USAID BD Handbook Oct 2015 508

BIODIVERSITY AND
DEVELOPMENT
HANDBOOK 2 015
ACKNOWLEDGEMENTS
Editor Contributors
Diane Russell Jamison Ervin, consultant, IUCN specialist
Alicia Grimes, FAB
Associate Editors Andrew Tobiason, FAB
Caroline Stem Anila Jacob, Measuring Impact, formerly FAB
Thomas Erdmann Barbara Best, FAB
Andrew Tobiason Christopher Huggins, Wilfrid Laurier University
Jamison Ervin (consultant)
Marco Flores Diane Russell, FAB
Hannah Fairbank, FAB
Publication Citation Juliann Aukema, GCC
USAID 2015. Mary Rowen, FAB
Biodiversity and Development Handbook. Megan Hill, LTRM/FAB
Washington DC: U.S. Agency Olaf Zerbock, FAB
for International Development. Paul Cowles, consultant
Rebecca Butterfield, FAB
Production Managers Roberta Hilbruner, formerly LTRM
Shereen Abdelaaty and Sara Carlson, FAB
Duane Muller Nathan Gregory, FAB
Scott Lampman, FAB
Copyediting and Design Sharon Murray, formerly Water Office
DAI and ECO/TRG Steven Romanoff, formerly DAI
Greg Berger
Principal Consultant
Jamison Ervin
Reviewers Chapters 3 and 5 Chapter 4

All Chapters Natalie Elwell, GenDev Thomas Erdmann, DAI
Christian Holmes, E3 DAA Brian Keane, DCHA Elizabeth Pleuss, GH/HIDN
Cynthia Gill, FAB Marco Flores, FAB August Pabst, GH/HIDN
Nathan Gregory, FAB Adam Henson, FFI Linda Sussman, GH/PRH/RTU
Sara Carlson, FAB Heidi Rufller, USFWS Mercedes Stickler, LTRM
Shawna Hirsch, USAID/Liberia Jimmiel Mandima, AWF Heath Cosgrove, LTRM
Daniel Whyner, USAID/RDMA David Wilkie, WCS Ioana Bouvier, LTRM
Diane Russell, FAB Derric Pennington, WWF Heela Rasool, DCHA/DRG
Spike Millington, independent John Morrison, WWF Mary Ackley, DCHA/CMM
consultant Kimberley Marchant, WWF Christopher Huggins, Wilfrid Laurier
Kristin Clay, TNC University
Chapter 2
Trond Larsen, CI Jonathan Cook, GCC
Stacey Young, PPL/LER
Juliann Aukema, GCC
Jerome Gallagher, PPL/LER
Michael Colby, BFS
Christina Beck, PPL/SPP
Moffat Ngugi, BFS
Deborah Prindle, PPL/SPP
Walter Knausenbuerger, AFR
Caroline Stem, FOS, Open Standards
Richard Volk, Water Office
Nick Salafsky, MI, FOS, Open Standards
Richard Margoluis, MI, FOS,
Open Standards
BIODIVERSITY AND
DEVELOPMENT
HANDBOOK
2 015
U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK i

TABLE OF CONTENTS
PREFACE............................................................................................................................................................vi
1 INTRODUCTION
1.0 EXECUTIVE SUMMARY.................................................................................................................................1
Why does biodiversity matter to international development?.........................................................................1
Why did USAID produce this handbook?....................................................................................................................1
What has changed since the last Biodiversity Guide?.............................................................................................2
What is the audience for the handbook?......................................................................................................................2
How is the handbook structured?.....................................................................................................................................2
1.1 WHAT IS BIODIVERSITY?............................................................................................................................3
1.2 THE IMPORTANCE OF BIODIVERSITY FOR HUMAN WELL-BEING.............................................4
1.3 THE STATUS OF BIODIVERSITY................................................................................................................4
1.4 USAID’S ROLE IN AND APPROACH TO BIODIVERSITY CONSERVATION.................................6
1.4.1 USAID’s Biodiversity Policy.......................................................................................................................................6
1.4.2 USAID’s Biodiversity Code........................................................................................................................................7
1.5 SUMMARY.........................................................................................................................................................7
II BIODIVERSITY PROGRAMMING
2.0 OVERVIEW........................................................................................................................................................11
2.0.1 What is New and What is Required??................................................................................................................12
2.0.2 The Program Cycle and Adaptive Management...........................................................................................13
2.1 SETTING PRIORITIES: AGENCY POLICY AND STRATEGIES...........................................................17
2.1.1 Key Elements of Conservation Priority Setting.............................................................................................17
2.1.2 USAID Considerations and Requirements......................................................................................................18
2.2 COUNTRY DEVELOPMENT COOPERATION STRATEGY (CDCS)................................................20
2.2.1 CDCS Results Framework........................................................................................................................................21
2.3 PROJECT DESIGN: UNDERSTANDING THE CONTEXT AND PREPARING THE
CONCEPT PAPER...........................................................................................................................................23
2.3.1 Defining Principles and Best Practices................................................................................................................23
2.3.2 Framing the Design, Defining the Project Purpose, and Building Project Teams........................24
2.3.3 Clarifying the Biodiversity Interests and Setting Sub-Purposes............................................................25
2.3.4 Assessments: Synthesizing Information about Threats and Drivers...................................................28
2.4 PROJECT DESIGN: PLANNING CONSERVATION ACTIONS AND MONITORING..................35
2.4.1 Selecting and Sequencing Strategic Approaches...........................................................................................35
2.4.2 Formulating a Development Hypothesis and Crafting a Theory of Change................................35
2.4.3 How Biodiversity Conservation Supports Other Development Outcomes...............................38
2.4.4 Developing Outcomes and Defining Indicators............................................................................................39
2.4.5 Developing a Project’s Logical Framework......................................................................................................41
2.5 PROJECT/PAD IMPLEMENTATION............................................................................................................43
2.5.1 Project Implementation Plan and Cost Estimate..........................................................................................43
2.5.2 Management and Organizational Considerations........................................................................................45
2.5.3 Procurement Options and Considerations......................................................................................................46
2.6 MONITORING AND EVALUATION (M&E).............................................................................................47
2.6.1 Overview.............................................................................................................................................................................47
2.6.2 Monitoring and Indicators..........................................................................................................................................51
ii U SA I D B I O D IV E RS ITY AN D D E V E L OP M E NT HA NDBO O K
2.6.3 Evaluation.............................................................................................................................................................................56
2.6.4 The M&E Plan...................................................................................................................................................................58
2.7 COLLABORATING, LEARNING, AND ADAPTING..............................................................................59
2.7.1 Data and Information Analysis.................................................................................................................................60
2.7.2 Knowledge Management............................................................................................................................................60
2.7.3 Sharing...................................................................................................................................................................................62
2.8 CONCLUDING THOUGHTS......................................................................................................................62
III CONSERVATION APPROACHES

3.0 OVERVIEW........................................................................................................................................................67
3.1 KEY CONCEPTS.............................................................................................................................................69
3.1.1 Working at Scale.............................................................................................................................................................69
3.1.2 Addressing Threats, Drivers, and Barriers to Conservation...................................................................66
3.1.3 Using a Systems Approach........................................................................................................................................71
3.1.4 Ensuring Sustainability...................................................................................................................................................72
3.1.5 Engaging Stakeholders and Broadening Constituencies............................................................................77
3.1.6 Advancing Gender Equality and Women’s Empowerment....................................................................79
3.1.7 Working with Indigenous Peoples.........................................................................................................................81
3.1.8 Employing Science and Evidence-Based Approaches.................................................................................84
3.2 KEY GEOGRAPHIC SCOPES.......................................................................................................................86
3.2.1 Landscapes and Seascapes.........................................................................................................................................87
3.2.2 Connectivity.......................................................................................................................................................................88
3.2.3 Ridge-to-Reef Areas......................................................................................................................................................90
3.2.4 Protected Areas...............................................................................................................................................................91
3.2.5 Community-Conserved Areas................................................................................................................................93
3.3 CONSERVATION STRATEGIES...................................................................................................................95
3.3.1 Direct Conservation: Land and Water Protection.......................................................................................98
3.3.2 Direct Conservation: Land and Water Management.................................................................................100
3.3.3 Direct Conservation: Species Management.....................................................................................................100
3.3.4 Enabling Environment: Education and Awareness........................................................................................101
3.3.5 Enabling Environment: Law and Policy................................................................................................................103
3.3.6 Rights- and Assets-Based Approaches................................................................................................................104
3.3.7 Enabling Environment: Livelihood, Economic, and Other Incentives..................................................106
3.3.8 Enabling Environment: Capacity Building...........................................................................................................109
IV BIODIVERSITY AND DEVELOPMENT INTERSECTIONS

4.0 OVERVIEW........................................................................................................................................................121
4.1 HEALTH AND DEMOGRAPHIC CHANGE.............................................................................................121
4.1.1 Human Population and Reproductive Health, including HIV/AIDS....................................................121
4.1.2 Health Benefits of Biodiversity................................................................................................................................125
4.1.3 Ecosystem Health and Disaster Risk Reduction and Response...........................................................129
4.2 FOOD SECURITY...........................................................................................................................................130
4.3 AGRICULTURE AND LIVESTOCK.............................................................................................................133
4.3.1 Ecoagriculture....................................................................................................................................................................133
4.3.2 Rangeland Management and Pastoralism..........................................................................................................137
U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK iii

4.3.3 Agroforestry and Tree Crops...................................................................................................................................139
4.3.4 Fisheries and Aquaculture..........................................................................................................................................142
4.4 GLOBAL CLIMATE CHANGE.....................................................................................................................147
4.4.1 Overview.............................................................................................................................................................................147
4.4.2 Biodiversity and REDD+/Sustainable Landscapes........................................................................................148
4.4.3 Biodiversity and Clean Energy/LEDS...................................................................................................................149
4.4.4 Biodiversity and Climate Change Adaptation.................................................................................................152
4.5 FORESTRY.........................................................................................................................................................155
4.5.1 Conservation of Natural Forests...........................................................................................................................155
4.5.2 Non-Timber Forest Products..................................................................................................................................160
4.6 WATER RESOURCES.....................................................................................................................................164
4.6.1 Freshwater and Biodiversity......................................................................................................................................164
4.6.2 Freshwater Systems and Conservation Planning..........................................................................................167
4.6.3 Integrated Planning for Watersheds, Estuaries, and Coasts.....................................................................168
4.6.4 Wetlands and Biodiversity.........................................................................................................................................170
4.6.5 Water Supply, Sanitation, and Hygiene (WASH)..........................................................................................175
4.7 SOCIETY, CULTURE, AND INSTITUTIONS............................................................................................179
4.7.1 Social Safeguards and Soundness...........................................................................................................................181
4.7.2 Effective NRM Institutions..........................................................................................................................................183
4.7.3 Cultural and Spiritual Values in Conservation.................................................................................................185
4.8 DEMOCRACY, RIGHTS, AND GOVERNANCE (DRG)........................................................................187
4.8.1 Governance........................................................................................................................................................................187
4.8.2 Conflict and Peace Building.......................................................................................................................................195
4.9 LAND TENURE AND PROPERTY RIGHTS..............................................................................................201
4.10 ECONOMIC GROWTH................................................................................................................................208
4.10.1 Economic Growth and Biodiversity...................................................................................................................208
4.10.2 Extractive Industry.......................................................................................................................................................210
4.10.3 Infrastructure..................................................................................................................................................................215
4.10.4 Illegal and Unsustainable Trade.............................................................................................................................219
4.11 SCIENCE, TECHNOLOGY, AND INNOVATION.................................................................................231
V ANNEXES
5.1 DETAILED INFORMATION ABOUT SELECT CONSERVATION STRATEGIES.............................243
5.1.1 Private Protected Areas (Land and Water Protection)............................................................................243
5.1.2 Sustainable Tourism in the USAID Context (Livelihood, Economic, and Other
Incentives)...........................................................................................................................................................................245
5.1.3 Payment for Ecosystem/Environmental Services (Livelihood, Economic, and
Other Incentives)...........................................................................................................................................................248
5.1.4 Public-Private Partnerships........................................................................................................................................252
5.1.5 Trusts and Funds and Key Questions in their Development
(Conservation Finance)..............................................................................................................................................255
5.2 INTERNATIONAL POLICIES AND TREATIES.........................................................................................257
5.3 ACRONYMS.....................................................................................................................................................262
5.4 GLOSSARY........................................................................................................................................................265
iv U SA I D B I O DIV E RS ITY A N D D E V E L OP M ENT HA NDBO O K

FIGURES AND TABLES
Figure 1. Economic Value of Coral Reefs 1
Figure 2. Status of Biodiversity (Nature) 5
Figure 3. USAID Program Cycle 13
Figure 4. Applying the CLA Framework in the Program Cycle 14
Figure 5. CMP Open Standards Cycle and Its Relationship to the USAID Program Cycle 16
Figure 6. General Steps for Moving from the CDCS to Full Implementation of the PAD 21
Figure 7. Example of Threat Rating in Miradi Adaptive Management Software 31
Figure 8. Development Hypothesis at PAD Level 36
Figure 9. Example of How Biodiversity Conservation Supports Other Development Outcomes 38
Figure 10. Example of Outcomes Linked to a Theory of Change 40
Figure 11. Relationship between CDCS Results Framework and a Project’s Logical Framework 41
Figure 12. Hierarchy and Logic of a Logframe 42
Figure 13. Example Gantt Chart 44
Figure 14. Example of Combined Workplan and Budget (created in Miradi) 44
Figure 15. The Mitigation Hierarchy 74
Figure 16. Illustrative Diagram of a Variety of Conservation Project Scopes 87
Figure 17. Three Models of the Relationship between Agroforestry (AF) and Protected Areas (PAs) 140
Figure 18. South American Ecological Drainage Units Based on Geomorphic and Climatic Attributes (TNC, 2007) 167
Figure 19. Tourism Industry Value Chain 246
Figure 20. Potential Tourism Stakeholders 247
Table 1. Examples of Biodiversity Threats and Drivers Based on IUCN-CMP Classification of Threats 70
Table 2. Common Challenges and Solutions for Engaging Stakeholders 78
Table 3. Crosswalk of USAID and IUCN-CMP Conservation Action Categories 97
Table 4. Examples of Economic Growth Activities’ Links to Biodiversity 211
Table 5. Sample Types of PES 250
Table 6. PES Benefits and Risks 252
Table 7. Types of Public-Private Partnerships for Conservation 253

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK v

PREFACE
By Cynthia Gill, Director, Office of Forestry and Biodiversity, USAID
Biodiversity is life, literally the degree of variation of life This handbook is a foundational component of policy
on Earth. Biodiversity is also essential to living: food on implementation. In addition to providing step-by-step
the table, better health, and insurance against lean times. guidance on biodiversity and integrated programming,
Conserving biodiversity means improving governance it describes major conservation strategies through the
of natural resources where rural and marginalized lens of USAID experience, with the aim of improving
people often get their first taste of democracy and conservation effectiveness. Chapter 4 facilitates
public accountability. It means local rights and authorities integration of biodiversity with other development
over land and water, forests and rangelands, fish and sectors by defining key concepts and mapping out
wildlife – and strong incentives for long-term planning programming and policy intersections. The handbook
and sustainable use. Conservation requires industries and draws on the range of USAID experience, including
enterprises that restore natural capital. The economic decades of support to protected areas, forestry
potential of biodiversity is realized hand-in-hand with programming, marine and coastal programming,
an appreciation of the value – and wonder – of nature. community based-natural resource management,
conservation enterprises and multi-sectoral approaches.
The USAID Biodiversity Policy was approved and
publicly launched in 2014, and implementation is We thank the many contributors to and reviewers of
underway. The policy provides a blueprint for how the this handbook. In particular, Chapter 2 was considerably
Agency will achieve its vision of conserving biodiversity strengthened by USAID’s Measuring Impact project and
for sustainable, resilient development. It builds on review by USAID’s Policy, Planning and Learning (PPL)
USAID’s long history of conserving a global biological Bureau; Chapter 3 benefited from peer review by a
heritage and reflects a deep understanding of the role number of colleagues in the conservation community;
that healthy natural systems play in ending extreme and Chapter 4 was reviewed and strengthened by
poverty and achieving the Agency’s other development colleagues in other USAID Bureaus and Offices with
goals. It recognizes that human well-being and progress specific sectoral expertise. These reviews not only greatly
and durable development gains are not possible unless improved the handbook but also created a community
these systems are valued and safeguarded. to draw on as we implement the policy. We welcome
your engagement in using and refining the handbook as
we seek out new approaches, lessons, and evidence.
vi U SA I D B I O DIV E RS ITY A N D D E V E L OP M ENT HA NDBO O K

USAID
BIODIVERSITY AND
DEVELOPMENT
HANDBOOK
1 INTRODUCTION
STRENGTH IN NUMBERS: Elephants along the Chobe and Zambezi
rivers, Botswana, part of the largest elephant population in Africa.
Photo: Michiel Terellen
U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK vii

1 INTRODUCTION
1.0 EXECUTIVE SUMMARY.................................................................................................................................1
Why does biodiversity matter to international development?.........................................................................1
Why did USAID produce this handbook?....................................................................................................................1
What has changed since the last Biodiversity Guide?.............................................................................................2
What is the audience for the handbook?......................................................................................................................2
How is the handbook structured?.....................................................................................................................................2
1.1 WHAT IS BIODIVERSITY?............................................................................................................................3
1.2 THE IMPORTANCE OF BIODIVERSITY FOR HUMAN WELL-BEING.............................................4
1.3 THE STATUS OF BIODIVERSITY................................................................................................................4
1.4 USAID’S ROLE IN AND APPROACH TO BIODIVERSITY CONSERVATION.................................6
1.4.1 USAID’s Biodiversity Policy.......................................................................................................................................6
1.4.2 USAID’s Biodiversity Code........................................................................................................................................7
1.5 SUMMARY.........................................................................................................................................................7
SETTING THE LIMITS: Members of the Pilar Municipal Marine Park in Cebu, Philippines, regularly check and replace
marker buoys damaged by wind and waves. Marine sanctuaries in the park have increased the catch of local fishermen.
Photo: Vincent Lumbab, DAI
viii U SA I D B I O D IV E RS ITY AN D D E V E L OP MENT HA NDBO O K

I INTRODUCTION
1.0 EXECUTIVE SUMMARY Why did USAID produce this handbook?
The 2015 USAID Biodiversity and Development
Why does biodiversity matter to Handbook is a foundational resource for implementation
international development? of USAID’s Biodiversity Policy. The main purpose
The U.S. Agency for International Development of the handbook is to help USAID managers and
(USAID)’s biodiversity programming contributes implementing partners plan, design, implement, and
to securing healthy and resilient ecosystems and the monitor strong and sustainable conservation efforts
numerous goods and services they provide. Functional in line with Agency experience, policy, and guidance.
and productive ecosystems are crucial to addressing A strong secondary purpose is to contribute USAID
the world’s most intractable development challenges, knowledge and experience to the global conservation
including hunger, poverty, conflict, and poor health. community, particularly in designing projects with robust
Agency programs support the United Nations’ learning components and in integrating conservation
Millennium Development Goals (MDGs), a framework and development objectives. It draws from the USAID,
for global development efforts. USAID biodiversity partner, and global knowledge base of principles,
programming contributes most directly to MDG 7, approaches, resources, best practices, and case examples.
which states, “Environmental sustainability is part
of global economic and social wellbeing.” However, As illustrated throughout the handbook, USAID
ecosystem and species health are closely intertwined promotes a strategic and systematic adaptive
with human well-being. As such, biodiversity management approach to addressing threats to
programming efforts contribute directly or biodiversity as diverse as agricultural expansion, illegal
indirectly to achieving all MDGs. Figure 1 from and unsustainable hunting, wildlife disease management
a recent NOAA report illustrates the global practices, and climate change, while also leveraging such
economic value of biodiversity and ecosystem opportunities as policy reform, civil society engagement,
conservation for just one key resource, coral reefs. and private sector support. Globally and locally, situations
Figure 1. Economic Value of Coral Reefs
BIODIVERSITY
COASTAL PROTECTION
FISHERIES
TOURISM AND RECREATION
$ BILLIONS/YR 0 2 4 6 8 10 12
U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 1

can shift rapidly and the need for good information and What is the audience for the handbook?
adaptive systems is paramount. The aim is to achieve The primary audiences are USAID managers of
broad-scale conservation impacts and development biodiversity projects and those integrating biodiversity
benefits that will be sustained after funding ceases. into their projects and portfolios. The handbook will
also be useful to USAID implementing partners, USAID
What has changed since the last actors in other sectors, and USAID staff who wish and
Biodiversity Guide? need to learn more about biodiversity conservation to
The 2001 and 2005 editions of the handbook remain improve the resiliency, impact, and sustainability of their
essential resources to help USAID, its partners, and programs and portfolios. Among many other purposes,
implementers learn about key biodiversity concepts and USAID managers may use information in the handbook
best practices. Since 2005, however, USAID biodiversity to help integrate biodiversity into country development
programming has advanced by accumulating data, lessons cooperation strategies (CDCSs), draft project appraisal
learned, and resources. documents (PADs) with clear theories of change, and
integrate a body of evidence into statements of work.
There is now much greater awareness within Implementing partners, other donors, researchers and
USAID, the U.S. Government, and the development students, as well as the conservation community
community of the importance of biodiversity and in general, can use the handbook to better understand
the critical challenges facing species and ecosystems. the USAID policy context, USAID experience and
This awareness is reflected in the Biodiversity Policy, lessons, and how biodiversity intersects with key
the Executive Order on Wildlife Trafficking, and the development sectors.
Presidential Memorandum and Task Force on Illegal,
Unreported, and Unregulated Fishing and Seafood How is the handbook structured?
Fraud, among other initiatives. Recent development
Given the rapid evolution and expanding scope of
challenges have also highlighted the importance of
USAID programs and policies relevant to biodiversity,
biodiversity and its conservation: the Ebola epidemic
USAID’s Forestry and Biodiversity (FAB) Office adjusted
that is linked to consumption and handling of wildlife;
the format of the 2015 handbook while building on
conflicts related to natural resources and ecosystem
the content of earlier documents. The production of
deterioration that have had global impact—and how
the handbook involved multiple authors, editors, and
conservation can contribute to peace-building; and the
reviewers. A substantial change is incorporation of an
growing awareness of how climate change has already
explicit “how to” section (Chapter 2) to help USAID
transformed ecosystems and lives, including within the
managers, partners, and implementers develop programs
critical disaster-response sector.
in line with the most recent Agency program cycle
guidance while drawing from more conservation-tailored
At the same time, the scenario for programming USAID
best practices guidance. The focus and key audiences for
biodiversity funds has changed. The overall biodiversity
each chapter are identified below.
budget has increased, and emphasis is being placed on
key countries as outlined in the Policy. There is now a
Chapter 1 provides a broad overview, definitions,
significant cadre of environment officers in the Agency.
and basic information about biodiversity. It also
USAID/Washington has reduced funding for field-
discusses USAID’s role in biodiversity conservation
level conservation and is concentrating on supporting
and USAID’s Biodiversity Policy. This chapter is aimed
Missions through learning and knowledge management.
at a general audience.
New initiatives in global climate change, food security,
and other development sectors provide an evolving
Chapter 2 describes a step-by-step process for
context and new opportunities for the integration of
planning, implementing, and monitoring biodiversity
biodiversity programming. Indeed, integrating biodiversity
programs and integrated programs with a biodiversity
into development addresses one of the two objectives
component. It is grounded in the USAID program cycle
of the Biodiversity Policy.
2 U SA I D B I O D IV E RS ITY A N D D E V E L OP M E N T HA NDBO O K
but draws on practices from the Open Standards for these elements and living systems interact to produce
the Practice of Conservation – an approach to project the web of life on Earth − the biosphere − a whole
management tailored to biodiversity conservation greater than the sum of its parts and upon which every
projects. This chapter is aimed at USAID managers human being and every human society is dependent.
and implementing partners.
In its most basic form, biodiversity is often characterized
Chapter 3 provides more specific information about and identified at three levels:
implementing conservation on the ground, framing the Genetic diversity is the combination of different
discussion around key operating principles, geographic genes found in individuals within a population of a
scopes, and strategies for biodiversity conservation. single species and the pattern of variation found across
This chapter does not cover all possible scenarios different populations of the same species. The genetic
within these areas but rather provides examples that diversity of a population is shaped by evolutionary forces
can help USAID managers contextualize the process that are often driven by interactions with other species
explained in Chapter 2. Chapter 5 goes into more and the environment and thus changes over time.
depth on conservation approaches for which USAID Genetic diversity provides a mechanism for populations
has long experience. This chapter is aimed at USAID to adapt to their ever-changing environment.
managers, implementing partners, and the
Species diversity is the variety and abundance of
broader conservation community.
different types of organisms that inhabit an area. Species
play important roles in the structure and function of
Chapter 4 describes several ways biodiversity affects,
ecosystems. For example, keystone species are those
is affected by, and interacts with other development
that have significant effects disproportionate to their
issues and sectors of particular interest to USAID.
abundance. African elephants are a savannah keystone
It includes specific examples of integrated USAID
species and play an important role in tree removal,
projects. This chapter is aimed at USAID managers,
which contributes to the maintenance of
implementing partners, and the broader
open grasslands.
conservation and development community,
with each section targeting a specific Ecosystem diversity is the variety of ecosystems in a
development sector. given region. An ecosystem is the sum of the interactions
between a biological community and its physical and
Chapter 5 presents a series of annexes covering key chemical environment and the resulting ecological
policies and treaties related to biodiversity, along with processes. Examples of ecological processes include
references, resources, and a glossary of key terms. This the pollination of plants by insects; the decomposition
section is aimed at a general audience. of waste by fungi that recycle nutrients; and feeding
relationships, such as the predation of elk by wolves,
which can regulate population size and structure.
1.1 WHAT IS BIODIVERSITY?
Note that while USAID understands the critical
Biological diversity, or biodiversity, is a complicated importance of agricultural biodiversity, or
concept that broadly refers to the variety and variability agrobiodiversity, USAID biodiversity funds
of living organisms and the ecological complexes in do not support programming in this sector.
which they occur. The concept includes, but is not
limited to, microscopic life, fungi, plants, and animals;
interacting communities of species; habitats; ecosystems;
and the biome as a whole. The Earth’s biodiversity
consists of genes and their chemical structures, species,
and ecological and evolutionary processes that make
up terrestrial, marine, and freshwater ecosystems. All of

1.2 THE IMPORTANCE OF 1.3 THE STATUS OF
BIODIVERSITY FOR HUMAN BIODIVERSITY
WELL-BEING
Biodiversity, while fundamental to human well-being, is
Biological diversity is important for maintaining healthy, currently in a human-induced state of rapid decline. As
functioning natural systems, as well as for fulfilling the such, the conservation of biodiversity is an international
intrinsic and aesthetic values that humans attach to development priority for USAID.
them. Biodiversity also plays a fundamental role in
sustaining human well-being more broadly. Indeed, The extent and speed of global biodiversity loss are
human well-being is inextricably linked to the health alarming. For example,
of biodiversity and ecosystems around the world. • most vulnerable species are moving closer to
Ecosystem degradation and impairment directly extinction, and nearly a quarter of all known plant
threaten human well-being through events such as species are threatened with extinction;
floods, heat waves, water shortages, landslides, and
• vertebrate species declined by one-third between
other natural disasters. Ecosystem degradation also
1970 and 2006 and continue to decline;
affects human health and well-being by increasing
transmission of infectious diseases, reducing food • the extent and health of all natural habitats continue
yields, depleting natural medicines, reducing food to deteriorate globally, particularly in wetlands, salt
availability, and straining water supplies.1 marshes, coral reefs, sea grass beds, and shellfish
reefs; and
Sometimes the links between ecosystem health and • most large forest, river, and grassland ecosystems
human well-being are indirect, complex, and difficult face extensive fragmentation and degradation.
to measure. The link between ecosystem health and
poverty alleviation is one such relationship. People living The primary drivers of biodiversity loss are habitat
in poverty are disproportionately affected by ecosystem conversion (e.g., conversion of natural forests to
degradation. Approximately 2.7 billion people – more plantations or agriculture); overexploitation of natural
than a quarter of the world’s population – survive on resources (e.g., overfishing); pollution (e.g., excessive
less than $2 a day. As many as 70 percent of these nutrient loads in freshwater systems); invasive alien
people depend directly upon biodiversity and healthy species (in nearly all ecosystem types); and the myriad
ecosystems to provide them with life’s most basic impacts of climate change. Climate change is a dramatic
necessities, including food, water, shelter, medicine, threat because it not only creates its own direct impacts
and livelihoods.2 (e.g., increased ocean acidity, stress from temperature
fluctuations, increased drought, and glacial melting) but
USAID’s Biodiversity Policy identifies biodiversity also exacerbates impacts from other threats, such as
conservation as an essential component of human invasive species, fire, and logging.
development. It lays out a bold and innovative way
forward for the Agency and the international community Extensive global biodiversity loss is already having
that recognizes not only intrinsic values of biodiversity, major impacts on the ecosystem services that healthy
but also human development benefits. ecosystems provide and upon which humanity depends.
The Millennium Ecosystem Assessment found that
most major ecosystems around the world are in decline
and noted in particular the collapse of global fisheries
as a result of degraded marine and coastal ecosystems.
1 MEA and World Health Organization Ecosystem and Human Well-being: For recent status updates see “The biodiversity of
Health Synthesis Geneva: WHO, 2005. species and their rates of extinction, distribution,
2 Secretariat of the Convention on Biological Diversity, Biodiversity,
Development and Poverty Alleviation: Recognizing the Role of Biodiversity
and protection.”
for Human Wellbeing. Montreal: CBD, 2009.
An analysis by the Convention on Biological Diversity • Reduce the direct threats on biodiversity
(CBD) revealed that the main reason countries failed to and promote sustainable use.
meet the 2010 biodiversity target was that conservation • Improve the status of biodiversity by safeguarding
actions tended to focus on the end state of biodiversity, ecosystems, species, and genetic diversity.
specific threatened species, or direct threats to
• Enhance the benefits to all from biodiversity and
biodiversity loss. The study argued that countries should
ecosystem services.
focus on broader issues and address the underlying
social, economic, political, and cultural causes of • Enhance implementation through participatory
biodiversity loss. This status is graphically presented planning, knowledge management, and
in Figure 2. capacity building.
In response to the decline of global biodiversity and the By focusing on the underlying drivers of biodiversity
failure to achieve the CBD 2010 targets, the world’s loss and by understanding, valuing, and safeguarding the
governments again agreed to a global strategic plan for biodiversity and ecosystems upon which life depends,
biodiversity, known as the Aichi Biodiversity Targets. This perhaps there can be greater progress in reducing the
ambitious strategic plan covers 2011 through 2020 and tremendous losses in global biodiversity and in setting
includes 20 targets, organized under five main goals: a more sustainable course for the twenty-first century.
• Address the underlying causes of biodiversity loss

by mainstreaming biodiversity across government
and society.
Figure 2. Status of Biodiversity (Adapted by permission from Macmillan Publishers Ltd: Nature. Monastersky, Richard.
“Life under Threat.” Biodiversity: Life – A Status Report, copyright 2014)
Monastersky, Richard. “Biodiversity: Life – A Status Report.” Nature 10, December 2014.

1.4 USAID’S ROLE IN AND USAID investments consistently account for about
APPROACH TO BIODIVERSITY two-thirds of U.S. Government support for international
biodiversity conservation.
CONSERVATION
USAID pioneered and now supports one of the most Through many types of projects implemented at
comprehensive biodiversity conservation programs of global, regional, national and local levels, USAID assists
any bilateral donor. The Agency has long recognized developing countries in maintaining biologically diverse
the importance of conserving biodiversity to achieving ecosystems and environmental services while supporting
development goals. Natural forest conservation was a sustainable development and economic growth. This
priority for several Missions in the 1970s, well before handbook lays out major elements of USAID’s overall
the term “biodiversity” was widely used. Enacted in strategic adaptive management approach, as well
1986, amendments to Sections 118 and 119 of the as experience in diverse subsectors of biodiversity
Foreign Assistance Act placed a greater emphasis on conservation, including but not limited to landscape-
tropical forests and endangered species conservation scale conservation, community based natural resource
in U.S. foreign assistance. The Fiscal Year (FY) 1986 management (CBNRM), enterprise approaches, policy
Appropriations Act also incorporated a $1 million and incentive-based approaches, and protected area
directive for biodiversity conservation, the first of management. USAID staff also contribute to global,
many congressional funding requirements. Biodiversity regional, and national policy fora and take a “hands-on”
conservation is one of several environment-related approach to management to support and learn from
Agency programming areas. Other relevant areas include partners’ efforts.
sustainable forestry, climate change mitigation and
adaptation, and water resources management. 1.4.1 USAID’s Biodiversity Policy
In June 2011, USAID received approval to develop a
In FY 2013 and FY 2014 the biodiversity Congressional Biodiversity Strategy, which was subsequently shifted
Directive amounted to $212.5 million, including a sub- to become a Biodiversity Policy, making it an enduring
earmark of $45 million for combating wildlife trafficking. Agency asset. Approved in March 2014 and formally
BOX 1. USAID BIODIVERSITY POLICY STRATEGIC FRAMEWORK
VISION
TO CONSERVE BIODIVERSITY FOR SUSTAINABLE, RESILIENT DEVELOPMENT
GOALS
1) Conserve biodiversity in priority places
2) Integrate biodiversity as an essential component of human development
OBJECTIVES
• Support enabling conditions for biodiversity conservation
• Reduce priority drivers and threats to biodiversity
• Integrate conservation and development for improved biodiversity and development outcomes
• Build partnerships to mobilize resources in support of biodiversity conservation
• Influence key international policies in support of biodiversity conservation
• Apply science, technology, and learning to enhance biodiversity conservation practice
launched in June 2014, the USAID Biodiversity Policy Whenever possible, however, operating units are
articulates the following vision: “To conserve biodiversity encouraged to embrace best practices in biodiversity
for sustainable, resilient development.” To accomplish programming, as articulated in this handbook.
this vision, USAID is pursuing two goals, together with
aligned objectives (Box 1). As a USAID policy articulates
an overarching vision for the Agency, it leaves room for 1.5 SUMMARY
the development of additional resources such as this This chapter introduced key definitions and concepts
handbook to support implementation. about biodiversity, biodiversity conservation, and
USAID’s role in conservation. This introduction and
1.4.2 USAID’s Biodiversity Code the handbook as a whole rest on the foundation
USAID biodiversity activities and programs have become of decades of scientific inquiry and the evolution of
more complex and better integrated with other Agency USAID’s programming to respond to new science and
development programs. At the same time, the Agency best practice. The Biodiversity Policy builds on USAID’s
has been required by a congressional earmark to long history of conserving a global biological heritage
program increasing funds for biodiversity activities. and reflects a deep understanding of the role that
As a result, a clear definition of what constitutes a healthy natural systems play in achieving the Agency’s
biodiversity program is critical. The Biodiversity Code human development goals. It recognizes that human
guides the Agency in determining which programs are well-being and progress and durable development gains
included in the accounting toward the biodiversity are not possible unless these systems are valued and
requirement. The code has four key criteria, all of safeguarded. Successful implementation of the policy
which must be met: requires focus on four major actions, which parallel
1. The project must have an explicit biodiversity the structure of this handbook:
objective; it is not enough to have biodiversity • adherence to Agency guidance and conservation
conservation result as a positive externality from community best practices throughout the
another program. program cycle;
2. Activities must be identified based on an analysis • knowledge of key conservation approaches and
of threats and drivers to biodiversity and a how they apply in the USAID context;
corresponding theory of change. • understanding of the connections between
3. Site-based projects must have the intent to positively biodiversity and other key USAID sectors; and
impact biodiversity in biologically significant areas. • awareness of the wealth of policies, resources,
4. The project must monitor indicators associated and tools that support USAID’s work.
with the stated theory of change for biodiversity
conservation results.
All USAID programs and activities should strive to

be “biodiversity friendly,” but some may not qualify
as biodiversity conservation under the code. The
Biodiversity Policy incorporates some adjustments to
the code, to allow management units to better design
and justify programs that address some key drivers of
biodiversity loss and immediate threats to biodiversity.
Each year, the country-level and centrally funded
programs are reviewed in USAID/Washington for
consistency with the code. Note that the four criteria
represent a minimum standard of compliance for direct
programs. Alone, they do not represent best practice.

