Protected areas .... respecting people Global Protected Areas Programme Protected areas .... respecting people

An introduction based on: Best Practice Protected Area Guidelines Series No. 20, Gland, Switzerland: IUCN. xvi + 124pp. ISBN: 978-2-8317-1608-4 http://www.iucn.org/pa_governance © Photos for this presentation are taken from the Publication it is based on. Copyrights therefore rest with the photographers mentioned there. Part I: Understanding governance

Contents: Understanding governance International background Key concepts Conservation, protected areas and governance Governance types IUCN Protected Area Matrix and the finder nature of governance types Voluntary and ancillary conservation Governance quality 12 November 2018 Contents

Development of international conservation policy: 1995: UNESCO MAB Biosphere Reserve Strategy 1999, 2002 & 2005: Ramsar Convention COP7, COP8 and COP9 wise use policy 2003: 5th World Parks Congress 2004: CBD Programme of Work on Protected Areas (COP 7 Kuala Lumpur, Malaysia) 2005: First Marine Protected Areas Congress 2007: United Nations Declaration on the Rights of Indigenous Peoples World Conservation Congresses and CBD COPs 12 November 2018 International background Policy development

Trends and key messages: Conservation needs… … the capacities, concerns & engagement of society as a whole, not of expert professionals or government officials only. … to pay more attention to the crucial ties between biological and cultural diversity …the conditions that allow indigenous peoples and local communities to be empowered for conservation. … equity: a fair sharing of the costs and benefits of preserving biodiversity and managing natural resources in a sustainable way … to respect human rights: “do no harm” & have a positive impact on livelihoods wherever possible. 12 November 2018 International background Key messages

1. Key concepts 1.1 Protected area governance in the CBD PoWPA 1.2 Protected areas 1.3 IUCN Protected area management categories 1.4 Protected area governance 12 November 2018 1. Key concepts

1.1 Protected area governance in the CBD PoWPA Participation: ensuring the full and effective participation of all relevant rightsholders and stakeholders Benefit-Sharing: ensuring that mechanisms are in place to assess the economic and socio-cultural costs, benefits and impacts arising from PA establishment & management Participation Innovation Respect Benefit-sharing Free, prior and informed consent (FPIC) Governance principles for “Good Governance“ Innovation: opening the way for new types of governance for PAs FPIC: requiring free, prior and informed consent before re-settling indigenous commu-nities or changing their access to natural resources Respect: ensuring attention and respect for the rights, the livelihood needs and the conser-vation capacities and contributions of people living in and around PAs Governance Principles: following “good governance” principles in all decision-making regarding PAs Participation: … including indigenous peoples, local communities and actors entitled because of customary rights and considerations of gender and social equity. Innovation: … to be legally recognised, effectively managed and promoted through policy, financial, institutional and community mechanisms. Respect: …especially for the local knowledge, practices and institutions of indigenous peoples and local communities. Benefit-sharing: … and to share those equitably, in particular with indigenous peoples and local communities. may or may not take a monetary form. FPIC: … as a consequence of establishing or managing protected areas, according to national legislation and applicable international obligations. Governance Principles: … including: respect for rights and the rule of law; promotion of constructive dialogue and fair access to information; accountability in decision-making; existence of institutions and procedures for fair dispute resolution. 12 November 2018 1. Key concepts

1.2 Protected areas “...a clearly defined geographical space, recognised, dedicated and managed, through legal or other effective means, to achieve the long-term conservation of nature with associated ecosystem services and cultural values” (IUCN Definition, 2008) Essential component of biodiversity conservation Must be integrated into wider landscape and seascape as well as the concerns of the wider society 12 November 2018 1. Key concepts

1.2 Protected areas: Unpacking the definition (Part 1) Terms Governance issues clearly defined geographical space Who defines the geographical space that is to be “protected”? Who traces and demarcates the borders? Who can modify that, and how? recognised How is the protected area recognised? By whom? Consider informal and formal recognition modalities and different levels of recognition, including: • by society in general • by local customary and/or legal authorities • by national authorities • by multi-country governmental Bodies dedicated Who “dedicates” the land and resources to conservation? How? Through legal means? Through customary laws and rules? Is the decision imposed by law? Is it voluntary? managed Who develops and approves the natural resources rules, or the management plan, where it exists? Who appoints the managers in charge of implementing the rules and/or plan? What is the managers’ scope of decisions in interpreting the rules and/or plan? legal or other effective means Are the authority, responsibility and accountability concerning the area codified in legislation? Are they regulated by specific agreements or customary processes, institutions and means? How are rules formed and enforced? 12 November 2018 1. Key concepts 1.2 Protected Areas

