintes aspectos: LIFE – 01 e LIFE-02 Technical Guidelines. A Certificação LIFE é uma proposta do Instituto LIFE e a sigla significa Lasting Initiative For Earth. O método LIFE é uma metodologia única que almeja a atração de investimentos para projetos e ações de biodiversidade. Além disto, com respeito a metodologia, as ações de conservação são classificadas em: (i) Iniciativas para a criação formal de áreas protegidas; (ii) Iniciativas para a criação informal de áreas protegidas; (iii) Iniciativas de conservação/manejo de espécies e/ou ecossistemas, e; (iv) Iniciativas de estratégias, políticas e/ou programas educacionais de conservação. As principais pressuposições da Certificação LIFE estão associadas com impactos ambientais não evitados e que, apesar de mitigados, deveriam ser compensados. A limitação desta compensação para uma medida de conservação não importa porque cada forma de vida e cada ecossistema tem um único valor tangível ou intangível. Com respeito às questões gerais sobre a metodologia LIFE e sob a perspectiva de um PSA, o método LIFE, considerando os aspectos dispostos neste trabalho, ressalta os seguintes aspectos: 1. A despeito da perfeita compatibilidade entre os princípios do método LIFE e o sistema de PSA, conforme visto até agora, é necessário uma discussão mais apropriada, sob a perspectiva do meio rural (e não propriamente o urbano ou industrial, por exemplo), sob a utilização do método LIFE; 2. Neste sentido, a certificação LIFE requer uma boa performance de 05 aspectos ambientais (produção de resíduos, uso de água, consumo de energia, ocupação de área e emissão de gases do efeito estufa) que poderiam não ser apropriados para o as condições naturais (e rurais) de um PSA (propriedades rurais; atividades florestais, agrícolas e pecuárias; diferentes tipos de inputs e impactos; diferentes aspectos de severidade e quantidade; diferentes elementos, consequentemente, para a formulação matemática dos valores de quantidade (VQ) e de severidade (VS); diferentes elementos, adicionalmente, para a estimativa dos valores de impacto dos aspectos ambientais; diferentes elementos para a estimativa do índice de impacto para cada aspecto ambiental; faturamento bruto da organização); 3. Também é necessário discutir o cálculo do Valor de Impacto da Biodiversidade (VEIB), considerando as condições específicas aplicadas em sistemas de PSA e, consequentemente, para a estimativa de ACB minimum e, finalmente, ACB realizadas e ACB a realizar; 4. Por outro lado, o uso do método LIFE em empresas que não sejam da área agrícola, mas considerando sua aplicação em empresas urbanas, industriais e comerciais, por exemplo, é perfeitamente possível e reconhecido pela própria metodologia. Além disto, ações de conservação de biodiversidade e/ou projetos de PSA também são perfeitamente possíveis e necessários não apenas para o desenvolvimento sustentável rural, como também urbano; 5. Assim, sob a perspectiva de um PSA, conforme os principais aspectos legais, técnicos e econômicos discutidos neste trabalho, e considerando principalmente os tipos de medidas 112
ambientais conforme LIFE (2014, b), seria extremamente interessante se a metodologia LIFE fosse estudada para a finalidade de aplicação em PSA propriamente dito; 6. Desta forma, a metodologia LIFE, tal como aqui verificada, é muito consistente no sentido de propor um mecanismo compensatório em ambientes urbanos, mas mesmo neste caso, ainda é necessário imaginar-se uma forma de traduzir as medidas ACB em projetos PSA. Esta “transferência” poderia ser possibilitada se as medidas ACB pudessem ser expressas monetariamente, de forma a financiar os projetos de PSA; 7. Além disto, o método LIFE deveria (ou poderia) ser adaptado, talvez por intermédio dos 05 aspectos ambientais (consumo de água, consumo de energia, emissão de gases do efeito estufa, produção de resíduos sólidos e disposição final de cada tipo de resíduo) para o meio rural (empreendimentos agrícolas no bioma Cerrados, por exemplo), e; 8. De qualquer maneira, as medidas ACB, tais como propostas, poderiam ser uma limitação (ou restrição) relacionada com as possibilidades de compensação de área devido ao potencial conflito pelo uso de áreas. Este é um argumento sólido para apoiar a conversão das medidas ACB, considerando a importância dos serviços ambientais conforme até estabelecidos (áreas de preservação permanente, áreas de reserva legal, áreas de conservação e outros tipos de áreas protegidas, como mecanismos voluntários ou mandatórios). Outro critério de avaliação econômica ambiental aqui estudado, dentro da perspectiva dos projetos de PSA deste trabalho, foi a metodologia “Projeto de Compensação Ambiental” (Vpa). O método do Projeto de Compensação Ambiental (Vpa) é derivado do método de avaliação econômica de danos ambientais (método CATE-DAI) e também das medidas ambientais (prevenção, correção, mitigação, controle, compensação e/ou indenização), dentro de uma perspectiva técnica e jurídica da recuperação ambiental em razão da degradação de um dado local e conforme o sistema jurídico brasileiro. Com o advento da Lei de Crimes Ambientais, isto é, da Lei n. 9.605, de 12 de novembro de 1998, que dispõe sobre as penalidades legais e administrativas resultantes de condutas e atividades causadores de danos ao meio ambiente, e dá outras providências, novas perspectivas surgiram com respeito ao escopo da avaliação de danos ambientais e, principalmente, quando foram trazidas para a esfera jurídica. Esta nova perspectiva reforçou a Política Nacional do Meio Ambiente implementada em 31 de agosto de 1981, entre outras disposições legais ambientais: “Artigo 4º - A Política Nacional do Meio Ambiente visará; .... VII – à imposição, ao poluidor e ao predador, da obrigação de recuperar e/ou indenizar os danos causados e, ao usuário, da contribuição pela utilização de recursos ambientais com fins econômicos”.