More Information
Klugman, Jeni, Human Development Report 2011:
Sustainability and Equity: A Better Future for All, New York:
UNDP, 2011.
MEA and World Health Organization Ecosystem and
Human Well-being: Health Synthesis Geneva: WHO, 2005.
MEA and WRI, Ecosystems and Human Well-being:
Biodiversity Synthesis, A Report of the Millennium
Ecosystem Assessment, Washington, DC: MEA and WRI,
2005.
Mulongoy, K.J. and S.B. Gidda, The Value of Nature:
Ecological, Economic, Cultural and Social Benefits of
Protected Areas. Montreal: CBD, 2008.
Pollard, Duncan et al. eds., Living Planet Report 2010:
Biodiversity, biocapacity and development. Gland,
Switzerland: WWF, 2010.
Secretariat of the Convention on Biological Diversity,
Global Biodiversity Outlook 3. Montreal: CBD, 2010.
Biodiversity, Development and Poverty Alleviation:
Recognizing the Role of Biodiversity for Human Wellbeing.
Montreal: CBD, 2009.
Conserving biodiversity in remote areas is

challenging, even without makeshift bridges.
Photo: Andrew Tobiason, USAID
USAID
BIODIVERSITY AND
DEVELOPMENT
HANDBOOK
BIODIVERSITY
1I PROGRAMMING
WITH RIGHTS, RESPONSIBILITY: A ranger (left) and vice president (right) of the Federation of the Cofan Nation
discuss with a colleague in The Nature Conservancy (center) plans for conserving their nearly one million acre indigenous
territory in Ecuador’s Sucumbios province. Photo:Thomas J. Müller
2.0 OVERVIEW........................................................................................................................................................11
2.0.1 What is New and What is Required?.................................................................................................................12
2.0.2 The Program Cycle and Adaptive Management...........................................................................................13
2.1 SETTING PRIORITIES: AGENCY POLICY AND STRATEGIES...........................................................17
2.1.1 Key Elements of Conservation Priority Setting.............................................................................................17
2.1.2 USAID Considerations and Requirements......................................................................................................18
2.2 COUNTRY DEVELOPMENT COOPERATION STRATEGY (CDCS)................................................20
2.2.1 CDCS Results Framework........................................................................................................................................21
2.3 PROJECT DESIGN: UNDERSTANDING THE CONTEXT AND PREPARING THE
CONCEPT PAPER...........................................................................................................................................23
2.3.1 Defining Principles and Best Practices................................................................................................................23
2.3.2 Framing the Design, Defining the Project Purpose, and Building Project Teams........................24
2.3.3 Clarifying the Biodiversity Interests and Setting Sub-Purposes............................................................25
2.3.4 Assessments: Synthesizing Information about Threats and Drivers...................................................28
2.4 PROJECT DESIGN: PLANNING CONSERVATION ACTIONS AND MONITORING..................35
2.4.1 Selecting and Sequencing Strategic Approaches...........................................................................................35
2.4.2 Formulating a Development Hypothesis and Crafting a Theory of Change................................35
2.4.3 How Biodiversity Conservation Supports Other Development Outcomes...............................38
2.4.4 Developing Outcomes and Defining Indicators............................................................................................39
2.4.5 Developing a Project’s Logical Framework......................................................................................................41
2.5 PROJECT/PAD IMPLEMENTATION............................................................................................................43
2.5.1 Project Implementation Plan and Cost Estimate..........................................................................................43
2.5.2 Management and Organizational Considerations........................................................................................45
2.5.3 Procurement Options and Considerations......................................................................................................46
2.6 MONITORING AND EVALUATION (M&E).............................................................................................47
2.6.1 Overview.............................................................................................................................................................................47
2.6.2 Monitoring and Indicators..........................................................................................................................................51
2.6.3 Evaluation.............................................................................................................................................................................56
2.6.4 The M&E Plan...................................................................................................................................................................58
2.7 COLLABORATING, LEARNING, AND ADAPTING..............................................................................59
2.7.1 Data and Information Analysis.................................................................................................................................60
2.7.2 Knowledge Management............................................................................................................................................60
2.7.3 Sharing...................................................................................................................................................................................62
2.8 CONCLUDING THOUGHTS......................................................................................................................62
A community anti-
poaching patrol in
eastern Nepal
removes snares
and deters hunting
and other illegal
activities in a
high-altitude area
bordering India.
Photo: WWF
10 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

2.0 OVERVIEW
BOX 2. CHAPTER 2 HIGHLIGHTS
This chapter walks through the steps for project design,
implementation, and monitoring and evaluation for
biodiversity programs and integrated programs that
include a biodiversity component. In particular, it focuses This chapter discusses priority setting,
on the development of the project appraisal document project design, project planning, and
(PAD) as described in ADS Chapter 200, starting with monitoring and evaluation generally,
the drafting of a concept paper. It assumes that the as well as specific USAID requirements.
Mission already has in place its country or regional
development cooperation strategy (CDCS/RDCS). The
Key concepts covered include
chapter highlights key tools and approaches for applying
USAID standards and global biodiversity best practices. • priority-setting approaches
It also provides information to support meeting • country/regional development
requirements of the updated Biodiversity Code within cooperation strategy
the Agency’s Biodiversity Policy.
• project design: understanding the context,
The chapter parallels the steps in the USAID program including framing the design, building
cycle (Figure 3). Moving from priority setting through the team, identifying the biodiversity of
strategy and design to implementation involves multiple concern, and conducting assessments to
decisions and trade-offs. The chapter examines what identify and prioritize threats and set the
information is needed to make these decisions at stage for identifying strategic approaches
different stages of the program cycle. • project design: planning actions and
monitoring, including selecting approaches,
The program cycle is not intended to be a fixed and formulating theories of change, developing
rigid framework, but rather a guide to help project objectives and indicators, and compiling
teams clearly define problems and issues, determine information into a logical framework
where USAID can make a difference, and then figure
• project implementation, including
out how to get the work done. USAID’s underlying
procurement, management, and staffing
assumption is that the application of program cycle
principles to the PAD process – including the concept • monitoring and evaluation to determine
paper phase – results in more robust program if a project is on the path to achieving the
conceptualization and design, which in turn leads desired results
to more effective conservation. • learning and adapting at the center of
the program cycle in order to generate,
In addition to focusing on the PAD process, this chapter capture, share, and use knowledge to
touches on the development of specific activities during support and improve development
the process that contribute to the achievement of outcomes
results identified in the PAD. In the case of PADs that
focus on biodiversity and forestry programming, these
activities would benefit from an approach to design,
implementation, monitoring and evaluation, and
learning and adapting tailored to biodiversity
conservation projects.

2.0.1 What is New and What is Required? what works, and eliminate what does not during
This section briefly describes what is new and what is implementation of the program cycle.
required by the Biodiversity Policy and by other USAID
policies that apply to biodiversity programming. This For more on learning in the ADS see
handbook outlines these policies but does not add ADS 200 Intro to Programming Policy (Learning and
or modify any USAID policies. Links to the detailed Adapting: 200.3.5.6)
discussion of these requirements and processes are ADS 201 Planning (Learning: 201.3.3.5)
provided. Overall, USAID policies are found in the ADS, ADS 203 Assessing and Learning (Program Cycle
and ProgramNet provides a wealth of policy guidance. Learning: 203.3.13)
The list below is not exhaustive but centers on key
biodiversity and program cycle functions. Impact evaluations for pilot and significant projects
are strongly encouraged. The framework for impact
The Biodiversity Code, which describes core criteria evaluation should be built into the project design and
for programming biodiversity funds at USAID, now often requires specialist expertise. USAID is building a
requires the elaboration of an explicit theory of body of knowledge on impact evaluation design and use
change (TOC) for projects programming biodiversity of evidence. ADS 203 states that “any activity within a
funds, with monitoring that supports the testing of that project involving untested hypotheses or demonstrating
TOC. The code does not require use of any specific new approaches that are anticipated to be expanded
standard or custom indicators, however. Chapter 2 in scale or scope through U.S. Government foreign
provides detailed information on crafting TOCs and assistance or other funding sources will, if feasible,
developing indicators. undergo an impact evaluation… Any activity or project
designated as a ‘pilot’ or ‘proof of concept’ will fall under
Under the Biodiversity Policy, countries with this requirement.”
biodiversity funding fall into two categories. Tier
One countries are expected to identify biodiversity The open data policy will apply to new awards and
as a priority in their country or regional development potentially to existing awards when they are modified.
cooperation strategies (CDCS/RDCS) and to request Managers should factor in the costs and expertise to
sufficient biodiversity funds to have an impact on target comply with this policy. This new policy can be an asset
biodiversity, are expected to focus on globally significant to conservation research, especially if data are shared
biodiversity targets in their countries or regions, and within a learning network.
can expect to be prioritized for biodiversity technical
assistance from USAID/Washington and for placement Data quality assessments (DQAs) are required every
of Foreign Service Environment Officers. Tier three years for every indicator reported in PPRs. Use
Two countries should strongly consider undertaking these assessments to evaluate and improve the overall
biodiversity programs, reflect the planning in their quality and usefulness of a project’s M&E system.
CDCS, and request sufficient biodiversity funds to
achieve the desired biodiversity conservation outcome, Environmental safeguards are embodied in CFR Reg
and should focus on globally significant biodiversity 216, which applies to every project, including biodiversity
targets in their countries or regions. See pages 22-23 projects. The 118-119 Tropical Forest and Biodiversity
of the policy for more detail. Analysis remains mandatory at the CDCS level and
the analysis applies to all projects in all sectors, not just
Collaborating, Learning, and Adapting (CLA) environmental ones. It is best practice to use this analysis
is recommended though not required in the ADS. to inform PAD, project, and even workplan development
Missions are encouraged to develop a plan to improve whenever natural resources and ecosystems may be
coordination and collaboration with development affected, to assure that biodiversity conservation is
partners, test promising new approaches, build on considered as a foundation of sound development.

USAID does not at the time of publication have explicit These planning steps should inform and be informed
social safeguards, including mandatory guidance on by collaborating, continuous learning, and adapting at
working with indigenous peoples. Section 3.1.7 of all stages of the process, as indicated by the first inner
this handbook lays out USAID best practices that have circle in Figure 3. As outlined in ADS 200, ADS 202,
been reviewed and edited by USAID’s indigenous and ADS 203, learning is a core function underlying the
people’s advisor. entire program cycle. Learning links together strategic
planning and project planning (201.3.3.5), achieving
2.0.2 The Program Cycle and Adaptive (ADS 202), and assessing and learning (ADS 203).
Management Operating units (OUs) are encouraged to develop
a learning approach that will support the effective
The USAID Program Cycle
integration of all components of the program cycle to
The USAID program cycle (Figure 3) is a planning improve development impact. The learning approach
framework for implementing USAID’s Policy should build on the OU’s performance management
Framework for 2011 to 2015. It comprises four plan (PMP), portfolio review(s), and other standard
higher-level steps: 1) understanding Agency policy processes. It should be designed to improve coordination
and strategies; 2) identifying country development and collaboration with development partners, test
cooperation strategies; 3) designing and implementing promising new approaches, and build on what works
projects; and 4) evaluating and monitoring. It serves as and eliminate what does not. The learning approach is
the foundation upon which a project team develops not mandatory as of this writing and does not need
its PAD. to be presented in the CDCS. However, Missions in
particular should consider using such an approach as
a key element of their internal CDCS implementation
process (See ADS 202).
Figure 3. USAID Program Cycle

A learning and adaptive approach should also influence Collaborating, Learning, and Adapting (CLA)
annual budgets and resource management processes, CLA is a conceptual framework for principles and
and focus on achieving results. The USAID program operational processes that can enable USAID to
cycle ensures that U.S. funding commitments follow the become a more effective learning organization and
Paris Declaration on Aid Effectiveness and the Accra thereby a more effective development organization.
Agenda for Action – two global agreements that focus CLA ensures that the CDCS works as a “living strategy”
on national ownership of strategies, donor alignment by providing guidance and reference points not only
with national priorities, simplification of aid procedures, for implementation, but also for learning and course
results-based management, inclusive partnerships, and correction as needed. As shown in the following figure,
mutual accountability. CLA should happen at all stages of the program
cycle. More than 30 Missions at the time of writing
As well, a learning approach strengthens the evidence are implementing variants of CLA. ADS 201 includes
base and planning processes to make them responsive discussion of learning and encourages Missions to
to the rapid shifts now standard in this globalized world. develop learning plans.
Adaptive management aims to replace traditional static
approaches to implementation with expectations, CLA facilitates collaboration internally and with external
processes, and incentives to reflect, learn, and adapt for stakeholders – feeding new learning, innovations, and
continual improvement throughout implementation. performance information back into the strategy to
Figure 4. Applying the CLA Framework in the Program Cycle

inform funding allocations, program design, and project • adapting or modifying modalities, mechanisms, and
management; translating learning and information approaches employed to achieve results.
about changing conditions into iterative strategic and
programmatic adjustments; and catalyzing collaborative As managers prepare for portfolio reviews or design
learning and systemic analysis and problem solving project evaluations, checking the progress of impact
among developing-country citizens and institutions toward the project purpose can help remind them
to foster country-led development. As such, of the ultimate purpose of USAID’s investments.
CLA exerts a multiplier effect on the Mission’s
development investments. The Open Standards Cycle
Complementing the USAID program cycle – and
This type of learning approach is particularly important
tailored specifically to the biodiversity context – is
for biodiversity conservation initiatives, which are
the Conservation Measures Partnership’s (CMP)
carried out within complex and changing natural and
Open Standards for the Practice of Conservation
human systems. Despite a team’s best efforts to design
(Open Standards). CMP is an affiliation of over 20
successful projects based on sound information, they
implementing organizations and donors working in the
often must implement projects in dynamic contexts
field of conservation. CMP’s roots can be traced to
with incomplete knowledge. This requires a strategic,
several USAID Global Conservation Program (GCP)
yet adaptive, approach to project management –
implementing partners, as well as work done under
or what is commonly known in the conservation
USAID’s Biodiversity Support Program (BSP), working
community as “adaptive management.”
closely with USAID staff.
This handbook uses adaptive management (AM)

The Open Standards draw on the principles of
to mean the integration of project design, management,
sound project cycle management found in fields
and monitoring to test assumptions, adapt actions, and
such as public health, education, and business. These
learn.1 With this definition in mind, this chapter provides
standards recommend best practices for project design,
tools and information to help project teams practice
management, monitoring, and evaluation in conservation.
adaptive management. Adaptive management is an
The Open Standards cycle involves five steps as depicted
approach to implementing the program cycle that seeks
in Figure 5: 1) conceptualize the issues; 2) plan actions
to better achieve desired results and impacts through
and monitoring; 3) implement actions and monitoring;
the systematic, iterative, and planned use of emergent
4) analyze and use data to adapt; and 5) capture, share,
knowledge and learning.
and learn from results.
Adaptive management can increase OUs’ ability to

While it may appear that the USAID program cycle and
respond quickly both to changing environments and in
the Open Standards cycle describe the same process,
the event that the original planning proves inadequate,
they are, in fact, complementary systems. For example,
inaccurate, incomplete, or unrealistic. Responses to
during the PAD design process, teams can draw from
learning from adaptive management may include
the Open Standards to inform the USAID program cycle
• redefining or otherwise modifying statements of steps of project design/implementation and evaluation
anticipated results; and and monitoring. Application of the Open Standards at
this level helps PAD designers define biodiversity focal
interests and their relationship to focal human well-being
1 CMP uses adaptive management as a synonym for results-based interests, the ecological services provided by biodiversity,
management, which involves explicit hypothesis testing. PPL defines adaptive
management as the purposeful implementation of the program cycle by
specific threats and drivers affecting biodiversity, actions
responding to changing circumstances or knowledge during implementation to be taken, and specific indicators for monitoring
(ADS 200-203). Adaptive management for USAID occurs throughout the
program cycle and comes through the systematic, iterative, and planned use of
and evaluation.
knowledge and learning throughout the implementation of the program cycle
(ADS 200-203).

In addition, Open Standards tools can help set PAD In sum, this chapter is built primarily around the USAID
teams up for effective learning and adapting (inner program cycle but also draws upon elements of the
circle in the USAID program cycle diagram). As detailed Open Standards cycle.
below, tools and concepts from the Open Standards
can be particularly useful to support PAD planning,
monitoring, collaborating, learning, and adapting – and in
harmonizing PAD and activity results with project- and
mechanism- level M&E plans. To this end, USAID has
been working with CMP experts to develop a crosswalk
of terms between CDCS, PAD, and Open Standards
frameworks. This handbook uses the agreed-upon terms
but recognizes that these terms may shift.
Figure 5. CMP Open Standards Cycle and Its Relationship to the USAID Program Cycle
OS Cycle Complements
and Contributes to
USAID Program Cycle

Conceptualize
Capture, Share, Plan Actions &

& Learn Monitoring
Implement
Analyze, Use, &
Actions &
Adapt
Monitoring

2.1 SETTING PRIORITIES:
BOX 3. EXAMPLES OF
AGENCY POLICY AND PRIORITY-SETTING PROCESSES
STRATEGIES
2.1.1 Key Elements of Conservation Priority
Setting Some common types of large-scale
Good planning requires being clear about the scope biodiversity analyses used in priority
and purpose (or “vision,” as often used in the Open setting include
Standards) of a project or activity. The USAID program • ecoregional planning – identifies areas
cycle helps do this by starting to clarify how Agency most under threat and most important
policy and strategies apply to a specific country or for representing biodiversity elements
region, and developing the CDCS or RDCS. This across an ecoregion. It entails assessment
framework provides the higher-level scope and of relatively large geographic areas
development objectives that help to define the Mission’s delineated by ecological patterns,
manageable interest, resources available, and ultimately including large-scale patterns of climate,
the purpose of a PAD. A Mission CLA plan may identify geology, and biodiversity.
gaps in the evidence base to be addressed within the
• connectivity conservation planning –
project, or crosscutting concerns or hypotheses that
focuses on maintaining structural
will require collaborative implementation, knowledge
connectivity and ecological processes
sharing, and analysis across projects. It may also
and functions across a landscape
identify opportunities to influence the work of other
development actors operating in this sector, or to • ecological gap assessment – assesses the
collaborate with them on assessments or evaluations. extent to which a protected area system
fully represents the biodiversity across
Scale: Prioritization for conservation action can be a large area. Based on this assessment,
carried out at a variety of scales, ranging from an planners can identify specific biodiversity
international or multi-country regional scale (group of interests (ecosystems, species, and
countries or a region), to a national scale (countrywide), habitats) that are underrepresented in
to a subnational and local scale (specific areas within the national protected area system.
a country, or ecosystems, species, and ecological
processes within a particular landscape or ecoregion).
Box 3 presents some examples of priority setting in
conservation; see Chapter 3 for more detail.
management of land, water, and living resources are a
Stakeholders: Stakeholders include any individual, matter of societal choice.... Different sectors of society
group, or institution that has a vested interest in or can view ecosystems in terms of their own economic,
influence the natural resources of the project area, as cultural, and societal needs. Indigenous peoples and
well as those who might be affected by project activities other local communities living on the land are important
and have something to gain or lose if conditions change stakeholders and their rights and interests should be
or stay the same. recognized.”2 Determining which elements of biodiversity
to emphasize requires that key stakeholders, often with
As detailed in Section 3.1.5, stakeholders are all those very different values and interests, work together to set
individuals and institutions that should be considered in priorities. Involving the right set of stakeholders is critical
order to achieve project goals and whose participation to the success of conservation planning.
and support are crucial to its success. The Convention
on Biological Diversity states, “The objectives of
2 COP 5 Decision V/6

Selecting among alternative conservation priorities often and Alliance for Zero Extinction Sites (an alliance of
becomes a negotiation process among stakeholders, more than 75 institutions).
requiring a solid understanding of potential trade-
offs. For instance, a project that emphasizes strict Key parameters shape biodiversity and all USAID
protection of a forest to conserve a threatened species programming. Parameters are the “givens” that are
could exclude traditional uses of that forest, such as usually beyond the scope of the OU to change and need
gathering of medicinal plants. While compromises are to be incorporated into the strategic plan (See Figure
often necessary, USAID managers ideally should seek 3, inner circle of USAID program cycle diagram). Some
solutions that ensure equitable distribution of benefits to parameters that shape a strategic plan arise from within
stakeholders while achieving the project’s purpose. USAID: budget levels, types of funds available, availability
of other resources, Mission or OU priorities, and overall
Relationship between Priority Setting and USAID priorities and initiatives. Others emerge from
Defining a Conservation Development host-government priorities; international policies and
Objective: Priority setting is an important part of processes (e.g., Reducing Emissions from Deforestation
defining a conservation objective. It helps provide the and Forest Degradation/REDD+ as a mechanism for
broad boundaries under which USAID managers will forest conservation); and constraints and opportunities,
work. Setting an overall conservation objective within such as conflicts and election cycles. Managers should
a country typically involves understanding national recognize and incorporate internal parameters during
conservation and development priorities, as well the initial stages of strategic planning but may also
as the programmatic priorities of USAID and other discover external parameters through assessments.
partners. The CDCS sets the broad parameters within
which the Mission and the project defined by the In the real world, these parameters often do not
project appraisal document (PAD) should operate. coincide with optimal scales and timeframes for efforts
In identifying national priorities, planners should be to conserve biodiversity and ecosystem processes.
familiar with existing national reports, such as the For example, operating units may have only limited
National Biodiversity Strategy and Action Plan. USAID or short-term funding, planning timeframes may be
managers will also need to align the project with the longer-term than mechanism length, there may be shifts
broad development objectives of the USAID Policy in funding streams, or a key area of the landscape may
Framework and national development objectives, become off-limits due to conflict. Nevertheless, planning
including national priorities in achieving the Millennium conservation actions for the appropriate scale and
Development Goals (MDGs), as relevant to the timeframe enables projects to create a feasible and
priorities defined in the CDCS or RDCS. strategic vision to inform project design and evaluation.
As discussed in more detail in Section 2.3, setting a 2.1.2 USAID Considerations and
conservation objective also involves identifying what Requirements
elements of biodiversity will be included and where
When working on this first step in the USAID program
efforts will be focused. In identifying these priorities,
cycle, it is important to know how the USAID Policy
planners often use large-scale biodiversity analyses.
Framework, Biodiversity Policy, and Biodiversity Code
In addition, USAID requires and recommends
inform priority setting.
several assessments, which can inform the conservation
objective. USAID managers might also use non-
USAID Policy Framework: In addition to the
governmental organization (NGO) or other
general principles outlined above, USAID biodiversity
agency geographic priorities to help inform
managers should incorporate the key objectives and
their own priority setting. Examples include the
principles in the USAID Policy Framework for 2011 to
Key Biodiversity Areas (Conservation International),
2015. This framework sets out seven core
the Global 200 Ecoregions (World Wildlife Fund),
development objectives:

• increase food security The Biodiversity Policy makes some modest
• promote global health and strong health systems improvements to the Biodiversity Code that are
designed to help operating units better justify working
• reduce climate change impacts and promote low
on key drivers of biodiversity loss in addition to
emissions growth
immediate threats. The changes (noted in italics) will also
• promote sustainable, broad-based economic growth encourage more rigor in designing projects that address
• expand and sustain the ranks of stable, prosperous, the stated drivers and threats affecting biodiversity:
and democratic states
1. The project must have an explicit biodiversity
• provide humanitarian assistance and supporting objective; it isn’t enough to have biodiversity
disaster mitigation conservation result as a positive externality from
• prevent and respond to crises, conflict, and instability another project;
2. Activities must be identified based on an analysis of
The USAID Policy Framework also contains a set of drivers and threats to biodiversity and a corresponding
core principles, which guide efforts in program design. theory of change;
• promote gender equality and female empowerment 3. Site-based projects must have the intent to positively
• apply science, technology, and innovation strategically impact biodiversity in biologically significant areas; and
• apply selectivity and focus 4. The project must monitor indicators associated with
• measure and evaluate impact a stated theory of change that is expected to produce
biodiversity conservation results.
• build in sustainability from the start
• apply integrated approaches to development As described in greater detail in the Biodiversity Policy,
• leverage “solution holders” and partner strategically USAID undertook a global biodiversity prioritization
process that established two tiers of operating units for
The most recent FAA 118-119 analysis (tropical forest USAID investments with biodiversity funds. Tier One
and biodiversity assessment) for a country provides operating units are responsible for activities in USAID-
USAID and its partners with useful background when assisted countries or regions that are the highest ranked
choosing conservation priorities and selecting the scale in terms of biological criteria. Tier One operating units
and sites at which to work. As noted, the National should identify biodiversity as a priority in their country
Biodiversity Strategy and Action Plan (NBSAP) is or regional development cooperation strategies (CDCS/
another essential resource. Section 2.3.4 provides RDCS), focus on globally significant biodiversity, and be
additional information on assessments that are required a priority for biodiversity technical assistance. Tier Two
and recommended for operating units programming operating units are responsible for activities in countries
USAID biodiversity funds. or regions that have some combination of the following
characteristics: contain a globally significant ecoregion,
Biodiversity Policy: As noted in the Introduction, provide important habitat for endangered/threatened
USAID publicly issued its Biodiversity Policy in 2104. The species, add to global representation of the USAID
policy acknowledges that biodiversity conservation is an biodiversity portfolio, and is an area where USAID has
important foundation for achieving Agency objectives, a comparative advantage or previous record of success.
particularly increasing food security, reducing climate The Tier Two list is more subject to institutional factors
change impacts, promoting global health, and promoting in determining which operating units are priorities
sustainable economic growth. Box 1 summarizes (e.g., emerging strategic interests in programming in a
USAID’s blueprint for biodiversity, as laid out in the given country). Tier Two operating units should strongly
new policy. consider undertaking biodiversity programs and should
also focus on globally significant biodiversity.

If the operating unit is working with biodiversity- 2.2 COUNTRY DEVELOPMENT
earmarked funds, the Biodiversity Code requires that COOPERATION STRATEGY
USAID managers identify geographic and technical
priorities. A country or region may possess relatively
(CDCS)
high overall biological diversity; however, this does not In USAID, most large-scale strategic planning and major
mean that all areas within the country or region are national and sectoral assessments take place during the
equally significant for biodiversity. Many areas are already formulation of the country development cooperation
widely recognized as biologically significant, based on strategy (CDCS). The 2010 President’s Policy Directive
existing analyses and priority-setting exercises, such as on Global Development states that “USAID will work in
the NBSAP. collaboration with other agencies to formulate country
development cooperation strategies that are results-
USAID sets conservation priorities at the regional and oriented, and will partner with host countries and local
national levels by considering a combination of factors, communities to focus investment in key areas that shape
including biodiversity criteria such as species richness, countries’ overall stability and prosperity. In this regard,
endemism, level of threat, level of irreplaceability, and a CDCS can be considered to be a five-year blueprint
representativeness in terms of biodiversity attributes. that lays out development hypotheses and sets forth
Other parameters include Agency comparative the goals, objectives, results, indicators, and resource
advantage, past program performance, and geopolitical levels required.”
factors. In establishing overarching goals and priorities,
planners identify the scope, type, and nature of the Nearly all bilateral Missions are required to develop
conservation project that will best meet the broad a CDCS, and some regional Missions have developed
conservation aims of both USAID and its national them as well (e.g., the Central African Regional Program
partners. In setting a conservation vision, planners for the Environment/CARPE/USAID/CAR). CDCSs
should describe the state they hope to achieve with require a broad gender analysis, as well as a Biodiversity
the biodiversity program or project. and Tropical Forestry (FAA 118-119) Analysis (note:
forestry is only required for those countries with
tropical forests). The extent of these analyses can range
from a desk study to field-based multi-sectoral analysis.
Section 2.3.4 on assessments and specific USAID
considerations for assessments provides more details.
As outlined in the ADS 200 and summarized in Figure

6, after the approval of the CDCS, a concept paper
is developed as the first stage of each project design
process. This concept paper informs the development
of the more detailed PAD. The PAD, in particular, will
draw on the assessments completed during CDCS
development, but normally much more detailed
analysis is required during project design. For instance,
a sustainability analysis is required at the project level,
in the PAD. An initial environmental examination (IEE)
is also required at the project level and, if necessary, in
additional detail at the mechanism level.
The PAD is approved by the Mission Director in signing

the project authorization, after which the team can
define more specifically how they will implement the

Figure 6. General Steps for Moving from the CDCS to Full Implementation of the PAD
Note that the process is not always as linear as it appears in this figure. For example, PAD project designs will frequently happen out
of sync with the CDCS. Likewise, implementation and procurement are ongoing. Usually some existing mechanisms that were awarded
prior to PAD development will need to be modified to align with the role they are expected to play in project implementation.The range
of mechanisms that can be used for project implementation includes more than just contracts and grants. Government-to-government
agreements, USAID staff actions, and agreements with other donors and public international organizations, as well as credit guarantees,
are often part of the set of mechanisms that will be needed for implementation of the project design.
project and select the procurement instruments needed because they recognize the importance of these assets
to implement the project design. Once the partners to national development.
are selected, and grants, contracts, and agreements with
partner governments and other donors are signed, the Major sectoral strategies, especially those that have an
project begins to be implemented. impact on land and natural resources, should consider
biodiversity as an essential component. Congress
What If Biodiversity Is Not Featured in the mandates that USAID consider impacts on biodiversity
CDCS? and tropical forests in its strategic processes and project
implementation through adherence to Regulation 216
Biodiversity may or may not figure strongly (or at all) in
(22 CFR 216 and ADS 204). Major USAID investments
a CDCS; the emphasis often depends on whether the
should at least not harm biodiversity and ideally should
country has been prioritized for biodiversity funding,
contribute to improving a country’s biodiversity strategy,
whether it has biodiversity funding, and/or whether it
now more than ever as countries experience the
historically has been a strategic biodiversity country
impacts of climate change. Attention to biodiversity
or region (e.g., the Amazon and Congo Basins). Some
will help ensure a more resilient and sustainable
countries may integrate biodiversity and environment/
development pathway. Box 4 presents some ideas for
natural resource management into their strategies
integrating biodiversity into the CDCS.
BOX 4. INTEGRATING BIODIVERSITY INTO CDCSS AND PROJECT STRATEGIES
Some ways to integrate biodiversity into CDCSs include
• visiting biodiversity priority areas and assessing development options that fit with USAID
priorities and comparative advantage; even if not implemented, these ideas could be shared
with other donors and the government
• consulting with relevant Ministries, NGOs, and communities in areas of significant biodiversity
• integrating priorities from the country’s National Biodiversity Strategy and Action Plan
• seeking and incorporating concrete examples of how biodiversity and conservation link to
development objectives, such as food security, health, good governance, stabilizing long-term
sustainable livelihoods, conflict prevention and mitigation, and mitigating and adapting to
climate change
• studying and adopting development pathways that support biodiversity conservation
• contacting USAID technical experts for ideas and as champions for integrating biodiversity

2.2.1 CDCS Results Framework
A CDCS incorporates a results framework (RF). The BOX 5. APPROPRIATE USE OF
RF informs development of the project/PAD-level BIODIVERSITY EARMARKED FUNDS
logical framework (see Figure 4 and Project Design
and Planning for further information). The CDCS
RF is a schematic map that shows how the mission Beyond the standard guidelines described
plans to support its overall development goal with in this section, developing a design for a
development objectives, and with the intermediate biodiversity project requires that planners be
results (IRs), sub-intermediate results, and indicators that clear about the use of earmarked funds. It is
feed into the development objectives. The CDCS goal extremely important to have clear guidance in
is the highest-level impact to be advanced by USAID, the design regarding the amount of funding to
in collaboration with the partner country, NGOs, and be attributed to the biodiversity earmark, and
other development partners. While the RF does not other earmarks, accompanied by an official,
always reflect the complicated, non-linear realities in unambiguous definition of what is and is not
which USAID programs operate, it is a useful rubric acceptable under each source. Reporting
to help managers think through the components of requirements for each funding source must
an integrated program and how these components also be clearly spelled out and respected.
fit together within the context of the development Do operating units need to create a separate
hypothesis to achieve the desired result. development objective or IR at the CDCS
level or purpose/sub-purpose at the PAD level
While the CDCS is shown in the USAID program cycle when the OU has biodiversity-earmarked
as preceding the project design phase, in reality project funds? The Biodiversity Code requires a
design sometimes comes before the CDCS or when conservation objective but does not specify
the CDCS may be in need of updating. Projects that will where this objective needs to fall. The decision
outlive the term of a mission’s current CDCS will need must be considered in light of the integrity
to be revalidated, and possibly realigned, with subsequent of the whole CDCS RF. Operating units may
strategies. Where biodiversity is a development objective place biodiversity at the development objective,
or IR, USAID managers need to consider how other intermediate result, or sub-intermediate
outcomes and intermediate results influence and impact result level, depending on a number of factors,
biodiversity and vice versa. The RF should model a including
holistic, integrated approach that reinforces not only the
environmental but also the economic and governance • the importance of biodiversity in the
attributes of biodiversity conservation, as detailed in the country: Is the country a strategic (Tier
USAID Biodiversity Policy. The RF should also include a One) USAID and international priority?
box showing non-USAID contributions (e.g., from the • the level and likely timeframe of biodiversity
host-country government, private sector, or another funding
donor) as collaborative elements of the Agency’s • if and how biodiversity considerations will
collaborating, learning, and adapting (CLA) approach to impact site selection, including co-location
implementing the program cycle. Collaboration mapping of other activities
is a tool some have used to flesh out stakeholder
contributions and relationships in greater detail.