1.2 Protected areas: Unpacking the definition (Part 2) Terms Governance issues to achieve Who decides how to implement the management plan or rules? Who decides what is “effective”? Who defines the indicators? Who is in charge of monitoring and evaluating the results? Who decides about eventual needed changes in the management plan or practices? long-term Who developed the vision of what the protected area should be like “in the long term”? What does “long-term” actually mean? What guarantees are in place that the protected area will actually exist in the long term? Who will be accountable for this? Conservation Who decides what should primarily be conserved and how? Nature Whose definition of “nature” is applied? Who interprets the definition for application to specific policies, mandates or sites? associated ecosystem services Who benefits from such “services”? Who carries the burden of maintaining them, including the related opportunity costs? cultural values Whose culture? Who benefits from the conserved “cultural values”? How are decisions taken to conserve or promote certain cultural values instead of others? 12 November 2018 1. Key concepts 1.2 Protected Areas

1.3 IUCN protected area management categories 12 November 2018 1. Key concepts

1.4 Protected area governance: interactions The interactions among structures, processes and traditions that determine how power and responsibilities are exercised, how decisions are taken and how citizens or other stakeholders have their say. (Graham et al., 2003) Complex combinations of rights, responsibilities and accountability: Which regulations and governing instruments do apply? Who has jurisdiction to make and enforce laws, policies and rules? What prevails when modern rules contradict each other? What prevails when customary governance and legal governance clash? 12 November 2018 1. Key concepts

1.4 Protected area governance: process Effective Governance: Good working balance among multiple instruments and powers, positively exercised, while remaining flexible, adaptable, capable of responding to conservation needs. Governance A process of developing and exercising authority and responsibility over time. 12 November 2018 1. Key concepts 1.4 Protected area governance

1.4 Protected area governance: The Distinction of… ≠ Governance who decides what to do? And how? power, authority and responsibility formal & informal, open & hidden conflicts relationships among actors “how to go about” all this: participation, equity, accountability, … “good governance” Management what do we do? traditional and “scientific” understanding of relevant phenomena specific aims to reach actions to carry out available means (human, financial…) achieving or not the desired results management effectiveness 12 November 2018 1. Key concepts 1.4 Protected area governance

1.4 Protected area governance: type & quality Two main dimensions in order to make governance “practical”, easier to comprehend, assess and evaluate: 1. Type of governance: 2. Quality of governance: legitimacy and voice direction performance accountability fairness and rights Type A: Governance by government Type C: Governance by private actors Type B: Shared Governance Type D: Governance by indigenous peoples and local communities 12 November 2018 1. Key concepts 1.4 Protected area governance

1.4 Protected area governance: importance Protected areas are crucial "institutions“ established for conservation purposes. But other area-based measures with a variety of human institutions also contribute to conservation - sometimes even as a secondary goal or side-effect. 12 November 2018 1. Key concepts 1.4 Protected area governance

2. Conservation, protected areas and governance Governance settings of protected areas are varied and complex but can be described through the analysis of the: 2.1 Actors involved in governing protected areas 2.2 Governance instruments and powers 2.3 Levels of governance 12 November 2018 2. Conservation, protected areas and governance

2.1 Actors involved in governing protected areas rightholders (holders of legitimate rights – legal or customary) stakeholders “capacity-holders” state-actors (PA managers, staff, national/local authorities, other agencies...) non-state actors (land owners and managers, indigenous and local communities, NGOs, research institutions, businesses, …) Rightsholders and stakeholders In the context of protected areas, we refer to “rightsholders” as actors socially endowed with legal or customary rights with respect to land, water and natural resources. “Stakeholders” possess direct or indirect interests and concerns about those, but do not necessarily enjoy a legally or socially recognised entitlement to them. 12 November 2018 2. Conservation, protected areas and governance

2.2 Governance instruments and powers Actors use a variety of instruments to influence decisions about PAs: national legislation, policies and rules local regulations various forms of advice social incentives and disincentives financial incentives and disincentives financial investments  investments of time and labour information, communication, and resources to meet, discuss and negotiate research initiatives and training programmes physical barriers and active enforcement of rules material or administrative support 12 November 2018 2. Conservation, protected areas and governance

2.2 Governance instruments and powers The ability of actors to influence decisions depend on: planning and regulatory powers revenue-generating powers spending powers the power to convene others and develop agreements the power of knowledge and know-how the power of enforcement No instrument is complete and no power is absolute! Instruments and powers can act at different levels and in powerful combinations! 12 November 2018 2. Conservation, protected areas and governance

2.3 Levels of decision/ decision-making global protected area system multilateral/ transnational/ regional protected area sub-units of a protected area bilateral national socio-ecological unit Subnational 12 November 2018 2. Conservation, protected areas and governance

