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Socio-environmental governance and the role of civil society

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Title:
Socio-environmental governance and the role of civil society the case of the Mato Grosso Sustainable Municipalities Program
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Medina Ramirez, Oswaldo Miguel ( author )
University of Florida Digital Collections
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1 online resource (41 pages) : illustrations ;

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Agriculture ( jstor )
Civil societies ( jstor )
Deforestation ( jstor )
Directive interviews ( jstor )
Forests ( jstor )
Governance ( jstor )
Government initiatives ( jstor )
Municipalities ( jstor )
Nonprofit organizations ( jstor )
State government ( jstor )
Sustainable Development Practice field practicum report M.D.P
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bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

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Abstract:
The Amazon biome spans nine countries, with the Brazilian Amazon covering almost one-third (4.1 million km2) of the world's remaining tropical forests (May et al., 2011). These tropical forests play a crucial role in biodiversity conservation and provide essential ecosystem services for society (Hargrave and Kis-Katos, 2013). In Brazil, programs and projects that seek to improve socio-environmental governance and stop deforestation have been implemented by governments and social organizations; sometimes these efforts are conducted in partnerships and other times independently. In the state of Mato Grosso, Brazil, a collective effort by civil society organizations, local stakeholders, local municipalities, and the state government has led to the start of the Programa Mato-grossense de Munic�ipios Sustent�aveis, or the Sustainable Municipalities Program (SMP). This program aims to improve environmental governance and strengthen sustainable agricultural supply chains at the municipality level. This report outlines the research that was carried out to fulfill requirements for the University of Florida's Master of Sustainable Development Practice Field Practicum (FP) in the summer of 2016, which was completed in partnership with the local Brazilian NGO Instituto Centro de Vida (ICV). ICV is part of the RECAM network, a cohort of Brazilian NGOs that focuses on environmental governance issues in the Brazilian Amazon. This research activity was made possible by the Amazon Conservation Leadership Initiative at the University of Florida. This initiative facilitates learning and interaction among practitioners, scholars, and members of RECAM, including Brazilian universities and the University of Florida. ( ,, )
Abstract:
The main objectives of this report are to i) conduct a governance analysis of the Sustainable Municipalities Program \U+2013\ SMP and ii) determine the influence that the ICV has on the SMP governance process. An assessment of the governance of SMP was conducted based on the review of secondary information, personal interviews and first-hand observations. A theoretical framework was used to better understand those governance processes. The framework adapted two approaches: governance requirements and the NGO's impact; these lenses were used to shed light on the principal findings of this study. This report is divided into six sections: i) a description of the geographic, historical, economic and policy context of the SMP; ii) the methods used; iii) an overview of the SMP and the role of ICV within the program; iv) an analysis of the SMP\U+2019\s governance including the role of ICV in those governance processes; v) a literature review and the proposed theoretical framework explaining the principal findings of section iv; and vi) the conclusions and implications.
Bibliography:
Includes bibliographical references.
General Note:
In the University of Florida Digital Collections.
General Note:
The MDP Program is administered jointly by the Center for Latin American Studies and the Center for African Studies.
Statement of Responsibility:
by Oswaldo Miguel Medina Ramirez.

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University of Florida
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Copyright Oswaldo Miguel Medina Ramirez. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
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035387592 ( ALEPH )
1013977913 ( OCLC )
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LD1780.1 2017 ( lcc )

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S ocio Environmental Governance and the Role of Civil Society: The case of the Mato Grosso S ustainable Municipalities Program By : Oswaldo Miguel Medina Ramirez A Field Practicum Report submitted in partial fulfillment of the requirements for a Ma ster of Sustainable Development Practice Degree at the University of Florida, in Gainesville, FL, USA April 2017 Supervisory Committee: Dr. Robert Buschbacher chair Dr. Grenville Barnes member

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Contents FIGURES AND TABLES ................................ ................................ ................................ ............................ 4 Figures ................................ ................................ ................................ ................................ .......................... 4 Tables ................................ ................................ ................................ ................................ ............................ 4 ACRONYMS USED ................................ ................................ ................................ ................................ .... 5 I. INTRODUCTION ................................ ................................ ................................ ................................ 7 II. GEOGRAPHIC, HISTORICAL, ECONOMIC A ND POLICY CONTEXT OF THE SMP ............... 8 Geographical, economic and historical context ................................ ................................ ............................ 8 Main economic drivers ................................ ................................ ................................ ............................... 11 SMP Policy Context ................................ ................................ ................................ ................................ .... 12 III. METHODS USED ................................ ................................ ................................ .......................... 16 Secondary data analysis ................................ ................................ ................................ .............................. 16 Semi structured interviews ................................ ................................ ................................ ......................... 17 IV. OVERVIEW OF THE SMP AND THE ROLE OF ICV WITHIN THE PROGRAM ................... 18 Sustainable Municipalities Program ................................ ................................ ................................ ........... 18 The governance of the SMP ................................ ................................ ................................ ........................ 21 ................................ ................................ ................................ ................................ 23 V. GOVERNANCE PROCESSES ................................ ................................ ................................ .................. 23 ICV's participation in the SMP ................................ ................................ ................................ ................... 24 SMP as an instrument to improve environmental governance ................................ ................................ .... 25 Factors that may have promoted or impeded SMP implementation ................................ ........................... 25 VI. LITERATURE REVIEW AND THE PROPOSED ANALYTICAL FRAMEWORK EXPL AINING THE PRINCIPAL FINDINGS OF SECTION IV ................................ ............................. 27 Environmental Nongovernmental Organizations (NGO) impacts ................................ .............................. 28 Micro and Macro demands of NGOs. ................................ ................................ ................................ ......... 28 Activist Strategy. ................................ ................................ ................................ ................................ ......... 29 Time lag influence. ................................ ................................ ................................ ................................ ..... 30 The SMP as a public agenda ................................ ................................ ................................ ....................... 30 Governance requirements for a robust governance ................................ ................................ ..................... 31 VII. CONCLUSIONS AND IMPLICATIONS ................................ ................................ ...................... 33 Conclusions ................................ ................................ ................................ ................................ ................. 33 Implications ................................ ................................ ................................ ................................ ................. 34 VIII. BIBLIOGRAPHY ................................ ................................ ................................ ........................... 35