2.3 PROJECT DESIGN:
BOX 6. APPROACHES FOR
UNDERSTANDING THE INTEGRATION ACROSS SECTORS
CONTEXT AND PREPARING
THE CONCEPT PAPER
The PAD and the concept paper that informs it are the Some approaches to collaborating with and
building blocks for project design in the USAID program integrating biodiversity into other sectors
cycle. This section helps teams developing concept include
papers and PADs to understand the development • conducting an integrated problem analysis
context by that focuses on the intersection of the
1. defining principles and best practices development sectors of interest
2. framing the design, defining the project purpose and • targeting strategic approaches where
end of project status, and building the project design opportunities for different sectors
and implementation teams coincide; identifying “win-win” outcomes
3. clarifying the biodiversity interests and defining that benefit more than one sector
sub-purposes • promoting geographic co-location of
4. using assessments to assemble and synthesize activities from different sectors
information about threats and drivers (including
• adopting landscape-scale approaches to
specific USAID considerations and requirements,
achieve spatial integration in more than
such as plans for sustainability)
one sector
Clarifying the project’s context will help the team better
identify relevant strategic approaches, define appropriate
project design effort. Chapter 3 (Section 3.1) outlines
sub-purposes and outcomes, and identify sound
more specific principles tailored to biodiversity
indicators to measure progress. This section describes
conservation efforts.
steps that project teams can take to ensure that they
start the development of a PAD with a full
understanding of the development context, project In addition, designers should consider the following core
scope, and available evidence. Box 5 describes concepts, described in more detail in Chapter 3.
considerations in project design for use of biodiversity • Scale Appropriateness: Does the project start
funds. The PAD assessment phase is described in this at an appropriate scale and target the right level of
section and in Section 2.4. change in networks, institutions, and policy? What
additional activities or investments – by USAID or
2.3.1 Defining Principles and Best Practices others – are necessary to ensure effective scaling up?
USAID policy underscores the following general • Systems (Integrated) Thinking: Does the
principles during this phase: 1) applying analytic project address the issue or problem from multiple
rigor and using the best available evidence; development perspectives? Could value be added by
2) broadening the range of implementing options taking a more integrated approach? Box 6 presents
considered; 3) incorporating continuous learning for some approaches to facilitate integration.
adaptive management based on risks and opportunities; • Sustainability: Are the full range of factors involved
4) implementing review processes commensurate in sustainability – environmental, social, institutional,
with a project’s cost and complexity; 5) promoting and economic – addressed and linked? Does the
collaboration and mutual accountability among design combine activities that will be completed by
USAID, the partner government, other U.S. the end of the project while also tackling longer-term
Government agencies, and other key stakeholders; issues related to drivers of biodiversity loss and the
and 6) demonstrating USAID staff leadership in the enabling environment?
• Engaging Stakeholders: Have people who depend other stakeholders better understand the country/local
directly on natural resources (e.g., farmers, forest- context and track its dynamic effects on the USAID
dependent populations, fishermen) had meaningful project, as well as showing how the USAID program
input into the design of the project? Will the planned may influence this context. Implementing partners and
activities build their capacity or otherwise benefit other local development actors need to be engaged as
them? How are gender issues being addressed knowledge peers and advisors in productive relationships
throughout the project? that can include
• participation in working groups that include
2.3.2 Framing the Design, Defining the government counterparts and other donors
Project Purpose, and Building Project
Teams • inclusion of Advisory Committees that aid the Mission
in CDCS development and project design
There is never a completely blank slate in any USAID
project design process. Key internal USAID and external • engagement with local thought leaders and academic
parameters − such as earmarks, national government and research institutions in interactive knowledge-
priorities, geographic focus areas, special security issues, sharing opportunities such as Big Picture Reflections,
or political concerns − serve as boundaries and filters or discussion forums to assess project implementation
for the project design. and its implications for strategy and learning
• sharing and collaborative analysis of findings from
During the analytical phase, the PAD design team country assessments, evaluations, and monitoring
must clarify the degree to which the project is multi-
sectoral, that is, comprising more than one development Project Purpose: Defining the project purpose is one
sector (e.g., health and biodiversity, food security and of the first steps a PAD team should take. A project
biodiversity, conflict over natural resources in biodiverse purpose is the key result to be achieved by the project.
areas, climate change and coastal biodiversity) versus The purpose comes from the IR, set of IRs, or DO to
a more focused effort on biodiversity. Fully multi-sectoral which the PAD team has been assigned; it is the PAD
project design typically requires special approaches team’s responsibility to align the purpose with those
(Box 6). parts of the CDCS RF and show how the purpose
contributes to the RF.
PAD Team: The selection of the PAD design team
is a critical early step in preparing the concept paper In generic planning language and in the Open Standards,
and PAD. The systemic nature of both problems and the project purpose is often referred to as the “project
solutions in biodiversity and natural resource sectors vision” – the desired state or ultimate condition that the
often calls for understanding and incorporating project is working to achieve. It is typically expressed as
insights from disciplines as diverse as ecology, biology, a clear and brief summary of the main result the project
atmospheric science, economics, sociology, anthropology, team members and their partners are committing
and political science. For this reason, it is important to themselves to achieve. For most biodiversity projects, the
put together a multidisciplinary team or have access to project purpose should describe the desired state of the
individuals with the necessary expertise. Biodiversity biodiversity or resources in the project area, taking into
projects coupled with other development sectors such account consultations with stakeholders. It should guide
as education, health, economic growth, and democracy the project team and help the team communicate what
will require specialists in those areas as well. the project is trying to accomplish.
As described in the Agency’s CLA approach and the

Program Cycle Learning Guide, learning activities
around updating and expanding contextual knowledge
can help OU/Mission staff, implementing partners, and

2.3.3 Clarifying the Biodiversity Interests
BOX 7. EXAMPLES OF and Defining any Sub-Purposes
BIODIVERSITY INTERESTS Biodiversity: After clarifying the project purpose
and ensuring that its end-of-project status indicators,
timeframes, and targets will be within USAID’s
Biodiversity interests collectively represent manageable interest, one of the first tasks of the PAD
the overall biodiversity values of the system. design team is to define the specific elements of
They include biodiversity the project is trying to conserve. Working to
• Ecosystems (and habitats) that conserve biodiversity is an inherently complex endeavor.
characterize or support the site’s To help focus this effort and make it manageable, teams
terrestrial, aquatic, and/or marine should prioritize “biodiversity interests” – or “biodiversity
biodiversity. Examples include native targets,” per the Open Standards – that can represent
grasslands, riparian forest, and coral the overall biodiversity at the site(s) (Box 7). Doing so
reef. A small site may have only a few helps teams narrow their focus and assess whether their
ecosystem types. A large, complex site conservation efforts are effective over the long term.
may have many ecosystem types, so Defining biodiversity interests establishes the foundation
the team will have to select a subset as for later work, including assessing threats and drivers,
interests to represent the whole. selecting strategies, and monitoring long-term impact.
In addition, biodiversity interests help teams set project
• Species or species assemblages sub-purposes, which are linked directly to the desired
endemic to an ecoregion, area-sensitive future status of the biodiversity interest.
species, commercially exploited species,
flagship species, keystone species, or Although this section is largely focused on site-based
imperiled species. Examples include conservation, it critical to consider how a project
mountain gorillas, humphead wrasse, purpose or sub-purpose that focuses on policies
snow leopard, Mekong catfish, mussel or other elements of the enabling environment will
assemblages, and Himalayan poppies. achieve specific conservation objectives. This focus will
Species selected as interests are typically strengthen problem statements and associated measures
those not represented by the key and assure adherence with the Biodiversity Code.
ecosystems because they require multiple
ecosystems, have special conservation When selecting biodiversity interests, it is useful to use a
requirements, or are subject to threats “coarse filter/fine filter” approach. Coarse filter interests
that affect the larger ecosystem less are those key ecosystems that, when conserved, also
directly (e.g., hunting). protect the majority of species within the project
area. Fine filter interests are composed of species and
communities that are not well captured by coarse
filter interests and require individual attention. These
interests may be rare, face unique threats, or require
unique strategic approaches. In theory – and hopefully
in practice – conservation of the biodiversity interests
will ensure the conservation of all native biodiversity and
key natural resources within the project site. Selection
of biodiversity interests is typically a group effort and
requires input from experts and analysis of spatial data.

Setting Project Sub-Purposes: This handbook A well-defined sub-purpose ensures that a project
defines a project sub-purpose as a formal statement team has an explicit and common understanding of
detailing the desired future status of a biodiversity the project and how the team intends to influence the
interest. In some cases the sub-purpose may align biodiversity of concern. It can help inform learning and
to a CDCS’s sub-IR. In the Open Standards, biodiversity assessments of effectiveness. Consider, for instance, the
sub-purposes are referred to as biodiversity or following two fictitious sub-purposes for a watershed
conservation “goals.” A single project usually has conservation project:
multiple sub-purposes, as each biodiversity interest
• Sub-purpose A: Conserve riparian areas within
would have a specific sub-purpose to describe how the
the watershed
team hopes to improve it. Alternatively, the specific
biodiversity interests could be tied to specific indicators • Sub-purpose B: By 2020, all rivers and tributaries in
and targets for a single project purpose or sub-purpose, the Clear River Watershed have forest coverage that
rather than requiring the creation of a string of separate extends at least 100 meters on both sides
sub-purposes.
With sub-purpose A, there is a general understanding
of what the project intends to do, but it is not clear
BOX 8. CRITERIA FOR A GOOD SUB- how the team is defining “conserved riparian areas.” In
PURPOSE OR END-OF-PROJECT STATUS contrast, sub-purpose B provides specific conditions the
INDICATOR AT THE PURPOSE LEVEL team must work to achieve, and it is clear what the team
will measure to know if it has achieved its sub-purpose.
As such, well-defined sub-purposes and indicators also
A good sub-purpose or end-of-project focus monitoring efforts. In many cases, project teams
purpose-level target and indicator should monitor their project by simply collecting as much
meet the following criteria: information as they can without a clear idea of how they
will use it. Monitoring sub-purpose A might encourage
• linked to biodiversity interests –
extensive data collection, while monitoring sub-purpose
directly associated with one or more
B simply involves measuring forest coverage along the
biodiversity focal interests
rivers and tributaries.
• impact oriented – represents the
desired future status of the biodiversity In biodiversity projects, sub-purposes and/or indicators
interest over the long term should be clearly linked to the desired future condition
• measurable – definable in relation of biodiversity interests (Box 8). When setting a sub-
to some standard scale (numbers, purpose, it can be useful to consider “key ecological
percentage, fractions, or all/nothing states) attributes” of the biodiversity of interest (Box 7). In
particular, teams can think about the categories of size,
• time limited – achievable within a condition, and landscape context. In other words, species,
specific period of time, generally 10 or habitats, and ecosystem generally need a minimum size, a
fewer years certain condition or quality, and adequate surroundings.
• specific – clearly defined, so that all Where relevant, teams should consider setting sub-
people involved in the project have the purposes and/or indicators that include at least one
same understanding of the terms in the element from these categories. If time and resources
sub-purpose permit and sufficient information is available about the
biodiversity focal interest, the team should consider
doing a viability assessment (Box 9).

BOX 9. VIABILITY ASSESSMENT – A TOOL FOR DEFINING
BIODIVERSITY INTEREST STATUS AND SETTING SUB-PURPOSES
To know if a biodiversity focal interest is doing attribute and then defines what constitute “very
well, it is important to know how ecologically good,” “good,” “fair,” and “poor” values for that
viable it is. One tool that can be helpful in setting indicator. In addition, the team defines the current
project purposes and sub-purposes or purpose- value or status and the desired future value and
level end-of-project status targets and indicators date for the indicator.
is a viability assessment.Viability assessment
involves identifying key ecological attributes For example, in the figure below, the project team
(KEAs) for each biodiversity focal interest. KEAs has a grassland habitat focal interest. They identify
are aspects of a biodiversity interest’s biology fire regime as a key attribute of the grasslands
or ecology that, if present, define a healthy focal and years between fires as an associated indicator.
interest and if missing or altered would lead to Based on expert input, the team assumes that a
the outright loss or extreme degradation of that healthy frequency is to have fires every 5-10 years.
interest over time. For example, a key attribute If fires happen more or less often, the grassland
for a freshwater stream might be some aspect of will lose integrity over time, leading to serious
water chemistry. If the water chemistry becomes system degradation. Note that in this particular
sufficiently degraded, then the stream is no longer example, the team did not assign a “very good”
viable. To identify KEAs, it is helpful to think of or “poor” rating. They may be able to fill in that
three attribute categories that often collectively information over time, as they get a more precise
determine the health of a conservation focal understanding of the fire regime. However, the
interest: size, condition, and landscape context. most important information is whether the fire
Once the team has chosen its KEAs, it identifies regime is trending toward “good” or “fair.”
one or more specific indicators to measure each
Indicator Ratings
Biodiversity Key
Indicator
Interest Attribute
Poor Fair Good Very Good
Grassland Fire regime Years between fires >10 or <5 5-10
Current Status (January 2013) 8
Desired Future Status (January 2025) 5-10
By carrying out a viability assessment, the team (Box 8) and was easy to develop because the
has gathered the building blocks of a target and team dedicated time for a viability assessment.
indicator set. They know what they are trying
to achieve (a certain interval between fires in A viability assessment relies on established
grasslands), what the desired level is (5-10 year principles of ecology and conservation science.
intervals), and when they need to achieve this (by It uses the best available information in an
January 2025). This information can be converted explicit, objective, consistent, and credible
into the following target, timeframe, and indicator: manner; however, it does not require “perfect”
“By January 2025, grasslands across the project information. Instead, it provides a way for a team
area are burned at least once every 5 years and to specify – to the best of its knowledge – what
not more than once every 10 years.” This meets healthy biodiversity focal interests will look like.
the criteria for a “good” target and indicator

2.3.4 Assessments: Synthesizing Information and where USAID’s existing portfolio of projects may
about Threats and Drivers impact biodiversity and tropical forestry.
Assessments and analyses are critical to the project
design phase. In addition to reviewing existing data, a Environmental Threats and Opportunities
design team will scope and implement targeted thematic Analyses are not required, but they are increasingly
assessments, analyses, and site-based data collection. used to meet the requirements of FAA 118-119,
During implementation, assessments and program especially within the Africa Bureau. They differ widely
evaluations inform ongoing and future programming. in format and length from Mission to Mission, but
Cross-sectoral assessments at the country scale are their general purpose is to identify key environmental
often used as a basis for operating unit strategic planning. threats and their underlying causes across different
They help map relationships among different sectors; systems − green (forests, agricultural systems); brown
identify key national and local policies; and delineate (urban, industrial systems); and blue (marine and
the positions of other donors, civil society, and citizens freshwater systems).
relevant to a particular topic. Assessments conducted
in a participatory fashion start the process of building An Initial Environmental Examination (IEE) as
consensus around a project purpose. required by 22 CFR 216 ensures that environmental
consequences of any and all USAID activities are
During the analytical phase, considered in the project design phase and prior
to the final decision to authorize the project. These
• existing information is collected, reviewed, and USAID environmental procedures should define
judged on its importance and relevance; environmental factors that constrain development and
• information gaps are identified and decisions made identify activities that can assist in sustaining or restoring
about how to manage them during design and/or the natural resource base. Additional IEE detail may
during project implementation; need to be provided at the mechanism level prior to
• key direct threats to biodiversity and ecosystem procurement proceeding for specific mechanisms. Note
interests are identified; that the IEE is critical to other (non-biodiversity or
• trends and drivers, including direction, speed, and environment) sectors and should never just be focused
cause of change, are linked to direct threats; on environment projects. It is a way to open up dialogue
with other sectors about how to avoid impact at a
• critical leverage points and actors are identified;
minimum but ideally contribute to conservation.
and
• the design team begins to identify key components of It also should never be assumed that a biodiversity
a system and to outline a development hypothesis project gets a categorical exclusion in an IEE because it
with an explicit theory of change (TOC). is considered to be environmentally friendly. All projects
need to be scrutinized for possible environmental
USAID Required or Recommended impacts. For instance, a project may be promoting
Assessments agricultural approaches that are hypothesized to
As part of the concept paper and PAD development reduce threats on natural areas but that could have
phases, project teams should carry out a number of environmental impacts.
assessments required or recommended by USAID
(see ADS 201). After the IEE has been approved, Environmental
Impact Assessments may be required for
Tropical Forest and Biodiversity Analyses, as activities that can be expected to have effects on
discussed above, are required to inform the CDCS. the environment, including biodiversity. They consist
These FAA 118-119 analyses should be carefully of a detailed study of the effects, both beneficial and
reviewed in the assessment phase of project design to adverse, of a proposed action on the environment of
identify priority sites, key threats, country-level actions, a foreign country or countries. They provide Agency

and host country decision makers with a full discussion Sustainability Analysis is required for PADs.
of significant environmental effects of such an action. Missions should analyze key sustainability issues, including
These assessments include alternatives that would avoid economic, financial, social, cultural, institutional, political,
or minimize adverse effects or enhance the quality of technical, and environmental sustainability. Where
the environment. In cases of expected environmental appropriate, the analysis should discuss generally how
impact, a mitigation plan is developed and should be USAID’s overarching strategic objectives can help
monitored and updated regularly. USAID environmental achieve sustainability goals. This analysis also requires a
procedures are detailed here. review of the project’s financial costs, recurrent costs,
and maintenance capability and costs (if applicable), and
Gender Analysis (mandatory), conducted as part of how to ensure adequate future revenues. It involves
the project design process, outlines key social dynamics analyzing the institutional capacity needed, including
and trends important for biodiversity programming. The systems, policies, and skills. In conflict situations or
more general level of gender analysis conducted for highly volatile environments, the sustainability of project
the CDCS rarely provides sufficient detail to meet the benefits may be unpredictable. In such cases, the analysis
gender analysis requirements for the design of strategic should describe which benefits may be sustainable and
approaches at the project level. Gender analysis can which may need to be achieved through future projects.
provide insight into such issues as how land tenure and It should reference the project’s sustainability outcomes
property rights systems impact men’s and women’s (with the understanding that not all projects aim to be
investments in land and resources; gender roles in fully sustainable at their conclusion) and indicate how
diverse value chains; agricultural, forestry, or fishery the project intends to meet these outcomes. Finally, the
divisions of labor; or how specific activities may impact timeframe for sustainability should factor in how long it
and benefit men and women differently. For more takes to influence actions at a spatial scale appropriate
information on advancing gender equality and women’s to generate meaningful change. Box 10 and Chapter 3
empowerment in the design and implementation of provide additional information on linking this analysis to
biodiversity projects, see Chapter 3 and the suite of biodiversity conservation.
tools available from the Office of Gender Equality and
Women’s Empowerment (GenDev). The Gender Matrix
tool is particularly helpful for project design.
BOX 10. EXAMPLES OF HOW ENVIRONMENTAL SUSTAINABILITY

LINKS TO OTHER SUSTAINABILITY ELEMENTS
• Economic analysis should include both financial and non-financial benefits and costs,
incorporating the value of maintaining ecosystem services.
• For biodiversity projects, the sustainability analysis can help identify the sustainability of
institutions that manage biodiversity and natural resources; identify resources for building
constituencies; and strengthen civic and governmental institutions more broadly, as called
for in USAID Forward.

A Biodiversity Threats3 Assessment is not among
USAID’s formally required analyses, but it is critical for BOX 11. STEPS IN A BIODIVERSITY
biodiversity programming. This assessment is a site- THREATS ASSESSMENT
specific study that identifies both direct threats and
indirect threats or drivers impacting biodiversity, as
well as major trends and actors that have an impact on
ecosystems and species of interest (Box 11). An analysis Some steps to identify and prioritize
of threats to biodiversity helps planners to be more threats include
strategic about biodiversity investments. It is also a first • Select a specific biodiversity interest
step in developing an explicit theory of change for how from the larger set identified. Biodiversity
to mitigate or prevent threats. interests may include ecosystems, habitats,
and species or assemblages of species
A threats assessment is not the same as an FAA as well as policies or other conditions
118-119 analysis, which is undertaken at the country impacting these interests. Teams should be
level as part of a CDCS. A biodiversity threats as specific as possible.
assessment may build on the FAA 118-119 analysis, but
it goes into much greater depth on the type, location, • Review and synthesize relevant literature
severity, and causes of threats to a specific area, that describes the direct threats, stresses,
ecosystem, or species. It also seeks to identify causal trends, and actors that have an impact on
connections among the threats and to identify broader the conservation interest.
trends and conditions. A threats assessment can range in • Interview key actors and stakeholders,
scope from a desk study overview to a scientific ideally at conservation sites, and compare
investigation of specific threats to a species. Typically, the results with other findings to get as
threats assessments for USAID activities involve accurate a picture as possible.
literature reviews, field visits, and interviews. They should
be carried out at the beginning of any USAID-funded • Prioritize the threats based on literature,
biodiversity project per the Biodiversity Code, as field observations, and interviews. It can
described in Chapter 1. It is acceptable to use recent be helpful to use a rating tool (e.g., Miradi
threats analyses completed by partners or other actors if or a relative rating) to summarize threat
the biodiversity interests they identify match those of ratings across a site.
USAID. See also Section 3.1.2. • Link direct threats to drivers. For
instance, direct threats such as logging
may be linked to the lack of secure
tenure for farmers around a forest, and
an increase in hunting pressure could
be due to demand from national and
international markets.
3 The term “direct threat” is the current generic term accepted for
USAID-level design and planning. In the conservation world, both terms
are commonly used, but “threat assessment” is more widely used than
“threats assessment.”

Figure 7. Example of Threat Rating in Miradi Adaptive Management Software
In conducting a biodiversity threats assessment, planners and sensitivity to climate change. They are required when
should keep in mind emerging trends (e.g., demographic programming climate change adaptation funds but may
shifts, new extractive industries, changes in land policies) also be very useful in biodiversity programming, given
and develop strategies to monitor these contextual that climate change impacts on human populations can
factors. Figure 7 depicts a tool to identify also have major impacts on biodiversity. In some cases,
and rate threats. adaptation and biodiversity funds are programmed in
one location (see climate change section of Chapter 4).
Conflict Assessments (not required but More information is available in USAID’s climate
recommended where applicable) provide a broad change strategy.
overview of destabilizing patterns and trends in a society.
They sift through the many potential causes of conflict Land Tenure and Property Rights (LTPR)
and focus on those that are most likely to lead to Assessments, though not required for biodiversity
violence, or renewed violence, in a particular context. programming, are appropriate when a Mission
While conflict assessments provide recommendations 1) suspects that LTPR constraints are problematic and
about how to make development and humanitarian wishes to understand the problem and the best way
assistance more responsive to conflict dynamics, they to respond, or 2) has been involved in LTPR strategic
do not provide detailed guidance on design of specific approaches and would like to evaluate the current LTPR
conflict activities. More information is available in situation and past (or ongoing) strategic approaches to
USAID publications on conflict management better plan for future actions. Under both circumstances,
and mitigation. an LTPR assessment can help Missions determine how
LTPR concerns are affecting development programming
Climate Change Vulnerability and Adaptation in a country and how USAID might respond. The LTPR
Assessments are conducted at the regional and Assessment Tools standardize the inquiry so that results
Mission levels to gain an understanding of how climate and recommendations are analyzed and presented in a
variability and change will impact communities, the goods framework that is comparable for all settings. The LTPR
and services provided by natural resources, and human- Assessment Tools indicate the investigative paths to be
built infrastructure. These assessments explore the ability followed to ensure that no themes are omitted and
of a society to plan for and respond to change in a way that inappropriate or ineffective follow-on actions
that makes it better equipped to manage its exposure are prevented.

Research: In addition to required and optional A wide range of analytic tools for synthesizing and
assessments and monitoring and evaluation systems, presenting data is available to USAID managers in
research may be needed to better understand a project design:
development or conservation problem and its context
• Spatial tools including Geographic Information
and impacts. In a conservation project, this is likely to
Systems (GIS) help identify and visualize interactions
be applied or operational research, such as a study
of natural and social features at different scales.
of stakeholder perceptions, wildlife or forestry policy
USAID/E3 Bureau’s in-house geospatial analytic
analysis, a report on the effects of invasive species on key
services are coordinated with USAID’s GeoCenter to
ecosystems, or an analysis of potential climate change
provide technical guidance on spatial analysis methods,
impacts on target areas.
data, and sustainable technology solutions.
USAID has produced a Biodiversity and Development • Situation models (Box 12) depict relationships
Research Agenda to identify and tackle the major among drivers (constraints and opportunities) and
questions related to biodiversity conservation in the direct threats in a complex system and how these
context of development. USAID also has partnerships factors impact the conservation interests.
with several U.S. and internationally-based research • Economic tools, such as cost-benefit analysis
institutions that generate substantial amounts of and market tools such as value chain analysis,
information and data. The agenda presents key reveal economic flows and linkages that can
information resources, USAID mechanisms to incentivize conservation.
fund research data sets, and articles related various • Stakeholder and actor-based tools, such as
research questions. Whole System in a Room or Appreciative Inquiry
Summits, identify what is working well, where, and
Conveying Information from Assessments why for the purpose of determining how actions
The work done in the analytical phase of project design can be applied elsewhere, and bring key people
provides the team with extensive information on the and groups together for planning, advocacy, and
status of biodiversity, challenges faced, current actors, collective action.
and responses. A good PAD-level suite of assessments
will cover much more than biodiversity or environment These tools can help teams organize their information in
and will serve as the context for addressing biodiversity a systematic fashion and conceptualize complex realities.
issues. Understanding the big picture provides critical As the project design team reviews the information,
insights for the identification of root causes or drivers it will develop questions and revise initial assumptions
of problems to be addressed, as well as multi-sectoral about what drives change (e.g., what is causing the
linkages that may not be immediately apparent. While trends that degrade ecosystems or how environmental
assessments are an important step, they can consume conditions affect other areas of development).
time, money, and resources. Where possible, USAID
managers should draw on assessments conducted This type of analysis can also help the team identify
by other donors and researchers. This is where a leverage points where strategic approaches may
multi-disciplinary team and strong ties to an Advisory be most effective. In systems thinking, as described
Committee will be particularly important. in Chapter 3, leverage points could be areas, issues,
institutions, or processes that have the potential to
influence wide-scale change. For instance, property rights
governing natural resources can be a critical incentive or
disincentive to conservation. The ministry governing land
use and allocation could be the most influential leverage
institution in a country, even compared to environmental
ministries. Or an area under conflict or mismanagement
could be spreading threats to surrounding areas.

BOX 12. SITUATION MODELS
A situation model (also known as a problem analysis, conceptual, or causal model) illustrates
connections among direct threats (threats), drivers, and biodiversity outcomes. It graphically represents
the system being examined, lays out key variables identified from the analytical, and illustrates the
cause/effect relationships among them (see figure below). Such models help the project design team
analyze the problem holistically and locate key leverage points for USAID action. In multi-sectoral
programs, situation models tend to be more complex. To the extent possible, teams should focus
primarily on the areas where sectors intersect, rather than trying to cover everything about each
sector individually. A situation model provides the basis for determining where to act and for selecting
strategic approaches and fleshing out development hypotheses (theories of change), which then feed
into a project’s logframe, as well as its learning agenda and M&E Plan.

(c
BOX 12. SITUATION MODELS (CONTINUED)
Building a problem analysis or situation model entails the following steps:

• Identify the biodiversity the team is working to conserve.
• Identify direct threats (through threat assessment) and link them to the biodiversity they affect.
• Identify drivers (e.g., political dynamics, markets, and environmental trends) that have major impacts
on the site and region and draw arrows to show causal connections.
• Identify leverage points where there are many connections between drivers and direct threats. These
are points where the team should consider acting. They also form the foundation for laying out
development hypotheses and developing outcomes linked to the changes desired in these factors
(see Section 2.4 for further guidance).
The team should also note information gaps and The project design team must also consider geographic
consider how to manage them. For instance, there may scope. Biodiversity programming differs from many
be limited knowledge of markets that have an impact other sectors in the importance of spatial/geographic
on wildlife or little analysis of potential climate change dimensions, so it is important to ensure that sufficient
trends. These types of gaps can form the basis of a technical information is available to make good decisions
learning agenda, and the team can include in project about not only how, but also where, to target resources
designs and activity scopes of work the kinds of analytic effectively. Some projects have a national reach (e.g.,
efforts needed to fill in these gaps. The team should policy strategic approaches) and others are located in
also determine whether the information could be specific geographic areas (e.g., site-based activities). Many
gained through additional document research, including are a combination of both. The team may have already
review of evaluation results and other projects’ lessons defined the geographic scope in earlier phases (priority-
learned documents, further stakeholder consultations, setting and CDCS), but this could be a good time to
or rapid fieldwork. If the team cannot obtain the needed revisit this scope, based on the new understanding
information, they should clarify what assumptions they the team has from the analysis. Moreover, the design
are making and consider how they might design the team will need to analyze available information in the
new project and/or adapt course to address the context of decisions made by the USAID Mission about
unanswered questions. geographic focus and other guidelines regarding selection
of target locations beyond strictly technical criteria. For
Some solutions to data gaps include supporting a instance, earmarks and initiatives may have geographic
research component in the project and building conditions associated with them (e.g., biologically
assessments into the first few months of the project significant areas, as mandated by the Biodiversity Code).
implementation plan. If the project does include a In addition, climate change adaptation spatial priorities
research component as an early action, the team should may be different, so strategic decisions have to be made
be prepared to adapt or correct their course of action when co-programming these funds.
based on what they learn.

2.4 PROJECT DESIGN: PLANNING A full set of potential strategic approachesshould
CONSERVATION ACTIONS AND be screened against the internal and external
parameters so that obvious synergies or conflicts
MONITORING can be identified. Many opportunities are likely to
The project design phase is a key step in the overall be eliminated through this process. The project design
USAID program cycle. It is when the PAD team team should select strategic directions that are likely
translates the assessment and consultation inputs to have a significant impact but are also realistic, given
described in Section 2.3 into a focused and strategic budget and time realities.
project design that ultimately will be implemented
through one or many mechanisms and activities 2.4.2 Formulating a Development
(the third box in the simplified PAD design and Hypothesis and Crafting a Theory of
implementation figure, shown here again). Change
Once the team has a solid understanding of the
development problem and context, it is time to
articulate a “development hypothesis” that defines how
Even without taking into consideration biodiversity certain strategic approaches will effect change in the
principles, project design is complex. The process is problem(s) identified. To elaborate the hypothesis, a
never exactly the same, and there is no single formula “theory of change” lays out proposed elements or steps
to follow in all situations. It is rarely a linear exercise. needed to achieve the desired results in a model with
A creative and iterative mix of analysis, innovation, and descriptive text.
communication is required to determine the most
strategic investment of USAID resources. However, and The development hypothesis is based on development
as described in more detail in USAID’s Program Cycle theory, practice, literature, and experience; is country- or
Learning Guide, being systematic and documenting and region-specific; and explains why and how the proposed
using learning will help project designers ensure the investments from USAID and others collectively lead to
success of their strategic approaches. Teams will want to achieving the project purpose. It is a short narrative that
review all of PPL’s design and implementation resources lays out the relationships between each layer of results
before starting their work. from the project goal to the purpose, any sub-purposes,
any intermediate outcomes, outputs, and inputs, often
through if/then statements that reference the evidence
2.4.1 Selecting and Sequencing Strategic
for the causal linkages per ADS Chapters 200-203.
Approaches
Previous steps discussed in this chapter help the team At the PAD level, the theory of change shows how
define the project’s strategic direction and rationale. strategic approaches produce outputs and results (key
The PAD design team also will have a better results include outcome statements) linked in a causal
understanding of the context within which they are fashion to contribute to the project purpose (Figure 6).
working based on analytical findings. It is now time to The logframe provides a tabular structure to organize
develop a project logical framework. Since the final and display most key elements of a theory of change.
project will not be able to cover all of the options Figure 8 illustrates a generic depiction of a development
generated and considered, one of the most important hypothesis at the PAD level, while Box 13 provides
steps in the design process is to prioritize the possibilities specific examples.
and make strategic choices about what to do, and – just
as important – what not to do. Specific activities are A single project will likely carry out multiple activities
defined after the logical framework lays out these big- and may deploy multiple mechanisms. The overall project
picture strategic approaches and results in the overall should have one development hypothesis. Collectively,
design, as well as the targets and indicators for those these activities represent the change that the team is
results and the assumptions the design is based on. trying to achieve in the area in which they are working.

The team should lay out the development hypothesis to comparative advantage; and funding type, amount,
clearly state how USAID investment in these activities is and duration). Moreover, the design team should
expected to lead to a series of biodiversity conservation include a plan for coordination and collaboration
outcomes. The design team should also revisit the among the implementing partners, for facilitating
proposed project direction in consideration of the knowledge sharing among them, and for capturing
parameters identified earlier (e.g., U.S. political priorities and sharing learning at the project level and adapting
and constraints; host-country requirements; technical implementation accordingly.
Figure 8. Development Hypothesis at PAD Level
Project Results Chain

(aka Theory of Change)

BOX 13. EXAMPLE OF THEORIES OF CHANGE
In this tropical forest example, a team hypothesizes that sustainable agricultural strategic approaches
will reduce forest degradation through the following theories of change. A theory can be written as a
statement or shown graphically (or both).
Case 1: IF a team implements an agroforestry program, THEN local famers will grow trees and shrubs
near their farms, and those trees and shrubs will serve as affordable fuel sources. IF local farmers are
able to grow trees and shrubs on or near their farms and IF the trees and shrubs can serve as an
affordable fuel source, THEN farmers will use those trees and shrubs to meet their domestic timber
needs. IF they use these trees and shrubs to meet their domestic timber needs, THEN they will reduce
their harvesting of forest resources for fuel and domestic needs. IF they reduce their harvesting, THEN
the tropical lowland forest health will improve. This logic rests on an overall assumption that the
farmers are the major or only users of the forest.
Case 2: IF a team implements an agroforestry program, THEN fishermen and timber harvesters will
participate in the program. IF fishers and timber harvesters participate in the program, THEN they will
access niche markets. IF they access niche markets, THEN they will earn a “good” or sufficient income
through agroforestry. IF they earn a “good” income, then fishers and timber harvesters will abandon
or reduce previous income sources and substitute them with agroforestry. IF fishers and timber
harvesters substitute income sources with agroforestry, THEN they will reduce their fishing and timber
extraction practices. IF they reduce fishing and timber harvesting, THEN tropical lowland forests and
river fish assemblages will be better conserved.
In Case 2, the team is making a questionable assumption that fishers and timber harvesters will be
interested in switching to another livelihood. The team should monitor this assumption closely, test it
through research, and make adjustments or abandon the strategic approach if it is not working.