Conclusions Governance is shaped by history, culture and the interplay among actors and institutions at different levels. It is the result of processes of developing and exercising authority and responsibility over time. Multiple sets of rules in different sectors and at different levels, as well as their interplay with preexisting customary governance patterns, may complement or contradict each other. Understanding good governance involves clarifying where rights, responsibilities and accountabilities lie. Many different bodies are involved - a dynamic and mutually supportive balance among multiple actors and institutions should be sought through the powers and instruments they exercise at various levels. Governance systems have to cope with rapid environmental, cultural, social and economic changes. They should be dependable but also adaptable, capable of responding to the everchanging needs of in situ conservation. 12 November 2018 2. Conservation, protected areas and governance

3. Governance types 3.1 Type A: Governance by government 3.2 Type B: Shared Governance 3.3 Type C: Governance by private actors 3.4 Type D: Governance by indigenous peoples and local communities Type A: Governance by government Type C: Governance by private actors Type B: Shared Governance Type D: Governance by indigenous peoples and local communities 12 November 2018 3. Governance types

3. Governance types Who holds de facto authority and responsibilty for protected areas and conserve biodiversity and natural resources in the broader landscape/seascape? 4 main “Governance types“ distinguished on the basis of the answer … keeping in mind de jure but privileging de facto. All types are legitimate and important for conservation! De jure or de facto? We use these terms to distinguish between what is prescribed and recognised by the law (de jure) and what actually does happen in real life (de facto). The terms mean “in law” and “in practice”, respectively. 12 November 2018 3. Governance types

3.1 Type A: Governance by government Park Agency, Ministry, parastatal institution… Often on lands owned by the government Increasingly involved: government structures at sub- national and municipal levels Possible delegation to NGOs or private operators Decision making authority, responsibility and accountability held and exercised by government (at various levels) 12 November 2018 3. Governance types

3.2 Type B: Shared Governance plurality of actors mutual recognition, collective interests interlocked entitlements need for negotiation/ compromise/ consensus reaching an agreement at times complex processes and institutions Decision making authority, responsibility and accountability shared between governmental agencies and other stakeholders (in particular the relevant landowners and the indigenous peoples and local communities - sedentary or mobile - who depend on the natural resources culturally and/or for their livelihoods) Actors: (national and sub-national authorities, traditional authorities, elected leaders, private entrepreneurs, land-owners…) 12 November 2018 3. Governance types

3.3 Type C: Governance by private actors Mechanisms and incentives: voluntary protected area designations voluntary surrender of legal rights charitable contributions corporate set-aside, donations, or management of an area for conservation Individuals (single persons, families, trusts) Corporations (companies, shareholders) Non-governmental organisations (private or semi-private, religious, researching, teaching and training) 12 November 2018 3. Governance types

3.4 Type D: Governance by indigenous peoples and local communities Three essential characteristics of ICCAs: an indigenous people or local community possesses a close and profound relation with a site the people or community is the major player in decision-making and has de facto and/or de jure capacity to develop and enforce regulations the people’s or community’s decisions and efforts lead to the conservation of biodiversity, ecological functions and associated cultural values oldest “conserved areas”, widespread but poorly acknowledged “bio-cultural units” or “cultural landscapes/ seascapes”… livelihoods and conservation linked 12 November 2018 3. Governance types

4. The IUCN Protected Area Matrix 12 November 2018 4. IUCN Protected Area Matrix

4. The IUCN PA Matrix: Governance Continuum From the perspective of a government agency: 12 November 2018 4. IUCN Protected Area Matrix

5. Voluntary and ancillary conservation 5.1 Voluntary and ancillary conservation in protected areas 5.2 Free, prior and informed consent 5.3 Appropriate recognition and support 12 November 2018 5. Voluntary and ancillary conservation

5.1 Voluntary and ancillary conservation in PAs Some area-based phenomena that contribute to conservation may not fit the protected area definition… and yet be important for conservation and mutually supportive with protected areas (CBD Aichi Target 11) Voluntary and ancillary conservation includes e.g. Indigenous Peoples and Local Communities Conserved Areas (ICCAs) and privately conserved areas that may not be included in formal protected area systems 12 November 2018 5. Voluntary and ancillary conservation

5.1 Voluntary and ancillary conservation in PAs Areas conserved de facto in a voluntary or ancillary way Conservation of nature is a primary management objective is not a primary The State government recognises it as part of its system of protected areas The area is a protected area according to the IUCN (and recognised nationally) The area is an “effective area-based conservation measure” (and recognised as such nationally) The State government does not recognise it as part of its system of protected areas The area is a protected area according to the IUCN (but not recognised as such nationally) The area is an “effective area-based conservation measure” (but not recognised as such nationally) 12 November 2018 5. Voluntary and ancillary conservation

