Component 3: Financial sustainability

Goal: To develop and implement financial mechanisms and others capable of generating income and provide resources for upkeep of the protected areas supported by Arpa in the long term.

Subcomponent 3.1 –  Protected Areas Fund (FAP) Management

Goal: To establish a financial mechanism to provide the PAs financial sustainability in the long run for the PAs which were implemented within the Arpa scope.

Targets: To operate the FAP Fund, initiating the support to the maintenance of the PAs which are implemented in degree II.  Achieve US$ 70 million total donations during the 2nd Phase of Arpa.  This amount includes the donations during the 1st phase of the Program (US$ 24.28 million).

Further information:

Subcomponent 3.2 – Income generation for Protected Areas

Goals: To deepen the knowledge on the economic aspects of protected areas in the Amazon — including costs, financial needs and economic impacts –, carry out studies and support the implementation of additional and innovative alternatives for income generation for the PAs.

Targets: To support 6 strategic studies, 6 financial sustainability plans for the PAs, and 3 income generation pilot subprojects.

Further information:


Further information Subcomponent 3.2

The goals of Subcomponent 3.2 should be aligned to the national and state public policies for the PAs in the scope of the Brazilian Amazon (administrative region known as Legal Amazon). This subcomponent adds greater complementarity to the implementation of public policies and also takes the risks which are associated to the development of new tools and innovative initiatives.

Leading and implementation responsibilities are described in the Operational Handbook for Arpa’s 2nd phase.


Further information Subcomponent 3.1

Subcomponent 3.1 supports two lines of action.  The former is related to the operation of FAP, an endowment (trust) fund with permanent capitalization, which was created during Arpa´s 1st Phase, with the purpose of ensuring the necessary funds for the management and protection processes, in the long run, for the protected areas which had achieved degree II implementation . The latter refers to raising more resources for this fund.

Creation of FAP Fund by the Ministry of the Environment (MMA) is legally supported by art. 27, XV, “c” of the Law 10,683/2003, art. 2, IV c/c art. 6, VI, XIII in the Law 6,938/81, allowing practical applicability to art. 225 of the Federal Constitution. It is an endowment fund, from which only the real revenues of the deposited capital are to be invested in the protected areas.  This feature ensures the Fund in perpetuity.

FAP is characterized by public policy and public interest.  For this reason, the Ministry of the Environment is its creator and also its protector.  Funbio is in charge of the financial implementation of Arpa and manages the FAP.

The documents creating, implementing and regulating FAP are the following: (i) Technical Cooperation Agreement for FAP implementation (Federal government-Funbio); (ii) Funbio’s Statutes (official document which creates and registers the NGO and authorizes the creation and implementation of similar funds); (iii) FAP’s bylaws; and (iv) FAP’s Operational Handbook.

FAP needs sufficient funds to fulfill its goal of supporting the maintenance of the PAs which have achieved degree II implementation in Arpa.  Up to this date, FAP received the following donations:


From GEF/World Bank                US$14,500,000

From WWF-Brazil                         US$7.782.204

From O Boticário                          US$1.000.000

From Natura                                  US$1.000.000

From Germany/KfW                    €20.000.000


Total amount:  BR$ 116 million (FAP status on April 30, 2012, exchange rate of May 16, 2012)

For Arpa´s 2nd Phase the donation target is to achieve a total of US$ 70 million, counting the donations in the 1st Phase but without taking into account the revenues from the fund’s financial applications.

In order to achieve this target, subcomponent 3.1 supports the design and implementation of a fund raising strategy, joining the efforts from the Federal Ministry of the Environment (MMA), the technical cooperation, Arpa donors and governmental organizations (GOs).


Further information Subcomponent 2.4

This goal will be attained through the design and implementation of the Strategic Capacity Building Plan, which depends on the existence of no previous objection on the part of donors.  Besides the capacity building activities which will be carried out by the Program, this Plan shall include specific goals and indicators to monitor the achieved results.

Priority areas for capacity building

The Program will support capacity building considered to be strategic, technical and administrative. Technical training should be in accordance with the prority theme lines and be related to the targets set in the PA’s Pluriannual Strategic Plan (PEP). Administrative training aims at the development of the operational abilities of managers in the Program routine, following Funbio’s rules.

Theme lines are the following:  management plan, management board, protection, territorial consolidation, integrated management, public policies, fund raising, and conflict resolution.  Other themes which are not mentioned here may be identified as being relevant to the Program.