2.4.3 How Biodiversity Conservation include strengthening governance, reducing corruption,
Supports Other Development Outcomes diversifying markets, building institutional capacity, and
In the USAID context, teams need to clarify and providing educational benefits.
describe how biodiversity conservation supports
achievement of other development outcomes. Finally, a major conceptual relationship between
biodiversity conservation and other development
First, biodiversity conservation strategic approaches are outcomes stems from services provided by healthy
essentially social in nature. They are designed to influence ecosystems, habitats, and species, as depicted in Figure 9.
institutions (see Section 4.7 for definition and discussion) For example, if a biodiversity conservation project is able
and individuals responsible for threats and also those to sustain healthy fish populations, then there can be
necessary for solving problems and achieving change. adequate fish stocks for consumption and/or sale. Having
Institutional changes that support conservation may also these adequate fish stocks contributes to fisheries
support cooperation, transparency, and partnership with livelihoods, as well as food security and human nutrition.
and empowerment of populations that are key targets Similarly, healthy forests filter water, providing clean water
of development assistance. critical to human health. These sorts of relationships can
be detailed in a theory of change, either in narrative
Second, conservation programming can produce direct form, as above, or in graphic form, as below.
benefits. For example, both theories of change in Box
13 involve biodiversity conservation strategies that Chapter 4 of the handbook lays out multiple pathways
could have direct development benefits – providing for the intersection of biodiversity and human well-being.
affordable fuel sources in Case 1 and providing a “good” Also USAID’s Nature, Wealth, and Power 2.0 (NWP)
income from an alternative livelihood in Case 2. Some provides a framework and key parameters for achieving
other examples of biodiversity strategic approaches both human development and biodiversity objectives.
with direct contributions to development outcomes The NWP approach is described in more detail in
Section 3.1.3.
Figure 9. Example of How Biodiversity Conservation Supports Other Development Outcomes

2.4.4 Developing Outcomes and Defining A team could set an outcome for each assumption
Indicators or expected result, although teams should limit the
By explicitly laying out a theory of change, the project number of outcomes to results that are necessary
design team is in a good position to develop outcomes for the assumptions behind a project design to hold.
they need to achieve for the theory of change to hold. Thus, a team must use its judgment to determine which
An outcome specifies the change needed in threats, results or assumptions are critical. At a minimum, it
opportunities, or other factors to achieve the longer- is good practice to develop an outcome statement
term project purpose. related to the direct threat a team is working to
influence and to have outcomes as results spread
Outcomes should be directly tied to the assumptions out along a theory of change. This practice allows the
laid out in a the theory of change. If a team uses a team to check in on progress at various points over
narrative theory of change, the team should look at the course of the project’s implementation and make
the “then” portions of the “if/then” relationships. For adjustments as needed.
example, in Box 13 Case 2, the first potential place for
an outcome falls in the latter half of this statement: “IF a
team implements an agroforestry program, THEN fishers
and timber harvesters will participate in the program.”
Graphically, this is the first result (blue box) in the figure
associated with Case 2. In this case, the team chose to
define an outcome for the second result in the theory
of change.
BOX 14. CRITERIA FOR A GOOD OUTCOME STATEMENT
A good outcome statement should meet the following criteria:

• uni-dimensional and results oriented − represents necessary change in critical
threat and opportunity factors that affect a specified conservation interest or
project sub-purpose
• measurable − definable in relation to some standard scale (numbers, percentage,
fractions, or all/nothing states)
• time limited − within a specific period of time, generally 3 to 10 years
• specific − clearly defined so that all people involved in the project have the same
understanding of what the terms in the outcome statement mean
• practical − achievable and appropriate within the context of the project site and
the political, social, and financial context

Figure 10. Example of Outcomes Linked to a Theory of Change
Outcome D: By 2018, the

number of trees harvested for
fuel & domestic use declines Scope: Lowland Watershed
by 90%, as compared to 2013
Farmers grow trees &
shrubs near farms Project Purpose
Outcome A + Ind
Farmers use trees & Tropical Lowland
Reduce harvesting for
Agroforestry shrubs for fuelwood &
fuel & domestic use Forest
Initiative domestic timber needs
Sub-Purpose + Ind
Trees & shrubs serve as Outcome C + Ind Outcome C + Ind
affordable fuel source
Outcome B + Ind Outcome C: By 2016, At least 70% of

targeted farmers meet the majority of
their fuelwood & domestic timber needs
Key from trees & shrubs grown on their farms
Strategic Approach Intermediate Result Conservation Target

Threat Reduction Result Human Wellbeing Interest
Returning to Case 1 in Box 13, some potential outcome opportunities that do not contribute to the project’s
statements are shown in Figure: 10. purpose and sub-purpose(s). Because outcomes should
be tied to assumptions in a theory of change, they serve
Because a theory of change lays out a series of causal as the main point for developing performance indicators.
(if/then) assumptions, there is a temporal, in addition to If a team defines “good” outcome statements (Box 14),
a logical, sequence. A team cannot expect to achieve a then the indicators will align with and articulate the
result further down a chain or series of assumptions if outcome, as illustrated for the outcome statements
earlier results have not yet been achieved. For example, in Figure 10:
Figure 10 shows that farmers have to use the trees and
Result C: Farmers use trees and shrubs for fuel wood
shrubs for fuel wood and domestic timber needs for
and domestic timber needs
there to be reduced harvesting of trees. The outcome
statements tied to these two results illustrate this • Outcome Statement C: By 2016, At least 70 percent
temporal sequence, with an anticipated period of two of targeted farmers meet the majority of their fuel
years between the achievement of the first and second wood and domestic timber needs from trees and
outcomes. The theory may be incorrect and external shrubs grown on their farms
or contextual factors such as a government regreening • Indicator C: Percent of targeted farmers who meet
incentive, drought, or land conflict could drive quicker the majority of their fuel wood and domestic timber
or slower change. Thus the theory is just that – a theory needs from trees and shrubs grown on their farms
that requires testing.
Result D: Reduced harvesting for fuel and
The team needs to define the intermediate outcomes domestic use
it hopes to achieve on the way to achieving the overall
• Outcome Statement D: By 2018, the number of
project sub-purpose and purpose. In other words,
trees harvested for fuel and domestic use declines by
intermediate outcomes help project teams know if they
90 percent, as compared to 2013 levels
are making progress toward securing their biodiversity
interests. In addition, well-defined outcome statements • Indicator D: number of trees harvested for fuel and
keep the project team from getting sidetracked by domestic use

Developing outcome statements and setting indicators
tied to a theory of change help PAD teams focus BOX 15. CRITERIA FOR
monitoring efforts so that they collect information that GOOD INDICATORS
is truly necessary to evaluate specific steps toward
progress, as well as assumptions that may shape success.
A good indicator should meet the following
Following Agency guidance, teams should consider
criteria:
monitoring and indicators in the planning stages, and the
most important ones should be in column two of the • measurable – able to be recorded and
project’s logical framework, as well as in the project M&E analyzed in quantitative and qualitative terms
plan. This early consideration will ensure that the team • precise − defined the same way by all people
is clear about how they will measure performance and
that they budget the resources needed to do enough • consistent – does not change over time, so
monitoring and analysis to inform learning. always measures the same thing
• sensitive – changes proportionately in
Developing good outcome statements will also help response to the actual changes in the
teams identify good indicators. When identifying condition being measured
indicators, teams should keep in mind the criteria in
Box 15; the section on Evaluation and Monitoring In addition, the best indicators will be technically
provides much greater detail on indicators. Adaptive and financially feasible and of interest to
management is also enhanced when monitoring includes partners, donors, and other stakeholders.
indicators that capture early systemic changes that can
be detected before desired outcomes are achieved
(e.g., sentinel indicators, as discussed in this review of understand its implications for the project; and adapt
complexity-aware monitoring); and when data gathering implementation, when and where necessary, to maintain
is complemented with processes to analyze the data; the shortest and most promising path to desired results.
Figure 11. Relationship between CDCS Results Framework and a Project’s Logical Framework
Results Framework Logical Framework

2.4.5 Developing a Project’s Logical CDCS results framework but will ultimately have its own
Framework goal, purpose, and sub-purpose(s) informed by project
Although this chapter provides general guidance on design steps, including conducting analysis, selecting
project design and planning, it has focused on the PAD strategic approaches, formulating a development
design team in particular, as it works to develop the hypothesis, and setting outcomes. Thus, the project
PAD to support a project purpose. The PAD team logframe represents strategic approaches that, together
needs to organize the project logic (including purpose, with other Mission projects (corresponding to other IRs),
sub-purpose, outcomes, outputs, and inputs) into a as well as other identified partner programs, should be
logical framework (logframe). If a PAD team follows both necessary and sufficient to achieve the DO.
the guidance in this chapter, it will be in a good position
to develop a robust logframe. Note, however, that the Figure 12 illustrates how a project team can use a
theory of change diagrams may provide more specificity logframe matrix to summarize the project’s development
than the logframe and include additional outcomes hypothesis, goal, purpose, and sub-purposes (see also
associated with key expected results. The most USAID Technical Note on Logical Frameworks). If a
important ones should be presented in a logframe. team has followed the guidance in earlier sections of
this handbook, it should have most of the information
Relationship between a Project’s Logical needed to complete a logframe. The section on
Framework and the CDCS Results Framework Monitoring and Evaluation will cover indicators and
data sources, but teams can still start to fill out the
Figure 11 illustrates the relationship between a logframe
basic structure of the logframe. The same process
and a results framework (RF). In short, the RF is a
could be followed at the CDCS level and thus inform
strategic planning tool that helps a Mission identify the
the RF development.
high-level impact that USAID, the host country, NGOs,
and other partners are seeking to achieve. The project
A key consideration in completing a logframe is to be
logframe helps a Mission define what resources need to
clear about what a team needs to achieve, what actions
be allocated to achieve the results identified in the RF. As
it will take, and what assumptions link those actions to a
shown in the ADS 201, a project goal often corresponds
final conservation impact. Earlier sections on formulating
to a development objective (DO), while the project
a development hypothesis or theory of change and
purpose often constitutes USAID’s support for achieving
developing outcomes and sub-purposes should help
one or more intermediate results (IRs). Many PADs,
teams to be explicit about these relationships.
however, have their purposes framed at the DO level.
A biodiversity project needs to clearly contribute to the
The theory-of-change diagrams in earlier sections depict
if/then relationships that allow teams to add as many
Figure 12. Hierarchy and Logic of a Logframe

variables as appropriate. These diagrams can help a team 2.5.1 Project Implementation Plan and Cost
be much clearer about causal assumptions and steps Estimate
and how and whether they will lead to conservation The thought and attention that went into designing
impact. For example, Box 13 and Figure 10 describing an the project, identifying development hypotheses, laying
agroforestry initiative might contain strategic approaches out theories of change, developing good outcomes
(such as “acquire seedlings”) that do not necessarily and sub-purposes, articulating a learning agenda, and
have associated outcomes in a PAD logframe. These identifying indicators serve as key inputs to developing
additional variables help clarify the steps, assumptions, a project implementation plan and budget. The
and inputs, such as by other actors, needed to achieve implementation plan is a detailed, life-of-project schedule
results posited in the development hypothesis. The for implementing a project’s actions and monitoring
diagrams can also provide the raw data to feed into a plans. It outlines how the implementation team will
logframe. One important distinction, however, is that the turn general plans into on-the-ground implementation
“assumptions” column in the logframe is often about by identifying specific activities, tasks, timeframes, and
external assumptions, factors deemed to be outside of responsibilities. It can be useful to do at least a couple
USAID’s manageable interest, not assumptions about of iterations of alternative implementation approaches
how or whether a specific strategic approach will work. and cost estimates, keeping the initial one(s) at a more
Monitoring along the TOC will provide evidence for or general level to get a sense of the time needed, level of
against the theory. effort, and costs.
Teams should be clear about how to use TOC diagrams For the PAD team, this general level is typically
to inform a logframe. They may also choose to show sufficient. Once a team examines this initial
some of these external assumptions in the theory of implementation plan and cost estimate, they
change diagrams as necessary results to achieve the may need to make some decisions about cutting
project’s logic but outside of the project’s sphere of back, scaling down, or postponing some strategic
control (so they would appear as a box feeding into the approaches. When the team has a manageable project,
chain, but not causally linked to the project or activity). they should delve into more detail and include the
PPL is now recommending that teams investigate specific activities and tasks required to implement the
assumptions in their monitoring approaches to project strategic approaches, as well as who will be
gauge whether their causal logic is valid. Also, where responsible for them. Teams may also see the need for
assumptions relate to actions undertaken by other a period of information gathering and analysis prior
development actors, PPL suggests that teams develop to moving into a more traditional implementation/
influence plans that include using USAID’s knowledge, service-delivery phase; this too has implications for
convening power, and participation in policy dialogues implementation schedules and cost estimates.
and donor coordination to influence the actions
reflected in the assumptions. Thus, assumptions are There are many models for implementation plans and
embedded in causal linkages, not separate from them. budgets. A Gantt chart is one of the most common tools
for developing an implementation schedule and can be
put together in standard programs, such as Word, Excel,
2.5 PROJECT/PAD
and Visio (Figure 13).
IMPLEMENTATION
This section discusses how to prepare the project Some models combine workplans and budgets in one
implementation plan and cost estimate parts of the space (Figure 14). Although this type of tool is more
project design. The PAD design team will need to do relevant to the mechanism level as shown in the figure,
some high-level planning and cost estimation, but the it may help to use such a tool to define the major steps/
more detailed planning and budgeting will fall to the actions, resources, and timeframes needed to achieve
partners procured to implement the activities designed the project purpose.
into the PAD.

Figure 13. Example Gantt Chart
Figure 14. Example of Combined Workplan and Budget (created in Miradi)

2.5.2 Management and Organizational statements of work/terms of reference
Considerations (ADS 300), and allocate budgets for each
The project implementation plan defines the roles mechanism, laying the groundwork for preparation
and responsibilities of USAID staff, as well as USAID of RFPs or RFAs for USAID-direct awards and
partners and host-country governments. During the negotiation of implementing mechanisms in
design process, PAD teams should make decisions about the case of G2G projects or project activities.
implementing and financing mechanisms, develop basic
BOX 16. BUILDING COLLABORATING, LEARNING,

AND ADAPTING (CLA) INTO FUNDING MECHANISMS
During project design, it is important to think through the processes and mechanisms
that can be put in place to ensure that CLA is incorporated into cost estimates and
staffing plans. For example, project teams may want to consider the following:
Resource Planning
Consider cost/staff capacity for these activities, with support from within or outside project. Some
Missions have supported CLA by hiring a CLA advisor or learning advisor. Some Missions also have
procured CLA support contracts or built into their M&E activities broader scope for facilitating
collaboration; conducting research or other analytic work; and helping Mission staff, partners,
and other entities to capture and share learning and adapt their direction or methods based on
the implications of that learning. In addition, Missions are incorporating these kinds of efforts into
the scopes, cost estimates, and required staff capabilities in funding mechanisms. Supporting CLA
doesn’t just happen within the Mission; take care to incorporate scope, cost estimate, and staff into
funding mechanisms for supporting and facilitating knowledge sharing and peer learning among
implementing partners.
Adaptable Mechanisms
Certain types of funding mechanisms can be shaped to adapt to new learning and changing
conditions. Planning for more strategic and systematic collaborating and learning won’t be
particularly useful unless project direction and activities can be adapted accordingly. The project
design team should take into account and discuss in early meetings with the contracting officer
the types of mechanisms and the structure and content that will afford sufficient flexibility and
adaptability for the particular circumstances of each project design.
Follow the links below to explore adaptable funding mechanisms that can support ongoing learning
and adaptation:
• Agile/Evolutionary Acquisition • Program Modifiers

• Including Learning Deliverables • RFPs/RFAs, SOWs for Activities
• Continuous Learning: The Knowledge-Driven
Micro-Enterprise Development
Source: USAID Program Cycle Learning Guide

PPL provides tools and guidance for project-level • level of knowledge and experience of the USAID
cost estimates. Mission with similar projects or activities in the past;
• nature of the relationship between USAID and
Regarding Mission management, if the Resident Legal potential implementing partners;
Officer (RLO), Controller, and Acquisition and Assistance
• suitability and potential for use of partner-country
staff have been part of the project design and approval
government and private sector/NGO systems;
process, they will be better able to focus on moving
ahead with the initial phase of project implementation. • opportunities for learning between and among
Clear performance benchmarks are part of the mechanisms; and
implementation planning process, launching project • risk assessment and mitigation strategies.
monitoring from the start.
Missions have the authority to decide at what level to
Project design also involves deciding whether the project obligate funds. Many Missions with an approved CDCS
will be managed by a (cross-sectoral) project team or by will opt to use development objective agreements
a single technical office, and identifying the primary and (DOAGs) with partner governments as the primary
alternate contracting/agreement officer’s representatives obligation. From that DOAG, USAID funds will be
(COR/AOR) and activity manager(s), as relevant. authorized at the PAD level and then sub-obligated
This decision may be straightforward for a purely in a variety of implementing mechanisms as discussed
environment-sector program. However, when there is below. In cases where Missions choose not to obligate
an integrated, multi-sectoral program, it is preferable to funds in a bilateral DOAG, the Mission may obligate
use an internal Mission team approach to management funds directly into implementing instruments, including
that includes representatives from participating offices USAID contracts, grants, cooperative agreements, etc. In
(e.g., health, environment, economic growth, agriculture, the case of government-to-government (G2G) projects
education, and/or conflict). or programs, Missions may consider obligating funds via
bilateral project (or program) agreements, as discussed
As described in Box 16, it is also important to consider in ADS 220.
learning functions in resourcing and staffing. The project
team should work together at key stages of project The following briefly describes major categories of
implementation and oversight, including implementation implementing mechanisms for USAID funds but is not
plan review, site visits, and periodic monitoring, as well as an exhaustive inventory of all possible mechanisms.
sharing learning within the Mission across projects and The project design team should reference ADS 220
at the DO level. The Program Office often plays a critical and appropriate chapters in the ADS 300 Series to get
role in ensuring close coordination among participating a more complete understanding of all implementing
offices in managing funding flows and coordinating mechanisms, as well as consult with the Program Office,
project reporting. PDO, RLO, and CO/AO who are supporting the Mission
or Country Office.
2.5.3 Procurement Options and
Considerations Note that there is no recommended type of
During the project design process, one of the most mechanism for programming biodiversity
critical decisions the project design team must make is funds. The type of mechanism should be determined
selecting the optimal mix of implementing mechanisms. by the project purpose; country- and Mission-level
Which mechanisms are chosen will depend on many parameters; need for accountability; control over results;
factors, including and other development objectives, such as capacity
building and partnership.
• results defined in the logframe;
a. Partner-Country Government Systems:
• extent of proposed project sustainability;
For project activities that are implemented by partner-

country government systems, the following financing sector partnership possibilities, should be considered
mechanisms may be considered: in the project design process as supported by the Lab.
• cost-reimbursement activities • Interagency Agreements with Other U.S.
• fixed-amount reimbursement (FAR): See ADS 220 Government Organizations: See ADS 306.
and ADS 317
• sector program assistance 2.6 MONITORING AND
b. USAID-Direct Awards: These are agreements/ EVALUATION (M&E)
awards made under the authority of the Office of
Acquisition and Assistance, executed by appropriately- 2.6.1 Overview
warranted contracting officers or agreement officers. Monitoring and evaluation approaches and procedures
There are two broad categories of USAID-managed within USAID constantly evolve. Attention to strategic
awards: assistance (grants and cooperative agreements) planning and centralized programming has risen and
and acquisition (contracts). ADS 304 helps define when fallen within the Agency over the past decades; today, the
it is appropriate to use either acquisition or assistance, spotlight is once again focused on both accountability
with the final determination made by the contracting or and learning, and M&E is gaining importance across the
agreement officer. Fixed Obligation Grants can be used Agency. As laid out in USAID Forward,
to provide resources to small local organizations.
c. Delegated Cooperation: Learning by measuring progress is critical for high impact,
sustainable development and therefore must be an integral
• Public International Organizations (PIO): Public
part of our thought process from the onset of our activities.
international organizations are those whose members
That requires us to do a much better job of systematically
are normally sovereign governments. USAID provides
monitoring our performance and evaluating its impact.
funding to PIOs under various types of arrangements.
Alternatives to be considered include cost-type grants,
In the project design and implementation phases, teams
program contributions, and general contributions.
dedicate significant effort to specifying their theory of
• Grants to or from Other Bilateral Donor change and developing purposes, sub-purposes, and
Organizations: This implementing mechanism is outcomes together with illustrative outputs and topline
relatively new to USAID and highlights the Agency’s indicators. These efforts are all critical to the monitoring
commitment to donor coordination and collaboration. and evaluation phase of the USAID program cycle. Entire
• Pooled Funding Arrangements: Pooled funding textbooks are dedicated to monitoring, evaluation, and
arrangements (including contributions to multi-donor adaptive management. This section seeks to introduce
trust funds) can increase the leverage associated with the concepts and supply enough background to provide
USAID’s contribution to multi-donor development USAID biodiversity managers with an understanding
efforts in developing countries. of what is expected of them and where to find more
information. The section introduces concepts useful to
d. Other Implementing Mechanisms: There are a
both the PAD and associated mechanism M&E plans.
number of other implementing mechanisms available to
support achievement of a project purpose. These include
This section is not about monitoring for monitoring’s
• Development Credit Authority (DCA): DCA
sake, however. It is about monitoring and evaluating
agreements can leverage significant credit resources
for learning and adapting purposes – the inner core
to support capital flows to countries. Missions should
of the USAID program cycle. A learning approach
consult the Office of Development Credit in the
seeks to improve the process of generating, capturing,
E3 Bureau.
sharing, and using knowledge to support and strengthen
• The Global Development Lab: A number of development outcomes.
innovative solutions, including university and private-

Before diving into the concepts, it is helpful to available when they are designing their monitoring
clarify terminology. systems. If it is not available, the team should either
identify other indicators for which they can collect
Monitoring is the periodic process of gathering data data or include support for data collection within the
related to goals and objectives (purpose, sub-purpose(s), project’s mechanism(s).
and outputs, in USAID terminology) so that project • Comprehensive participation: Because a central
managers can determine whether their project, policy, tension in most biodiversity programs is the
or program is progressing as planned and whether relationship between human communities and the
resources are being used correctly and efficiently. A environments from which they draw their livelihoods,
monitoring system supplies project managers with the participation and perspective of stakeholders in
ongoing data to assess progress and determine what M&E systems are critical. Stakeholders such as
is working and what is not. migrating herders, fishers, or middlemen purchasing
for urban markets outside the community may
Monitoring efforts should encourage teams to represent important data sources. If stakeholders
take action, even if the action is to maintain the need to be aware of the impact of their actions on
current approach. program success, participation in M&E will support
program outcomes by raising their awareness and
USAID’s Evaluation Policy defines evaluation as sense of ownership.
the systematic collection and analysis of information
about the characteristics and outcomes of programs
and projects as a basis for judgments, to improve
BOX 17. BASIC PRINCIPLES
effectiveness and/or to inform decisions about current
OF EFFECTIVE M&E
and future programming. Evaluation focuses on why
results are or are not being achieved. In USAID’s
context, evaluation may addresses the validity of the
causal hypotheses that underlie development objectives Effective M&E systems should
and that are embedded in results frameworks, as well • begin in the design process; costs should
as address descriptive and/or normative questions. be included in the original budget
Evaluation is distinct from assessment, which may
examine country or sector context to inform project • be perceived as useful and focused on
design, or from an informal review of projects. USAID the project
also differentiates between impact and performance • generate objective, rigorous, and impartial
evaluations, as discussed more fully in Box 21 and its information
corresponding section.
• consider a wide range of possible data
collection methods and select those that
M&E Principles fit specific information needs
M&E should be cost-effective and targeted to
• involve key stakeholders in development
produce information that is used to improve
and implementation
project implementation. In addition to the general
principles outlined in Box 17, biodiversity project • share and encourage use of lessons
teams should consider the following principles when learned
designing M&E systems: • be piloted and reviewed to make sure
• Information availability: While many developing they effectively monitor performance
countries are rapidly improving the collection, storage,
and sharing of environmental records, project teams
should ensure that the information they need is

• New technologies: Significant advances in data information collected during the assessment phase,
collection, communication, and storage technologies particularly external or context variables a team may
are being used in the design of M&E systems. The want to monitor to understand how such variables
availability of less expensive, higher-quality remote might affect their project’s success (e.g., indicators
sensing imagery, geographic information systems related to policy environment, conflict, and macro-
(GIS), mobile phones, laptop computers, and software economic situation). In addition, once a team identifies
enables broader community and stakeholder the indicators they need to test their theory of
participation in conducting inventories and change, they will need to collect baseline data on
surveys and tracking the impact of their actions on those indicators.
ecosystems. A good example is the SMART system
for conservation monitoring being deployed at many M&E Pitfalls
sites under high threat.
M&E for biodiversity programs face a number of pitfalls
• Integrated M&E: Although biodiversity projects common to all sectors:
may measure their ultimate impact in terms of
ecosystem and species health, many other variables • Poorly targeted indicator sets: Monitoring
are influencing these natural systems. It is important systems become a hollow exercise when focused
to measure economic, governance, and social factors exclusively on “output indicators,” such as number
that are either expected results in a team’s theory of training sessions or workshops produced, with
of change or important variables that are likely to little attention to outcomes and impacts that show
influence the degree to which the team can achieve real change. On the other hand, it is important to
their biodiversity outcomes, sub-purpose(s), and combine results indicators with sentinel or other
purpose. These may be context variables as early indicators to test the validity of causal logic and
described below, variables needed for an integrated get a sense early on in implementation of whether
program, or “co-benefit” variables to measure human the causal logic is borne out in reality. Early behavior
well-being impacts of biodiversity conservation, as change identified in monitoring and other early
described in Figure 9. shifts can indicate where adapting can enhance the
effectiveness of the overall strategic approach.
• Permanency: Even if project level changes are
accurately monitored, that does not necessarily • Limited budgeting for M&E: It is common for
indicate sustainable change. This dilemma is reflected teams to set aside very limited budgets for M&E. This
in the debates concerning “permanence” in carbon is especially true when M&E is seen as an add-on
accounting: The fact that people reforest an area, component, rather than as something built into the
or reduce their deforestation this year, does not project from the design phase.
mean that the practice will continue or that the • Monitoring as an obligation: When staff
threat has not been displaced to another location. and stakeholders are not involved in developing
Sustainability indicators developed as part of monitoring systems, they may not see their value and
the sustainability analysis discussed earlier can be may feel that monitoring is an imposition from above
developed to help track this dimension. − the endless provision of data for reports they never
• Baselines are critical for effective monitoring and see. M&E systems should not function as information-
evaluation. If teams do not measure key indicators and extraction mechanisms designed exclusively to feed
variables at the outset of the strategic approach, it is Agency reporting needs. A development opportunity
difficult or even impossible to a) test the development is lost and support for M&E is weakened when
hypothesis and theory of change; b) determine how systems do not meet the monitoring needs of
and why the change came about; and c) show ways communities, collaborators, and partners.
in which outcomes and impacts can reasonably • Limited use of data for adaptive management:
be attributed to the strategic approach. Some of a When monitoring is an obligation that is not
team’s baseline data may come from the background answering an important information need, the utility

of the data is minimal, and there is little incentive to Ideally, those who are managing and implementing
use the data for improving a project. This holds true the project should also be doing monitoring and
both for USAID staff and for implementing partners. evaluation; however, the skills for carrying out M&E
• Lack of motivation: Effective monitoring requires and interpreting data are often lacking.
staff to collect information in a consistent manner • Informal and formal assessments and reviews
along a fixed schedule, regardless of whether the are critical for adaptive management: Most
information is immediately useable or changes from evaluations should be external; however, cost-effective,
one period to the next. M&E design must include well-executed internal reviews or assessments that
such practical steps as training, institutional incentives, receive attention and support from decision makers
and funding to make monitoring tasks feasible and can generate much insight and positive impact
meaningful to staff and stakeholders. on project implementation. In fact, good adaptive
• Lack of internal team skills and/or staff management involves project teams in defining and
stovepiping: Program staff assigned to focus conducting the M&E.
exclusively on collecting data can be perceived by
other staff as unengaged, ill-informed, irrelevant, or The CLA toolkit, the PMP Toolkit, and the ADS 203
even threatening. As a result, information produced provide more guidance on improving M&E practice.
may be seen as less credible and therefore may
be less influential in program decision-making.
A guard in Manu National Park taking notes during training on ecological and threat monitoring.
Photo: Wildlife Conservation Society

2.6.2 Monitoring and Indicators thus, this handbook discussed indicators in an earlier
Box 18 outlines some key considerations a team will section, Developing Outcomes and Defining Indicators.
encounter when designing monitoring systems and Indicators should be directly tied to the project’s theory
collecting data to feed into evaluation. These are general of change and should “fall out” of well-defined outcomes.
steps, although USAID requirements might emphasize Teams should monitor along their theory of change to
specific steps or aspects of steps. Decisions the team assess the project’s contribution to relevant intermediate
makes at each step will inform the type of monitoring outcomes. As a reminder, “good” indicators should be
they will conduct. measurable, precise, consistent, and sensitive. In addition,
the best indicators will be technically and financially
Selecting indicators is a critical step in conducting M&E. feasible and of interest to partners, donors, and other
When using an adaptive management approach, it is stakeholders (see Box 15).
important to consider indicators in the planning stages;
BOX 18. KEY CONSIDERATIONS FOR MONITORING
Specify the Purpose of the Monitoring.

1. Identify key audience(s) for project information
2. Determine how the team will use monitoring information for
a. formative (ongoing learning) purposes
b. summative (end-of-project, accountability) purposes
3. Determine the costs and benefits in terms of who will undertake the overall monitoring (which
may not always be the same as who is collecting data on specific indicators):
a. internal/first-party
b. external/third-party
Determine How the Team Will Monitor. Note that for the following questions, decisions may
vary by indicator. These considerations are most relevant at the mechanism level but should be
factored into the PAD M&E plan.
1. Describe how indicators for each purpose and sub-purpose in the PAD link to potential
mechanism-level M&E plans
2. Consider how mechanisms might collect the needed information.
3. As a key part of #2 above, determine the units to be monitored. The team may need to determine
whether a sampling frame is required so that measurements of some units can represent the
whole. For instance, if the project is working in 500 fishing villages, it is likely not possible to collect
data in all those villages each year. A sampling frame guides data collection so that a percentage of
units will represent the whole. Get assistance from M&E professionals to assure that the sampling
frame is scientifically sound.
Sharing the Data and Analysis. Sharing data and analysis with implementing partners and other
development actors speeds learning, as well as informs adaptive measures an IP may need to take.

In the USAID context, at least one and up to three
performance indicators per goal, purpose and sub- BOX 19. DATA QUALITY
purpose, and output are required in the logframe; ASSESSMENTS (DQAS)
this is a necessary but not necessarily sufficient set
of measurements. Projects are directly responsible
for outputs; thus, these are the easiest to measure. Data quality assessment ensures that staff
Outcomes are logically connected to outputs but may is aware of the strengths and weaknesses of
or may not be attributed to project strategic approaches. performance data and the extent to which
Thus, as mentioned above, context indicators are the data integrity can be trusted to influence
important. These indicators are not used to measure management decisions. Data quality
outputs or outcomes but to measure assumptions such assessments are required every three years
as political will or overall economic trends. Measuring in the life of a project and are auditable.
context indicators can help track trends and assess rival Determining appropriate or adequate
explanations for project outcomes. For example, a thresholds of indicator and data quality is
project could be monitoring forest cover and determine not an exact science. This task is made more
that deforestation has decreased. An important piece of difficult by the complicated and often data-
context is major outmigration of men to a construction poor development settings in which USAID
project nearby. “Complexity-aware monitoring,” a suite operates and for biodiversity projects where
of approaches to understand context, diversity, and changes in status of biodiversity are long
complex situations is discussed below. term and hard to measure. Staff sometimes
has to consider trade-offs, or make informed
Identifying Sources of Data and Assessing judgments, when applying the standards for
Data Quality data quality. See PPL Guidance on DQAs
While data quality assessments (DQAs) are mandatory ADS 203:39.
(Box 19) they are more than just a check the box; they
allow teams to understand the accuracy and quality of
the data reported.
In addition, the concepts proposed in Box 15 on
indicator selection should guide selection in the
The ADS lays out criteria for data integrity:
biodiversity context:
1. Validity: Data should clearly and adequately
• Measurable – able to be recorded and analyzed in
represent the intended result;
quantitative and qualitative terms. Data concerning
2. Integrity: Data collected should have safeguards ecosystem status in developing countries that meets
to minimize the risk of transcription error or ideal data-quality criteria may be impossible to acquire
data manipulation; or produce (Box 18).
3. Precision: Data should have a sufficient level • Efficient – Before defining indicators, PAD teams
of detail to permit management decision-making should explore the availability and quality of existing
(e.g., the margin of error is less than the anticipated data. Teams often do not need to collect primary data.
change); In fact, doing so may not be the most efficient use
4. Reliability: Data should reflect stable and consistent of resources. Often, partners, universities, research
data collection processes and analysis methods over institutes, and/or governments are collecting data that
time; and can suit a project’s needs. However, it is important to
5. Timeliness: Data should be available at a useful assess the quality and fit of the data to USAID needs.
frequency, should be current, and should be timely • Precision in biodiversity terminology − defined
enough to influence management decision-making. the same way by all people. Biodiversity is a broad
Source: ADS203:39. term applied to different contexts. Genetic diversity

is not the same as species diversity; indicators of keep their indicator search focused on expected results
diversity in primary forest are different from those from their theories of change and associated objectives.
designed to track agroecological diversity. Definitions A collaborative or participatory approach to indicator
may diverge between implementing partners and selection, working with a range of stakeholders, raises
communities, or even among implementing partners. awareness of the program and begins to build consensus
If results are to be aggregated, definitions must around the program’s objectives. An implementing team
match. Examples of other terms that often are not might decide to select a “grassroots indicator” that is
defined precisely include “sustainable management,” used by local communities to monitor change. While
“agricultural intensification,” and “community.” often location-specific, such indicators resonate and build
• Consistent – do not change over time, so that they ownership. Examples include local measures of ecological
always measure the same thing. For example, in some change around planting or harvest seasons.
countries with rapid shifts in threats, it is important 1. Assess the list of potential indicators against
to assure that the indicators consistently measure the characteristics of good indicators: measurable,
threat reduction at the right level, which may be precise, consistent, and sensitive. USAID guidance also
at an aggregate threat reduction level rather than asks teams to consider indicators that will result in
species level. high-quality data as determined by USAID data quality
• Sensitive – change proportionately in response to standards (validity, precision, reliability, integrity, and
the actual changes in the condition being measured. timeliness) and to balance these standards with cost
For example, if a team were working to reduce and utility.
agrochemical use on 200 farms, a good indicator 2. Narrow the list and select the best, final
would be the concentration of phosphates or nitrates indicators to include in the M&E plan. All the
in nearby streams; however, an indicator-like presence members of the PAD team should be involved in this
of algae blooms might not be sensitive because it brainstorming process. Effective group-facilitation skills
needs a specific load threshold for those blooms to are needed to make this a successful session.
occur. The expected concentration of phosphates and
nitrates may be below that threshold, in which case M&E plans must clarify the nature of each indicator by
the team would not expect to see algae blooms. describing the procedures that will be used to verify and
validate its performance and by discussing any limitations
Indicator Selection of the data. An M&E plan should also discuss how
Developing an efficient set of indicators for a project limitations will be overcome or mitigated. This is where
or mechanism M&E plan can be challenging. The earlier work on identifying and managing gaps in knowledge in
section on Developing Outcomes and Defining the assessment and design phase comes in. Indicators
Indicators provided guidance on how to focus indicators taken out of context often do not tell the full story.
on the team’s theory of change. Although a theory of
change and good outcomes will go a long way toward Standard or Custom Indicator?
helping teams identify indicators, teams should consider Box 20 presents an example of use of standard
the following steps: indicators.
Develop a list of potential indicators. Resources
A standard indicator is developed and defined by USAID,
include current portfolio of activities; the PPL
with standard definitions and performance indicator
compilation of indicators; USAID sector expertise;
reference sheets. The data are typically rolled up to
brainstorming with other Mission staff, including
measure a unit’s results as part of its annual performance
members of other operating units with similar indicators
plan and report (PPR). A custom indicator is defined
and external sector/regional experts; handbooks of
in a project context. Both types of indicators could be
sector indicators; and literature searches (for indicators
appropriate to measure a theory of change.
used by other organizations). Teams should be careful to

In the example below of a custom indicator, the
unit of measure, indicator description, and comments
BOX 20. EXAMPLE OF PROJECT USING
are needed to provide the complete picture of the
STANDARD USAID INDICATORS
indicator’s utility in measuring an initial step in a theory
of change for a project setting up a new Ramsar
(wetlands) site.
This example from the USAID PRIME/West
Indicator: the proportion of the local constituency
project in Uganda uses standard USAID
aware of the importance of conserving wetlands
indicators:
Unit of measure: percent (disaggregated by gender
Element 1: threats to forest and woodland and ethnicity)
biological diversity decreased
Source: implementing partner survey
• indicator: number of hectares in areas Indicator description: “Awareness” includes
of biological significance under improved 1) awareness of location of the site boundaries and/or
management as result of U.S. Government zones and reasons for placement of those boundaries;
assistance 2) ability to articulate the ecological, economic,
• indicator: number of hectares in areas of and health benefits accrued to local communities
biological significance showing improved due to existence of the site; and 3) recognition and
biophysical conditions as a result of understanding of the objectives of particular projects
PRIME/West assistance being conducted in or around the site.
Element 2: policy and legal framework Comments: data based on representative samples
for sustainable conservation of biological drawing from a baseline
diversity
Monitoring for Compliance to the Biodiversity
• indicator: number of policies, laws,
Code
agreements, or regulations promoting
sustainable natural resource management Note that there are no required standard
and conservation that are implemented as indicators for biodiversity programming, but
a result of U.S. Government assistance indicators that measure the theory of change are
required in the Biodiversity Code. A standard indicator,
Element 3: capacity building, training, and such as “number of hectares in areas of biological
environmental education significance under improved management as result
• indicator: number of people receiving of U.S. Government assistance” may or may not be
U.S. Government-supported training in appropriate. The aim of this criterion in the code is
natural resources management and/or not only to show results against a benchmark, but also
biodiversity conservation to test achieved results against the results expected
in the development/conservation hypothesis. Again,
this is where the guidance provided in the Developing
Even though standard indicators have
Outcomes and Defining Indicators section is important.
reference sheets, partner training is
A theory of change or development hypothesis and
needed to be clear on the definition and
associated indicators will form the basis of a PAD team’s
measurements. Are all partners using the
logframe and measuring progress toward the project
same definition? More broadly,
purpose and sub-purpose(s).
are these indicators sufficient?