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IX. APPENDICES ................................ ................................ ................................ ................................ 39

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FIGURES AND TABLES Figures Figure 1: Location and natural habitat of Mato Grosso, Brazil Figure 2: Deforested areas in Mato Grosso Figure 3: Figure 4 SMP expected policy cycle Figure 5. SMP time line Tables Table 1:

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ACRONYMS USED SMP: Su stainable Municipalities Program FP: Field Practicum ICV: Instituto Centro de Vida NGO: Non governmental organization RECAM: Brazilian NGOs networking GDP: Gross domestic product LAU: Licenciamento Ambiental nico SLAPR: The Environmental Licensing Syst em for Rural Properties PPCDAm: Plan for Prevention and Control of Deforestation in the Legal Amazon IBAMA: Brazilian Institute of Environmental and Renewable Natural Resources MMA: Ministry of Environment CAR: Cadastro Ambiental Rural (Rural Environmenta l Registry LR: Legal Reserves APP: Areas of Permanent Preservation (Permanent Conservation Areas) MT: Mato Grosso PCI: Produce, Conserve, and Include strategy TNC: The Nature Conservancy

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ISA: Socio Environmental Institute SEDRAF: Secretaria de Estado de Desenvolvimento Rural e Agricultura familiar EMBRAPA: Empresa Brasileira de Pesquisa Agropecuria IPAM: Instituto de Pesquisa Ambiental da Amaznia PMV: Programa Municpios Verdes (Green Municipalities)

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I. INTRODUCTION The Amazon biome spans nin e countries with the Brazilian Amazon covering almost one third (4.1 million km 2 hese t ropical forest s play a crucial role in biodiversity conservation and provide essential ecosystem service s for society (Hargrave and Kis Katos 2013). In Brazil p rograms and projects that seek to improve socio environmental governance and stop deforestation have been implemented by governments and social organizations ; sometimes these efforts are conducted i n partnerships and other times independently. In the state of Mato Grosso, Brazil, a collective effort by civil society organizations, local stakeholders, local municipalities, and the state government has led to the start of the Programa Mato grossense de Municpios Sustentveis or the Sustainable Municipalities Program (SMP) This program aims to improve environmental governance and strengthen sustainable agricultural supply chains at the municipality level. This report outlines the research that was car ried out to fulfill requirements for the University of Master of Sustainable Development Practice Field Practicum (FP) in the summer of 2016, which was completed in partnership with the local Brazilian NGO Instituto Centro de Vida (ICV). ICV is p art of the RECAM network a cohort of Brazilian NGOs that focuses on environmental governance issues in the Brazilian Amazon. This research activity was made possible by the Amazon Conserv ation Leadership Initiative at the University of Florida This initi ative facilitates learning and interaction among practitioners scholars and members of RECAM, including Brazilian universities and the University of Florida.

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Th e main objectives of this report are to i) conduct a governance analysis of the Sustainable Mu nicipalities Program SMP and ii) determine the influence that the ICV ha s on the SMP governance process. An assessment of the governance of SMP was conducted based on the review of secondary information personal interviews and first hand observations A theoretical framework was used to better understand those governance processes The f ramework adapted two approaches: governance requirements and the NGO s impact ; these lenses were used to shed light on the principal findings of this study Th is report i s divided into six sections : i) a description of the geographic, historical, economic and policy context of the SMP ; ii) the methods used ; iii) a n overview of the SMP and the role of ICV with in the program; iv) an analysis of the SMP governance including the role of ICV in those governance processes ; v) a literature review and the proposed theoretical framework explain ing the principal findings of section iv ; and vi) the conclusion s and implications. II. GEOGRAPHIC, HISTORICAL, ECONOMIC AND POLICY CONTEXT OF THE SMP Geographical, economic and historical context Brazil is the largest country in South America. The state of Mato Grosso is the third largest by area and is located in the Brazilian Midwest in the geodetic center of South America (see Fig. 1) The to tal area is 903 thousand km 2 ; the population is 3 million people. Mato Grosso has a total of 141 municipalities ( Instituto Brasileiro de Geografia e Estatstica [ IBGE ] 2016).

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Mato Gross Cerrado (savannah) and the Pantanal wetlands (May and Andrade 2011) See Figure 1 Tropical forest s play a crucial role in biodiversity conservation and provide essential ecosy stem services for society (Hargrave and Kis Katos 2013). (TEEB 2010), these forests produce and disperse humidity over a wide area, making them an essential driver of productive agriculture in the Southeast of Brazil and neighboring countries. Figure 1 Location and natural habitat of Mato Grosso, Brazil Source: May and Andrade, 2011 Deforestation in the Amazon is the main remaining stretch of tropical forest (Andrade et al 2013). The impacts of deforestation include the loss of biodiversity, reduced water resources and precipitation, and increased vulnerability to global warming (Fearnside 2005). In 2013, it was known that deforestation was concentrated north of

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Mato Gro sso and south of Para in a zone called the 2016). Between 2000 and 2010, Mato Grosso was responsible for around 40% of all deforestation in the Brazilian Amazon (see Figure 2). ; mostly through expansion of agricul tural activity (Azevedo Ramos 2017) Deforestation of th e Brazilian Amazon began in 1970 as a state driven process promoted by the military regime which included large scale infrastructure, settlements projects and fiscal incentives (Andersen et al. 200 2). Fiscal policies and credit for agricultural purposes brought numerous colonist from traditional agricultural lands in southern Brazil to Mato Grosso This region offers natural resource advantages for agricultur al development because of its tropical cl imate, smooth terrain and regular rainfall (Andrade et al. 2013) Since the 19 9 0 s, d eforestation dynamics have had strong market ties with cattle ranching and soybean cropping as two major sources of profit for Mato Grosso and Brazil as a whole (Andersen 1996 ; as cited in Hargrave and Kis Katos 2013).