The Capacity Building Strategic Plan must include a diagnosis of the present situation and propose structuring actions to overcome the shortcomings, taking advantage of the identified opportunities for capacity building.  Furthermore, a work plan will be proposed, including the activities, responsibilities and schedule for implantation.

A Working Group (GT) will monitor the subcomponent through implementation reports and will assess the application of the acquired knowledge in the efficient management of the PAs.

Available opportunities should be publicized in Arpa’s website, as well as in the ‘Cérebro’ System.  Funbio will be in charge of activities operation and will act following the Strategic Capacity Building Plan guidelines.



Further information Subcomponent 2.3

This subcomponent represents an opportunity for supporting community strengthening actions through the Sustainable Action Plans (PAS) and the Indigenous Peoples Action Plans (PPI), to face the possible impacts from the PA creation and implementation upon the way of life and the economy of the human communities dwelling in the PA’s area of influence, due to restrictions to access natural resources.

Some community strengthening actions can be the potential drivers of negative environmental impacts which are local, reversible and possible of being mitigated, and they require previous planning of prevention and mitigation actions, following the guidelines from the Environmental Safeguard, called Environmental Assessment.

This subcomponent was designed according to the World Bank’s policies and guidelines regarding environmental safeguards (Environmental Assessment) and social safeguards (Involuntary Resettlement and Indigenous Peoples).


The beneficiaries will then be human communities inhabiting or using the protected areas, whether they are in the federal or state scope, and whether they are sustainable use areas – with the designed Use Plan – or strict protection areas – with the Term of Commitment signed.  Through PPIs, the Program will also contemplate indigenous peoples whose territories are bordering with the PAs and who have some dependence relation with the PAs (such as traffic, wandering areas, access to cultural assets and sacred sites).

Sustainable Action Plans (PAS)

Arpa will support the Sustainable Action Plans (PAS) induced and guided by the human population benefitting from the protected areas.  The Sustainable Action Plans which are approved will have ensured funds in the protected areas Annual Operational Plans (POAs), and they will be implemented by the protected areas in partnership with local communities.

The protected areas will be classed and listed following the priority list and according to the degree of potential or present negative impact caused by the restrictions to the use of natural resources.  PAs with lesser impacts will be identified and asked to promote integration opportunities among the PAs and local communities.

Eligible activities for PAs are the following:  1. Encouragement for alternative technologies for the sustainable use of natural resources, according to the Management Plan guidelines; 2. Alternative subsistence activities; 3. Capacity building in environmental conservation practices and natural resources sustainable use; 4. Activities for the joint protection and surveillance of PAs; 5. Promotion of the exchange of experience; 6. Encouragement to participation in PAs management (through management boards); 7. Encouragement for services cooperative organization.

The PAS will include the following elements: 1. Rapid social and economic diagnosis of the affected populations, identifying negative potential or present effects resulting from the restrictions to the natural resources access and use. 2. Evidence that there were consultations with the affected population and that those consultations were culturally adequate.  3. Proposal for specific activities, budget and schedule. 4. Arrangements for the implementation of the proposed actions and technical assistance to be provided. 5. Evidence that the PAS was discussed, reviewed and approved by the Management Board of the PA (to be verified through the minutes of the meeting). 6. Fill in the Environmental Safeguards check list. 7. Methods of activities monitoring and evaluation. .

Indigenous Peoples Action Plans (PPI)

The requisites for PPI design and implementation are the following:  1. Identification of the need to build integrated management instruments between the indigenous peoples and the PAs integrated management, originated in the indigenous communities’ demands to access the territory and natural resources of protected areas. 2. The PA should have a minimum number of staff members assigned to the PA and who have participated in specific capacity building on that theme, besides an operating Management Board with the participation of indigenous peoples representatives. 3. Evidence that previous, free, and informed consultations were conducted with the indigenous peoples, before the design of such plans.

Eligible activities for the PPIs are the following: 1. Alternative subsistence activities and compensation for the restricted or forbidden activities. 2. Promotion and adoption of more sustainable technologies for the use of natural resources. 3. Capacity building activities related to environmental conservation and sustainable use of natural resources. 4. Joint protection activities for the areas, ensuring the permitted access of indigenous peoples to their sacred sites.

