IUCN Standard on the Protection of Natural Habitats

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1 IUCN Standard on the Protection of Natural Habitats July 2013 A. Introduction 1. This Standard stems from the need to protect and conserve biodiversity, maintain ecosystem functions and services, and manage natural resources sustainably. This is essential for long-term sustainable development. IUCN supports the protection, maintenance and restoration of natural habitats and ecosystems in all its programmes and projects, and does not design or implement activities that may result in the degradation of natural habitats. Standards and procedures remain however needed to ensure that unintended negative impacts are avoided and that conservation and sustainable development objectives are optimised. 2. This Standard is one of the components of IUCN s Environmental and Social Management Framework (ESMF), and its scope and applicability are defined by the process and procedures of IUCN s Environmental and Social Management System (ESMS). Its provisions shall be used and applied in all cases where there is a potential adverse impact on natural habitats, as well as in cases where there are opportunities to protect habitats (and ecosystems) and enhance their contribution to human well-being. Decisions and recommendations arising from the application of this Standard must be incorporated in any Environmental and Social Management Plan (ESMP) that will be developed to avoid, minimise and mitigate impacts. 3. For the purpose of this Standard, guidance on the management of natural habitats, critical habitats (including those legally protected, officially proposed for protection, identified by authoritative sources for their high conservation value, recognized as protected by traditional local communities) and forests (natural or plantation forests) follow the internationally accepted norms and standards related to natural habitats, notably Performance Standard 6 of the International Finance Corporation and the World Bank s Operational Policy on Natural Habitats (OP 4.04) and Forests (OP 4.36). It also meets the GEF Policy on Minimum Environmental and Social Standards and its minimum requirements. B. Policy objectives 4. IUCN s overall policy objectives with respect to natural habitats are to: Protect and conserve biodiversity, using the best expertise and knowledge available Maintain the benefits from ecosystems, and restoring ecosystems and their functions whenever possible and appropriate Promote sustainable management and use of biodiversity (ecosystems, species and genes) through policies and management practices that integrate social, environmental and economic considerations. 5. Within this broad policy mandate, the objectives of this Standard are to ensure the following procedures for all programmes and projects:

2 Screen project concepts for potential impacts on health and quality of important ecosystems including forests, and on the rights and welfare of the people who depend on them; Avoid conversion or degradation of critical natural habitats, by proposing alternatives, and give preference to siting physical infrastructure investments on lands where natural habitats have already been converted to other land uses; If impacts cannot be fully avoided, reduce or minimise by compensating for negative impacts on natural habitats and associated resources and, whenever possible and applicable, enhance positive impacts on these resources; Prevent, or to the maximum extent reduce, habitat loss or degradation in order to conserve threatened species that depend upon these habitats, by applying all relevant guidelines for effective protected area design and management, or other resource management strategies applicable to the context; Avoid projects that will involve conversion or degradation of critically important forests, either directly through natural forest harvesting or plantation development, or projects that have significant impacts on indigenous peoples; Ensure that forest restoration projects maintain or enhance biodiversity and ecosystem functionality and compensate any negative social impacts that cannot be avoided. C. Principles 6. There are a number of principles that have guided the formulation of the Standard and that should inform all stages of its application, together with the principles enunciated in the Environmental and Social Management Framework (ESMF) and with those that relate specifically to social standards (i.e. involuntary resettlement and access restriction, physical cultural resources and indigenous peoples): The precautionary principle which will apply when faced with uncertainty about potential adverse impacts and the risk of environmental degradation; Ecosystem-based management of land, water and living resources to ensure that ecosystems, their multiple functions, goods and services, are maintained or restored; Avoidance of projects that would have adverse impacts on natural habitats, including the introduction of any potentially invasive alien species. Stakeholder engagement to establish constructive relationship with stakeholders and implement projects that will achieve conservation impacts and development benefits; Disclosure of information to ensure feedback and inputs from stakeholders and affected communities, and access to a grievance mechanism. D. Policy guidance 7. In the application of this Standard and its measures, IUCN and its partners should also be guided by a number of key policy instruments, and especially: 2

3 The 2010 Strategic Plan (and Aichi Targets) for Biodiversity of the Convention on Biological Diversity (1992), as well as IUCN Recommendation WCC on IUCN s engagement in the implementation of the Strategic Plan for Biodiversity ; The Convention on International Trade in Endangered Species of Wild Flora and Fauna, CITES (1975); The Convention Concerning the Protection of the World Cultural and Natural Heritage, 1972 (UNESCO World Heritage Convention); The IUCN Policy on Social Equity in Conservation and Sustainable Use of Natural Resources, as adopted by IUCN Council Meeting, February 2000; and the IUCN Policy on Conservation and Human Rights for Sustainable Development, as adopted by a Resolution of the World Conservation Congress (2012); The IUCN policies on the IUCN Red List of Threatened Species (e.g. WCC on enhancing the usefulness of the Red List), the Red List of Ecosystems (e.g. WCC on consolidation of the Red List of Ecosystems), and Key Biodiversity Areas and Protected Areas (e.g. WCC on biodiversity, protected areas and Key Biodiversity Areas). The ITTO Guidelines for the Restoration, Management and Rehabilitation of Degraded and Secondary Tropical Forests (2002). E. Scope of application 8. Screening on the subject of natural habitats is required for all IUCN projects. Impact assessment is only required if the screening shows that negative impacts are expected to specific natural habitats. Although IUCN has extensive expertise on habitats within its staff, Members and Commissions, specific expertise may be needed to assist IUCN and its partners in ascertaining whether a particular habitat or ecosystem or element of biodiversity is likely to suffer from the programmes and projects. 9. In terms of natural habitats and ecosystems, the focus of this Standard covers in particular: forests, grasslands, savannahs and shrublands, drylands, wetlands, coastal ecosystems, including reefs, marine areas, islands and mountains. 10. This Standard shall be applied in conjunction and in compliance with national legislation and with the international obligations of the country where the natural habitats and ecosystems are located. F. Procedures and measures 11. In all instances where the screening process carried out as part of the ESMS has determined that natural habitats and ecosystems could be adversely affected by the project, and where projects have therefore been classified as A or B in accordance with the expected degree of impact, a more detailed study will be carried out. For category A projects a full-fledged impact assessment is required, while for category B projects a light impact assessment is required. Projects are classified as Category A if they have the potential to cause significant adverse environmental and/or social impacts. These impacts may affect an area broader than the project site. Category A projects are in fragile or protected habitats or can have impacts on such habitats. Impacts may be irreversible. Projects are classified as Category B if their potential environmental and social impacts are less adverse than those of Category A projects and few in number. 3

