Where is the Power? Contesting the Community Empowerment Narrative in a REDD+ Pilot Project in Mushie, DR Congo

Abstract

This thesis investigates local community empowerment through Reducing Emissions from Deforestation and Forest Degradation (REDD+) pilot projects in the Plateaux District in the Mai-Ndombe province of the Democratic Republic of Congo (DRC). The province encompasses two districts (Plateaux and Mai-Ndombe) with 1.5 million inhabitants and 87 percent tropical rainforest cover. However, deforestation is a significant threat, with 269,000 hectares (ha) lost between 2000 and 2012, due mainly to agriculture on burned fallow land and production of charcoal to supply the city of Kinshasa. Deforestation rates in certain areas reach 8%. The Plateaux District, a deforestation hotspot, is an agricultural frontier area of significant importance for biodiversity that exhibits high levels of poverty. Its 2000-2014 deforestation rate of 0.44 percent (as a percentage of the existing carbon stock) prompted its inclusion in the national REDD+ integrated programme supported by the Central Africa Forest Initiative (CAFI). The United Nations Framework Convention on Climate Change (UNFCCC) recognized the potential role of forests and forest communities in contributing to climate change mitigation. As forests contain substantial stores of carbon, their degradation and/or conversion to other land cover causes the release of some of the carbon stored within them; conversely, their restoration can absorb atmospheric carbon. Recognizing the potential role of forests in contributing to climate change mitigation, the UNFCCC developed REDD+, which includes reducing emissions from deforestation and forest degradation, the conservation of forest carbon stocks, sustainable management of forests, and enhancement of forest carbon stocks. REDD+ is thus a potentially important way to reduce total GHG emissions and thus mitigate climate change. The UNFCCC also recognizes the need for the full and effective participation of local communities since there are those who are affected by or can affect a decision by REDD+ implementation. The REDD+ decisions in the Cancun Agreement emphasize the participation of these groups to align with the UN Declaration on the Rights of Indigenous Peoples on Climate Change, which includes reference to the right to right to Free, Prior and Informed Consent (FPIC). The study aims to understand and analyze the complexities of local communities’ participation in forest governance by identifying the moments when local communities' power emerged and was exercised in a REDD+ pilot project. In doing so, the study focuses on a set of specific issues related to forest governance and the establishment of REDD+ pilot projects. Firstly, it assesses the participation of local communities in REDD+ pilot project in Mushie territory by examining the institutional arrangements of local communities’ participation and the interactions surrounding their implementations in REDD+ pilot project. Secondly, it examines local community power within the REDD+ benefits sharing mechanism (BSM) by exploring the webs of power and the bundles of power configuring the access to benefits from REDD+ pilot project’s activities. Finally, it examines the emergence of local communities’ power in four “locations” (distinct conceptual contexts). The thesis employs a political ecology (PE) framework to understand local community participation in REDD+ pilot projects with a focus on power dynamics that shape environmental changes. In this thesis, the PE framework examines local community power in the REDD+ pilot project using the concepts of power developed by Allen (2014) and the four “locations of power” developed by Ahlborg and Nightingale (2018). The thesis applied a case study research design and combined different data collection techniques, including document analysis, semi-structured interviews/key informant interviews, focus group discussions, household surveys, participant observation and field observation. The key findings in the summaries of the three interrelated essays that make up the thesis are now presented: 1. Contested visions of community participation for carbon management: Evidence from the PIREDD/Plateaux project in Mushie, Democratic Republic of Congo (Essay 1) Local communities play a significant role in forest governance, as outlined in the UN decisions regarding Reduced Emissions from Deforestation and Forest Degradation (REDD+) projects. Additionally, the Cancun Agreement acknowledges that the involvement of local communities is vital for effective action across all aspects of climate change. Therefore, local community participation constitutes a crucial aspect of REDD+ social safeguard guidelines. However, despite REDD+ projects expressing their intention to empower and engage local communities through participatory activities, many researchers have observed only nominal or symbolic transfers of power. This study aims to explore and elucidate the underlying reasons for this discrepancy using a case study of a REDD+ pilot project in Mushie in Democratic Republic of Congo. Drawing upon data gathered through household surveys, interviews, focus group discussions, field observations, and participant observations, this paper illustrates how divergent