PPIs should have the following content: 1. A rapid social and economic diagnosis of the affected indigenous communities in the surrounding areas, giving special attention to the existing belief systems and natural resources use standards within the PAs, while identifying negative impacts from the restricted use and identification of co-management arrangements and other necessary and appropriate methods to mitigate those negative effects. 2. Evidence that previous, free, informed and culturally adequate consultations were conducted with the affected indigenous communities about the proposed PPIs. 3. Proposals for specific activities to be carried out and their budget estimates.  4. Schedule for implementation of proposed activities. 5. Arrangements for the implementation of proposed activities and technical assistance to be provided. 6. Evidence that the PPIs minutes were reviewed, analyzed and approved by the PA Management Board (indigenous representatives included). 7. Description of the PPI monitoring and evaluation methodology.

Criteria for the eligibility of PAs and supported communities

In order to submit their PAS and PPI proposals, the protected areas and communities must comply with the following criteria:

1. The protected areas do not overlap with indigenous or ‘quilombolas’ territories, or are not the subject of any territorial claim. 2. Affected populations do not include perpetrators of rural property documentation fraud, or illegal activities in the territory, and persons or families which were let in the area after the publication of the PA Creation Decree.  3. Sustainable use PAs will require an approved Management or Use Plan, its Management Board created, and a minimum number of staff members assigned to the area. 4. Strict Protection PAs will require the Management Board created, a signed (if necessary) Management Plan or Term of Commitment, and a minimum number of staff members assigned to the area.

PPIs implementation monitoring and evaluation will adopt participatory methods and tools in order to verify the following: 1. the involvement and the degree of participation of indigenous peoples with the beneficiaries and the program results; 2. Increase in the people’s representation in the PA Management Board; and 3. Program results.

Monitoring and evaluation instruments will include: 1. Progress reports on the PPIs implementation; 2. Annual meetings with the indigenous leaders; and 3. Definition and analysis of performance indicators and outcomes related to the Indigenous People Participation Strategy for the intermediary assessment studies and for the final assessment of the Program.

It is recommended that proceedings be established in the PAS and the PPI to minimize the impacts from the extracted natural resources use and the gradual decrease in resource extraction within the strict protection area.


Further information Subcomponent 2.2

Arpa will support the planning and the implementation of five management models, in blocks of protected areas. If the option is integrated management, there will be support for mosaic creation activities.  At the end of this subcomponent implementation there will be an effectiveness assessment of the supported management models.

Criteria and procedures

 The proposals submitted to analysis should have at least one PA included in Arpa.  The management agencies which are Arpa partners and wish to propose support for a block of PAs should send the request to the Program Executive Unit (UCP), together with a file on the protected areas composing the proposed block and the action justification.

The file should include the PAs location; scope of management (federal, state or municipal government); description of the specific goals for creation; environmental, social and/or scenic relevance; conservation priority – according to the federal government guidelines; threat degree; number of staff members; budget sources; average annual budget; and who is in charge of leading the activities of that set of PAs.


Component 2: Protected areas implementation and management

Goal: To shape the PAs included in the Arpa Program to fulfill its basic purposes, promoting the integrated and participaty management and developing the managerial skills of the teams in charge of the PA management.

Subcomponent 2.1 – Implementation of Protected Areas

Goal: To support the implementation of protected areas included in the Arpa Program through the efficient allocation of resources contributing to the continuous evolution process of PA management.

Target: To implement 32 million hectares of protected areas in the Amazon biome (23 million hectares in degree I and 9 hectares in degree II of implementation), out of which 6.5 million hectares correspond to pre-existing PAs which had no previous support from the Program.

Further information:

Subcomponent 2.2 – Protected Areas Management Models

Goal:  To promote the implementation of innovative management models in protected areas, including integrated, shared and participatory management, aiming at increasing the effectiveness in biodiversity protection, land management and resource use.

Target: implement 5 management models.

Further information:

Subcomponent 2.3 – Integration of human communities

Goal: To strengthen local organizations and human communities  living around or within  Arpa PAs, while promoting their access to public and private policies, programs and funds for the sustainable use of natural resources in the protected areas.

Target: To support up to 30 PAs (one action plan per PA).

Further information:

Subcomponent 2.4 – Capacity Building in Protected Area Management

Goal: To support capacity building in protected area management for teams and partners involved with PA planning and management.

Target: To implement the Strategic Capacity Building Plan

Further information:


Further information Subcomponent 2.1

For Arpa, implementation foresees the creation of a management infrastructure to ensure the integrity of PAs in the short run and to make medium planning possible, so that the PAs can fulfill its basic purposes.

The implementation subcomponent aims at providing the PAs with two levels of structure and operation:  degree I of implementation includes the basic instruments which are needed for the PA management; degree II provides more elements to face the threats and entropic pressures upon the PA and to carry out an additional set of activities, such as social and environmental monitoring and research.  The different degrees of implementation reflect the difference in the PA’s demand for support, its social and environmental features, and the geographical situation.