5.2 Free, prior and informed consent (FPIC) Voluntarily conserved areas should be incorporated into the formal PA system only with agreement of rightsholders. Free should imply no coercion, intimidation or manipulation Prior should imply „in advance“ of any authorization or commencement of activities Informed should imply that information on the following is provided: Consent should imply consultation in „good faith“ and full and equitable participation nature, size, pace, reversibility and scope, duration personnel and locality, procedures of the project reason or purpose, preliminary assessment, 12 November 2018 5. Voluntary and ancillary conservation

5.3 Appropriate recognition and support Appropriately recognised and supported, voluntary conservation can strengthen conservation and make it overall more equitable and resilient. Recognition: can be legal or otherwise, within the formal PA system or outside 12 November 2018 5. Voluntary and ancillary conservation

5.3 Appropriate recognition and support: Advice Engage indigenous peoples and local communities in processes of Free, Prior and Informed Consent for initiatives that affect their ICCAs, and in developing the policies that concern them. Recognise ICCAs as coherent land, water and natural resource units governed by self-identified communities under collective legal rights that are inalienable, indivisible, and established in perpetuity. Support indigenous peoples and local communities to carry out joint learning and advocacy via networking and federations. Secure the rights of indigenous peoples and local communities as legal subjects and for their collective governance of territories and natural resources that comprise ICCAs . Provide social recognition but use caution with financial incentives, making sure that those maintain and strengthen community independence and integrity. Never impose on ICCAs generic governing structures, rules, and processes, but allow customary institutions to continue and evolve, as needed, at their own pace. Provide technical and material support. Technical and material support: (in particular to map, document and demarcate ICCAs; to help communities to enforce their rules and ensure fair and coherent judgement and sanctions for violators; to develop local capacities to respond to threats and manage conflicts; and to strengthen the quality of governance and management of ICCAs at all levels). Social recognition: (e.g., through praise, awards, media coverage, upholding of traditional knowledge and cultural heritage) 12 November 2018 5. Voluntary and ancillary conservation

6. Governance quality (“Good Governance“) IUCN principles of „good governance“ for protected areas Legitimacy and Voice Direction Performance Accountability Fairness and rights 12 November 2018 6. Governance Quality

6. Governance quality: Legitimacy and Voice Accepting and justifying a governing system on the basis of socially sanctioned entitlements and views Ensuring information, participation and voice of all rightholders and stakeholders bearing direct concerns and interests, with no discrimination related to gender, ethnicity, social class, etc. Promoting mutual respect among all rightholders and stakeholders Maintaining active dialogue and a consensus orientation towards solutions that meet, at least in part, the concerns and interest of everyone Agreed rules are respected because they are “owned ” by people and not solely because of fear of repression 12 November 2018 6. Governance quality

6. Governance quality: Direction Developing and following an inspiring and consistent strategic vision (broad, long term perspective) for the protected area and its conservation objectives, grounded in an appreciation of ecological, historical, social and cultural complexities of each context Ensuring coherence and compatibility (integration into local context and compatibility with plans and policies of other levels and sectors) 12 November 2018 6. Governance quality

6. Governance quality: Performance Achieving the set of conservation and other objectives as monitored through management effectiveness mechanisms Pursuing efficiency (making a wise use of available resources) including ensuring institutional and human capacity Responsiveness (taking into account the needs of all rightholders and stakeholders) Developing sufficient capacities for all rightholders and stakeholders to engage at appropriate levels The management regime is robust and resilient Ensuring financial sustainability of processes and results 12 November 2018 6. Governance quality

6. Governance quality: Accountability Ensuring the accountability of all decision makers to the public (including clearly demarcated lines of responsibility and reporting/ answerability about the fulfilment of responsibilities/ transparency) Upholding the integrity and commitment of all decision-makers The avenues to demand accountability are accessible to all Accountability is linked to concrete and appropriate rewards and sanctions 12 November 2018 6. Governance quality

6. Governance quality: Fairness and rights Striving towards equity (sharing equitably the costs and benefits of establishing and managing protected areas) Making sure that public service promotions are merit-based Maintaining the rule of law (legal frameworks are fair and enforced impartially) Providing timely and competent support to effective conflict management processes Ensuring access to justice (legal assistance and avenues towards impartial judgment are available to all stakeholders in case of conflict) 12 November 2018 6. Governance quality

Conclusion: Understanding governance Governance is a key determinant of effectiveness and efficiency of conservation Governance is a key determinant of appropriateness and equity of decisions Governance can ensure that PAs are not isolated from their wider ecosystem and society Governance can be improved and provide invaluable help in facing on-going challenges and global change See also Part 2. Towards effective action 12 November 2018 Conclusion Part I

Acknowledgements IUCN‘s Global Protected Areas Programme gratefully acknowledges the partnership that has provided leadership and voluntary support to develop these guidance materials