Working off the theory of change below (Figure 10), A team could monitor the sub-purpose with the
the team identified four expected results, with standard hectares indicator (number of biologically
associated outcomes and indicators, two of which significant hectares under improved management as a
are discussed here: result of U.S. Government assistance) and not monitor
the indicators tied to the theory of change. This
Result C: Farmers use trees and shrubs for fuel wood
barebones M&E may or may not be compliant with
and domestic timber needs
the Biodiversity Code, but it is not a best practice. It
• Outcome C: By 2016, at least 70 percent of will still be unclear how much the expected results
targeted farmers meet the majority of their fuel wood contributed to the sub-purpose and what other
and domestic timber needs from trees and shrubs factors shaped outcomes.
grown on their farms
• Indicator C: Percent of targeted farmers who meet Best practice will involve the development of
the majority of their fuel wood and domestic timber complementary custom indicators, diverse forms
needs from trees and shrubs grown on their farms of evaluation or assessment (discussed below),
and the inclusion of other streams of information
Result D: Reduced harvesting for fuel and domestic use through context indicators that help determine
why and how a result was achieved or an unexpected
• Outcome D: By 2018, the number of trees
outcome occurred.
harvested for fuel and domestic use declines by
90 percent, as compared to 2013 levels
Initial and additional inputs/investments into the results
• Indicator D: number of trees harvested for fuel and achieved by USAID or other sources should be
domestic use documented so that there is an understanding of the
significance of the USAID contribution to the impact. In
Biodiversity Interest: Tropical Lowland Forest this way, the monitoring and evaluation plan lays a strong
• Sub-purpose: By 2025, at least 75,000 hectares of foundation for future evaluation.
biologically significant tropical lowland forest meets
“good” viability status (as defined in the project’s In integrated programs, an effort should be made to
viability assessment) design indicators that reflect elements of sustainable
• Indicator: # of hectares of biologically significant development: environmental quality, economic prosperity,
tropical lowland forest meeting “good” viability status and social equity.

2.6.3 Evaluation
Box 21 describes how USAID’s Evaluation Policy BOX 21. USAID EVALUATION POLICY –
defines and distinguishes between impact evaluations IMPACT AND PERFORMANCE
and performance evaluations. Some in the evaluation EVALUATIONS
community view impact evaluations more broadly and
accept less rigorous evaluation designs to assess longer-
USAID’s Evaluation Policy defines two
term project impacts, but USAID has adopted a narrow
major types of evaluation:
and rigorous conception of impact evaluations. The
USAID Evaluation Policy identifies two main purposes • Impact evaluations measure the
for evaluation of Agency investments: learning to change in a development outcome that
improve effectiveness, and accountability to stakeholders is attributable to a defined strategic
for effectiveness, efficiency, and relevance. approaches. Impact evaluations are
based on models of cause and effect and
Project-level evaluations can cover multiple activities require a credible and rigorously defined
within one environment or biodiversity development counterfactual to control for factors
objective, one sector, or a cross-sectoral program. At the other than the strategic approaches that
project level, evaluators may be looking for synergies, might account for the observed change.
efficiencies, fit with U.S. Government and host-country Impact evaluations in which comparisons
priorities, complementarity with other donors and are made between beneficiaries that are
investors/USAID comparative advantage, and adaptability randomly assigned to either a treatment
to changing scenarios. Good evaluations focus, however, or a control group provide the strongest
and don’t try to answer every question. evidence of a relationship between the
strategic approach under study and the
When a project uses biodiversity-earmarked funds, outcome measured. More information
evaluators should address compliance with the on impact evaluations can be found in
Biodiversity Code. They should also gauge adherence the Impact Evaluation Technical Note
to best practices in biodiversity programming. Another on ProgramNet.
challenge is untangling responsibilities for successes and
• Performance evaluations focus on
failures when multiple contractors or partners may be
descriptive and normative questions:
involved. The extent of these concerns will be shaped by
what a particular project or program
USAID units commissioning the evaluation.
has achieved (either at an intermediate
point in execution or at the conclusion
Most evaluations, however, are undertaken at the
of an implementation period); how it is
mechanism level, where an evaluation can delve into
being implemented; how it is perceived
diverse technical and management issues, depending
and valued; whether expected results
on needs of the managers, partners, and stakeholders.
are occurring; and other questions
In addition, evaluations might focus on the Agency
that are pertinent to program design,
context to try to ascertain how USAID procedures,
management, and operational decision-
policies, and processes affect program results and what
making. Performance evaluations often
improvements are within the manageable interest of
incorporate before/after comparisons,
the operating unit. Operating units could also consider
but generally lack a rigorously defined
a portfolio or other higher-level programmatic
counterfactual.
evaluation that may or may not be integrated into a
PAD. For instance, USAID/Kenya commissioned a review
of its entire Natural Resource Management portfolio.

Evaluations at USAID may be carried out at any time Impact evaluations for biodiversity conservation
in a project’s life cycle, but two of the most common projects, as discussed in Box 22, pose considerable
times for an evaluation are “midterm” and “final.” A challenges and opportunities. These challenges include
midterm evaluation should be planned about a year clearly defining units of analysis to measure and
from the midpoint of the program or project, to allow compare, especially when projects are large-scale and
time to develop the scope of work and stakeholder multifaceted; selecting control sites, given the complexity
input. Results from the midterm feed into management and the ethical dilemma of surveying people who are
decisions about any change of focus, redesign, or even not receiving benefits; and selecting appropriate time
discontinuation. If the program or project is of short frames when change can be slow and episodic. There
duration, an informal assessment (see below) can is a robust new literature on impact evaluation for
be useful. conservation. Methodologies can be complex, so it is
important to get the right expertise on the design team.
Final evaluations should be carried out in the last Despite these challenges, conservation is rapidly turning
year of the project to enable interaction with the toward impact evaluation and other approaches to
implementers and partners. Evaluation results inform the create a new generation of evidence-based conservation
next generation of programs and activities by identifying programming. In the USAID context, using evaluation
successes and missteps. For example, the final evaluation findings is a central process in learning and adapting.
of the Global Conservation Program (GCP) informed
the design of the Sustainable Conservation in Priority When projects plan for impact evaluation, there are
Landscapes (SCAPES) to focus on financial and other several benefits:
elements of sustainability and to employ the limiting
• Projects need to budget and manage for baseline data
factors analysis (Chapter 3) used in the GCP
collection, which will ultimately improve the M&E plan.
evaluation to develop a monitoring protocol.
BOX 22. IMPACT EVALUATION RAMPS UP
In an influential article, Paul Ferraro and Subhrendu K. Pattanayak argue that

[f]or far too long, conservation scientists and practitioners have depended on intuition and anecdote
to guide the design of conservation investments. If we want to ensure that our limited resources make
a difference, we must accept that testing hypotheses about what policies protect biological diversity requires
the same scientific rigor and state-of-the-art methods that we invest in testing ecological hypotheses. Our
understanding of the ecological aspects of ecosystem conservation rests, in part, on well-designed empirical
studies. In contrast, our understanding of the way in which policies can prevent species loss and ecosystem
degradation rests primarily on case-study narratives from field initiatives that are not designed to answer
the question “Does the strategic approach work better than no strategic approach at all?”
USAID, its partners, and some in the conservation community have responded by calling for more
rigorous evaluation of environmental, conservation, and biodiversity projects. Behind this trend is a
desire to optimize scarce conservation resources, make a better case for conservation investments,
and employ best evaluation practices to the conservation sector.

• Impact evaluation requires developing a testable 2.6.4 The M&E Plan
development hypothesis (theory of change), which M&E Plan
allows teams to discern whether planned strategic The M&E plan for a project developed under a PAD
approaches are producing the desired result. feeds into the performance management plan (PMP)
• Considering counterfactuals − what would happen tied to a CDCS. It is a tool to plan and manage the
if there were no USAID investment − sharpens a process of monitoring, evaluating, and reporting progress
theory of change and associated indicators. It also toward achieving a development objective. PAD teams
helps project teams be more strategic by taking must prepare a complete M&E plan for each project for
into account external factors that may influence which they are responsible. The M&E plan establishes
the degree to which an strategic approach can indicators to provide baseline data on the initial program
be successful. or project conditions so that, as the project unfolds, the
team can measure the degree of change. A solicitation
Assessments. In addition to formal evaluation instrument may include a preliminary plan. Once the
approaches, there are more informal types of award is executed, however, the implementers must
assessment that USAID managers may consider. complete the activity-level M&E plan, with relevant
Examples include indicators and baseline data, within the first few months
• internal assessment using USAID staff to answer and before major project implementation actions
questions about a portion of or the whole project. get underway. Again, the work done to understand
Such internal assessments can also be particularly the context; plan conservation actions; lay out the
useful for learning and adaptive management development hypothesis; and identify associated
purposes, as adaptive management assumes that outcomes, purpose, sub-purposes, and indicators will
a project team is involved in the design, planning, serve as important input into the M&E plan. Note that
implementation, monitoring, and adaptation phases. a PAD project may contain several mechanisms. While
This involvement is critical to making sure that the implementers create an activity M&E plan, it is important
team is collecting data that will help them improve to let them know if standard indicators are being
management decisions. Internal assessment can monitored for the annual performance plan and
achieve the status of an evaluation if it is adequately report (PPR).
rigorous and impartial and follows the procedural
requirements for a USAID evaluation as outlined Bringing the M and the E Together
in ADS 203. Monitoring supplies project managers with ongoing
• mini-assessments or informal project reviews data throughout the course of the project. Monitoring,
that can be conducted any time there is a question or however, is only one component to managing and
concern about management, results, or risk. A mini- learning from conservation projects and programs.
assessment could consist of something as simple as Monitoring provides data about what is happening or
a SWOT (strengths, weaknesses, opportunities, and has happened at a site or in a project – trends, shifts,
threat) analysis with project teams and partners or a aggregate impacts – but only through the process
site visit to explore targeted questions. of evaluation can a project team understand why it
happened. Evaluation is used to test assumptions and
• social impact evaluations, a widely used tool in
hypotheses identified in the design phase. An evaluation
development. Inquiry centers on how benefits, risks,
can also feed lessons learned directly into the design
and social impacts are distributed among diverse
of a new project or mechanism. In reality, the terms
stakeholders. The Social Soundness Analysis and
“monitoring” and “evaluation” are closely intertwined –
Political Economy Analysis are USAID-specific tools
hence the term “M&E.”
that can provide some guidance. Chapter 3 discusses
some aspects of social impact, and there is a wealth of
To grasp the “why” behind the data, it is important to
information available from the World Bank and other
go back to the development hypotheses or theories of
major donors.
change. Teams need to revisit and test assumed causal
relationships to see whether and why the theory does greater impact later – can be used to harvest lessons
or does not hold. Monitoring can fill many but not all to improve existing and future projects. M&E also
gaps in knowledge, particularly when new activities are serves accountability purposes, helping key audiences
being piloted. There are questions about how results understand how funds have been used and to what
may be influenced by contextual factors. It is rare that extent projects have been effective.
change proceeds exactly as planned and can be cleanly
attributed to USAID support. Thus, evaluation or
informal assessment can help teams identify and assess 2.7 COLLABORATING,
rival explanations for changes and results. USAID LEARNING, AND ADAPTING
staff should seek out and account for major factors that
are influencing change rather than rely only on project- Learning and adapting are at the center of the USAID
generated narratives. Rival explanations are a great program cycle; they are necessary at each step in the
resource for adaptive management as they identify new cycle and define good adaptive management (AM). AM,
threats and opportunities that need to be considered. as discussed earlier, is an approach to implementing
An example would be a project working on community the program cycle that seeks to better achieve desired
based conservation that is showing progress in advancing results and impacts through the systematic, iterative, and
women’s leadership but this may be the result of a non- planned creation, capture, sharing, and use of emergent
related effort focusing on female education. knowledge and learning throughout the implementation
of strategies, programs, and projects (see USAID
“Complexity-aware monitoring” that requires fine- Program Cycle Learning Guide).
grained or participatory data collection may help to
uncover contextual factors related to uptake, as well An AM approach enables projects to deal productively
as differences in benefits and risks. For instance, women with gaps in understanding and changes in the systems
may not be benefiting from a fisheries strategic approach the project is trying to influence. AM can deploy highly
to the extent that men are, even though overall trends scientific monitoring, such as modeling for climate change
are improving. adaptation strategies; it can also rely on less-rigorous
approaches that still provide important information to
Impact evaluation is needed to rigorously test an help teams determine whether and what type of change
approach. Going back to the earlier example in is needed.
Box 13, the team might want to test the efficacy of the
agroforestry strategic approach by comparing outcomes An important clarification is that AM is a whole process
at the site with non-participating sites. To prepare for and not something that is considered at the monitoring
an impact evaluation, project teams must develop a and evaluation phase. Project teams must integrate AM
rigorous counterfactual and collect data from project into project design, mechanism selection and scoping,
and similar control or comparison sites. An impact management, and monitoring. The level of depth a team
evaluation framework needs to be built into the design, will explore in the cycle will vary according to the type
which requires significant technical expertise. (Refer to of initiative.
the technical note on impact evaluation on ProgramNet
for guidance.) The evaluation will have to analyze other USAID employs the concepts of collaborating,
influencing variables outside of the theory of change learning, and adapting (CLA) to facilitate AM.
(e.g., policy reforms, market trends, and social conflict) CLA is built on the principles of AM:
to determine the extent to which these might be • coordination, collaboration, and exchange of
responsible for any observed differences. experiential knowledge internally and with external
stakeholders;
In sum, M&E for adaptive management purposes – in • testing development hypotheses, identifying and filling
other words, to understand what is working, what crucial knowledge gaps, and addressing uncertainties
is not working, and why, and to adapt early on for

in the hypotheses with new research or syntheses of Teams often underestimate the time and resources
existing information and analyses; needed to analyze their data and information, spending
• ensuring new learning, innovations, and performance the bulk of their energy on collecting data that may
information gained through monitoring and evaluation then go unused. Teams should ensure that the level of
to inform strategic approaches; analysis matches the minimum level of credible evidence
required by the situation and the audiences’ information
• periodic reflection on dynamics that affect USAID’s
needs, including the need to learn and change course
efforts and effectiveness, such as changes in the
if necessary.
country and regional conditions, new evaluation
Recording and analyzing data are not simple tasks.
findings and other subject-matter learning, new
Implementation teams will need to make sure they are
developments in relationships with other
systematically checking, cleaning, and coding raw data as
development organizations, and other dynamics;
soon as they gather them. Analyzing and understanding
• adaptation of strategic direction and program for data may also require involving stakeholders. At a
maximum relevance, results, and sustainability; and minimum, the USAID project team should be involved,
• identifying and monitoring game changers – the but the team may need to reach out to outside experts
broad conditions that are beyond the Mission’s or those with other perspectives that are important to
control but could evolve to impede or facilitate understanding the project’s progress.
implementation – based on associated trip wires that
may trigger programmatic and project contingencies Per new U.S. Government regulations on open data, the
or even changes in strategic direction (ADS 201.3.3.4). team and/or the implementing partners may be required
to make the data publicly available and there are
A biodiversity conservation project team implementing new protocols in place.
an on-the-ground initiative would also benefit
from delving deeper into a project management 2.7.2 Knowledge Management
cycle like the Open Standards, which is tailored to
Knowledge management (KM) functions at all
conservation actions.
levels, from international efforts to harvest, synthesize,
and curate knowledge to a project’s efforts to keep
2.7.1 Data and Information Analysis knowledge flowing through its system. KM involves
As discussed, USAID defines evaluation as the systematic creating, storing, and collaboratively sharing information
collection and analysis of information about the throughout an organization. KM helps people adapt to
characteristics and outcomes of programs and projects rapidly changing events, policies, and strategies by making
as a basis for judgments, to improve effectiveness, information and experience easy to find and use for
and/or to inform decisions about current and future informed decisions and actions.
programming. CLA goes beyond analysis of M&E “data”
to incorporate learning from other information sources: An AM approach to knowledge management involves
tacit knowledge, information about what other actors managing data in multiple phases, including during project
are doing or planning, and other contextual factors design and planning, assessments, and monitoring. The
and trends. system should allow teams to see the purpose and
outcome statements that they defined, the associated
When practicing adaptive management, M&E and indicators, the data collected to measure those
information analysis should be an ongoing, integrated indicators, data on other variables the team identified as
process. As teams learn what works and what does not, important to track, and the sources of data – the latter
they should be adjusting their actions and working to of which will be important for determining how reliable
communicate what they have learned within their team the data are.
and with a broader audience.

Ideally, the KM system for the PAD team should integrate
data from implementing mechanism teams that are BOX 23. SHARING VIA LEARNING
contributing to the DO and IRs that the PAD is working NETWORKS
to achieve. These teams should be thinking about
common results in their theories of change and how
these could roll up to aggregate data across mechanisms/ Collaborating, learning and adapting
activities. Likewise, in a perfect world, the PAD team are critical elements to good project
would also be working closely with the CDCS team, management. Ideally, however, learning
to ensure that the PAD data will feed into data needs should not remain within a project team.
for the CDCS intermediate results and development Teams have much to learn from one
objective. Finally, ideal knowledge management systems another and can improve project design
will also track operational and financial data. and implementation, as well as avoid costly
mistakes, simply by learning from peers.
A sound KM system is both an obligation and a resource. By being clear about context, assumptions,
It is an obligation for USAID implementing partners to and outcomes and by systematically
submit documents to the Development Experience measuring indicators (as described
Clearinghouse (DEC). Beyond that, managers need to throughout this handbook and in the
assist others in the Agency and in the wider community Open Standards), teams will be in a good
in learning from their successes and challenges. Adaptive position to identify lessons.
management cannot happen without good KM.
There are many options for sharing lessons
The following KM approaches are important tools more widely. Which option makes the
for CLA: most sense will depend on various factors,
After-Action Reviews (AAR) are assessments including the complexity of the issue, costs
conducted after a project or major activity that allow and resources required to share, and access
employees and leaders to discover (learn) what to technology.
happened and why. This review may be thought of
as a professional discussion of an event that enables Learning networks are one means of
employees to understand why things happened sharing lessons. Since 2001, USAID has
during the project or activity and to learn from that supported a number of learning networks
experience. The key to an AAR is openness and honesty, that have brought together a wide variety
which allows all the participants in the organization to of stakeholders to generate learning around
participate. This approach enables the organization to specific technical topics. An example
capture what really happened so that lessons may be from the biodiversity sector is the African
learned. The AAR provides Biodiversity Collaborative Group (ABCG).
• candid insights into specific strengths and weaknesses
The Program Cycle Learning Guide features
from various perspectives
additional information for USAID and
• feedback and insight critical to improved performance partner organizations interested in learning
• details that are often lacking in evaluation and collaborating around the Agency’s
reports alone learning network approach.
Big-Picture Reflection is facilitated constructive dialogue

(typically at the CDCS or PAD level) on topics such
as development hypotheses, game-changer issues, and
program foci, which aims to improve the quality and

substance of discourse and validate the direction of Lessons can take the form of formal data analyses,
USAID development assistance or elicit suggestions anecdotal stories, and/or something in between. They can
for changes. These discussions can be institutionalized, be captured in many formats, such as a formal report,
periodic, iterative consultations and collective analyses an audio or video interview or voice-over-PowerPoint
with various stakeholders. Discussions that engage tool, or as bulleted points in a searchable database. Some
external stakeholders can be used to compare expected kinds of learning are most effectively shared in peer
outcomes against observations to determine progress learning events or networks (Box 23), where participants
along the pathways to change, where refinements can discuss together, pooling their knowledge and
to planned strategic approaches are needed, and collaboratively exploring problems and devising possible
where opportunities for cross-sectoral coordination solutions. In some cases, lessons should be stored in or
and synergies are emerging. They can also be used to available through the team’s knowledge management
enhance understanding of game changers, the broader system and incorporated into training modules.
development landscape, the effects of specific trends
within a country or region, etc. And they can be used Moreover, if USAID and its partners wish to make a
to strengthen knowledge sharing and collaboration meaningful contribution to the conservation community,
networks among actors. findings and lessons should be shared more broadly. In
practice, this effort requires teams to embrace learning,
Portfolio Reviews are a mandatory reflection period recognize and admit mistakes, identify successes, and
for the Mission/OU to assess progress. These periodic work to understand why some actions succeeded while
reviews, often held prior to preparing the annual joint others did not. It also requires support from the top –
Operational Plan, consider all aspects of the OU’s an organizational learning culture will help foster a safe
assistance objective, projects, and activities. (ADS learning environment and reward (or at a minimum, not
Chapter 200-203.) Portfolio reviews are typically held punish) teams that share failures and adapt based upon
at the Office or PAD level. Reviewing major theories what they learn.
of change embodied in key projects and evidence for
them from M&E could provide additional learning within
the unit. 2.8 CONCLUDING THOUGHTS
This chapter provides information to guide USAID
2.7.3 Sharing biodiversity managers through the main considerations
A critical step in sharing what works and what does and steps for project planning, implementation, and
not work is to document a team’s findings and lessons monitoring and evaluation for biodiversity programs
so that this information is readily available to current and integrated programs that include a biodiversity
and future team members. As described in the USAID component. Although the chapter covers a lot of
Program Cycle Learning Guide, effective dissemination ground, it is not comprehensive, and managers will
and knowledge sharing can extend the impact of need to consult other resources to design, implement,
biodiversity conservation (and all USAID-funded) and monitor their initiatives and activities. Key internal
efforts. Learning and sharing via learning networks such resources include the ADS (esp. 200 Series) and
as described in Box 23 could be built into the project USAID’s Program Cycle Learning Guide. Individual
design and practiced throughout project implementation sections provide references to several external
and monitoring. In sharing lessons, it is important to resources that complement USAID materials.
consider the audience, as well as who would be in a
position to act on the lessons, and to provide the Central to the steps discussed here are the principles
lessons or recommendations in a format that allows of adaptive management. The information and process
and encourages them to act. presented are designed to help teams plan the best
projects possible, effectively monitor their performance
toward stated outcomes and (sub)-purposes, and adapt

based on what they learn. Moreover, these steps are More Information
designed to help ensure that teams are in compliance Alvarez, Sophie “Participatory Impact Pathways
with USAID policies and procedures. Many of the Analysis,” International Center for Tropical Agriculture
concepts described in this handbook were tailored for Washington, DC: USAID Learning Lab, ICTA webinar,
the PAD development process. However, the general 2013.
concepts related to project design, implementation,
Anderson, Jon, Mike Colby, Mike McGahuey, and Shreya
monitoring, and adapting hold for any initiative at any
Mehta, Nature Wealth and Power 2.0 Leveraging Natural
scale – including activities (large and small) that support
and Social Capital for Resilient Development. Washington:
the PAD.
USAID, 2013.
If USAID and its partners can follow these steps Badgery-Parker, Imogen, “Impact Evaluation: Toward
and principles, their contribution to international a body of evidence on effective forest conservation”
development and the conservation of biodiversity Center for International Forestry Research Blog,
will go well beyond the actions the Agency funds. Forests News, March 17, 2014.
The systematic learning approach developed by Brooks, T.M. et al., Global Biodiversity Conservation
USAID through the program cycle and CLA will Priorities Science: July 7, 2006, Vol. 313 no. 5783, 58–61
contribute critical new information to the knowledge doi: 10.1126/science.1127609.
base of the conditions under which conservation Carroll, Carlos, and Brad McRae, The Connectivity
strategic approaches work or do not work, and how Analysis Toolkit. The Nature Conservancy:
they contribute to human well-being. This, in turn, Conservation Gateway, February 26, 2011.
will allow biodiversity funding to be directed to those Conservation Measures Partnership,
initiatives that hold the greatest promise. Open Standards for the Practice of Conservation.
Organizational website.
Conservation Measures Partnership, Addressing Social
Results and Human Wellbeing Targets in Conservation
Projects. Draft Guidance. June 27, 2012.
Convention on Biological Diversity, National Biodiversity
Strategies and Plans, Capacity-building modules, (CBD:
2007-2015, current list and links to resources).
Convention on Biological Diversity, Ecological gap
analysis, (CBD: online, updated circa 2010) list and links
to resources.
Foundations of Success, Using Conceptual Models to
Document a Situation Analysis: An FOS How-To Guide.
Bethesda: FOS, 2009.
Foundations of Success, Conceptualizing and Planning
Conservation Projects and Programs: A Training
Manual. Bethesda: FOS, 2009)
Foundations of Success, Using Results Chains to
Improve Strategy Effectiveness: An FOS How-To Guide.
Higgins, Jonathan and Rebecca Esselman, eds. Ecoregional
Assessment and Biodiversity Vision Toolbox. Arlington:
The Nature Conservancy, 2006.
Continued next page

Knowledge-Driven Microenterprise Development USAID, ADS 200 Series. Washington, DC: USAID, 2014
(KDMD) project, Practices of Successful Learning or current revisions, ADS 200–205.
Networks Paper. Washington, DC: USAID, 2013. USAID, Biodiversity Policy (Washington, DC: USAID,
Margules, C.R., and R.L. Pressey, “Systematic March, 2014
conservation planning,” Nature, Vol. 405, May 11, 2000, USAID, Environmental Compliance Regulations and
243–253. doi:10.1038/35012251 Procedures. Washington, DC: updated November, 2013,
Mayers, James, and Sonja Vermeulen, Power Tools Series, various documents.
Stakeholder influence mapping London: International USAID, Evaluation Policy. Washington, DC: USAID, 2011.
Institute for Environment and Development, 2005.
USAID Learning Lab, Program Cycle Learning Guide.
McKinsey & Company, “Social Impact Assessment Washington, DC: 2014, Beta version, online.
portal.”
USAID Policy Framework. Washington: USAID,
The Nature Conservancy, Planning Conservation Projects 2011-2015.
& Programs Using the Open Standards Curriculum.
The White House, Fact Sheet: U.S. Global Development
Online self-paced tutorial, 2013.
Policy, US Presidential Policy Directive on Global
UNEP, World Conservation Monitoring Centre. Development, Washington, DC: Office of the Press
Online portal offering current resources and data for Secretary, 2010.
biodiversity monitoring.
Local people in a planning workshop in West Africa map out their vision and expectations
for one of 30 new community forests established under USAID’s STEWARD program.
Photo: Stephanie Otis, USFS International Programs

USAID
BIODIVERSITY AND
DEVELOPMENT
HANDBOOK
CONSERVATION
III APPROACHES
NASSAU GROUPER SPAWNING: USAID support for seascape
conservation in Glover’s Reef, Belize, contributed to a more
than 40 percent increase in endangered Nassau grouper
numbers in one year. Laws passed in 2009 protect beneficial
algae grazers such as parrotfish, limit the catch of grouper,
ban spear fishing in all marine reserves, and added no-fishing
zones in two marine reserves.
Photo: Enric Sala,WCS

3.0 OVERVIEW........................................................................................................................................................67
3.1 KEY CONCEPTS.............................................................................................................................................69
3.1.1 Working at Scale.............................................................................................................................................................69
3.1.2 Addressing Threats, Drivers, and Barriers to Conservation...................................................................66
3.1.3 Using a Systems Approach........................................................................................................................................71
3.1.4 Ensuring Sustainability...................................................................................................................................................72
3.1.5 Engaging Stakeholders and Broadening Constituencies............................................................................77
3.1.6 Advancing Gender Equality and Women’s Empowerment....................................................................79
3.1.7 Working with Indigenous Peoples.........................................................................................................................81
3.1.8 Employing Science and Evidence-Based Approaches.................................................................................84
3.2 KEY GEOGRAPHIC SCOPES.......................................................................................................................86
3.2.1 Landscapes and Seascapes.........................................................................................................................................87
3.2.2 Connectivity.......................................................................................................................................................................88
3.2.3 Ridge-to-Reef Areas......................................................................................................................................................90
3.2.4 Protected Areas...............................................................................................................................................................91
3.2.5 Community-Conserved Areas................................................................................................................................93
3.3 CONSERVATION STRATEGIES...................................................................................................................95
3.3.1 Direct Conservation: Land and Water Protection.......................................................................................98
3.3.2 Direct Conservation: Land and Water Management.................................................................................100
3.3.3 Direct Conservation: Species Management.....................................................................................................100
3.3.4 Enabling Environment: Education and Awareness........................................................................................101
3.3.5 Enabling Environment: Law and Policy................................................................................................................103
3.3.6 Rights- and Assets-Based Approaches................................................................................................................104
3.3.7 Enabling Environment: Livelihood, Economic, and Other Incentives..................................................106
3.3.8 Enabling Environment: Capacity Building...........................................................................................................109
Nomadic Himbas ride

through the Marienfluss
Conservancy in Namibia,
one of dozens of
community-managed
conservation areas
covering about 1/6 of
the country’s surface
and benefiting tens of
thousands of Namibians.
Photo: Steve Felton,WWF

3.0 OVERVIEW
BOX 24. USAID BIODIVERSITY
Chapter 2 focused on the general USAID program POLICY OBJECTIVES
cycle and how USAID managers could use adaptive
management (AM) to design, implement, monitor,
and improve their projects. But adhering to a project • Support enabling conditions for
design process based on AM is only part of the biodiversity conservation
challenge. Managers must take into consideration other
programmatic issues as they design and implement • Reduce priority drivers and threats
conservation projects. This chapter focuses on the to biodiversity
conservation actions that managers implement as part • Integrate conservation and development
of their overall project. In line with the principles laid out for improved biodiversity and
in the Biodiversity Policy, this chapter first describes key development outcomes
concepts that cut across strategies (Section 3.1). It then
• Build partnerships to mobilize resources
discusses common approaches for helping teams be
in support of biodiversity conservation
clear about the geographic scope (Section 3.2) within
which they will take actions, recognizing that scope and • Influence key international policies in
scale can influence the type of actions taken, as well as support of biodiversity conservation
how they are implemented. Finally, Section 3.3 explains • Apply science, technology, and learning
different types of commonly used strategies, organizing to enhance biodiversity conservation
the discussion according to the IUCN-CMP Taxonomy practice
of Conservation Actions with higher-level categories that
correspond to USAID commonly used categories and
Biodiversity Policy objectives (Box 24).
Conservation can happen at different scales and within a community scope. Thus, the classifications in
geographic configurations and can involve a variety of this chapter should not be viewed as set in stone, but
strategies (Box 25). The combination of scopes and rather as an organizing framework for thinking about
strategies will be shaped by the thinking and planning conservation approaches.
that takes place when implementing the USAID program
cycle. It would be difficult to cover all potential scopes
and strategies adequately within a single chapter;
therefore, this chapter focuses on common situations
that a USAID manager might encounter.
It is important to note that the material covered in this

chapter does not always fall into clean, distinct categories.
For instance, a team might implement a project within
a protected area. At the same time, establishing or
managing a protected area is a strategy for implementing
conservation actions. Moreover, a protected area might
be transnational, national, regional, or local in scale.
Likewise, some types of strategies (e.g., capacity building
of local organizations, extractive reserves, and no-take
zones) might be more appropriately implemented

BOX 25. DEPLOYING MULTIPLE STRATEGIES TO EFFECT
CONSERVATION IN COMPLEX LANDSCAPES
To conserve native species at population levels access to a critical food source. Local fishers and
that pose little risk of local extinction in 100 their families need additional sources of income
years and to generate sufficient goods and from the forest so that they value standing
services to meaningfully contribute to local forests that are critical to the fisheries and so
livelihoods and well-being, it is critical to work that they have a buffer to fluctuations in annual
at ecologically meaningful spatial scales. Most fishery recruitment and productivity. These
protected areas are too small to conserve few examples require the use of many of the
the species they were established to protect, strategies presented in this chapter.
so teams must work in both protected areas
Typical marine example: A near-shore reef
and the lived-in spaces that border them. It is
system is home to 60 percent of the nation’s
also important to collaborate with multiple
marine biodiversity and is critical to the
stakeholders with varied interests, capacities, and
livelihoods of over 10,000 fisher families. The
motivations, across more than one jurisdiction,
reefs are threatened by sediments flowing into
and to address a suite of direct threats and
the ocean from terrestrial pineapple and banana
their associated contributing factors. Given
plantations, coral bleaching caused by climate
this complex context, all conservation projects
change, and anchor damage from a booming
should develop a situation model and associated
tourist snorkel and scuba dive trade. Local fishers
theories of change (development hypotheses –
have formal rights over the fish within a suite
see Chapter 2 for more detail). As illustrated
of community-managed protected areas. With
in the two examples below, projects typically
help from an international NGO, they have built
need to deploy several strategies in sequence or
the capacity to regulate fishing in collaboration
simultaneously to attain desired outcomes and to
with local police, the fisheries department, and
effect conservation.
the national coast guard. In this situation, it is
Typical terrestrial example: A host of important to work with the Department of
strategic approaches are required to ensure Agriculture and agro-businesses to establish
the effective conservation of a non-migratory, and maintain perennial riparian vegetation to
fruit-eating fish that is dependent on access prevent soil from eroding and working its way
to seasonally flooded forests and is the most to the reefs, smothering them. Doing so will help
important single contributor to local peoples’ conserve the reefs into the future and protect
diets and incomes. Local farmer-fishers need local livelihoods. It is also important to work
exclusive, formal rights to the fishery (tenure), with fisher organizations and the Department of
for which they have prior and legitimate claims. Fisheries to reconfigure the community marine
They need to build the organizational capacity protected areas to ensure that they incorporate
to enforce their rights, both by preventing reefs with greater resilience to coral bleaching.
outside fishers access and by regulating their Finally, the team needs to work with tour
own members’ catch. Timber companies need operators, fishers, and government agencies to
to be encouraged to avoid damaging fruit trees encourage the installation of permanent mooring
in logged areas. A proposed hydropower plant using anchored buoys and to monitor compliance
needs to be designed and situated to minimize with anchor damage avoidance legislation and
disruption of annual flooding so that fish have community regulations.