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Figure 2. Deforested areas in Mato Grosso 2011 Source: Prodes/ Inpe, SEMA ICV Main economic drivers Agriculture and livestock production (together known as agribusiness) are the main economic a ctivit ies in the state of Mato Grosso Agribusiness domestic product GDP ( Instituto Matogrossense de Economia Agropecuria [ IMEA ] 2015). Andrade et al. (2013) estimate that 70% of the gross state product is relate d directly or indirectly rice and sugarcane (Andrade et al. 2013). National s oybean production has grow n at an average rate of 10% per annum since 1990 and r ea ched 17 million tons in 2008 (Policymix 2010). In 2015 soybean production reached 28 million tons (IMEA 2015). Also, between between 1990 and 2015 the national cattle herd expanded from 9 to nearly 28 million head (Andrade et al. 2013 ; IMEA 2015). This massive

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expansion led to considerable p roductivity and economic gains for the country (Policymix, 2010). In conjun ction with the expansion of agriculture and livestock production large areas of forest and Cerrado were converted into pasture a n d crops lands during the same time period (Policymix 2010). C attle ranching and soybean production have been identified as the major drivers of deforestation in Brazil together occupying more than 75% of newly deforested land (Ladle et al. 2010). SMP P olicy Context The Brazilian government has lead several policy and progr am initiatives towards forest conservation. Traditionally the responsibility of forest conservation was concentrated at the federal level (Neves and Whately 2016). Recently, h owever, more conservation initiatives are being designed to give states and municipalities a more active role and greater participation in the process. The rst in the Amazon region to initiate environmental decentralization ( Andrade et al. 2013) In 2000 Mato Grosso instituted a n environmental license called the Licenciamento Ambiental nico or LAU Furthermore, Mato Grosso utilized the LAU to design and implement the Environmental Licensi ng System for Rural Properties ( SLAPR ) Th e key element of these environmental initiatives, a technological package for monitoring illegal deforestation using satellite imagery forms the basis of both the LAU and SLAPR This technology allows i) monitoring of deforestation and ii) enforcement of state mandated deforestation limits through penalties Penalties, for example, may be exacted for surpassing the state authorized deforestation limit s or damage to protected areas ( Andrade et al. 2013)

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In 2004 the federal government launched the Plan for Prevention and Control of Deforestation in the Legal Amazon (PPCDAm). This plan represented an overarching strategy that included several, more targeted initiatives that covered three themes: land titling, monitoring and control, and sustainable productio n (Neves and Whately 2016). In 2007, the PPCDAm launched a major action by developing a list of priority municipalities for the prevention and control of deforestation in the Amazon (hereinafter, the priority list ) The priority list included the municipa lities with the highest rates of deforestation. E conomic sanctions and restrictions were imposed on those municipalities included on the list in attempt to control and slow the rates of deforestation. Authorization for new legal deforestation was banned. A n embargo was placed on properties where illegal logging was detected, and access to credit from federal agencies for economic activities carried out in embargoed properties was restricted ( Neves and Whately 2016) When the priority list was launched, 52 of the 141 Mato Grosso municipalities were included. More than 50% of the municipalities included fell within Mato Grosso giving it the majority share of municipalities with high deforestation rates The state of Para also ranked high on the list, contrib uting 30% of the total number of municipalities with high deforestation rates. So far, e leven municipalities have reach ed the requirements to exit the list ; six in Para and five in Mato Grosso. Figure 3 shows the location of the pr iority municipalities (or ange) and municipalities on the monitoring list (green ).

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Figure 3 Priority and monitoring municipalities Source: Br azilian Ministry of Environment, 2017 The criteria for a municipality to exit the priority list includes: reducing and maintaining the rate of deforestation to less than 40km 2 (measured by surface cleared annually), reduction from the average deforestation in previous years and the enrollment of 80% of farms in the Rural Environmental Registry (Cadastro Ambiental Rural CAR). S ince priority list of municipalities in 2013, the federal government has not added or removed any municipalities from the list ( Neves and Whately 2 016). Currently, three lists have been developed to promote transparency and improv ed monitoring of embargoed rural properties, and the monitoring list, which includes municipalities that have

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gotten off the priority list by successfully redu ced their rate of deforestation but require further monitoring to assure sustained progress. Each list is mandated to be publicly available through 1 (Priority list and monitoring list) or the Brazilian Institute of Environmental and Renewable Natural Resources (IBAMA) website 2 (list of rural embargoed properties) ( Neves and Whately 2016). The CAR ( launched in 2009) is a mandatory environmental registry system in which all rural properties must be mapped and regi stered with governmental authorities at the Ministry of Environment The implementation of the CAR requires geo referencing and identification of property boundaries, Legal Reserves (LR), and Areas of Permanent Preservation (APP). R ural landowners are requ ired to designate and maintain a percentage of their property area as LR. In the Amazon, the protected percentage is 80% ( at least). I n an LR area clear cutting is prohibited and only sustainable forest management is allowed (Chiavari and Lopes, 2017). The APPs include areas adjacent to rivers, reservoirs, river sources or head water, lakes, land above 1800 meters mangroves, dune vegetation and forests, the border of plateaus and mesas, wetlands, hilltops, and hillsides with a slope steeper than 45 (Jung e t al. 2017 ) In th e restructured Forest code (2012 ) the CAR plays an important role as the key instrument for monitoring purposes. This new forest code also decen tralized the management of Brazilian forests, delegating the CAR as the management tool for the states. 1 Ministry of Environment: http://www.mma.gov.br/florestas/controle e preven%C3%A7%C3%A3o do desmatamento/plano de a%C3%A7%C3%A3o para amaz%C3%B4nia ppcdam/lista de munic%C3%ADpios priorit%C3%A1rios da amaz%C3%B4nia 2 IBAMA: https://servicos.ibama.gov.br/ctf/publico/areasembargadas/ConsultaPublicaAreasEmbarga das.php