interpretations of "local community participation" among the various organizing institutions hinder the agency and empowerment of local communities in REDD+ projects. Employing Ahlborg and Nightingale's (2018) framework of four "locations of power" in resource governance projects, the paper analyzes local community participation in REDD+ initiatives structured around Local Committees for Development (LCDs). It finds that local community participation in REDD+ pilot projects through LCDs led to conflicts over epistemologies (first location of power), resulting in operational discrepancies (second location of power). While Payment for Ecosystem Services (PES) was promoted as the primary incentive to encourage communities to join LCDs, the LCDs were not granted authority over the PES process. This allowed traditional authorities to secure privileged roles within the LCDs and populate them with their own supporters. Moreover, the failure to deliver on promised PES payments resulted in widespread frustration. 2. Accessing the benefits sharing mechanism of a REDD+ project: Community participation and power brokers in PIREDD–Plateaux, Mushie, Democratic Republic of Congo (Essay 2) Current endeavors to comprehend the involvement of local communities in REDD+ projects have predominantly focused on identifying the extent of power gained, particularly in terms of managerial or decision-making authority. However, these linear and static viewpoints on local community participation overlook opportunities to accurately assess how power has been acquired or not. The process of benefit sharing represents one of several instances where local community power can be generated or constrained within such projects. This study delves into the participation of local communities in a REDD+ project beyond the scopes of managerial authority and labor supply, aiming to underscore critical yet uneven ways in which intermediaries mediate these processes. The Integrated REDD+ Plateaux Project (PIREDD–Plateaux project) served as a REDD+ pilot initiative in the Plateaux District of the Mai-Ndombe province in the Democratic Republic of Congo. Drawing on Ribot and Peluso's (2003) theory of access and the literature on the intermediaries in forest governance, this study examines the participation of local communities concerning their capacity to benefit from REDD+. The ability to derive benefits from resource governance projects encompasses not only the entitlement to benefit from these resources but also the dynamics of access. This paper seeks to contribute to the understanding of local community power within the REDD+ benefits sharing mechanism (BSM) by exploring the intricate "webs of power" and "bundles of power" configuring access to benefits derived from REDD+ pilot project activities. The paper contends that pivotal instances where local community power was anticipated to manifest were during the implementation of REDD+ pilot project activities and the distribution of resources from these activities. However, it was the power brokers, notably the traditional authorities, whose influence prevailed during these critical junctures, particularly in the composition of the steering committees of newly established local committees for development (LCDs). Consequently, the local community never managed to effectively mobilize its own power to shape the BSM or receive the financial benefits initially incentivizing their participation. The exercise of local community power was frequently constrained or exploited by other actors. For instance, when payments for environmental services (PES) were delayed, traditional authorities received payments "in advance," while local community members had to endure waits exceeding five months. These findings indicate that LCD steering committees, intended to represent local communities, failed to effectively configure access to REDD+ benefits regarding their bundles of power or their position within the webs of powers. 3. Local community participation as an important puzzle in REDD+ pilot projects: How do lessons from Mushie advance knowledge? (Essay 3) This article situates the experiences of Plateau district community involvement in the implementation of REDD+ in the context of other REDD+ pilot projects. Given their direct impact from the REDD+ pilot project, the active participation of local communities holds significant importance in both the design and execution phases. The participation of local communities is grounded in the notion that their behavior can be influenced through the provision of economic incentives and appropriate technical assistance. A review of experiences in other pilot projects found different configurations and logics for local participation, which offer five key lessons that can inform the next phases of REDD+ projects. These lessons collectively indicate that advancements towards achieving the comprehensive and effective participation envisioned in Decision 1/CP.16, also known as the Cancun Agreements, can be realized by considering local power dynamics and various factors beyond mere economic incentives that shape community participation. This approach aligns with the principles of good forest governance and contributes to the engagement of existing REDD+ stakeholders in a manner consistent with these principles.