3.1 KEY CONCEPTS
BOX 26. THE ANATOMY OF A THREAT:
3.1.1 Working at Scale OIL PALM EXPANSION
USAID’s approach to conservation has evolved since the
1980s from programs that focused on protected area
management to programs that emphasize biodiversity Drivers: consumption of palm oil –
conservation across large landscapes, which may consumption has increased by nearly 500
themselves include protected areas and surrounding percent in the last decade. This has led to an
landscapes, and beyond to encompass all the elements increased demand for palm oil on the world
of a complex system underpinning wildlife trafficking. market and favorable prices to producers
The current approach recognizes that biodiversity (economic drivers of land use change).
cannot be conserved only in isolated areas and that Corruption and poor practices in the
much of the world’s biodiversity is located outside concession and licensing process facilitate
of protected areas. USAID was a key supporter of the expansion of palm oil cultivation (socio-
landscape/seascape approaches to conservation as they political drivers of biodiversity loss).
emerged in the 1990s. These approaches take many
forms, as detailed in this chapter. Threat: expansion of palm oil cultivation,
resulting in deforestation (biological
As these approaches emerged within the portfolios of resource use category)
USAID and its partner organizations, it became clear
that attention to the human and organizational scale Interaction of Driver and Threat:
was needed to achieve results at the desired spatial As the cultivated area expands,
scales and to affect policy at appropriate levels. This has infrastructure for transportation,
involved building coalitions and partnerships that extend processing, and marketing also expands.
beyond the conservation community and its traditional Labor may be imported for plantations.
partners − local communities and government − to These additional changes increase direct
such nontraditional partners as development banks, pressure on biodiversity.
development NGOs, and industry.
While embracing landscape and seascape conservation

approaches, USAID also supported the scaling up of 3.1.2 Addressing Threats, Drivers, and
development impact (“working at scale”). This approach Barriers to Conservation
involves identifying and starting at the scale necessary A powerful combination of human-induced threats
to achieve broad and sustainable results, rather than and drivers is causing biodiversity loss globally
reflexively piloting activities at a small scale and then (Table 1). Although the conservation community uses
determining whether to scale these up. For example, a variety of terms to refer to threats and drivers, this
if a team wants to generate local income from wildlife handbook defines a threat as a proximate human
tourism, the scale of its actions needs to be large enough activity or process that directly causes degradation
to meet the needs of wildlife populations to ensure or loss of biodiversity and a driver as an underlying
that they have little probability of being extirpated social, economic, political, institutional, or cultural factor
in the medium- or long-term future. The USAID- that enables or otherwise adds to the occurrence or
funded GreenCom project tested and refined SCALE persistence of one or more threats.
(System-wide Collaborative Action for Livelihoods
and the Environment) for more than 10 years. SCALE A threat can have a single or multiple drivers. Likewise,
enables planners to identify and work with larger-scale a driver can give rise to a variety of threats. Threats
organizations and networks that already collaborate and often have interactions that can magnify their impacts
communicate or have the potential to do so. (Box 26). For instance, climate change not only

creates its own direct impacts or stresses (e.g., ocean conservation results and should be considered along
acidification, temperature fluctuations, drought, and with biodiversity threats and drivers. In most instances,
glacier melting), but it also exacerbates impacts from these barriers are the same as or closely linked to the
other threats, particularly from invasive species, fire, underlying drivers. To effectively conserve biodiversity, it
and fragmentation. is important to identify threats, drivers, and barriers to
conservation and select strategies that are most likely
In addition, there are many barriers or “limiting to reduce them.
factors” to effective conservation, including limited
institutional capacity, unsupportive policies and policy Moreover, conservation managers should consider
implementation, inadequate scientific understanding, the enabling conditions needed to overcome barriers.
ineffective enforcement, and minimal stakeholder Examples of enabling conditions include legal recognition
engagement. USAID’s Evaluation of the Global and protection of property rights to land, fisheries,
Conservation Program in 2008 and USAID’s Evaluation and forests; economic incentives that stimulate sound
of the Sustainable Conservation Approaches in Priority investments; the presence of accountable and capable
Ecosystems (SCAPES) in 2014 used the Limiting Factors institutions and informed constituencies for conservation;
Analysis (LFA). These barriers can block the path to and a reasonable level of peace and security.
Table 1. Examples of Biodiversity Threats and Drivers Based on IUCN-CMP Classification of Threats
DEFINITION CATEGORY (EXAMPLE)
Driver the ultimate factor, usually social, • demographic factors (e.g., population increase)
economic, political, institutional,
• economic factors (e.g., boom in the biofuels market,
or cultural, which enables or
increased wealth driving increased consumption)
otherwise adds to the occurrence
or persistence of one or more • socio-political factors (e.g., liquidation of natural capital
threats to fund elections)
• cultural and religious factors (e.g., use of ivory in religious
idolatry, belief that rhino horn cures cancer)
• scientific and technological factors (e.g., industrial scale
freezers on fishing vessels)
Direct a proximate human activity or • residential and commercial development (e.g., housing
Threat process that explicitly causes developments)
degradation or loss of biodiversity
• agriculture and aquaculture (e.g., livestock ranching)
• biological resource use (e.g., overfishing, wildlife poaching)
• pollution (e.g., water-borne pollutants from sewage and
non-point runoff)
• climate change (e.g., increased air and water temperatures)
• invasive alien species (e.g., lion fish populations in the
Caribbean)

Improvement in enabling conditions can help remove Previously, conservation efforts tended to focus on one
barriers to conservation, while the absence of an dimension of the framework. For instance, protected
enabling environment can contribute to and accelerate areas set up to conserve nature did not adequately
biodiversity loss. Where appropriate, conservation consider financial sustainability and building local
teams should consider strategies to create or support constituencies. Likewise, community-based conservation
enabling conditions. projects aiming to increase local benefits derived from
natural areas (e.g., marketing forest products) were
3.1.3 Using a Systems Approach ineffective where individuals or communities did not
have rights. Or projects focused on the decentralization
As a development agency, USAID views biodiversity in
of land and resource rights may have failed to consider
the context of human well-being while also supporting
the financial return necessary to create an incentive for
conservation for its own sake. Using “systems thinking”
local actors to participate.
can help implementers to program across sectors and
react to change. Briefly, systems thinking involves
The NWP framework helps explain barriers to
• creating a systems map of key variables related to a conservation. For instance, resource or land governance
situation, problem, or approach, which often cut across may be weak, fragmented, and uncertain, leading to
sectors and disciplines; limited enforcement of regulations. Some people living in
• analyzing the connections among different factors that or near an area of high biodiversity may be getting little
could impact program results; or no financial, spiritual, cultural, or livelihood benefit
• identifying leverage points (where many variables from these areas and thus have no incentive to conserve.
connect, where system-level changes are possible); As an example, populations living in and around
and protected areas may be excluded from resource use
within the protected area, or local fishing communities
• continuously refining the approach through new
may find that offshore fishing is dominated by foreign
knowledge of system connections.
fleets that severely deplete the resource.
Systems thinking also often involves identifying and
The NWP framework has evolved within USAID since
mapping biophysical and social connections and flows
its rollout in 2005, with NWP 2.0 released in October
within and outside a project’s geographic or thematic
2013, including a much more elaborated framework, set
scope. Failing to understand how natural systems, actors,
of tools, and case studies. Likewise, USAID’s Translinks
and actions are linked and how actions spark reactions
program explored ways in which payments for
typically leads to inadequate results at best and failure
ecosystem services (PES) can contribute to conservation,
at worst.
economic development, and better governance; enhance
knowledge about the relationship between tenure and
USAID pioneered a systems approach in the natural
conservation outcomes; and support a certification
resource management (NRM) sector to help achieve
scheme to link wildlife conservation with economic
the dual objectives of conservation and development:
growth. See Section 5.1.3 of the Annex for more detail
the Nature, Wealth, and Power (NWP) framework.
on PES. As another example, the SCAPES program has
Simply put, the NWP framework posits that
pioneered a tool to assess governance within landscape
conservation outcomes (nature) are influenced by how
conservation initiatives.
biodiversity and natural resources are used to generate
and sustain livelihoods and economic growth (wealth)
and by governance of the land and resources (power).
NWP also holds that economic growth is underpinned
by how natural resources and biodiversity are managed.

3.1.4 Ensuring Sustainability support long-term conservation. Efforts can focus on
A principle of the Biodiversity Policy and a critical analyzing the financial resources needed for priority
consideration for USAID’s conservation programming conservation and the feasibility and appropriateness of
is the long-term environmental, financial, and social various financial, market, and economic mechanisms.
sustainability and viability of benefits, impacts, and results. • Social sustainability requires addressing social
Several elements of sustainability are addressed within barriers to and opportunities for conservation to
USAID through the now-mandatory sustainability increase ownership of conservation efforts at all levels.
analysis discussed in Chapter 2. At a minimum, social sustainability involves assuring
that conservation efforts do not undermine the
• Environmental sustainability requires addressing
livelihoods and well-being of key groups for USAID’s
threats to species and ecosystems. Efforts should not
development investment. In addition, USAID believes
only address current threats to ecological function
that conservation should yield social benefits and
and diversity but also focus on increasing ecosystem
build resilience and social capital − trust, capacity,
resilience to future threats, especially climate change.
and collective action − while reducing conflict and
• Financial and economic sustainability requires vulnerability through good governance, transparency,
building or strengthening the financial infrastructure to and accountability.
PRIORITY SETTING: National and municipal Ethiopian government officials, NGOs, and community leaders work together.
Photo: Christine Hicks, Counterpart International

Environmental, financial, and social sustainability elements be used in such a way as to maintain resource and
are interrelated and critical to achieving sustained service flows for future generations. USAID and its
conservation impact. For example, without sufficient partners have made important advances in assuring
economic resources devoted to conservation and the environmental sustainability of conservation efforts.
sustainable use, other land uses will often out-compete For example, working at the landscape scale facilitates
and undermine environmental sustainability. More improving connectivity and ecosystem services provision,
specifically, forests may be converted to agricultural leading to more resilient systems.
use if there is not a system for valuing forest ecosystem
services or if there are not profitable enterprises linked One of the most pressing threats to biodiversity and
to forests. Likewise, there must be a significant social natural resources is global climate change. However,
constituency supporting conservation efforts over time climate change also presents an opportunity to be
to assure environmental sustainability. Stakeholders must proactive, not just reactive. Because of its expected
derive and perceive benefits from conservation and impacts across several sectors, climate change can be a
sustainable use, and they must be able and willing to catalyzing force in bringing together various stakeholders
act when threats emerge. to plan for and implement environmentally sustainable
initiatives. For example, at a national level, the anticipated
effects on ecological systems, human well-being, and
economic interests can pave the way for options such
BOX 27. ENVIRONMENTAL
as low emissions development strategies (LEDS).
SUSTAINABILITY CONCEPTS
Global agricultural production is another major
pressure on biodiversity, which offers opportunities
Environmental sustainability includes for stakeholders in both the public and the private
several elements: sector to jointly design sustainable practices to boost
production and maintain vital ecological services and
• diversity – avoiding overreliance on one
high-value biodiversity. See Chapter 4 for a detailed
or a few species, crops, or land uses
discussion of conservation and food security.
• resilience – the ability to resist shocks
(occasional and traumatic) Assessing and communicating the value of ecosystem
• stability – consistency of production services helps governments and communities
over time understand the tangible benefits of conservation and,
ideally, commit to ensuring longer-term environmental
• adaptability – the ability to change sustainability. Green accounting is an important tool
in response to external and internal for ecological sustainability and for linking environment
perturbations to development, but there is still is a long way to go in
this area. According to The Economics of Ecosystems
and Biodiversity (TEEB) Project, few countries are
addressing the “economic invisibility of nature.” Benefits
such as the capacity of wetlands to filter water, the
This section describes each of these sustainability role of forests in preventing erosion and flooding, and
elements in greater detail. the importance of bees in pollinating crops are rarely
reflected in accounting systems. Pavan Sukhdev, one
Environmental Sustainability of TEEB’s leaders, indicates that only 20 countries are
USAID programs, regardless of sector, must ensure actively working on assessing the true value of nature.1
environmental sustainability. Environmental sustainability At the same time, he maintains that TEEB has identified
rests on the principle that natural resources should 1 Interview with Pavan Sukhdev, conducted by Roger Cohn, January 5, 2012.
Putting a Price on The Real Value of Nature, Yale Environment 360.

a strong correlation between the persistence of poverty USAID seeks to assure the environmental sustainability
and the dying out of nature – those who suffer the most of all of its activities, primarily through the Tropical
when biodiversity is lost are the poor, whose livelihoods Forestry and Biodiversity Analysis (FAA 118-119)
are often heavily dependent upon healthy ecosystems and compliance with the Title 22, Code of Federal
and the services they provide. Regulations, PART 216 (22 CFR 216), which lays out
the Agency’s environmental procedures.
Ensuring environmental sustainability is not just about
developing new mechanisms, such as biodiversity offsets, Financial and Economic Sustainability
to account for biodiversity value. Conservation should
To ensure that conservation efforts have sufficient
continue to focus on identifying the greatest threats
resources and use them wisely, it is important to assess
to biodiversity – e.g., infrastructure, mining, energy, and
the long-term costs of those efforts and develop explicit
large-scale development projects – and work to address
strategies to meet them. Section 5.1.3 of this handbook
them directly through avoidance, mitigation, and/or
describes some conservation finance strategies in more
rehabilitation. The following figure succinctly conveys the
detail. Reducing Emissions from Deforestation and Forest
importance of these types of actions that complement
Degradation (REDD) has become a potential new
approaches to offsetting biodiversity loss.
Figure 15.The Mitigation Hierarchy
Source: Reprinted by permission. Convention on Biological Diversity. 2010.

source of conservation finance, but it is unlikely to be Direct financial support to conservation by governments
sufficient to cover costs over the long term. is important and can be assessed through national
budget analysis. However, it is also critical to assess how
governments enact and enforce enabling legislation;
BOX 28. DISTINGUISHING BETWEEN address existing laws and regulations that incentivize
FINANCIAL AND ECONOMIC biodiversity-degrading actions; consider biodiversity
SUSTAINABILITY in economic planning; fund conservation education in
public training and academic institutions; and offer
other, less-direct support.
Though closely related, these concepts are
somewhat different.
It may seem logical to commit significant resources to
• Economic sustainability is efficient and an initiative or area when working on economic and
responsible use of resources to ensure financial sustainability. However, it is equally if not more
long-term benefits. It involves being wise important to assess the potential for cost reduction.
with what money is available. USAID managers should keep in mind that impressive
• Financial sustainability is garnering conservation impacts can be achieved with sparse
funding that is sufficient, diversified, and financial resources – for instance, the conservation
resilient to shocks. of large indigenous territories in South and Central
America was accomplished through policy reforms and
• Tools and resources can be found within enabling local governance. Likewise, small areas, such
initiatives such as the Conservation as sacred forests, can be conserved due to important
Finance Alliance, the Conservation cultural motivations rather than financial ones. In some
Finance Forum, and the Conservation cases, a small initial investment can help communities
Finance Network. improve their own financial sustainability through
biodiversity conservation. Conservation impacts can also
be achieved through non-financial means; for example,
In landscape-scale conservation, working toward financial working with the private sector to “green” supply chains,
and economic sustainability is necessarily complex. For such as in agriculture. USAID managers and teams
example, financial analyses must consider biodiversity should be looking for those opportunities to maximize
and ecosystem services conservation outside of formal efficient resource use, in addition to tracking financing
protection. In these situations, it becomes important (Box 29).
to factor in not only the costs of direct conservation
but also the opportunity costs of not exploiting land Social Sustainability
and resources.
The aim of programming for social sustainability is to
ensure that an institution, network of institutions, or
Financial sustainability strategies typically employ multiple
process endures after donor funding ends. This can be
approaches because one approach is not sufficient. For
achieved by grounding an activity in local institutions,
instance, PES is often complemented by conservation
designing actions that resonate with the local culture
enterprises to increase the magnitude and spread or
and social norms, and/or using strategies that result in
scale of benefit. Using a portfolio approach helps smooth
behavior change. The key is to have local support for
revenues for beneficiaries when different markets
the conservation efforts and verify that this support is
fluctuate or potentially crash. Likewise, conservation
leading to desired outcomes. If conservation is perceived
trusts support enterprise development, development
as an external issue or a concern promoted by outsiders,
of policies that incentivize conservation (e.g., easements
it will not be sustained, regardless of donor support and
and offsets), and many other conservation actions.
funding levels. Internal reinforcement within the

sustainability of an initiative. For example, conservation
BOX 29. HOW CAN USAID INCREASE efforts could focus on important social issues also
FINANCIAL AND SOCIAL SUPPORT affecting biodiversity – such as supporting livelihoods in
FOR CONSERVATION? biologically rich areas, preparing societies and ecosystems
to adapt to climate change, or improving transparency in
governance of natural resources.
The following strategies can help to
increase financial and economic support
A first step in generating strong social support for
for conservation:
biodiversity conservation initiatives is to obtain a social
• Use specific examples to promote license to operate. A social license (formal or informal)
the message that biodiversity is a means that the project has broad social support
foundation of international development and ongoing approval from the local community and
and contributes real, though often not other relevant stakeholders. At a minimum, a social
formally accounted, economic value. license means that local actors will not obstruct the
organization’s work; more broadly, it means that local
• Encourage and facilitate the exchange of
actors see the organization or initiative as a good
lessons learned in conservation finance.
neighbor and collaborator. (Section 4.7.1 provides
• Leverage private-sector resources more detail on generating strong social support for
through partnerships and alliances. biodiversity conservation initiatives.)
• Encourage governments to increase
financial contributions to conservation or Laying the groundwork for social sustainability
to structure them more effectively (e.g., also means ensuring that social safeguards
user fees for parks should be returned to (see Section 4.7.1) are in place and that analysis
park maintenance). and planning have involved due diligence to avoid
and mitigate negative impacts. A social soundness
• Mobilize U.S. ambassadors, who can approach incorporates and goes beyond safeguards
be highly effective spokespersons for that avoid harm through proactive assessment, planning,
conservation, in working with government and implementation of biodiversity conservation in
leadership. culturally and socially effective ways. Projects that require
• Encourage local private philanthropy social sustainability should map the social context at
and the development of local inception and define concrete strategies that would lead
conservation funds. There are many to sustained support at closeout. Moreover, they should
examples of private philanthropy require a sustained presence on the ground in order
targeting the environment (e.g., Haribon to build trust and organizational capacity.
Foundation in the Philippines and
Fundacao o Boticario in Brazil). Achieving social sustainability at the landscape scale
seems like a daunting prospect. Biologically defined
landscapes and ecoregions can include many different
groups, administrative units, and even nations. Therefore,
community must become the norm if projects are to there are often competing interests and needs at varying
be sustained without outside intervention. scales. Improvement for one group can mean loss of
power or resources for another group, and policies and
Social sustainability can also involve harmonizing USAID markets can shift rapidly, changing the social-economic-
work with the priorities of the government or other political landscape. In addition, there are coordination
important institutions, thus creating opportunities for challenges associated with working at large scales (e.g.,
joint planning and funding. Harmonizing with priorities the costs and complexities of convening stakeholders
outside the conservation sector can increase the social and harmonizing diverse viewpoints).

3.1.5 Engaging Stakeholders and
BOX 30. COMMON STAKEHOLDERS IN Broadening Constituencies
BIODIVERSITY CONSERVATION Stakeholders include any individual, group, or
organization with a vested interest in or ability to
influence the natural resources of the project area,
Stakeholders in biodiversity conservation as well as those who might be affected by project
can be found at all levels of society. It is activities and have something to gain or lose if conditions
important to keep in mind that any single change or stay the same. USAID considers women
group may be diverse and that such diversity and indigenous peoples to be particularly important
will be necessary to the role that each stakeholder groups for biodiversity conservation and
group plays or could play in biodiversity emphasizes gender equality, women’s empowerment,
conservation. Some common examples and the rights of indigenous peoples throughout
include this handbook.
• local communities in or near an area of Engaging stakeholders is something USAID managers

high biodiversity (e.g., farmers, pastoralists, and project teams must do from the start and
hunters, fishers, forest-product collectors, throughout the life of a project (see, in particular,
ethnic groups) Sections 2.1 and 2.3). An important first step in project
• indigenous people in or near an area of design is to identify legitimate stakeholders: those who
high biodiversity have widely recognized, although not necessarily legal,
rights to a territory, ecosystem, or resource. For the
• marginalized groups – including women,
most part, USAID wants to work with stakeholder
indigenous groups, the very poor
groups that are willing and able to participate. Many
• government (local, regional, national) institutions and groups may be partners, but managers
• NGOs have to make strategic choices, informed by their
understanding of the project context (see Section 2.3).
• community-based organizations
• private-sector organizations – including Some stakeholders could be true partners, while
both large and small businesses others may have interests that diverge too far from
biodiversity conservation. Determining whether, when,
and how to engage different stakeholders is a bit of an
art and a science that requires some creative thinking.
For example, a road-building company may have no
There is not an easy or straightforward path to social interest in biodiversity but could be a critical partner
sustainability. Some important elements include if they could be persuaded to build the road to avoid
maintaining an active, on-the-ground presence; being environmental impacts and direct or indirect biodiversity
clear about who needs to be engaged and how and loss. If engagement of difficult stakeholders is necessary
why they should be engaged; ensuring that engagement to achieve a conservation outcome, then a strategy
is culturally appropriate and respectful; and monitoring that specifically targets behavior change among that
and analyzing change to help teams ensure social stakeholder group or other groups that influence them
sustainability and measure whether they are achieving may be necessary. Stakeholder engagement is important
the desired engagement. but often not easy (Table 2). Managers should be
prepared to determine that it is not always possible or
desirable to involve all stakeholders as partners, but it is
important to understand their motivations.

Working with existing groups or within existing In general, conservation initiatives should not try to
processes helps ensure that many key stakeholders are create stakeholder groups, though it is often appropriate
engaged. Nevertheless, it is important to determine to facilitate interaction within and among groups. A
who may be left out, including women, youth, disabled, local group can be nurtured and supported, but it is
indigenous or isolated groups, or even powerful actors preferable that this group emerge from a community’s
whose influence could be critical to outcomes. A own efforts. In some cases where stakeholder
detailed stakeholder analysis, which maps the powers organizations do not exist, it may be necessary to help
and influences of all stakeholders impacting a result, can establish and support such entities, ensuring that they
be a useful tool. legitimately represent stakeholders’ interests and are
accountable to stakeholders.
Table 2. Common Challenges and Solutions for Engaging Stakeholders
CHALLENGE SOLUTION
High transaction costs of multiple Develop low-cost ways of sharing information among stakeholders.
meetings and participatory Schedule meetings only as truly needed. Bring in new information and
processes for project teams, as well resources with each communication – don’t just recycle or extract
as local people and stakeholders information.
Inappropriate methodologies used Do background research on culturally appropriate communications

for participation (e.g., large public and participation approaches. Check in regularly with stakeholders
meetings that can discourage on the quality of their involvement. Assess whether stakeholders are
participation of women, youth, or moving to own the activities.
indigenous peoples)
Budget, resources, and time Employ strategic approaches, such as piggybacking on existing events
frames that may limit stakeholder to communicate with stakeholders.
consultations and involvement
BOX 31. LEVELS OF STAKEHOLDER INVOLVEMENT
Determining at what level a project should engage stakeholders depends on

• the type of result or impact desired – If a project promotes ecologically friendly farming
practices, and men and women have very different roles in farming, then both men and women
should be involved – go beyond the “household” level to explore intra-household dynamics.
• considerations of “do no harm” – If a project aims to improve enforcement of protected area
regulations, involving all vulnerable stakeholders is as critical as involving the stakeholders at the
governing level.
• the need for active involvement – The level and type of involvement will change over time.
The key is to maintain and facilitate the involvement of the institutions, groups, and individuals that
determine the outcomes. For instance, major users of the biodiversity or ecosystem must be involved,
even if they are not the official or legal owners.

3.1.6 Advancing Gender Equality and and because a proactive approach is likely to yield
Women’s Empowerment better results. Some proactive steps include
Gender is a social category that refers to the roles, • seeking out women’s groups that may not be involved
responsibilities, motivations, and voice of both men and in biodiversity conservation but have legitimacy and
women in a given society. It is one of many categories purpose within the community, building their technical
that shape social behavior. Men and women typically capacity, and being open to what concerns and
access, manage, and control biodiversity and natural motivates them.
resources in different ways due to traditions, status, • analyzing policies and proposed reforms for gender
and responsibilities. Any activity that seeks to affect the impacts and discussing the implications with
use of natural resources should recognize the different government representatives, NGOs, and other
behaviors, roles, and responsibilities of men and women. stakeholders.
• taking a gender-sensitive approach to training,
Men and women may be involved in different aspects
technology development, and planning. Men and
of land and resource management, as well as household
women often differ in their literacy levels, ways of
livelihood. Women often have less secure land and
learning, and understanding of technologies. Separating
resource tenure and are thus less able to effect long-
the genders for training and planning may or may not
term improvements in management unless other
be appropriate. What is essential is that the genuine
changes are made. On the other hand, women may be
voices of women and men be heard. This point holds
more active in the production or market spheres than
for other social categories as well, including youth, the
men are. There may be a need to address inequality
poor, and ethnic minorities.
in gender roles if it poses a threat to biodiversity. For
instance, women may be the major collectors and users • collecting and using evidence about how gender
of forest products yet not be involved in decision-making impacts conservation outcomes. There is a growing
about forest management. body of knowledge on this topic, but much more
research is needed to understand the effects of
At a basic level, incorporating gender aspects into a specific approaches, as well as the intersection of
project requires disaggregated data on the roles and conservation with development issues that are highly
actions of women and men and on differential benefits gendered, such as family planning, water management,
and risks to men and women from a given action. Thus, land tenure, food security, and agriculture.
households are not treated as uniform units with a male
“household head,” but rather as composites of men, Do not assume that because women are involved in
women, and dependents whose needs and interests an action or decision-making body, or are leading an
must be considered independently. effort, that gender is automatically addressed. Women
sometimes feel pressured to show that they are not
Operationally, USAID projects require that contractors concerned about women’s empowerment. As well,
or grantees keep track of benefits to men and women, women appointed to positions due to the power of
including training opportunities. Interviewing men and their husbands or other relatives may not be good
women separately for assessment, monitoring, and representatives for women generally.
evaluation is critical to getting good information and
assuring that sensitive issues are addressed appropriately. Even when projects have a good gender analysis
(Box 32), there is often not a clear plan for how to
Gender analysis and disaggregated data collection are incorporate gender issues. Failure to follow through
only the first steps. USAID managers and partners need may be due to lack of training and understanding, a
to be more proactive because gender equality and focus on other priorities, or a feeling that gender is not
women’s empowerment are priorities for the Agency a significant issue for the project. Barriers to addressing
gender and women’s empowerment can be overcome

with determination. The first step is to show clearly Women and men often access and use such data
how gender and other social dimensions shape project differently. To engage and hire women for technical work,
outcomes. Technical activities, such as species inventories it is often necessary to do wide outreach and take a
or land use planning, have clear gender dimensions. mentoring approach.
BOX 32. GENDER ANALYSIS FOR BIODIVERSITY PROJECTS
In conducting a gender analysis, teams should

• consider gender at all scales. Do not assume that involvement of a male head of household or a
community leader will incorporate women’s views. Likewise, search out women’s organizations,
as they may be less visible and harder to access, and their concerns may not be represented in
decision-making.
• carefully analyze how men and women make a living, both independently and as part of a family. This
analysis will reveal opportunities and risks. A proposed action may favor one gender at the expense
of the other or may make households more vulnerable overall. For instance, women and children may
be more vulnerable to food insecurity if their livelihood activities are curtailed.
• develop a gender action plan, with indicators and a protocol for regular monitoring.
• keep in mind that a gender analysis is not the end – it is the beginning. Teams need to follow through
on what they learned with clear gender action plans that are monitored and updated.
DUTY CALLS: The first female warden at the Decalve Marine Sanctuary off Palawan Island, Philippines,
keeps close tabs on fishing activities in this ecologically sensitive area. Photo: Thomas J. Müller

3.1.7 Working with Indigenous Peoples
BOX 33. WHO ARE INDIGENOUS PEOPLES?
It is estimated that there are more than 370 million indigenous people in the world today, living in
approximately 90 countries. Their territories are home to much of the Earth’s biological diversity.
Their traditional knowledge systems – agricultural, pharmacological, and ecological – are a vital and
irreplaceable resource for humanity. Indigenous peoples have conventionally been seen as obstacles to
development and notions of progress. They continue to be among the most marginalized members of
society and experience higher rates of poverty, lower levels of education, and poorer health than other
groups, even in the most developed countries. Around the world their lands, lives, and livelihoods are
threatened by logging, mining, industrial agriculture, large-scale energy projects, and even conservation
initiatives. In 2007 the United Nations General Assembly adopted the UN Declaration on the Rights of
Indigenous Peoples, which at first the United States did not support. In 2010 President Obama reversed
the U.S. stance, declaring support for the Declaration. The announcement reads, in part, “the United
States is committed to serving as a model in the international community in promoting and protecting
the collective rights of indigenous peoples…”
Definition of Indigenous Peoples

Dr. José Martinez Cobo elaborated the most-cited definition of “indigenous peoples” in his “Study on
the Problem of Discrimination against Indigenous Populations”:
Indigenous communities, peoples and nations are those which, having a historical continuity with pre-invasion
and pre-colonial societies that developed on their territories, consider themselves distinct from other sectors of
the societies now prevailing on those territories, or parts of them.They form at present non-dominant sectors
of society and are determined to preserve, develop and transmit to future generations their ancestral territories,
and their ethnic identity, as the basis of their continued existence as peoples, in accordance with their own
cultural patterns, social institutions and legal system.This historical continuity may consist of the continuation,
for an extended period reaching into the present of one or more of the following factors:
a. occupation of ancestral lands, or at least of part of them
b. common ancestry with the original occupants of these lands
c. culture in general, or in specific manifestations (such as religion, living under a tribal system, membership
of an indigenous community, dress, means of livelihood, lifestyle, etc.)
d. language (whether used as the only language, as mother-tongue, as the habitual means of communication
at home or in the family, or as the main, preferred, habitual, general or normal language)
e. residence in certain parts of the country, or in certain regions of the world
f. other relevant factors.
On an individual basis, an indigenous person is one who belongs to one of these indigenous populations
through self-identification as indigenous (group consciousness) and is recognized and accepted by the
population as one of its members (acceptance by the group). This preserves for these communities the
sovereign right and power to decide who belongs to them, without external interference.
Martínez Cobo, José R. 1986/7. “Study of the Problem of Discrimination against Indigenous Populations”

There are multiple reasons to work with indigenous communities.4 Designs have included 1) separate
peoples in conservation: projects or activities, 2) small-scale actions under
discretionary grants funding, 3) a project outreach or
• Indigenous peoples may control territory that is rich
inclusion strategy in the mainstream activities of a project
in biodiversity, and incorporating their participation
or in a separate component, and 4) mitigation measures
may advance conservation ends.
developed during initial environmental examination or
• Governance and transparent management of natural during implementation. Land tenure is a critical part of
areas, including conservation and sustainable use, is several projects.
favored by open inclusion of stakeholders, including
indigenous peoples. For example, in 2008 and 2009, USAID support for
• Inclusion of indigenous peoples in conservation land rights and better governance by the Awa and
activities may be required by law, treaty, regulation, Cofan indigenous groups helped to mitigate conflicts
or policy. and maintain cultural and territorial integrity, despite
• Conservation projects do affect indigenous peoples, threats from illegal logging, coca cultivation, and drug
requiring mitigation. trafficking in Colombia and Ecuador. Actions suggested
• Actions in support of indigenous people benefit a in the World Bank’s Policy on Indigenous Peoples include
low-income, marginal population. demarcation and protection of tribal areas containing
the resources to sustain the tribal people’s traditional
• Indigenous knowledge, values, and subsistence
means of livelihood, social services (especially protection
patterns often support conservation (de facto or
against diseases), assistance to maintain cultural integrity,
explicit), countering incursions by others who do not
and a forum for participation and redress of grievances.
protect resources.
Eventually, the Bank augmented its approach to
• It may be an obligation of the host country in its laws, development of separate, inclusive plans as part
constitution, or treaties (for example, the U.S.-Peru of a project’s required environmental review, and
free trade agreement or the International Labor the term “tribal peoples” was recognized to include
Organization Convention 1692). large populations, sometimes quite important at the
• Regulation 216 (22 CFR 216, and ADS 204), which national level.
defines Agency environmental procedures, covers
impact on human populations, and the ADS 204 calls Indigenous People’s Territories and
for “triple bottom line” due diligence.3 Conservation
Indigenous people act as pro-conservation managers
USAID has a long history of partnership with indigenous of territories. Evidence from the Brazilian Amazon
peoples. In Latin American countries with tropical forest shows that indigenous territories are at least as likely
conservation priorities, Agency projects have included to remain forested and exempt from fires as protected
parks management, land titling, forest management/ areas5, and in Mexico most remaining forest is on ejido
conservation, local development planning, eco- or or community-managed land. On the other hand,
sustainable tourism, health/education/outreach/nutrition government enforcement of conservation laws works
services, conflict mediation, support for economic in some countries and some areas over the long term,
development, handicraft sales, local infrastructure, making empowered indigenous peoples a feasible
assistance to displaced people, local political processes, counter to those who would destroy biodiversity,
and Mission reviews of projects for impact on indigenous
2 International Labor Organization UN/ILO Convention 169, ratified by 4 “Written Statement of Janet C. Ballantyne, Senior Deputy Assistant
major LAC countries of the Amazon Basin among others, requires signatories Administrator, Bureau for Latin America and the Caribbean, on Indigenous
to recognize “the rights of ownership and possession of the peoples Peoples of Colombia, Panama and Peru,” before the Tom Lantos Human Rights
concerned over the lands which they traditionally occupy” and to consult with Commission, Committee on Foreign Affairs, U.S. House of Representatives,
indigenous peoples prior to implementing projects. April 29, 2010.
3 For example, USAID/ENCAP (now closed) training materials for Africa 5 Nepstad et al. “Inhibition of Amazon Deforestation and Fire by Parks
define “environment” for EIAs to cover physical, biological, and social aspects, and Indigenous Lands” Conservation Biology 20:1:65-73, 2004 20: 65–73.
including human health and welfare. doi:10.1111/j.1523-1739.2006.00351.x.

at least in many situations. Projects may support indigenous peoples, what the indigenous peoples can
indigenous peoples as stewards of resources and expect of the project, whether there is a downside for
biodiversity, a convergence of conservation and rights either, and what mitigation measures are needed should
of indigenous peoples. be clearly articulated at the outset.
Illustrative actions: Actions that acknowledge the How does USAID define Free, Prior, and Informed
role of indigenous peoples as biodiversity conservation Consent/Consultation (FPIC)?
stakeholders and stewards include the development Many international organizations and some U.S. agencies
of management plans and delimitation of territories (including the Overseas Private Investment Corporation)
using community-mapping techniques (in buffer zones, interpret FPIC as the need to obtain “consent” in
forestry concessions, parks, and the territory of the relation to working with indigenous peoples. The State
group itself); support for legal recognition of territories; Department and U.S. Treasury, as of this writing, typically
implementation of sustainable-use programs (eco- or endorse the interpretation of the need for “consultation”
sustainable tourism, handicrafts promotions, certified due to concerns about one stakeholder group among
agricultural products, non-timber forest products, or many having the ability to block investments; however,
forestry where indigenous peoples control the remaining this interpretation is under consideration. USAID does
high-value forests); and REDD+ initiatives, such as the not have a formal policy on FPIC as of this writing.
carbon agreement made with The Surui Tribe in Brazil. USAID managers should consult with General Counsel
or their resident legal advisors (RLAs) concerning the
Key Questions appropriate USAID interpretation and use of FPIC with
Under what circumstances is work directly with indigenous peoples.
indigenous peoples an appropriate development
tool for achieving the goals of biodiversity What kinds of implementing partners can support
conservation AND local development? Under what indigenous people?
circumstances would it not be desirable? What are Indigenous peoples are often key stakeholders in
the risks? landscape approaches. Generally, USAID seeks good
When a project takes place in the territory of an governance based on participation of the actors with a
indigenous people, working with them is not only stake in conservation – government, NGOs, extractive
appropriate, it is crucial for success. Despite the debates industries, universities, indigenous peoples, and others.
in the social science and conservation literature on When a project is to take place in the territory of an
the relationship between indigenous peoples and indigenous people, they should be recognized as rights-
conservation of biodiversity, indigenous peoples holders and steps should be taken to ensure their
have rights to engage that have been elaborated and full and effective participation in all phases of project
recognized in UNDRIP and upheld by ILO, Inter- design, implementation, monitoring, and evaluation.
American Human Rights Law, the African Commission USAID support to the Kayapó (Brazil) and Takana
on Human and Peoples’ Rights, and many other peoples (Colombia, Peru), for example, shows that their
institutions. USAID biodiversity projects should serve as meaningful involvement is crucial to project success.
a model for the international community in advancing, Moreover, people who derive the necessities of life from,
protecting, and respecting these rights. and have strong cultural and spiritual ties to, their lands
and natural resources often have more knowledge about
Because many indigenous peoples live in remote local biodiversity and more information about on-the-
areas, project administration, particularly monitoring ground situations than anyone else.
a project’s conservation and socio-economic benefits,
can be a difficult task. Consequently, it is very important Other actions to support indigenous people’s
to provide clarity of expectation and to implement participation in civil society deliberations may involve
adaptive management.What the project expects of the provision of identity documents; establishing community

centers; strengthening representative organizations; 3.1.8 Employing Science and Evidence-
education; publications; specific supports to participate in Based Approaches
local government; and fostering sector-specific activities Biodiversity programming should be based on sound
with other stakeholders to gain benefits from sustainable science to achieve tangible and sustainable results.
forestry or tourism. It is important to maintain the focus Understanding both the current condition and changing
on conservation; however, development will likely be a trends in biodiversity is an essential foundation for
key focus for the community. Make realistic assessments designing conservation strategies and measuring their
of capacity and plan for sufficient technical assistance to effectiveness. One of the major goals of USAID Forward
help mitigate environmental impacts from development. is to invest in pioneering scientific, technological, and
While NGOs can be important partners, their role innovative approaches to development challenges.
is limited and should be subordinate to that of Toward this aim, USAID works with experts across
indigenous peoples.
What is the best way to begin?