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In 2015 t he state government of Mato Grosso created a program called "Produce, Conserve, and Include PCI" that was presented at the COP21 in Paris. This plan aims to eradicate illegal deforestation, rehabilitate large tracts of degraded forests, improve agricultural productivity and livelihoods on family farms, as well as double agricultural output III. METHODS USED For the purpose of this report, a desc riptive, single case study methodology was used because it allows the integration of multiple sources of data (Yin 1994). Information was collected through a review of secondary data about the Sustainable Municipalities Program and the environmental gover nance status of Mato Grosso. Between May and July, 2016, s emi structured interviews were conducted with key stakeholders from Mato Grosso municipalities, state government, NGOs and consultants involved in the process. This research further benefited from t he ability to observe political and ICV internal discussion meetings. The data were collected in Portuguese and translated to English. Secondary data analysis The review of secondary data occurred prior to and during the time of the interviews. Relevant d ocuments were compiled with the assistance of the ICV team in Alta Floresta and also in Cuiaba. Documentation and organization took into consideration different sources and from where the information was generated (national, state, municipality). I nformati on was primarily gathered from government and public institutions, academi c institutions NGOs, a nd international organizations. The information was organized according to relevancy to the research topic including themes of governance arrangements, the inf luence of NGOs in public policies, public agendas, strategies,

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etc This information was used to describe the context where the SMP took place and to better understand the governance and policy dynamics within the SMP Semi structured interviews Interview data was collected using a semi structured guide with open ended questions. An interview guide was developed and refined following a preliminary consultation with the ICV team in Alta Floresta, Brazil; this was used to add uniformity throughout the data co llection process. The participant the SMP, their role within SMP, their attitude toward and the influence of ICV in the governance of SMP. Furthermore, the interviews a opinion s surrounding the potential of the SMP as an instrument for improving environmental governance in Mato Grosso Lastly, the participants were asked what factors may have promoted or impeded collaboration between actors and secto rs involved in the SMP. Interviews were conducted with local, state and national stakeholders. The ICV team supported the interview process by assisting with participant selection. Interviewees were selected based on an assessment of their knowledge and i nvolvement in the SMP, government policy, and resource conservation. In the case of local stakeholders, interviews were conducted with public employees (mainly from municipalities) and representatives of NGOs who had experience working with the SMP. At the state level, interviews were conducted in Cuiaba, the capital of Mato Grosso with representatives of the state government, NGOs, and consultants who had engaged with the SMP. At the national level, interviews were conducted with consultants and faculty m embers working on environmental issues in Brazil See table 1 for details on participant groups.

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Table 1: SMP's Interviews Organization Interviewees Organization (s) Municipalities 21 Alta Floresta, Carlinda, Peixoto de Acevedo, Apiacas, Nova Monte Verde, Paranaita, and Contriguacu Inter municipal consortiums 2 Vale de Juruena, Portal da Amazonia State Government 3 Cuiaba Civil Society Organizations 8 ICV IPAM TNC IBAMA Academics and consultants 2 Cuiaba and Rio de Janeiro IV. O VERVIEW OF THE SMP AND THE ROLE OF ICV WITHIN THE PROGRAM Sustainable Municipalities Program In 2013, a collective effort by civil society organizations, local stakeholders, and local municipalities led to the creation of the Sustainable Municipalities Pr ogram ( SMP ) The program design and implementation strategy were influenced by the experiences of municipalities in Mato Grosso that had previously improved their environmental sustainability as a result of active local governance strategies. For example, in Alta Floresta, the first municipality

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in Mato Grosso to exit the priority list the efforts of civil society organizations pushed the local government to create an official position for an environmental secretary Additionally, the local government dev eloped environmental polic ies to suppor t land tenure, environmental registration and reforestation of riparian fores t (Duarte and Thuault, 2014). NGOs working in Cotriguau and Querncia, two other municipalities in Mato Grosso, succeeded in influencing lo cal governance to improve enrollment in the CAR. The design and strategy of the SMP was further influenced by the Programa Municpios Verdes or Green Municipalities Program (GMP) in the state of Par. This program was promoted and developed by the state g overnment in 2011. The principal components of the GMP include land titling, environmental management, local pacts, CAR enrollment, and the structuring of municipal management ( Neves and Whately 2016). The key difference between the GMP and SMP lies in th eir promotion strategies; the GMP was promoted by the state, while the SMP was promoted by the municipalities and civil society organization s. Figure 3 shows the expected SMP cycle, where civil society organizations, municipalities, municipalities consorti ums and state government got together to create the SMP. The SMP has three strategic components/goals that seek to become part of the state government public agenda. The principal outcomes would improve socio environmental governance in the region. A feedb ack and adaptation process was also consider ed as par t of this cycle.

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Figure 4 SMP expected policy cycle In July 2013, the Instituto Centro de Vida (ICV), in partnership with The Nature Conservancy (TNC) and the Socio Environmental Institute (ISA), he ld the first Sustainable Municipalities seminar in Mato Grosso The principal purpose of this seminar was to bring together different sta keholders to start the design process of the SMP. They brought together different actors from the municipal, state and federal levels. These actors included civil society organizations, governmental and research institutions, and representatives from 23 Mato Grosso municipalities. O n March 12, 2014, the Sustainable Municipalities Program ( Programa Mato grossense de Munic pios Sustentveis ) was officially created by state decree No. 2,188. The principal objectives of the plan were to: 1) strengthen the basic conditions for environmental governance at the municipality level, 2) legalize resource and land tenure, and 3) estab lish sustainable supply chains focusing on smallholder farm production (Duarte and Thuault, 2014). Currently SMP covers 53 municipalities in Amazon Biome (A ppendix 1). To join the SMP the municipalities were required to sign an agreement letter, buil d the ir own plans, identify their own goals, and oversee those plans and goals through a monitoring platform.