Neste sentido, foi discutido, neste trabalho, se o método “Vpa” poderia colaborar para o desfecho satisfatório não somente destas demandas judiciais ambientais, como também, para o apoio econômico aos projetos de PSA. Este objetivo foi buscado porque esta metodologia pretende servir como um instrumento de negociação e, diante da estimativa dos valores pecuniários, para definir, com segurança, adequadas medidas de prevenção, controle, mitigação, correção, compensação e indenização ambiental. 113
Por outro lado, este método poderia ser um racional, lógico, ponderado e útil instrumento para a conciliação de conflitos de interesses ambientais e antrópicos sempre presentes em demandas ambientais. Além disto, este “espírito” propicia a busca pelo desenvolvimento econômico sustentável, isto é, a contínua perseguição da compatibilidade do crescimento econômico e da geração de emprego e renda e a manutenção dos atributos ambientais (conservação e proteção). Neste sentido, a melhoria e a manutenção da qualidade de vida das presentes e futuras gerações poderiam ser implementadas como um dos mais importantes objetivos de qualquer sociedade. Por outro lado, um Estado brasileiro real poderia ser construído sob uma nova mentalidade e um novo posicionamento de todos os agentes do processo de gestão ambiental (Poder Público, Empresas, Mercado e, por que não, a própria sociedade). Assim, pode-se notar que, em razão do instrumental jurídico disponível, principalmente após a Lei de Crimes Ambientais, e dentro de um processão de gestão ambiental, mecanismos para a avaliação econômica de indenizações ambientais tem sido pesquisados (especialmente sob o ponto de vista dos danos ambientais irreversíveis). De acordo com este cenário, uma dúvida e/ou uma necessidade surgem, qual seja, se esta nova perspectiva de demandas ambientais (valor econômico determinado como indenização ambiental por um determinado e específico processo de avaliação de danos ambientais), inclusive frente a perspectiva dos projetos de PSA, pode ser satisfeita pela metodologia “Vpa”. Esta questão é relevante porque o método enfatiza, inicialmente, o grupo inteiro de medidas ambientais e não apenas a medida de indenização ambiental “per se”. Além disto, medidas ambientais, danos ambientais diretos e indiretos, danos reversíveis ou irreversíveis, e estimativa econômica de danos ambientais precisam ser melhorados para fins de promover a conjugação técnica, econômica, administrativa, jurídica e legal. É necessário, quando um dano ambiental ocorre, promover a recuperação ambiental de um local degradado em específico por intermédio da implantação de medidas ambientais (ações de prevenção, controle, mitigação e correção ambiental) O Dano Ambiental Irreversível ocorrem durante o período de tempo considerado desde o surgimento do dano ambiental até a implantação das medidas ambientais e eles precisam ser estimados em bases monetárias. O método “Custos Ambientais Totais Esperados” (CATE), como uma metodologia para o cálculo econômico dos danos ambientais irreversíveis em determinado meio ambiente degradado foi apresentado neste trabalho. Este método apoia-se no modelo de Faustmann (Valor Esperado do Solo, um tradicional critério florestal de avaliação econômica) e considera diversos aspectos técnicos, econômicos e jurídicos, tais como as condições ambientais para a recuperação do meio ambiente, valores ambientais diretos e indiretos e o escopo da indenização dos danos ambientais. 114
O método CATE também considera 02 alternativas; danos ambientais intermitentes (CATE I), e; danos ambientais contínuos (CATE II). A metodologia aqui discutida, para fins de considerar o escopo indenizatório, apresenta, considerando ambos CATE I e CATE II, a equação “DAI” (danos ambientais irreversíveis), como também, a equação “Vpa” (projeto de compensação ambiental). As estimativas qualitativas e quantitativas dos danos ambientais de acordo com a presente abordagem metodológica permite, de uma forma rápida, direta e objetiva, que a autoridade competente possa estabelecer medidas ambientais apropriadas (não apenas prevenção, controle, mitigação e correção, mas também, compensação e indenização). Além disto, a metodologia tem uma característica “tempo-dependente”, isto é, quanto mais tempo a recuperação dos danos ambientais demorar, maior será o valor dos danos ambientais irreversíveis. Este raciocínio aplicado a este trabalho (Valor Esperado do Solo CATE I e CATE II DAI Vpa) empresa a esta metodologia de avaliação econômica de danos ambientais irreversíveis (valor econômico da indenização ambiental), e principalmente para o projeto de compensação ambiental (Vpa), o mesmo raciocínio matemática de ambos o modelo de Faustmann e o método CATE, qual seja, “valor futuro dos custos ambientais totais esperados em face de um dano ambiental intermitente / contínuo, de acordo com uma série infinita de vida útil de “n” anos, produzido, ou em outras palavras, o valor presente dos custos ambientais totais esperados produzidos por um determinado processo de degradação ambiental”. Finalmente, o valor de VPA (CATE dividido por 11,73) pode ser utilizado não somente para propósitos de indenização ambiental, como também, e principalmente, para o propósito de projetos de PSA. 18. References ALISSON, Elton. Cidades pretendem reduzir quase pela metade emissões de CO2 até 2020. Available at:< http://agencia.fapesp.br/cidades_pretendem_reduzir_quase_pela_metade_emissoes_de_co2_ate_2020 /22365/>. Access: February, 02, 2016.
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