A total of 14 indicators are analyzed to assess the PA implementation; they consist of indicators on the management and operational structure.  There are 9 indicators to be assessed and reached in degree I implementation and 14 indicators in degree II.  Not all indicators get financial support from Arpa; some of them are considered to be prerequisite for a PA to be implemented, such as a minimum staff team based in the PA region and the updated National Protected Areas Register (CNUC). See below the details of the indicators for each implementation degree.

The selection of investments on PA implementation, degrees I and II, is done through the Conservation and Investment Strategy, according to urgency criteria (threats and pressure), the relevance in terms of biodiversity, size in hectares, and the estimated cost for Arpa to conclude the PA implementation degrees I or II.

Degree I implementation

The areas which are implemented in degree I must implement their basic management instruments and reach the indicators described in Table 3, within a maximum period of two years, depending on the stage they are in when they start the implementation process, and the date of entry in the Arpa Program.

By the end of the maximum period for implementation in degree I, if the PA does not reach one or more indicators, the Program can, and this will be decided by the Steering  Committee (CP), allocate resources during one year’s time to maintain the process (s) until the area achieves the implementation level for this phase.  After this period, the PA will be excluded from the Program.


















After reaching all the indicators of degree I of implementation, the PAs which are selected by ECI for degree II of implementation will be able to access the resources for it.

Degree II implementation

Protected areas in degree II of implementation should reach the indicators described in Table 4 in order to incorporate more elements to face threats and entropic pressures and to carry out more advanced activities regarding the management.

The PAs have a two years deadline for degree II of implementation, depending on the stage they are in when starting the implementation process and on the date of entry in the Program.  By the end of this term, if the PA does not reach one or more indicators, the Program can, and this will be decided by the Steering Committee(CP), to allocate resources to maintain the process (s) reaching the implementation level for this phase, for one year at the most.  After this period, the PA will be excluded from the Program.

PAs selected by ECI for this degree of implementation which have reached all the indicators for degree I of implementation are able to access the resources for degree II of implementation.



















 Implemented Protected Areas

Reaching the indicators for degree II implementation enables the PA to receive resources from the Protected Areas Fund (FAP) to support recurrent expenditure related to maintaining the implemented management instruments, according to the additionality principle in the public budget.

Indicators achievement also enables the PA to submit specific investment projects to the Program, to be selected on a competitive basis and according to the available resources for this purpose.

For further information on the proceedings and on the flows of FAP resources use, please refer to the Protected Areas Fund Handbook.


Component 1: Creation of new protected areas (PAs)

Subcomponent 1.1 – Identifying priority areas for the creation of protected areas

Goal:  To identify priority areas for the creation of protected areas in the Brazilian Amazon biome


  • Carry out two studies on systematic conservation planning – one in the beginning and another one in the end of the Program’s 2nd Phase.
  • Update the Map of Priority Areas for the Conservation, Sustainable Use and Benefit Sharing of Brazilian Bilogical Diversity Prority – Amazon Biome, and create a Map of Priority Areas for the Creation of Protected Areas.

According to the Arpa Program, the protected areas (PAs) created should represent the Amazon biodiversity.  The Brazilian federal government’s map of Priority Areas for the Conservation, Sustainable Use and Benefit Sharing of Brazilian Bilogical DiversityPrority is the basis for each and every prioritization of areas for conservation by Arpa and its update is an essential activity for the Program.

Further information:


Subcomponent 1.2 – Creation of Protected Areas

Goal: To support the creation of new protected areas in the Brazilian Amazon.

Target: creation of 13.5 million hectares of new protected areas in the Amazon.

Further information:



Further information Subcomponent 1.2

Eligibility criteria to support the PA creation process

 Application requirements for the Program’s support to the creation process:

  • Predominant location in the Amazon biome – according to IBGE 2004 Map.
  • Location within one of the prority polygons for conservation, as defined in the federal government’s map of Priority Areas for the Conservation, Sustainable Use and Benefit Sharing of Brazilian Bilogical Diversity.
  • To be recommended by the Scientific Advisory Panel (PCA) and selected through the Conservation and Investment Strategy (ECI).

The Program does not support the creation of PAs in case of existing conflicts with indigenous lands.  In cases where there are conflicts with other traditional peoples, the condition for supporting the creation is the application of Arpa’s Involuntary Resettlement Safeguard.