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The agreement letter reviewed the municipal it commitments alongside the general goals of list specific actions with the intent of contributing to the SMP's goals. Finally, an online monitoring software was created to monitor Currently, just a few munic ipalities have submitted their information into the software ; T he monitoring process itself has not been implemented. The governance of the SMP The SMP governance framework follow s the principle of connecting local (bottom up) and state government (top dow n) planning and management regarding environmental and agricultural agendas This framework also seeks to increase the participation of civil society organizations in governance processes The SMP governance strategy functions through the incorporation of local government input (through municipal representatives, agricultural and environmental council members, etc.) within higher level decision making processes. In this way, municipal level input should be reflected within the state agenda. Using the state agenda as a guide, the state government and the SMP collaborate to fund programs and actions to support municipalities. During the first stage of the SMP, a n articulating committee (Comit Articulador) was charged with develop ing the formal proposal for th e SMP. The committee was made up of eight Inter Municipal Consortiums of Economic and Socio environmental Development of the State of Mato Grosso (Juruena Valley, Teles Pires Valley, Portal of the Amazon, Norte Araguaia, Vale do Arinos, Alto Teles Pires, A raguaia and Md io Araguaia), representing 65 municipalities The committee also included governmental representatives at the state and federal levels ( SEDRAF, SEDRAF MT, EMBRAPA) and civil society organizations (ICV, TNC IPAM, ISA) Once that

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the document was prepared, the internal rules and regulations for the program were established and a steering committee (Comit Gestor) was introduced Finally, i n June, 2014 through Act No. 20,994, the state governor appointed the member s of the SMP steering committ ee (A ppendix 2) The previously described took place under governor Silval da Cunha Barbosa's ( Partido do Movimento Democrtico Brasileiro PMDB) In January 2015, an administrative change occurred when Jos Pedro Gonalves T aques ( Partido da Social Democracia Brasileira PSDB) assumed office as governor of Mato Grosso ; this shift significantly influenced the program as the state government underwent a transition In February of 2015, the Executive Secretariat of the SMP was appointed to the Office of Articulation and Regional Development, which is responsible for conducting the necessary actions for the implementation of the SMP. In the same year, the SMP was restructured through Decree 323/15. Among the changes was the expan sion of the SMP to 15 Inter Municipal Consortiums in Mato Grosso. In F igure 5 I summarize the principal events (time line of the SMP). Figure 5. SMP time line

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The Instituto Centro de Vida ICV played a major role within the SMP. T he principal initiatives covered by this organization include articulation and coordination, technical cooperation and funding. ICV led the articulation and coordination process between municipalities and the Mato Grosso state government. Furthermore, the NGO mobilized civil society organizations and the municipalities to support the SMP. Overall, the ICV was the principal promoter of the SMP's seminars and has been a catalyst in the governance process of the program ICV has been offering technical suppor t to some municipalities regarding the elaboration of their planning goals environmental municipal programs the establishment of municipal environmental consortiums and mapping for CAR enrollment purposes. Municipalities and the state government have re cognized the key role of ICV as a civil society organization in socio environmental governance in Mato Grosso. V. ROLE OF ICV IN THOSE GOVERNANCE PROCESSES The following analysis is based on the key findings from the semi structured interview (see A ppendix 3) In general participants agree on the importance of address ing social and environmental issues in their territories. Some of the p rincipal social issues cited by the participants include family farming, food security and land tenure. In the case of environmental issues the principal challenges that the participants cited were illegal logging and the environmental contamination and ec ological degradation that deforestation processes imply.

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ICV's participation in the SMP S tate government representatives consider ed ICV the key player in the SMP. In fact, the presence of ICV was so profound that s ome representatives referred to the SMP as "The ICV's initiative". Furthermore, ICV was considered one of the principal organizations working with the municipalities at the ground level Both the m unicipalities and the state government recognize d ICV as an organization that promotes environment al values and plays a principal role in the SMP with different stakeholders involved in the SMP and their technical (capacity building) role, especially among the municipalities. The interviewed municipa lities considered ICV a strong technical partner in the socio environmental arena Almost all the interviewees municipalities had previous experiences working with ICV. In the case of the SMP, participants reported the role of ICV to be facilitation base d and technical in nature. Participants also mention ed the key role that the SMP coordinator in ICV plays in this process. Finally, ICV was often referred to as a negotiator or intermediary between municipal representatives and the state government. NGOs a lso recognize d the primary role of ICV within the SMP. NGO representatives reported on ICV's expertise in working with local initiatives The Olhos d`gua da Amaznia a project in Alta Floresta was one local initiative that was mentioned as a successful environmental project during the interviews ; ICV partnered with the municipality of Alta Floresta, other NGOs, and academic and governmental institutions In general, the NGOs showed support of ICV's role within the SMP NGOs agreed with municipal represe ntatives on the importance of the SMP coordinator of ICV in bring ing together government and civil society organizations.

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The leadership role of the SMP coordinator (part of ICV staff) was consider ed a key driver of success by the state government and muni cipaliti es She had been part of the municipal Olhos d`gua da Amaznia experience, she was able to bring her expertise to ICV to lead the SMP She u sed her access to government al and NGO networks and dynamics to establish and sustain a collaborative relationship with governments (municipal and state) and NGOs. SMP as an instrument to improve environmental governance The state government servants sugge sted that the SMP could play a role as a practical instrument to implement the PCI initiative, and allow both SMP and PCI to become parts of the formal state government agenda. NGOs further agreed with this position. They argued that the SMP is an ideal co mplementary strategy to the PCI because it can support program implem entation in local territories. At the municipal level, the SMP has brought the debate on socio environmental governance to municipal agendas. In some cases, the SMP planning goals have b een considered key elements of act as a technical and political negotiation tool in dealings with the state government. The SMP is therefore perceived as a means of acquiring resources to fund socio environmental initiatives and a point of access to capacity building. Factors that may have promoted or impeded SMP implementation The interviewees agreed that the SMP has faced many challenges since it was launched A lso, many participants still see the SMP as a start up project in its initial stages.

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The participation of the state government is considered a key element for SMP implementation. The state government plays two major roles with regards to the SMP: i) decis ion making surrounding SMP funds and ii) adoption and integration of SMP initiatives within the state environmental agenda. Ideally, the state governm ent should provide the support ( economic and political) needed for all initiatives that fall under t he S MP However, the state government has not had an active role in participation. Based on the interviews and observations of this study, the following political and economic factors appear to be the primary drivers of the state ively participate in the SMP: the new state government administration associated the SMP as an initiative of the past administration; the state government has a different vision of how to address environmental issues and their relation with crop and lives tock production which is evident in the greater focus on agribusiness in the PCI; the state government has to generate accountability for different constituencies for example agribusiness associations and small farmers associations, however, in the case o f the SMP the focus in the production axis is only small farmers involvement in the program is highly influenced by the incentives that the state government and NGOs provide to support the implementation of the SMP ; For example, economi c benefits, technical support, and political prestige all encourage municipal participation However, since the state government retracted the necessary funding for the SMP the municipalities have started to lose interest in the program A program that do t generate impacts (as was the SMP during this study ) is not attractive for gov ernment representatives because they would not gain political prestige This was particularly the case in a n election year as was the case during this study.