4 Typically, these impacts are site-specific, few if any of them are irreversible, and they could be readily addressed by mitigation measures. 12. This study will inform an Environmental and Social Management Plan (ESMP) that must be prepared by competent professionals. The main focus of the plan will be to avoid negative social, economic and environmental impacts on habitats and local communities that rely upon them. In cases where alternatives cannot be found, the ESMP will include provisions to minimise, restore and compensate for the negative impacts. 13. Special attention is given to major threats to biodiversity and ecosystem services, such as pollution and contamination, land conservation, habitat fragmentation, natural habitat loss, deforestation, over-exploitation of natural areas and resources, migration barriers, harvesting of wild animals (including endemic species, critically-endangered species of endangered species), and wildlife poaching. 14. For projects that affect water resources, they will not alter flow regimes in ways that prevent water resources form fulfilling their functions for upstream and downstream ecosystems. IUCN will assess and manage environmental flows for the conservation and sustainable use of biodiversity and ecosystem services, and the integrity of river systems and wetlands. In this regard, appropriate methodologies will be used, including the recommendations of the World Commission on Dams (2000). 15. As part of the public consultations required in the ESMS process, project-affected groups and communities, concerned government authorities, relevant civil society organisations and local experts will be involved in assessing potential impacts in natural habitats, and exploring avoidance and mitigation options. 16. As part of the public consultation process, the draft ESMP will be disclosed in a timely manner, before appraisal formally begins, in a place accessible to key stakeholders including project affected groups and civil society organizations (CSO), in a form and language understandable to them. 17. At all stages in the assessment process, IUCN will review and ensure compliance with the agreements and policies listed under section D above. G. Conflict resolution and grievance mechanism 18. In accordance with its social policies, IUCN has established a grievance mechanism to allow for the expression of, and responses to, complaints related to the implementation of its projects, whether these are GEF-funded projects or not. This mechanism (entitled Project Complaints Management Mechanism - PCMS) to monitor and evaluate compliance with IUCN policies, principles, and project practices at any stages in the project cycle is based on effective, accessible and transparent procedures to receive and resolve complaints. 19. The grievance mechanism is designed to enable the receipt of complaints of affected people and public concerns regarding the environmental and social performance of the project. In short, the aim of the mechanism is to provide people fearing or suffering adverse impacts with the opportunity to be heard and assisted. It is designed to address the concerns of a community with a particular project, identify the root causes of the conflicts and find options for the resolution of grievances. Therefore, it is an essential tool to foster good cooperation with project stakeholders and ensure adequate delivery of previously-agreed results. It also recognises the fact that, in cases such as those affecting natural habitats, affected parties may be external or international CSOs, NGOs or scientific organisations that have an interest in the conservation of these habitats. 4

5 20. For IUCN the best approach to resolving grievances involves project management and the affected party reviewing conflicts and deciding together on the way forward in their mutual best interests. This reflects the fact that local and country-level authorities often have better information and understanding relating to the causes of disputes arising from project implementation. Decide together approaches are usually the most accessible, natural, unthreatening and cost-effective ways for communities and project management to resolve differences. Both scientific and popular knowledge are considered valuable in the search for alternatives and solutions. 21. Therefore, in order to submit their request through the PCMS, it is essential that complainants have already raised their concerns with IUCN staff locally. To do so, contact needs to be made first with the nearest IUCN Office (regional, national, or project office). If resolution of complaints is not possible at the local or country level through the aforesaid initial contacts with IUCN staff, then it is appropriate to bring forward complaints to IUCN through the PCMS. H. Roles and competencies of IUCN 22. The IUCN ESMS Coordinator and Expert Team are responsible for the application of this standard, under the provisions of the ESMS. Whenever appropriate, the ESMS Coordinator will seek guidance and technical support from IUCN secretariat staff and the relevant programmes and units, particularly for the preparation of an Environmental and Social Impact Assessment (ESIA) if one is required. 23. The IUCN Secretariat, at Headquarters as well as in Regions and Countries, has extensive expertise on species, habitats and ecosystems, protected areas, and participatory management, which can all be used in the assessment and design of projects. 24. IUCN can also rely on the expertise available within its Commissions, especially the Commission on Ecosystem Management (CEM), the Species Survival Commission (SSC) and the World Commission on Protection Areas (WCPA), and within its very broad network of Member organizations and experts focusing on the protection and management of natural habitats. 5