BOX 34. PRINCIPLES FOR GROUNDING
Project teams should start by scoping the proposed BIODIVERSITY PROGRAMMING IN SOUND,
activity with all interested and affected stakeholders. TRANSPARENT, ACCESSIBLE SCIENCE
Some information to gather (perhaps from a consultant)
includes maps, GIS, descriptions of the way of life or
culture of the indigenous people in the project area, past • As research advances quickly, use current
experience with outsiders, ways of using natural data/methods from all relevant disciplines.
resources, local laws, value chain for local products,
• Utilize research that has undergone
threats to biodiversity, threats to indigenous people,
peer review.
government policies, and implementing-partner
capacities. It is important to work with indigenous • Leverage existing tools and databases.
communities, through their traditional decision-making • Where existing databases are insufficient
processes, to develop project plans and consider the for understanding biodiversity (often
impacts on the human population in conservation the case at finer spatial scales), identify
project planning, procurement, and implementation. This cost-effective approaches for generating
may require attention at several stages of the project new data.
cycle, analogous to consideration of the physical
environment under Regulation 22 CFR 216. The • Establish scientifically sound baseline data
implementation capacity of potential partners must be using appropriate, standardized methods
realistically assessed, and technical assistance or other that can be easily replicated for ongoing
supports built in; it is important to note that some monitoring.
representative organizations are specialized in certain • Build monitoring and evaluation into
actions (like advocacy) rather than others (such as program from onset, using scientifically
building a clinic). relevant indicators and counterfactuals to
measure impact where appropriate.
• Ensure that scientific tools and indicators
are easy to use by relevant stakeholders.
• Be clear about how you expect results to
be used and report them in a format that
is easy for the target audience to access
and understand.

academia, the private sector, and within USAID
and other U.S. Government agencies to strengthen BOX 35. VARIATIONS OF
development impacts. EVIDENCE-BASED APPROACHES
The science of biodiversity conservation is

multidisciplinary and rapidly growing. Advances in In theory, all decisions should be made
ecology, social sciences, and evolutionary biology often based on rigorous evidence; however,
have direct applications to biodiversity programming. we are often operating with incomplete
For example, environmental economists have worked information. USAID supports the concept
with physical scientists to determine the monetary value of employing science and an evidence-based
of certain ecosystem services, allowing biodiversity approach, but this approach can involve
managers to make science-based cases for the different standards of and approaches
importance of conserving biodiversity and associated to evidence.
ecosystem services. Similarly, evolutionary biologists
stress the importance of conserving evolutionary Rigorous evidence-based approaches, such
processes to ensure that species and ecosystems have as impact evaluations, are most appropriate
the capacity to adapt to future environmental change, to test novel approaches and for those with
recognizing that this only works when change does high risk (e.g., financial, reputational) and
not exceed the speed of evolution. Nevertheless, the high uncertainty. For other situations, less
science of evaluating what works and what does not is rigorous approaches, such as using standard
nascent and only very weakly supported by conservation USAID analyses, are more suitable and can
academia and needs greater emphasis. often provide adequate information for
good decision making (see references at
Evidence-based Approaches the end of this section).
How do USAID managers get access to, and contribute
to, science that will draw on and build the evidence
for effective conservation? One option is a systematic
review of research; another is original research using
best-practice methodologies and peer review. Systematic from programs can thus be fed into the growing
reviews can provide useful analyses of whether or to body of knowledge about biodiversity conservation
what degree evidence exists for effective conservation approaches and the impacts of development on
efforts. However, some systematic reviews may draw biodiversity. However, evidence-based approaches have
exclusively on journal articles and, as such, tend to to be tailored to circumstances. For example, for some
focus on successes. But recent systematic reviews have species with slow population growth rates, gathering
included “gray” literature, including project reports the evidence to determine if a conservation strategic
and evaluations. For instance, USAID is participating approach has a demonstrably positive impact may
in a systematic review led by CIFOR, IIED, and the take decades.
Zoological Society of London on alternative livelihoods
and conservation, which will include review of USAID Evidence-based programming should help communicate
documents on this topic. the results of biodiversity programs in a format that is
easy for relevant stakeholders to access and understand.
More broadly, many sectors are adopting an evidence- Accessible results are important for communicating
based approach to programming or practice lessons learned and enabling other development
(Box 35). Planners assess the evidence for specific practitioners to build off previous work. Long-term
approaches (e.g., via systematic reviews), undertake data sets and baselines are needed to analyze the
evidence-based baseline studies, and develop impact- effectiveness of conservation activities, and reliable
evaluation frameworks to test approaches. Evidence reporting is critical to move beyond anecdotal case

studies and provide robust, quantifiable data on In terms of leveraging in-house technical resources,
development impacts. the Center for the Application of Geospatial Analysis
for Development (GeoCenter), based at USAID/
Accessing Data Washington, seeks to improve the Agency’s ability to
The amount of publicly available biodiversity data is use geospatial information technology in development
growing, as is the available suite of bioinformatic tools to and serves as a repository for USAID-supported spatial
analyze and apply these data to conservation problems. data and related analyses. The GeoCenter improves the
For example, open-access DNA databases like NIH’s Agency’s GIS capabilities for spatial analysis, strategic
GenBank facilitate the design and use of genetic markers planning, and monitoring and evaluating projects. In
in conservation efforts such as DNA barcoding6 or addition, the GeoCenter provides guidance and
for forensic tracking of illegal wildlife products. Rapidly technical assistance to Missions and Bureaus, as well
expanding “tree of life” databases provide information as geospatial analytical services. E3’s in-house geospatial
about thousands of species’ characteristics, as well as analytical services, in partnership with USAID’s
their evolutionary history. The digitization of biological Geocenter, leverages objective-specific data and rigorous
specimens at the world’s natural history museums scientific methods to support all phases of biodiversity
provides open access to images from these invaluable programming and timely information for communities
biodiversity collections. The IUCN Red List of and policy makers. Spatial analysis for biodiversity
Threatened Species is considered a comprehensive, programming includes forest cover and biomass
objective global approach for evaluating the conservation monitoring, land use change, land cover mapping,
status of plant and animal species; it provides information vegetation health monitoring, and participatory spatial
and analyses on the species’ status, trends, and threats in decision support methods and tools.
order to inform and catalyze action.
In terms of spatial data, the Global Biodiversity 3.2 KEY GEOGRAPHIC SCOPES
Information Facility (GBIF) provides access to data
A project’s scope is used to define broad parameters,
on the geographic location and recording date of
such as whether the project aims to conserve a high-
thousands of species, which can be used in GIS-based
priority ecosystem or biodiversity within a protected
methods to predict past, present, and future species
area; to combat a particular threat (e.g., poaching); or to
distributions or to model threats, such as the spread of
protect a species (e.g., elephants) within its full range. In
invasive species, impacts of future climate change, and
defining scope, projects should focus on the ecological
the spread of disease-carrying organisms. Leveraging
and/or political processes necessary to conserve target
and contributing to existing databases such as those
ecosystems and ecosystem services. In practice, projects
described above can enhance and expedite evidence-
usually fall into one of two types of scopes: 1) projects
based biodiversity programming.
that seek to conserve or manage biodiversity within
specific geographic areas, such as landscapes, protected
However, it is also important to recognize that the often
areas, or communities; and 2) projects with a thematic
coarse and incomplete spatial and taxonomic coverage
scope, such as focusing on a specific threat, enabling
of existing databases means that they are not always
condition, or species, generally over a broad geographic
sufficient for addressing biodiversity conservation. For
region. For example, TRAFFIC, the wildlife trade
example, where threats or impacts occur at a site or
monitoring network, works to reduce the threat of trade
local scale, biodiversity field assessments are needed to
in wild plants and animals. One could argue, however,
establish baseline and/or monitoring data that can inform
that projects with a thematic scope also operate within
management decisions and assess conservation success.
a broad geographic boundary. In reality, there may be
some fuzzy boundaries, but a project’s scope should help
a team focus its efforts within a defined area. Whether a
6 DNA barcoding is a system of species identification and discovery using team’s scope is technically geographic or thematic is less
a short section of DNA from a standardized region of the genome.

important than being clear and specific about how the defined in biogeographic terms as areas of diverse
target selection will define the project’s scope (and vice- and interacting ecosystems, such as forests, grasslands,
versa). See Section 2.3.3 for more detail. lakes, coasts, seagrass beds, and coral reefs, with a focus
on spatial heterogeneity and its impact on ecological
This section features some common ways in which processes. In biodiversity conservation, however,
project teams use geographic terms to define their landscapes and seascapes are more broadly defined as
project scopes. Some of these scopes are defined large areas of diverse and interacting ecosystems that
by jurisdiction, such as protected areas, communities, are embedded within diverse and interacting social,
and indigenous territories. Others are defined by cultural, legal, political, and economic systems – including,
biogeographical areas or by function, such as landscapes for example, land tenure patterns, natural resource uses,
and seascapes, watersheds, ridge-to-reef areas, or the land-use laws and policies, and cultural beliefs. There is
range of a species of concern. Again, these are not increasing recognition that biodiversity conservation
always clean categories. Figure 16 illustrates how at the site level is not always sufficient to address
project scopes may be overlapping and nested within important drivers of biodiversity loss.
a landscape.
For example, in some situations, protected areas are
3.2.1 Landscapes and Seascapes increasingly isolated and vulnerable to external impacts
Over the last couple of decades, conservation teams well outside the physical extent of the protected
have increasingly worked at the landscape or seascape area. Moreover, many protected areas are “paper parks”
scale because this is often the appropriate scale to without effective management or enforcement. In
manage target species, ecosystems, and processes. these cases, a wider landscape or seascape might
In ecology, landscapes and seascapes are generally be appropriate.
Figure 16. Illustrative Diagram of a Variety of Conservation Project Scopes

In addition, working at a landscape scale may improve
the likelihood of conserving species with larger ranges; BOX 36. EXAMPLES OF CONSERVATION
enabling ecological and evolutionary processes within PROJECTS WITH A LANDSCAPE OR
and between ecosystems; and maintaining valuable SEASCAPE AS THE SCOPE
ecosystem services at larger scales, such as the provision
of clean drinking water. If implemented effectively,
landscape and seascape conservation can help create Kailash Sacred Landscape Conservation
a more connected, robust ecological network, leading Initiative: This initiative, led by the
to improved resilience and ability to adapt to multiple International Centre for Integrated Mountain
threats, including climate change. Development, spans the greater Mt. Kailash
area of the Hindu Kush-Himalaya region
Although conservation at the landscape and seascape (covering parts of Tibet, India, and Nepal)
level varies considerably around the world (Box 36), it and focuses on socio-economic development
often has several common characteristics. Projects at this of mountain communities and biodiversity
geographic scope frequently include multiple jurisdictions conservation.
and cross multiple boundaries (local, national, and
international). Project areas may range from local Vatu-i-Ra Seascape: This collaborative
communities that span several towns or villages to initiative between the Wildlife Conservation
intercontinental examples that span thousands of miles. Society and 10 villages in Fiji’s Kubulau
By using a broad approach to planning and prioritization district focuses on conserving the Vatu-i-Ra
across local and international units and engaging multiple Seascape through a combination of traditional
stakeholders at different levels, landscape- and seascape- (taboo) practices and modern conservation
level conservation seeks to scale up effective policies and approaches. It aims to strengthen local
actions and promote ecological integrity. Conservation leadership in order to tackle terrestrial threats
projects at the landscape or seascape level are, by to marine ecosystems and develop solutions
necessity, collaborative efforts among multiple parties, that address unique local needs.
often with a lead entity. With so many actors and The Eastern Tropical Pacific Seascape:
interests across a wide area, it is important to identify Colombia, Costa Rica, Ecuador, and Panama
common goals and closely coordinate efforts. have signed a voluntary agreement (the San
José Declaration) to improve the management
3.2.2 Connectivity of shared marine ecosystems – including
Fragmentation within and across landscapes reduces the national waters, coasts, and islands. This
amount of available habitat and leads to the geographic seascape focuses on collaborative management
isolation of species and populations of the same of marine protected areas, identifying
species. Geographic isolation reduces gene flow among sustainable development opportunities
populations, which decreases the genetic variability across boundaries, and supporting effective
species need to fight disease; recover from catastrophic governance and policies across the region.
events; and continue to adapt to changing environmental
conditions, such as climate change. Species with large
geographic ranges (e.g. tigers, elephants) and low
dispersal potential are particularly vulnerable to of species across a landscape. In conservation, the
habitat fragmentation. term corridor (also called biological corridor, landscape
corridor, ecological corridor, and conservation corridor)
In landscape ecology, a corridor is defined as a strip can also be defined more broadly as a large area of land
of natural habitat joining two or more larger areas of or water, which may cross multiple political boundaries
natural habitat that acts as a conduit for the movement and encompass multiple land uses and is managed in

order to improve ecological and genetic connectivity Increased connectivity within and across landscapes is
within and across a given landscape. particularly important in light of existing and predicted
impacts of climate change. Changes in temperature and
In conservation, increasing the connectivity of a precipitation patterns are already leading to dramatic
landscape or seascape improves the long-term changes in species ranges − some species are moving
genetic viability and ecological integrity of species, toward the North and South Poles at a rate of 17
populations, and ecosystems. Strategies promoting kilometers per decade. Similarly, species in the tropics,
connectivity often involve ecological assessments where there is an absence of a strong latitudinal
and conservation planning toward the design of an temperature gradient, are shifting rapidly upslope, making
interlinked network of conservation units comprised it essential to maintain connectivity from lowlands to
of protected areas, buffer zones, and corridors. mountains. As species’ ranges shift, and as they cope with
Focusing on corridors and connectivity within increased stress and fragmentation, many species will
and across landscapes and seascapes ideally can require greater connectivity.
help reduce fragmentation and mitigate its impacts.
Box 37 provides some corridor design principles.
BOX 37. CONSIDERATIONS FOR DESIGNING CORRIDOR PROJECTS
Corridors should be designed appropriately for the conservation of particular focal species,
sets of species, and/or ecosystems. This requires an understanding of which species and
ecosystems are most vulnerable to fragmentation, and which are vital to maintaining overall
ecosystem health and ecosystem services. Project teams also need to identify the optimal
and feasible locations, length, type, and configuration of corridors within a landscape to meet
species and ecosystem needs (e.g., migration or dispersal patterns). This can be complex and
may require computer modeling and field research.
In addition, it is important to consider unintended consequences or potential negative effects of

corridors. For example, in some cases, corridors may provide a conduit for invasive species and
disease to reach otherwise unaffected habitats. As such, it is important to identify and mitigate
these potential impacts in corridor design.
Planning for marine connectivity is similar to planning for terrestrial and freshwater
connectivity in that the goal is to ensure that corridors and core areas protect and connect
habitat important for each life stage of a variety of species. For example, project teams can
focus on connections between adjacent or continuous habitat patches, such as coral reefs
and seagrass beds, or among mangrove and seagrass nursery areas and coral reefs. However,
planning for marine connectivity presents additional challenges. In addition to habitat
connectivity, teams must focus on connections that may not be readily apparent. For example,
teams may want to focus on existing larval dispersal patterns in the water column between and
within marine core areas. They can do this by examining prevailing currents and seasonal water
and wind movement patterns.

3.2.3 Ridge-to-Reef Areas high levels of upstream and downstream participation;
Conservation projects with a geographic scope of flexible governance arrangements; an emphasis on the
ridge-to-reef are designed to consider the influence of equitable distribution of costs and benefits; and an array
terrestrial watersheds on freshwater, coastal, and marine of mechanisms for distributing these costs and benefits,
areas. Ridge-to-reef projects address the impacts of including payments for ecosystem services.
such upstream human activities as hillside deforestation,
pollution, and poor agricultural practices on downstream Conservation projects with a ridge-to-reef scope
aquatic ecosystems. In reality, ridge-to-reef scopes are a are important for improving food and water security
variant of a landscape and seascape approach, with an because they focus on reducing threats to water quality
explicit recognition of the importance of hydrologic and and quantity, improving upland and coastal resource
altitudinal features in determining project boundaries. management practices (including protecting and
restoring strategically located wetlands to capture and
Until the 1970s, most water management focused on manage runoff), and establishing water flow regimes
top-down models that solved single, localized problems, that sustain people and ecosystems (see Section 4.6).
rather than considering the ecological, social, and Projects with a reef-to-ridge scope commonly focus on
economic context of the broader watershed. Over the impacts of upstream activities on the quality and
the past 40 years, however, and particularly within the quantity of municipal and community drinking water and
past decade, watershed management has involved irrigation water and/or the impacts on key fish habitats.
BOX 38. EXAMPLES OF CONSERVATION PROJECTS WITH A RIDGE-TO-REEF SCOPE
Jamaica: This USAID-funded project worked with a variety of stakeholders and sectors to improve
governance and institutional arrangements for effective watershed management, increase public
awareness, enable effective policies and legislation, increase enforcement, and strengthen capacity.
Japan: In the 1970s, the basin of the Ohkawa River in Miyagi and Iwate Prefectures saw a sharp
increase in red tide and a decline in the health of fisheries and oyster beds, caused by forest clearing,
dams, and agricultural practices. To create awareness of the relationship between mountain forests
and coastal health, a local poet wrote, “The forest is longing for the sea, and the sea is longing for the
forest, and their love continues forever.” This sparked the “Forests are Lovers of the Sea” campaign,
which engaged fishermen in tree planting and helped to strengthen personal and emotional
connections between coastal and mountain communities.
Fiji: A ridge-to-reef project in Kubulau District began when local chiefs noticed a decline in the
fisheries stock. Activities range from the creation of locally managed marine areas, to increased
enforcement of illegal fishing, to actions to reduce upstream threats. Recognizing the traditional
societal decision-making structures, the project focuses on community-based management and has
seen a high degree of success. NGOs such as the Wildlife Conservation Society and Rare provided
additional support and technical expertise to ensure that the local committee had the resources it
needed to be successful.
Philippines: This USAID-funded project in the Mt. Malindang area in Mindanao and related
watersheds aims to reverse coastal degradation, enhance coastal livelihoods, and increase local
capacity to manage information. Sample actions include establishing payments for environmental
services, restoring fisheries production, developing technologies for alternative livelihoods, and
conducting in-depth resource mapping.

3.2.4 Protected Areas
The term “protected area” is used for a large array of BOX 39. IUCN PROTECTED AREAS
land and water designations that may also define the MANAGEMENT CATEGORIES
geographic boundaries for conservation projects. The
IUCN’s definition of a protected area is a “clearly
defined geographical space, recognized, dedicated,
The IUCN defines a protected area as “a
and managed, through legal or other effective means,
clearly defined geographical space, recognized,
to achieve the long-term conservation of nature with
dedicated, and managed, through legal or
associated ecosystem services and cultural values.”
other effective means, to achieve the long-
The scale of protected areas is wide ranging − the
term conservation of nature with associated
approximately 160,000 protected areas around the
ecosystem services and cultural values.”
world range in size from tiny parks to large expanses
They identify six categories based on primary
of several hundred thousand square kilometers. While
management objective:
protected areas have historically been an important
focus of conservation efforts, it is important to recognize 1. strict protection
that most protected areas are smaller than 50 hectares 1a. strict nature reserve
and, in many cases, have little ecological value. 1b. wilderness area
2. ecosystem conservation and protection
Protected areas are included here as an example of a (i.e., national park)
conservation project’s geographic scope, within which
conservation strategies would be implemented. At the 3. conservation of natural features
same time, however, the protection of land and water (i.e., natural monument)
through the establishment of a protected area can also 4. conservation through active management
be considered a conservation strategy. As such, land and (i.e., habitat/species management area)
water protection and management are both included in
5. landscape/seascape conservation and
the next section as examples of strategies.
recreation (i.e., protected landscape/
seascape)
The IUCN definition of a protected area as
“geographical space” includes land, inland water, and/or 6. sustainable use of natural resources
marine and coastal areas (Box 39). IUCN uses the (i.e., managed resource protected area)
phrase “recognized, dedicated, and managed” to imply
that a range of governance structures, commitments, and See Box 41 for more detailed descriptions of
conservation activities can define the extent of the these categories.
protected area. One of the key challenges after a
protected area has been created is ensuring effective
long-term management of that area. In many cases,
insufficient funding, poor governance, and other issues
undermine the actual protection. This section will
describe two specific examples of protected areas,
among many that are possible: marine protected areas
and transboundary protected areas. Depending on the
context, these could fall into any one of the six
categories outlined in Box 39.

Marine Protected Areas
The IUCN definition of a marine protected area (MPA) BOX 40. CHALLENGES WITH
is “any area of intertidal or sub-tidal terrain, together TRANSBOUNDARY PROTECTED AREAS
with its overlying water and associated flora, fauna,
historical and cultural features, which has been reserved
by law or other effective means to protect part or all of Just because an area is designated as a
the enclosed environment.” Just as terrestrial protected transboundary protected area does not mean
areas vary considerably, marine protected areas around that management is well coordinated. Levels
the world range in size, management objectives, and of cooperation and types of agreement vary.
governance types, from tiny community no-take areas to Typically, bilateral and multilateral agreements
enormous swaths of protected ocean, such as the Great include (among other elements) mutual
Barrier Reef Marine Protected Area in Australia. As a objectives, guiding principles, delegation of
result, many terms are associated with marine protected powers, working and financial arrangements,
areas, among them marine managed area, marine and dispute-resolution mechanisms. With
conservation area, marine sanctuary, fishery reserve, strong coordination and agreements in place,
community managed-reserve, no-take zone, special managers within a transboundary protected
management area, and multiple use marine zone. Marine area can collaborate on assessments, strategic
protection has lagged far behind terrestrial protection plans, overall zoning and land use plans,
for decades, even in countries with marine coastlines. trainings, education and outreach, and other
One exception is Namibia, which recently designated its threat-prevention actions.
entire 976-mile coastline as protected.
The establishment of transboundary protected
MPAs provide important ecosystem services that lead to areas typically involves some element of
economic, social, and cultural benefits. In addition to national security, especially where border
conserving the wealth of marine biodiversity, MPAs are control is important or where there is a
vital to maintaining and restoring fisheries populations by history of conflict. National security concerns
protecting critical spawning and nursery habitats. The include immigration and emigration; customs
UN Food and Agriculture Organization (FAO) and excise control; crime prevention, detection
recognizes fishery reserves as an important management and prosecution; disease transmission; invasive
tool for sustainable and resilient fisheries (FAO Code of alien species control and prevention; and land
Conduct for Responsible Fisheries). MPAs help to restitution and tenure disputes. A guide by
buffer impacts from overfishing, coral bleaching, and Sandwith et al. (2001) outlines strategies for
other pressures by providing resilient sites that can addressing these issues.
recover quickly. MPAs with high levels of ecological
integrity can also serve as control or reference sites for
restoration of other degraded areas. Coastal and
nearshore MPAs serve as natural buffers and protection
against storm surges, extreme weather events, and rising
sea levels associated with climate change. They are a
leading destination for nature-based recreation and
tourism and provide financial benefits to areas with
well-managed marine tourism infrastructure. Finally,
MPAs contribute to livelihoods worldwide, providing
income from tourism, fishing, and crafts, and
an important, reliable food source for the world’s
poorest communities.

Transboundary Protected Areas Legally, there are different degrees of recognized
Transboundary protected areas are areas of land and/ cooperation in transboundary conservation areas. At
or sea that straddle one or more borders between the most formal, a memorandum of understanding
states, sub-national units such as provinces and regions, (MoU) between two or more countries describes the
autonomous areas, and/or areas beyond the limit of transboundary relationship. This might include free
national sovereignty or jurisdiction. These are often movement of tourists within the area, irrespective of
political, not ecological, entities. There are three closely national boundary; joint anti-poaching patrols; or sharing
related concepts to transboundary protected areas: of data and certain types of strategic approaches (e.g.,
a) transboundary (or transfrontier) conservation areas fire, search and rescue). Successful transboundary
(large ecological regions that straddle the boundaries management may also occur without a formal MoU.
of two or more countries, encompassing one or more There are many cases of national parks authorities
protected areas and multiple resource use areas); sharing data and combining efforts on aerial census
b) regional protected area networks (clusters of counts. While not formalized at the national level, these
protected areas designed to operate as a single local efforts foster improved management of shared
network across multiple boundaries, including national resources. Transboundary efforts can be costly, both in
boundaries); and c) transboundary migratory corridors time and coordination; therefore, efforts should focus
(areas of land or sea in two or more countries, which at the level appropriate to achieve desired results.
are not necessarily contiguous but are required to
sustain a biological migratory pathway, and where 3.2.5 Community-Conserved Areas
cooperative management has been secured). While governments own and manage the majority of
recognized protected areas in the World Database on
There are more than 227 transboundary protected Protected Areas, thousands of areas are not formally
areas in more than 135 countries, representing a recognized or dedicated but are owned and managed
wide variety of IUCN categories and governance for conservation by communities around the world.
arrangements. The scale can be impressive; for example, These community-conserved areas include sites,
the Kavango Zambezi transfrontier conservation area resources, and species’ habitats conserved in a voluntary
in southern Africa spans 17 protected areas across and self-directed way through community values,
five countries and encompasses 278,000 square practices, rules, and institutions. They encompass a wide
miles. However, at these scales and across this many diversity of types and management regimes, including
jurisdictions, it is challenging to acquire sufficient extractive forest reserves in the Amazon, sacred forest
resources and actively manage such areas. groves in India, community-managed forests in Nepal,
and locally managed marine areas in the Pacific
Under the right circumstances, transboundary protected (Box 41). Recent efforts by the Indigenous and
areas can be very beneficial for managing ecosystems Community-Conserved Areas Registry to track the
and species across borders, such as migratory species distribution and scope of these areas indicate that their
with large ranges. They can also be critical in maintaining extent may be at least equal to that of government-
important ecosystem services shared between managed protected areas.
jurisdictions, such as water flows, water table recharge,
and flood protection. In addition, transboundary Establishing community-conserved areas can have
conservation areas can serve as a cornerstone for important conservation consequences for several
a climate change adaptation and resilience strategy reasons. First, they offer an opportunity to better
by securing large spaces that allow for shifting integrate governmental protected areas and community-
distributions of species, ecosystems, and associated conserved areas into national and regional protected
ecosystem services. They also have the potential to area networks. For example, including community-
unite ethnic groups split up by colonial boundaries, conserved areas in a national protected area gap
and this benefit may enhance participation in assessment can enable planners to strategically allocate
transboundary conservation. scarce resources, targeting those species and ecosystems

that are underrepresented in both government-owned social and cultural dynamics, including land tenure and
and community-conserved areas. Second, although it resource rights. Teams should also engage communities
may be politically difficult in some countries to establish early on; this may mean working to build their capacity
new government-owned protected areas, there are to effectively engage and, more broadly, to participate
often ample opportunities to create new community- in implementing and managing the project. Part of the
conserved areas. Third, when managed in tandem engagement process will involve clarifying expectations,
with government-owned protected areas, community- roles, and responsibilities to avoid or minimize
conserved areas can help society meet the pressing misunderstandings later. Teams should consider whether
challenges of the twenty-first century, including building actions at the community level can be linked to broader
climate change resilient landscapes, sustaining ecosystem conservation projects and/or areas. Doing so can
goods and services, and reducing poverty by promoting increase efficiency, as well as contribute to broader-scope
sustainable livelihoods (see Box 42 for a description of efforts (e.g., landscapes and seascapes). In establishing
strategies often used at a community level). a community-conserved area, it may be necessary
to examine whether there is a legal framework that
Working at the community level is not always easy, supports devolving authority to communities or, if not,
however. As with any conservation project, teams should what provisions may be needed. Likewise, that authority
understand the context within which they hope to needs to be recognized and enforceable. Working in
work – with particular attention to community-level indigenous communities requires additional knowledge
BOX 41. TYPES OF COMMUNITY-CONSERVED AREAS

OF INTEREST TO DEVELOPMENT AGENCIES
Community extractive reserves: Managed to meet communities’ subsistence and livelihood

needs that are dependent on healthy ecosystems, extractive reserves can be efficient strategies
for both conserving biodiversity and meeting goals for human well-being. In addition, they can help
maintain traditional ecological knowledge and practices to support ecosystem management, an
important component of social adaptation to climate change. Extractive reserves typically require
fewer financial investments than government-owned areas and can be an efficient way to protect
large areas with high biodiversity.
Community forests: Local communities designate and manage community forests, often for both
sustainable use and biodiversity conservation. Because they provide an array of ecological goods and
services, community forests often reduce pressures on surrounding protected areas with stricter
levels of protection. Community forests can have high social and ecological benefits, particularly
when they help connect conservation areas or when they are in areas important for ecosystem
service provision (e.g., water). Community forests may also be important for local climate change
adaptation and resilience.
Locally managed marine areas (LMMAs): LMMAs are near-shore waters and coastal and
marine areas managed by local coastal communities, land-owning groups, partner organizations, and/
or locally-based government representatives. There are hundreds of LMMAs throughout the Pacific,
including a learning network of more than 400 LMMAs. LMMAs often build on traditional practices,
such as “taboo” areas (no-take zones), important for managing local fisheries. Because they often
provide feeding and breeding habitat for migratory species, these areas can be critical for securing
regional and even global fish stocks.

BOX 42. COMMUNITY-BASED NATURAL RESOURCES MANAGEMENT (CBNRM)
What Is CBNRM? Community-based natural resources management (CBNRM) refers to a

suite of strategies, activities, and/or programs where natural resource management rights and
responsibilities have devolved from the State to local communities.
Why CBNRM? The genesis of CBNRM was partly due to the realization that a top-down,
centralized approach to natural resource and protected area management was not working. In
some cases, communities and individuals felt alienated from NRM and less inclined to work toward
biodiversity conservation. Consequently, many practitioners advocated models with greater
community involvement in resource management.
What’s involved? CBNRM often involves the re-establishment of rights that were stripped away
during colonial times, as well as recognition of “conservation-friendly” NRM regimes. Many CBNRM
initiatives require the formalization of community structures so that NRM rights and responsibilities
acquire an officially recognized status.
Examples of CBNRM strategies: Many of the strategies discussed later in this chapter could
be applied at the community level and be part of a CBNRM approach. Some common examples
include water resource management, environmental education, alternative livelihoods, and
governance strengthening. USAID has invested in CBNRM in many developing countries, with
some notable successes, including wildlife-based models in Zimbabwe (CAMPFIRE Program) and
Namibia (LIFE Program).
and planning, including understanding the rights and 3.3 CONSERVATION STRATEGIES
benefits of these communities and any special legal
standing they have (see Section 3.1.6). Conservation strategies (also called actions, activities,
strategic approaches) are undertaken by project staff or
partners to reach the project’s objectives and ultimate
conservation goals (e.g., establishing an ecotourism
business or setting up a protected area). Strategies may
counter threats; take advantage of opportunities; or
restore species, ecosystems, and ecosystem services.
The selection of conservation strategies will vary,
depending on the specific conditions faced by
each project team. A conservation strategy can be
disaggregated into several components: objectives
(what the strategy is trying to accomplish), actions
(specific tasks to be accomplished), and actors
(individuals or institutions taking the actions). For
example, an ecotourism project might involve setting
up a community-based guiding service (the action) to

raise income for local villagers who currently work as scales should be an important consideration for
commercial bushmeat hunters (the threat). This action decision makers. Specific actions include payment
could be undertaken by almost any type of actor for ecosystem services, revenue sharing, securing
(e.g., a donor or government agency) in service resource rights, and holistic cost-benefit analysis
of many different objectives (e.g., conservation, and accounting.
community development). • Constituencies for conservation – Some
of the most profound biodiversity conservation
USAID identifies four broad categories of conservation successes have come through the actions of strong
actions below that are necessary to improve the champions for conservation, both within and outside
enabling environment so that conservation can the government. Stakeholders must derive and
happen. In addition to these categories, on-the-ground perceive benefits from biodiversity conservation and
conservation actions are needed. These include such have the capacity to access and gather sound data,
actions as species restoration, land management, and present findings, and advocate on issues that promote
invasive species removal. accountable governance of biodiversity resources.
• Legal and regulatory actions – Some policies, A strong constituency will include and draw on all
legal frameworks, and government regulations can groups of society, with special attention given to
encourage the sustainable management of biodiversity indigenous peoples, women, the disabled, and other
and ecosystems, while others may drive biodiversity traditionally excluded groups.
over-exploitation and loss. Issues of transparency,
accountability, and participation in the policy- The International Union for the Conservation of Nature
development process may impact the legitimacy of (IUCN) and the Conservation Measures Partnership
laws and policies. Key laws and regulations to consider (CMP) have developed a taxonomy for conservation
include those that are directly related to biodiversity actions designed to help practitioners use a common
and those that govern commodity markets, regulate approach to define and classify their strategies. Table
infrastructure and development planning, and define 3 shows how the IUCN-CMP taxonomy maps to the
tenure governance and property rights. USAID categories and to the even broader categories of
direct “on-the-ground” conservation actions and actions
• Accountable and capable institutions –
to improve the enabling environment. The remainder
Investing in local actors and institutions to manage
of this section is organized according to the IUCN-
biodiversity resources effectively must be at the
CMP taxonomy but retains the higher-level mapping to
forefront of USAID’s efforts. Public, private, and
the broad categories. While imperfect, the taxonomy
civic institutions must be established, strengthened,
provides a useful framework for thinking about strategies.
reformed, and coordinated to improve their ability to
As of mid-2014, a CMP working group is in the midst
work together and support biodiversity conservation.
of revising the Actions Taxonomy. Future updates will be
Efforts to strengthen institutions should be gender
available via Conservation Measures.
sensitive and can include helping to define mandates
and authorities, building capacity and financial
This chapter describes all actions in Table 3, with more
resources, establishing transparent systems and rule
detail on some of the more common strategies used
making, and fighting corruption.
by USAID project teams; however, it is not meant to be
• Economic actions – Markets, incentives, accounting comprehensive or to cover all strategies used under all
systems, and financing have the potential to support conditions. In most cases, practitioners will use multiple
sustainable management and use of biodiversity conservation strategies, as threats are rarely abated by
for development or to hasten the exploitation of single actions. This use of multiple approaches to tackle
biodiversity and natural resources. Understanding who single threats makes good conservation sense, but it
stands to benefit and who bears the cost of economic does complicate efforts to isolate the effectiveness of
incentives and decisions over various time and spatial any individual strategy.