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In the municipalities, there is reportedly a lack of human resources to support socio environmental initiatives It is common to see agricultural and environmental agencies merged together within one secretariat. In those offices, there are on avera ge two people in charge of the secretariat's duties Furthermore, technical knowledge is often limited in these situations These aspects contribute to the weak implementation of SMP initiatives. NGOs play a key role in the SMP's sustainability in the long term. ICV is a key example of this, as a key promoter of SMP in public discussion. The SMP has lived through state and municipal elections that resulted in changes to the coordination of the program at state ( more common) and municipal (less common) level s ICV lobbied at the municipal and state level to secure the long term sustainability for SMP While this action by ICV was integral, empowerment of the municipalities was also essential for pushing for long term implementation of the SMP. VI. LITERATURE REVI EW AND THE PROPOSED ANALYTICAL FRAMEWORK EXPLAINING THE PRINCIPAL FINDINGS OF SECTION IV The following a nalytical framework includes a literature review based on theories related to environmental governance and the impact of NGO s in environmental governance. These theories inclu de the "governance requirements for a robust governance proposed by Dietz et al (2013) in which th e author propose s good governance requirements and the strategies to reach those requirements. NGOs impacts proposed by Rietig (2016) is b ased on the analysis of dif ferent strategies that NGOs use to influence environmental governance The analytical framework proposed in this report is based on the theories described above to analyze the principle findings f rom a theoretical standpoint. The purpose of utilizing this

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analytical approach is to conduct a preliminary analysis which will be dev elop ed a nd streamlined to construct context specific conceptual framework. The initial analysis from the analytical frame work will b e submitted to stake holders for feedback and review, a process that is currently underway. The researcher intends to use stakeholder feedback to validate and construct the conceptual framework. Environmental Nongovernmental Organizations (NGO) impacts In The power of Strategy: Environmental NGO influence in international climate negotiations by Rietig (2016), the author used certain frameworks to explain the impact of NGO s in the environmental arena. This section describe s some of frameworks which have been adapted to analyze the role played by ICV in the SMP program. Micro and Macro demands of NGOs. NGO demands can be differentiated along macro (overarchin g objectives) and micro (particular interests) demands (Rietig, 2016) on sustainability solutions that reconcile agricultur e and forestry with the conservation and restoration of natural ecosystems and their associated servic es. The micro demands meanwhile, operationalize the macro demands The ICV primarily works through micro demands to influence the design of policies and prog rams (with a focus on reduced deforestation and promotion of sustainable agriculture), as is the c ase of ICV involvement in the SMP. For this purpose, ICV uses strategic lobbying. According to Rietig (2016), lobbyists with direct access to gover nment representatives are well positioned to push for micro demands because they can directly target like min ded governments (p. 272). ICV has a

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strong lobbyist strategy because both the state government and municipal governments recognize According to Rietig (2016), NGOs can use lobbyist strate gies to approach the "friends" or the "foes" separately or simultaneously. In general, ICV has been using its lobbying strategy to of existing networks with gov ernment representatives and their interests ). Activist Strategy. NGOs use activist strategies to put pressure on government representatives. Historically the ICV has used three types of activist strategies: information politics, symbolic p olitics, and, leverage politics. Information politics involve increased influence of NGOs via the distribution of information within their networks and the media (Rietig, 2016). The ICV uses their influence in the region and their strong stakeholder netwo rk to advocate for the SMP. The platforms through which this information is spread include: meetings with mayors, small farmer organizations, agribusiness and so on. Additionally, the ICV has a specific communications office that is in charge of their rela tionship with the media. Symbolic politics is the ability to call upon symbols, actions, or stories to make sense of a situation or clai m for a distant audience (Keck and Sikkink, 1998). The ICV used the Agua e Vida Project and their role in Alta Florest promote and communicate the importance of socio environmental initiatives to municipalities and the state government.

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Leverage politics is the ability to call upon powerful actors to influence a situa tion where weaker members of a network are un likely to have influence (Keck and Sikkink, 1998). ICV uses leverage politics by mobilizing mayors of the participating municipalities. The objective of ecision makers to include the SMP as a public agenda. Additionally, face to face communication has been a key strategy for increasing municipal support of the SMP. Time lag influence. Activist strategies carried out by NGOs mainly occur when NGOs disagre e with the government position. In this case, the SMP can be considered an activist strategy implemented by the ICV. governments have not yet formed their negotiat was recognized that the state government did not have a clear negotiation position and the SMP emerged to fill this gap. Therefore, the state government supported the SMP during its design and launch, offe ring financial and technical support to this initiative. The SMP as a public agenda The influence of the ICV on municipal governments is crucial for the adoption of the SMP as a state level public agenda. There are different models of agenda building: the outside model that arise s in nongovernmental groups then become s the public agenda and finally is ado pted as the formal agenda. The next model is the mobilization model, when issues are initiated inside the government and almost automatic ally reach the status of formal agenda. The third is the inside initiative model, when issues arise within the governme ntal sphere but their supporters do not try to expand them to the public (Cobb et al. 1976 ). This is a conceptual interpretation, however in

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practice one agenda can have different levels and be consolidated through combinations of agenda building m odels. The SMP can therefore be considered a combinatio n of the outside initiative model, the mobilization model, and the inside access model. The SMP was promoted by a group external to the government structure, in this case, a non governmental organization (ICV); this place the initiative well within the de finition of the outside initiative model. Essentially, the ICV sought to expand the interest of municipalities in Mato Grosso as a means of gaining ground with the public agenda. Furthermore, these actions put pressure on the Mato Grosso state government t o reach formal agenda status. In the case of the mobilization model, "it describes the process of agenda building in situations where political leaders initiate a policy but require the support of the mass public for its implementat ion." (Cobb et al., 197 6 ). ICV has continually used the support of mayors and municipal consortiums to influence the state government. Finally, the SMP has characteristics of the inside access model because "in this model, policy originates within a governmental agency, or with in a group which has easy and frequent access to political decision ma kers," (Cobb et al., 1976 ). In the case of the SMP, the ICV plays the role of facilitator between municipal ities and the state government. Governance requirements for a robust governance The purpose of this section is to analyze if the governance requirements proposed by Dietz et al. (2013) in the paper The struggle to govern the commons can be useful to analyze the governance processes of the SMP. Provide necessary information Accordin depends on good, trustworthy information about stocks, flows, and processes within the resource

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ICV provided imp ortant information about the goal of the program including the principal program components and its operational plan. However, currently (3 years following first SMP seminar) there is a lack of information and understanding about the SMP especially among municipal public servants. Induce compliance with rules Rules and enforcement mechanisms (formal and informal) have using positive mechanisms that involved economic sup port (expected to be provided by the state government), capacity building, and technical cooperation (provided by ICV). Encourage adaptation and change According to Dietz et al. (2003), one of the principal tions must be designed to allow for adaptation because some current understanding is likely to be wrong, the required scale of organization can political transiti on (changes of government officials). Additionally, municipalities and the ICV are trying to position the SMP as a complementary strategy to the PCI. The ICV as an institution has the ability to adapt and negotiate across different contexts; this directly influences the way that the PMS has been conducted, considering the key role that the ICV plays in the SMP. In the case of the SMP, it appears that the general requirements for robust governance institutions cited by Dietz et al. (2003) are important for d esigning strategies that promote greater structured dialogue involving experts, users, and interested publics, and informed by analysis of key informat ion (Dietz et al., 2003 ). For the SMP, this assumption is critical. Effective and adequate information leads to trust, strengthened social

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capital, and more effective conflict management; all of which are necessary situation. The second and third strategies, Nesting and Institutional Variety, respectively, allow for the recognition of complex and dynamic approaches that must be addressed for good governance practices. VII. C ONCLUSIONS AND IMPLICATI ONS Conclusions Municipalities, civil society organizations, and the state government consider the SMP an innovative bottom up initiative to promote socio environmental governance in the region. Participants of the SMP believed that the program has the po tential to be a flexible instrument in negotiations between state government, municipalities, and civil society organizations. Furthermore, the SMP is perceived to be complementary to the PCI initiative. Overall, the ICV was a catalyst for the governance strategy of the SMP. The theoretical framework surrounding the impacts of NGOs and public agendas was useful in understanding SMP has been considered successful, there is a general lack of municipal empowerment within the program. Although the SMP was created in 2013, the program remains in the initial stages of implementation. The principal reasons for the implementation delay are: weak participation of the state government, political transitions, and lack of municipal empowerment through the SMP. Additionally, the primary motivator behind municipal enrollment in SMP was to gain access to economic resources to fund socio environmental initiatives; the ultimate goa l being exiting the priority list.

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The governance requirements for robust governance, were useful for analyzing key elements in Public organizations and NGOs were oftentimes working for the same objectives but with minimal collaboration. In order to promote more cooperative work, the governance requirements (Dietz et al. 2003) may offer a set of tools for collaborative implementation and adaptation to local, national and international contexts within governance. Implication s F eedback and adaptation process es plays a key role in improving governance. For development practitioners, civil society organizations and governmental institutions an understanding of governance systems is critical for building effective programmatic d esign strategies at various levels. Furthermore, this understanding can allow them to promote coordination efforts among internal dynamics and priorities and the political and economic transitions that strongly influence programs and public policies. Empowerment strategies are a key factor in the SMP because actions.

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VIII. BIBLIOGRAPHY Andrade, J., May, P., Bernasconi, P. (2013). A policy mix to finance protected areas in Mato Grosso, Brazil: value added from REDD. Instituto Centro de Vida. Retrieved from: http://www.icv.org.br/wp content/uploads/2013/11/a policymix.pdf Arnold J. and Bartels W. (2014). Participatory methods for measuring and monitoring governance. Adaptive cross scalar governance of natural resources. Earthscan from Routledge 238 262. Azevedo Ramos. C. (2007). Sustainable development and challenging deforestation in the Brazilian Am azon: the good, the bad and the ugly Food and Agriculture Organization of the United Nations. Retrieved from : http://www.fao.org/docrep/011/i0440e/i0440e03.htm Barnes G. and Child B. (2014). Adaptive cross scalar governance of natural resources. New York; London; Earthscan from Routledge 2 10. Cobb, R., Ross, J., and Howard Ross M. (1976). Agenda building as a comparative political process. The American Political Science Review 70(1), 126 138. Retrieved from: https://www.unc.edu/~fbaum/teaching /articles/Cobb_Ross_and_Ross_1976.pdf complexity. INPUT Iniciativa para uso da Terra. Retrieved from: https://climatepolicyinitiative.org/wp content/uploads/2015/11/Policy Brief Part I How to Navigate the Complexity.pdf Dietz, T., Ostrom, E., Stern, P. (2003). The struggle to govern the commons. Science 302, 1907 1911. Retrieved from: http://www.purdue.edu/mandela

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fellowship/schedule/2016/Dietz%20Ostrom %20Stern%20Science%202003%20Govern%20com mons.pdf Fearnside, P.M. ( 2005 ) Conservation Biology 19 (3), 680 688. Retrieved from: http://www1.uwindsor.ca/ees/system/files/Reference%201%20 %20deforestation%20in%20brazil%20 %20history,%20rates%20and%20consequences.pdf Governo de Mato G rosso. ( 2016 ) Geografia de Mato Grosso. Cuiba, Brazil. Retrieved from http://www.mt.gov.br/geografia Hufty, M. ( 2009 ) The governance analytical framework. Institute of International Studies, Geneva. Retriev ed from http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.379.1551&rep=rep1&type=pdf Hargrave, J., Kis tion in the Brazilian Environmental and Resource Economics 54 (4), 471 494. Retrieved from: http://www.vwl iwipol.uni freiburg.de/iwipol//REPEC/fre/wpaper/DP17_Hargrave_Kis Katos Economic_Causes_of_Deforestation_in_the_Brazilian_Amazon.pdf Instituto Centro de Vida. ( 2015 ) Programa Mato grosse nse de Municpios Sustentveis Retrieved from http://www.icv.org.br/site/wpcontent/uploads/2015/04/Cartilha_PMS_maio_2015.pdf Instituto Brasileiro d e Geografia e Estatstica [IBGE] ( 2010 ) Mato Grosso Statistics. Cuiaba, Brazil. Retrieved from: http://www.ibge.gov.br/english/

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Instituto Mato Grossense de Economia Agropecuria [IMEA] ( 2015 ) Mato Grosso economic fact ors. Retrieved from: http://www.mt.gov.br/economia International Fund for Agricultural Development [IFAD] ( 2006 ) Handbook for the analysis of the governance of microfinance institutions. Accessed February 2. https://www.ifad.org/documents/10180/6de5fae4 d98e 4406 ab48 4b6e8f0c6ba0 Jung, S., Rasmussen, L. V., Watkins, C., Newton, P., & Agrawal, A. (2017). Brazil's nati onal environmental registry of rural properties: Implications for livelihoods. Ecological Economics, 136 53 61. Retrieved from http://ac.els cdn.com/S0921800916308758/1 s2.0 S0921800916308758 main.pdf?_tid=4501f5b6 2063 11e7 95a7 00000aacb35e&acdnat=14920 99819_616e5ee4c7a7dc840b05b309cb9af063 May, P.H., Millikan, B. and Gebara, M.F. (2011). The context of REDD+ in Brazil: Drivers, agents and institutions. Occasional paper 55. 2nd edition. CIFOR, Bogor, Indonesia. Retrieved from http://www.cifor.org/publications/pdf_files/OccPapers/OP 55.pdf Keck, M. and Sikkink, K. (1998). Activist beyond borders. Advocacy networks in international politics. Ithaca, Cornell. Retieved from: http://isites.harvard.edu/fs/docs/icb.topic446176.files/Week_7/Keck_and_Sikkink_Transnational _Advocacy.pdf McGinnis, M. D. (2011). An in troduction to IAD and the language of the Ostrom Workshop: a simple guide to a complex framework. The Policy Studies Journal, 39 (1), 169 181. NOAA Coastal Services Center. 2009. Introduction to Conducting Focus Groups. Charleston, SC. Accessed May 16. https://coast.noaa.gov/?redirect=301ocm

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Neves, E. and Whately, M. (2016). Municipalities and policies against deforestation in the Brazilian Amazon. Novos Estudos. CEBRAP, 67 83. Retrieved from http://novosestudos.uol.com.br/v1/files/uploads/contents/content_1648/file_1648.pdf Ostrom, E. (2011). Background on the institutional analysis and development fram ework. The Policy Studies Journal, 39 (1), 7 24. POLICYMIX. (2010). Case study description: Mato Grosso. Retrieved from http://policymix.nina.no/LinkClick.aspx?fil eticket=lwvFbHv6s4o%3D&tabid=3560 Rietig, K. (2016). The power of strategy: environmental NGO influence in international climate negotiations. Global Governance 22, 269 288. TEEB. ( 2010 ) The economics of ecosystems and biodiversity. Amazon case study. Chapter 5. Annex 3. Bonn: UNEP. Whitehead, T. ( 2006 ) Workbook for Descriptive Observations of Social Settings, Acts, Activities & Events. College Park, MD: University of Maryland. Young, O. R. (2010). Institutional dynamics: Resilience, vulnerability and adaptation in environmental and resources regimes. Global Environmental Change 20, 378 385. Retrieved from http://ac.els cdn.com/S0959378009000867/1 s2.0 S0959378009000867 main.pdf?_tid=cdf2794e 2564 11e7 bfaa 00000aacb360&acdnat=1492650234_0729758dceca8da18e5f0f7d431be492 Yin, R. ( 1994 ) Case study research, design and metho ds. Thousand Oaks, CA: Sage.

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IX. A PPENDICES Appendix 1. Municipalities that are part of the SMP

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Appendix 2. Steering committee members Secretaria de Estado de Meio Ambiente (Sema); Secretaria de Estado de Desenvolvimento Rural e Agricultura Familiar (Sedraf); Consrcios Intermunicipais Vale do Juruena, Vale do Teles Pires, Portal da Amaznia, Norte Araguaia, Vale do Arinos, Alto Teles Pires, Araguaia, Mdio Araguaia; Assembleia Legislativa; Empresa Mato Grossense de Pesquisa, A ssistncia e Extenso Rural (Empaer), Embrapa Agrossilvipatoril; Associao Mato grossense dos Municpios (AMM); Federao dos Trabalhadores na Agricultura do Estado de Mato Grosso (Fetagri); Federao da Agricultura e Pecuria de Mato Grosso (Famato); Rot ary Internacional; Plataforma Experimental para Gesto Sustentvel dos Territrios Rurais Da Amaznia Legal (Petra/Cpp); Fundo Vale; Instituto Centro de Vida (ICV); The Nature Conservancy (TNC); Instituto Socioambiental (ISA); Instituto de Pesquisa Ambient al da Amaznia (Ipam).

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Appendix 3 Interview model Translated from Portuguese back to English by Amanda Brinton (University of Florida Graduate Student; bilingual Portuguese native English speaker) Governance Analysis of the Sustainable Mun icipalities Program Mato Grosso, Brazil S emi structured interviews Ethnographic observation and Focus Groups Principal Topics I will be conducting my field practicum in Mato Grosso, Brazil, in a research study about Governance Analysis of the Sustainab le Municipaliti es Program. The following are the principal topics that I plan to ask in the semi structure interviews and focus groups. Personal Information Organizations and social groups G eneral perceptions about the p rogram Advantages and limitations of the program Work relations with the different stakeholders of the program Internal processes in the program (decision making processes) The role/s that participant plays into the program Lessons learned Recommendations to improve governance processes i n the program governance Future expectations