Table 3. Crosswalk of USAID and IUCN-CMP Conservation Action Categories
IUCN-CMP TAXONOMY OF
USAID CATEGORY CONSERVATION ACTIONS (SUMMARY)
Direct Conservation Actions 1 Land/Water Protection: actions to identify, establish

or expand parks and other legally protected areas
Legal and Regulatory Actions
Direct “On-the-Ground” Conservation
1.1 site/area protection

1.2 resource & habitat protection
Direct Conservation Actions 2 Land/Water Management: actions directed at

conserving or restoring sites, habitats, and the wider
environment
Actions
2.1 site/area management

2.2 invasive/problematic species control
2.3 habitat and natural process restoration
Direct Conservation Actions 3 Species Management: actions directed at managing or

restoring species, focused on the species of concern itself
3.1 species management
3.2 species recovery
3.3 species reintroduction
3.4 ex-situ conservation
Constituencies for Conservation 4 Education and Awareness: actions directed at people to

improve understanding and skills, and to influence behavior
4.1 formal education
4.2 training
4.3 awareness and communications
Actions to Improve the Enabling Environment
Legal and Regulatory Actions 5 Law and Policy: actions to develop, change, influence,
and help implement formal legislation, regulations, and
voluntary standards
5.1 legislation
5.2 policies and regulations
5.3 private-sector standards and codes
5.4 compliance and enforcement
Economic Actions 6 Livelihood, Economic, and Other Incentives: actions

to use economic and other incentives to influence behavior
6.1 linked enterprises and livelihood alternatives
6.2 substitution
6.3 market forces
6.4 conservation payments
6.5 non-monetary values
Accountable and Capable 7 External Capacity Building: actions to build the

Institutions infrastructure to do better conservation
Constituencies for Conservation 7.1 institutional and civil society development
7.2 alliance and partnership development
7.3 conservation finance

3.3.1 Direct Conservation: Land and Water
Protection BOX 43. IUCN PROTECTED AREA
Land and water protection involves the protection of MANAGEMENT CATEGORIES
real property or rights through fee title acquisition,
permanent conservation easement, lease, contract, or a
related means in order to maintain species populations 1a. Strict nature reserve: areas set aside
or restore ecological functions. This strategy focuses on to protect biodiversity and also possibly
the establishment or expansion of protected areas, as geological/geomorphical features, where
human visitation, use, and impacts are strictly
opposed to the management of land and water, as
controlled and limited to ensure protection of
described in the next section. Previously, this handbook the conservation values
described protected areas as an example of a scope of
a project. This strategy is related in that land or water 1b. Wilderness area: usually a large,
unmodified or slightly modified area that
protection would take place within the scope of a
retains its natural character and influence
proposed future protected area or an expansion of an without permanent or significant human
existing one. There are two general types of land and habitation and is protected and managed
water protection − the protection of a geographically so as to preserve its natural condition
defined site or area and the protection of particular
2. National park: a large natural or near-
resources or habitats, both of which are described below.
natural area set aside to protect large-
Land and water protection can also be differentiated by scale ecological processes, along with the
the type of body that governs it, as well by as the level of complement of species and ecosystems
use permitted. Box 43 describes the IUCN’s protected characteristic of the area. National parks also
area management categories, a commonly accepted provide a foundation for environmentally
typology of use levels. and culturally compatible spiritual, scientific,
educational, recreational, and visitor
Site and Area Protection opportunities.
The protection of sites and areas involves establishing 3. Natural monument or feature: an
or expanding public or private parks, community- area set aside to protect a specific natural
conserved areas, and other protected areas. Protected monument, which can be a landform; a sea
mount; a submarine cavern; a geological
areas may be established through many governance
feature, such as a cave; or even a living feature,
structures by different entities, including government such as an ancient grove
agencies, NGOs, and community and indigenous groups.
For many years, this was the primary action used by 4. Habitat/species management area: an
conservationists. Examples include the establishment area that aims to protect particular species
or habitats and whose management reflects
of national parks, marine protected areas, local wildlife
this priority
sanctuaries, private protected areas, indigenous and
community-conserved areas, and tribal-owned 5. Protected landscape/seascape: an area
hunting grounds. where, over time, the interaction of people
and nature has produced a place of distinct
character and significant ecological, biological,
The Strategic Plan for Biodiversity 2011-2020 of the
cultural, and scenic value
Convention on Biological Diversity urges countries
to protect at least 17 percent of their terrestrial and 6. Protected area with sustainable use of
inland water areas and 10 percent of their marine natural resources: an area that conserves
area and to ensure that their protected area network ecosystems and habitats along with associated
cultural values and traditional natural resource
is fully representative; well connected; and integrated
management systems
into wider landscapes, seascapes, and sectors. Ideally, a
comprehensive network of protected areas adequately

represents the full range of biodiversity at multiple scales, globe, there are many instances of protected areas that
is of a sufficient size and quality to ensure the long-term exist but are not supported by other strategies, such as
viability of biodiversity, and provides resilience to large- management planning, law enforcement, and education,
scale disturbances. In a well-designed network, protected described in subsequent sections of this chapter. Many
areas are appropriately sited, shaped, and aligned, with also lack the capacity to handle routine management
adequate buffer zones and corridors between them. matters, not to mention other issues, such as the
Well-designed networks of interconnected protected equitable distribution of benefits, the promotion of
areas may be necessary at the landscape, watershed, sustainable livelihoods, adaptation to climate change,
or seascape scale to enable climate change adaptation and the maintenance of ecosystem services.
and maintain large-scale ecological and evolutionary
processes, such as productive fisheries, corridors for Well-managed protected areas perform important
seasonal migration to maintain gene flow, and the ecosystem services, such as flood prevention, drought
provision of clean water. mitigation, and regulation of water flow. Likewise,
protected areas are increasingly recognized for their
The establishment of a protected area may be just the ability to buffer the impacts and uncertainties of climate
beginning of a conservation project. Protected areas, change, enable human and natural communities to adapt
once established, face many challenges. Across the to climate impacts, and strengthen ecological resilience
at a landscape scale. Protected areas can also serve as
economic engines by generating revenue from tourism
BOX 44. PRIVATE PROTECTED and sustaining local livelihoods.
AREAS AS A LAND AND WATER
PROTECTION STRATEGY Resource and Habitat Protection
Resource and habitat protection involves establishing
protection of some specific aspect of the resources or
A private protected area is an area that
habitats on public or private lands. This includes efforts
is managed for biodiversity conservation
to legally protect some part of the overall resources,
objectives; protected through some form of
rather than an entire area or site. Examples include
legal or contractual agreement; and owned
easements, development rights, water rights, and
by a private individual, family, corporation,
instream flow rights.
and/or NGO. In some countries, large
landscapes are comprised primarily of private
As with site and area protection, resource and habitat
lands. These areas provide an important
protection can also be differentiated by the type of
opportunity to encourage the proliferation
body governing the protection. Resources and habitats
of private protected areas. They can reduce
can be protected under many different governance
direct threats on other types of protected
structures, including national, subnational, and local
areas with stricter protection and expand a
governments; private entities (Box 44), such as families,
national portfolio of protected areas, often
corporations, and NGOs; communities; and co-
adding critical sites with endangered species,
management partnerships with any combination
with minimal cost to the government. They
of these governing bodies.
are also well-suited for buffer zones and
conservation corridors and can expand the
representativeness, size, and connectivity of a
national protected area network. See Annex 5
for more detail on private protected areas and
conservation easements, a specific tool used
to protect private lands.

3.3.2 Direct Conservation: Land and Water 3.3.3 Direct Conservation: Species
Management Management
Land and water management includes conservation Management of species includes strategies directed at
strategies directed at managing or restoring sites, managing or restoring one or two specific species, as
habitats, and the wider environment. Similar to land opposed to a suite of species. Strategies that are focused
and water protection, there are many governing bodies on a suite of species within their habitat or a site would
under which land and water can be managed, including be better captured under land and water management.
national, subnational, and local governments; private
entities; communities; and co-management partnerships Under species management, strategies focus on the
made up of any combination of these. direct management of the species of concern; this
applies to both plant and animal populations. Maximizing
Site and Area Management the genetic diversity of species is particularly important
to prevent inbreeding depression, especially when
Site and area management includes the management
working with small populations. Examples of species
of protected areas and other resource lands for
management include managing the harvest of a
conservation. The establishment of protected areas
particular mushroom population, culling buffalo to keep
would be a site and area protection strategy. Examples
the population size within park carrying capacity, and
of site and area management include site design,
mitigating human/lion conflicts surrounding a protected
demarcating protected area borders, putting up fences,
area. Species management also includes some specific
and patroling for poachers.
types of management described below.
Invasive/Problematic Species Control

Species Recovery
These strategies include controlling and/or
Species recovery covers actions to manipulate, enhance,
preventing invasive species – animals, plants, fungi, and
or restore specific plant and animal populations.
microorganisms that are often non-native and likely to
Examples include vaccination of species at risk of
cause economic or environmental harm. This could fall
disease, manual pollination of trees, prioritizing source
under site/area management, but it is such a vital action
populations of genetic diversity or populations
that the IUCN-CMP taxonomy developers gave it its
containing rare genotypes, providing artificial nesting
own category. Examples include cutting invasive vines off
boxes/platforms, and establishing supplementary
trees, trapping invasive species, enacting border-control
feeding programs.
measures, and working with nurseries to prevent the
sale of exotic invasives.
Species Reintroduction
Habitat and Natural Process Restoration This involves reintroducing species to places where they
formerly occurred or introducing them to areas outside
These strategies involve enhancing degraded or restoring
of their historic range, but within an appropriate habitat
missing habitats and ecosystem functions (as opposed
for conservation purposes.
to protecting existing ones), as well as abating pollution
impacts. Examples include prairie re-creation, riparian
tree plantings, floodplain and coral reef restoration, Ex-Situ Conservation
prescribed burns, breaching levees, dam removal, fish This includes actions to protect a species out of its
ladder installation, and oil spill clean-up and remediation. native habitats. This is one of the key strategies practiced
by zoos and aquaria with conservation missions.
Examples include captive breeding of gorillas, artificial
propagation of orchids, and gene-banking.
100 U SA I D B I O D IV E RS ITY A N D D E V E L OP MENT HA NDBO O K

3.3.4 Enabling Environment: Education and
Awareness BOX 45. USAID’S EDUCATION STRATEGY
Education and awareness strategies are designed to
improve the target audience’s understanding and skills
and influence their behavior in support of conservation.
Education strategies are typically targeted to people In 2011, USAID released a five-year Education
acting individually. Such strategies can be divided into Strategy. The Agency sees educational
formal education, training, and awareness and investments as “transformational levers
communications. of change” because of their potential to
influence such key development objectives
as economic growth, improved health
Formal Education
outcomes, and democratic change.
Formal education refers to enhancing the knowledge Moreover, a better-educated constituency
and skills of students in a formal degree program. for biodiversity that also has a connection
Examples include public and private grade schools, to nature is more likely to be an effective
colleges and universities, and continuing education. actor in biodiversity conservation.
Education is the formal process used by societies to
transfer knowledge to the next generation. Effective In countries where USAID is making education
environmental education programs set clear objectives; investments, it may be worthwhile to explore
involve and engage with school administrators and opportunities for integrating conservation
teachers; work across educational levels; partner with strategies into that work. As an example, from
1993 to 2006, USAID invested in GreenCOM,
relevant organizations; build capacity for advocacy and
a project to improve environmental
activism; and take into account the needs of women,
communication to a host of audiences,
girls, and other disadvantage groups. including school-age children. GreenCOM
identified five key roles for an environmental
Training education program:
Training is defined as enhancing knowledge, skills, and 1. raise awareness and sensitivity to the
information exchange for practitioners, stakeholders, and environment
other relevant individuals in settings outside of degree
2. increase knowledge and understanding
programs. Examples include providing training courses of the environment through experiential
for park rangers or writing a training manual on reserve learning
design. This category focuses primarily on the technical
3. change attitudes about, and help students
skills and knowledge individuals need to do conservation acquire values and feelings for, the
work. External capacity building (see Section 3.3.7) is environment
related to this strategy but is much broader and focuses 4. develop the skills needed to identify and
on creating capacity of groups (e.g., communities, solve environmental problems
organizations, cooperatives) at all levels – including
5. encourage children to participate and
building the skills, abilities, resources, and governance get involved in resolving environmental
structures needed to continue conservation efforts problems
beyond the end of donor funding.
Awareness and Communications

involve an awareness component that aims to interest
This category includes many types of efforts to raise the target audience in adopting attitudes or behaviors
awareness about conservation issues among stakeholder to help further that strategy. For example, a campaign to
groups and the general public. Raising awareness and enact specific legislation could overlap with the law and
providing information can be accomplished through policy category.
various media. Almost any conservation strategy can
U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBO OK 101

A communicator’s role is to identify specific audiences
that are key to the conservation outcome and BOX 46. EXAMPLES OF HOW
understand the baseline of knowledge among those TO REACH AUDIENCES
audiences, as well as the communication vehicles and
messages that will motivate them. The communicator
should then disseminate scientific and/or practical
information to specific audiences; this can be done in It is important to know how an intended
physical settings, such as a park, nature center, museum, audience typically receives information. In
zoo, or aquarium, or through media outlets, such as rural villages, this may be through radio and
personal communication. Understanding
television, radio, newspapers, pamphlets, facts sheets,
the latest technology is also important. For
theater, magazines, cell phones, or the Internet. Effective
example, isolated rural farmers may get market
communication programs measure changes among their information via cell phone texts from buyers.
target audiences and adapt strategies along the way. Examples of how to reach audiences include
At the core of an effective communication strategy is • providing community natural resources

the need to better understand and manage human management committees and community
relationships with the natural world. Conservation leaders with tools, such as illustrated
is facilitated when critical information about the flipbooks, that will help them carry the
environment is communicated and becomes embedded message to community members
in the knowledge and attitudes of key stakeholders (e.g., • radio theater or a short weekly radio
why it is important, how people benefit from it, what interview with an expert that might
the effects of certain actions are, and what is involved communicate difficult messages in an
in changing harmful practices). When implementing a entertaining format
communication strategy, a team should be clear about
• a colorful cartoon insert in a newspaper
what it hopes to achieve – the knowledge they intend
that has basic environmental information
to share, the attitudes they hope to reinforce, and
and activities for children and that can
the behaviors they hope to change or encourage. For
become a teacher’s or parent’s aid
this reason, it is important for teams to understand
their audience(s), how best to reach them, and what • curriculum materials for teachers that can
motivates them, and to measure changes throughout help teams reach more students at a low
the project and adapt. cost. Ideally, materials should be in a familiar
format and help teachers meet required
Likewise, communication strategies should be more standards.
about exploring and enabling than telling or prescribing.
Ideally, communications should be delivered by peers If others are to communicate the message on
or influential members of a community. And great effort behalf of the team, it is important to provide
should be made to involve audiences in identifying and training and tools so that the message is
implementing solutions to environmental concerns. conveyed accurately.
The focus should be on what can be done, rather than
what cannot. In this way, a communication strategy
facilitates, supports, and enables collaborative action
toward conservation.

3.3.5 Enabling Environment: Law and Policy proposing local zoning regulations for better storm
Law and policy strategies include actions to develop, water management, and promoting policies for the
change, influence, and help implement formal legislation, sustainable harvest of timber on state forest lands.
regulations, and voluntary standards. These strategies
are aimed at using government powers at all levels to Private-Sector Standards and Codes
protect biodiversity. Law and policy strategies may be This includes setting, implementing, changing, influencing,
implemented in sequence – first enacting or changing or providing input into voluntary standards and
the legislation, policy, or standard and then promoting professional codes that govern private-sector practices.
compliance or enforcement of it. Examples include the establishment of the Marine
Stewardship Council, providing input into the corporate
Legislation adoption of forestry best management practices, and
promoting certified organic standards with farmers and
Legislation strategies involve developing, implementing,
ranchers. For example, a project in the Mesoamerican
changing, influencing, or providing input into formal
Reef of the Caribbean may seek to develop standards
government legislation or policies at international,
for shrimp farming that minimize marine impacts.
national, state/provincial, local, and tribal levels. Examples
include promoting global conventions on biodiversity;
Compliance and Enforcement
influencing national laws required to meet international
obligations, e.g., wildlife trade restrictions on The Laws, policies, regulations, and standards are useless if
Convention on International Trade in Endangered they are not implemented and enforced. This strategy
Species of Wild Fauna and Flora (CITES)-listed species; involves monitoring and enforcing compliance with laws,
advocating for a legislative appropriation to support the policies and regulations, and standards and codes at
restoration of an endangered species; supporting legal all levels. Monitoring compliance includes actions such
recognition of community property rights (particularly as water quality sampling, whereas enforcement may
indigenous communities); providing data to local policy include initiating criminal and civil litigation for non-
makers on the potential impacts of enacting fuel compliance with water quality standards.
efficiency standards; and proposing a ban on hunting
during certain seasons.
Enabling legal frameworks may be required when

conservation projects span many boundaries, including
political jurisdictions, in order to develop a harmonized
approach to conservation. For example, the Watersheds
Protection Act (1963) in Jamaica is an overarching
framework for watersheds that focuses on protecting
land in adjoining watersheds, ensuring proper land use in
vital watershed areas, reducing soil erosion, maintaining
optimum levels of groundwater, and promoting regular
flows in waterways.
Policies and Regulations

Legislation gets implemented through policies
and regulations. This strategy includes developing,
implementing, changing, influencing, or providing input
into policies and regulations affecting the implementation
of laws at all levels. Examples include providing input into
agency plans that regulate certain species or resources,

BOX 47. A SUPPORTIVE POLICY ENVIRONMENT FOR PROTECTED AREAS
Although an enabling policy environment does not always guarantee effective protected area
management (or management of any conservation unit), its absence nearly always prevents effective
management over the long term. Key aspects of an enabling policy environment include
• protected area policies – policies related to protected area establishment, management, public
participation, benefits sharing, finance, and assessment
• sectoral policies – policies that may indirectly impact protected areas, including sectoral policies
in transportation, development, agriculture, resource harvesting and use, energy, and tourism
• policies for protected area valuation – policies that support full valuation and consideration
of the social and economic benefits of protected areas in the national economies
• inter-sectoral coordination of policies – coordination of policies and regulations between
agencies working in natural resources and land use, as well as with ministries and departments
of related sectors
• political will for enforcement and finance – the desire at all levels of government to create
and sustainably fund comprehensive and effectively managed protected area networks. Some
indicators of political will include ambitious protected area goals, steadfast commitment to the
creation of new protected areas, continuous and sufficient revenues, and regional leadership
and partnerships
• land tenure and access rights – long-term legal tenure and access rights, including the
collective territorial and resource rights of indigenous peoples; legal tenure over rights to
development, resource harvesting (e.g., timber and fish), and mineral and energy exploration
and mining
3.3.6 Rights- and Assets-Based Approaches In the context of wild fisheries, the term rights-based
This category is not explicitly called out in the IUCN- approach has multiple meanings. Initially, it referred to
CMP Taxonomy, though it is implicitly addressed in transforming an open-access fishing commons into
the law and policy and external capacity building a closed-access one in which property rights were
categories. As such, this description overlaps somewhat allocated to fishers. In such an approach, a quota would
with the Capacity Building Section 3.3.8. An assets- be established for catches or a limit on fishing licenses to
based approach begins by identifying the resources be issued. Typically, but not necessarily, this works well for
(both natural resources and social capital) used by large-scale fishing operations in which a single species is
communities and how sustainable development and being fished. In the case of small-scale fisheries, however,
resource management may foster use and conservation where multiple species are harvested in different
of biodiversity or ecosystems. A rights-based approach geographical regions at various parts of the annual
aims to increase leadership and decision-making cycle, an approach that focuses on single species is not
by the poor and/or to implement and uphold legal appropriate. In such situations, the devolution of tenure
and/or traditional rights of forest communities or rights and responsibilities to community-scale tenure
indigenous peoples. institutions hands over primary authority to manage

to the local fishers involved in the small-scale fisheries. A rights-based and assets-based approach is important
Given that the terminology of rights-based fisheries does to conservation for several reasons; most importantly,
not explicitly address the equity dimensions of fisheries because it works. Acknowledgement of natural resource
management, there has been growing concern among rights is a prerequisite for long-term stewardship and
those advocating for supporting small-scale fisheries sustainability of any biodiversity conservation project.
that human rights must be a key guiding principle. Failing to recognize the importance of rights and assets
The Voluntary Guidelines on Securing Sustainable (such as land tenure) can result in missed opportunities
Small-scale Fisheries in the Context of Food Security for conservation at best, and complete project failure
and Poverty Eradication (FAO 2014) emphasize the need at worst. A full assessment of rights and assets should
to protect human rights to food security and livelihood be part of any biodiversity conservation project. Given
that emerge from responsible governance of tenure in the widespread movement toward collaborative natural
small-scale fisheries. resource management and devolution of central
government authority, a rights-based and assets-based
In many ways, a rights-based approach is not a strategy approach will become increasingly important.
per se; rather, it offers a framework for constructing
other strategies. For example, a rights-based approach Some issues to consider when planning and
can contribute to development of a strategy for implementing a rights-based and assets-based
conserving biodiversity that could include resource rights approach to conservation include
associated with community forestry; ecotourism; small
• developing strong, effective governance structures
enterprise development; co-management of protected
that help local communities have the capacity and
areas; and/or establishment of reserves, buffer zones,
authority to accept devolution of power;
or corridors.
• ensuring that adequate and equitable community
representation and appropriate representation
mechanisms, such as grievance and redress, are
BOX 48. USAID EXPERIENCE WITH
developed; and
RIGHTS-BASED APPROACHES
• addressing USAID policy issues to ensure that teams
meet Agency mandates that, for example, favor
disadvantaged segments, encourage participation
USAID’s Philippine Environmental Governance
of marginalized groups, and support women’s
2 Project has supported ancestral domain
empowerment.
sustainable development and protection
plans, certificates of ancestral domain titles,
co-management agreements, protected areas, There are a number of tools that teams can use
watersheds, and community-based forest throughout the project cycle when adopting a rights-
management agreements. based and assets-based approach. Some examples
include an analysis of threats that examines rights and
In Namibia, USAID has supported recognition assets; a legal review of laws and regulations that define
of community natural resource management community rights and the distribution of benefits from
and the integration of conservation with natural resource activities; assessments of resource
tourism and wild species sustainable use use patterns, stakeholders, and traditional tenure;
income generation. and value chain analyses that track commodity flows
from resource to consumption. More generally, ensuring
In Latin America, USAID has a long history of
broad participation of relevant stakeholders will help
rights-based support for indigenous peoples in
teams develop projects with an assets-based and rights-
Colombia, Panama, and Peru, focusing on land
tenure rights and sustainable development. based focus.

3.3.7 Enabling Environment: Livelihood, Conservation enterprises are commercial activities
Economic, and Other Incentives generating economic and social benefits in ways that
This is a group of strategies that use economic and help meet conservation objectives.7 When considering
other incentives to influence behavior. These strategies establishing a conservation enterprise, teams should
are popular because many see market forces as determine whether they need to create something
providing a powerful set of incentives that influence new or if it would be more effective to improve upon
decisions and behavior related to natural resources an existing enterprise (e.g., helping existing fishing
management, extraction, and trade. In theory, the cooperatives access niche markets for sustainably
costs and risks of extraction and production are harvested fish). Teams should also ensure that the
worthwhile only if sufficient revenue can be generated. enterprise truly provides incentives and benefits that
For example, many forest production enterprises are mitigate threats to biodiversity and/or reward and
skeptical about voluntary forest certification because, strengthen stewardship.
given narrow revenue margins for forest products and
the uncertainty of a price premium, it is not clear that A thorough value chain analysis will help teams assess
financial returns can offset the costs. On the other hand, the economic feasibility of the proposed enterprise and/
during the financial crisis of 2008, many enterprises or livelihood alternative. This type of action requires
with some level of eco-certification were able to a solid understanding of the stakeholders and their
maintain their market share. The interest in sustainable motivations, as well as the social, economic, cultural, and
and environmentally friendly products has led many political drivers behind the threats to the biodiversity
multinational corporations to establish procurement of concern. In addition, laying out assumptions in a
policies, sustainability indices, and other tools to enhance theory of change (as discussed in Section 2.4.2) can
sustainable sourcing. This provides opportunities for help teams clarify how they expect the incentives will
USAID, host governments, and partners to work with motivate people and then determine whether these
the private sector on making trade more sustainable and assumptions play out in reality. As a cautionary note,
getting the incentives right in the field. enterprises promoted as livelihood alternatives often
prove to be livelihood supplements and do not lead to
Linked Enterprises and Livelihood Alternatives the abandonment of the ecologically unsustainable
livelihood practice.
These strategies involve developing and promoting
enterprises that directly depend on the maintenance of
natural resources or provide substitute livelihoods as
a means of changing behaviors and attitudes. In linked
enterprises, the health of the enterprise depends on the
health of the biodiversity − for example, a community
homestay that needs an intact coral reef to attract
tourists. Livelihood alternatives are established to move
people from destructive actions to non-destructive ones
(for instance, a former hunter who becomes a tourist
guide). An example of a livelihood alternatives strategy
is promoting the harvesting of sustainable non-timber
forest products (NTFP), such as wild game, resins, rattan,
or medicinal plants. Developing sustainable tourism as
an alternative livelihood strategy for communities in
rural areas can also work as an incentive for addressing
threats to biodiversity (see Annex 5 for a description of
sustainable tourism in the USAID context). 7 This definition is from Joanna Elliot and Daudi Sumba,
Conservation Enterprise: What works, where and for whom?
IIED Gatekeeper, Series 51, 2011.

BOX 49. USAID’S ONGOING SUPPORT FOR A COMMUNITY-BASED
ENTERPRISE APPROACH TO CONSERVATION
Over the past two decades, USAID has been a leader in conservation enterprises, due to its
network of partnerships and long experience in this domain, underpinned by its mandate
as a development agency committed to poverty alleviation and improved livelihoods.
Key initiatives include
Biodiversity Conservation Network (BCN): From 1994 to 2001, BCN tested a community-
based enterprise approach to conservation to understand the efficacy of small-scale enterprises
for improving local well-being and achieving conservation results. Some key lessons were 1) an
enterprise strategy can lead to conservation, but only under limited conditions...and never on its
own; 2) an enterprise strategy can be subsidized and yet still create a net gain for conservation; and
3) an adaptive management approach is important to determine how to optimally use an enterprise
strategy (as well as any other conservation strategy) (Salafsky et al. 1999). Other important factors
influencing enterprise success included business skills, appropriate products and markets, benefit
sharing, and monitoring approaches.
Although many of the BCN lessons still apply, USAID and partners’ approaches have significantly
evolved since BCN. First, there is the orientation to landscape scale, which means that
conservation enterprises are less likely to be developed in the context of integrated conservation
and development projects. Second, there is growing sophistication in conservation enterprise
development, especially in the ecotourism sector but also in such sectors as non-timber forest
products. Most conservation enterprises currently use the value chain approach, and many are
closely linked to the private sector and business expertise.
Global Conservation Program (GCP): From 1999 to 2009, GCP followed BCN and added
to knowledge of how enterprises can contribute to conservation and how they can be developed
and sustained. A critical lesson was that “economic diversification beyond existing livelihoods was
needed to modify people’s income and provide incentives for behavior changes. …It was important
to understand how the enterprise matched up with a threat and its scale, urgency, and severity”
(EWV 2009: 5). The lessons also point to the need for equitable and transparent benefit sharing, as
well as investment in threat abatement and overall capacity building.
Promoting Transformations by Linking Nature, Wealth, and Power (TransLinks):

From 2006 to 2012, USAID’s Economic Growth and Trade (EGAT)/NRM’s “TransLinks” program
synthesized lessons from BCN, GCP, and other programs on the application of value chain
methodologies to natural products, with a how-to manual – The Conservation Marketing Equation:
A Manual for Conservation and Development Professionals. TransLinks also supported the
development of the Wildlife-Friendly™ process by which an enterprise can receive recognition
and a value-added label for its products to help distinguish them in the marketplace.

Substitution Market Forces
Substitution strategies promote alternative products Implementing conservation typically requires economic
and services that substitute for environmentally tradeoffs. Such strategies as restricting logging, limiting
damaging ones. This involves developing and promoting fertilizer and pesticide applications, and changing the
products and services explicitly to remove pressure way water is managed often lead to economic costs to
from biodiversity. Examples include promoting the use resource users. Strategies that use market forces provide
of wood from non-endangered trees for carving and opportunities to recalibrate those tradeoffs and offer
furniture and buying certified sustainably harvested and additional incentives for biodiversity conservation. This
non-endangered fish species instead of endangered or category deals with incentive-based standards; standards
threatened species. that are not based on incentives are policies
BOX 50. USE OF INCENTIVES TO ENCOURAGE PRIVATE PROTECTED AREA

ESTABLISHMENT AND MAINTENANCE
There are significant costs associated with the creation and management of a private protected
area, including legal costs of area designation and rights protection; operational costs to develop
a management plan, conduct inventories, and assess threats; management costs to prevent threats
and restore degraded areas; and opportunity costs associated with restricting land from future
development. The following incentives can help overcome these financial barriers:
Payments for environmental services (PES) – These are direct payments to landowners for
ongoing protection of areas that provide such ecosystem services as carbon sequestration, water for
drinking, maintenance of key species, disaster prevention, and soil stabilization (see Annex 5 for more
information on PES, an increasingly common strategy explored by USAID and partners).
Tax deductions – In countries where property taxes are high, governments can foster the
establishment of private protected areas by reducing taxes in exchange for managing land for
biodiversity conservation or other public benefits.
Tradable development rights – This involves trading the right to develop land in one area in
exchange for conserving land in another area.
Legal security – This includes the legal security of lands conserved on private or community
areas, including rights to land title and eviction of squatters, as well as protection against
governmental appropriation.
Public relations and marketing – This incentive includes public recognition and/or marketing
of the benefits of the private protected area, especially if there are products and services from such
areas (e.g., certified timber, ecotourism).
Technical assistance – Technical assistance may be offered as an incentive; examples include help
to create a management plan, conduct inventories, construct trails and other infrastructure, enforce
laws, and conduct environmental education.

and regulations. Examples of strategies using market • government revenues (including national and
forces include developing forest certification programs, local budgets)
organizing boycotts for purchasing unsustainable • donations, volunteers, and cost sharing (e.g., personal
products, and establishing grass and forest banking and corporate donations, drop-box donations,
programs. Payment for ecosystem services strategies, for volunteer work, cost sharing and co-management with
providing such services as flood control, water provision, NGOs, voluntary surcharges, and lottery proceeds)
and carbon sequestration, are an increasingly common
• direct sales (e.g., sale of products, goods, and services
mechanism for redistributing the costs and benefits of
from protected areas)
conservation. (Section 5.1.3 provides more detail on
payment for ecosystem/environmental • special funds (e.g., multilateral donors, bilateral donors,
services schemes.) debt-for-nature swaps, and trust funds)
Conservation Finance Conservation Payments

Conservation finance strategies involve raising These are strategies that involve direct or indirect
and providing funds for conservation projects. payments for changes in behaviors and attitudes.
Examples include establishing private foundations, Examples include quid pro quo performance payments
coordinating a debt-for-nature swap, and creating and resource tenure incentives.
an environmental fund.
Non-Monetary Values
An environmental fund is a financial account established, This involves using intangible values to change behaviors
governed, and managed for the purpose of providing and attitudes. These strategies cut across the others,
long-term funding for environmental conservation, but involve cases where the incentives are not financial.
often in the form of grants. The governance structures Examples include promoting the spiritual and cultural
are usually prescribed by the donor organizations and values of nature and generating awareness and
fund disbursements are generally managed by a fund understanding about the links between conservation and
administrator. (See Section 5.1.5 for a description human health. Non-monetary values can be the product
on how USAID is engaged in the governance and of other strategies that seek to conserve biodiversity
oversight of environmental funds created through other and maintain or improve ecosystem services.
authorized U.S. Government programs.)
3.3.8 Enabling Environment: Capacity
Long-term financial sustainability is critical to ensure Building
that conservation projects have the staff, equipment, Capacity building includes action to help partners build
infrastructure, and information needed to achieve their the infrastructure, including the financial, governance, and
goals. There are many potential finance mechanisms to political systems, to do better conservation. Capacity
consider for funding conservation, including building is much more than just “one off ” training. It
• taxes and surcharges (e.g., taxes and surcharges from involves the systematic development of a range of
gas, oil, mining, coal, fishing, hotel surcharges, airport skills and abilities for organizations, institutions, and
surcharges for tourists, and value-added taxes) other entities critical to ensuring the sustainability of
• permits, fees, and licenses (e.g., protected area biodiversity conservation efforts. Like most donors,
entrance fees, compensatory legal fees, fees from bio- USAID is keen to see the progress it achieves sustained
prospecting, licenses for extractive uses, recreational beyond the close of a given project.
permits, and concession fees)
• payments for ecosystem service (e.g., fees for water Institutional and Civil Society Development
provision and carbon sequestration and storage, which Institutional and civil society development involves
are assessed on the beneficiaries of the services) creating or providing non-financial support and
capacity building for nonprofits, government agencies,

communities, and for-profit enterprises. Examples include Alliance and Partnership Building
creating a new local land trust and providing technical Alliance and partnership building involves strategies to
assistance in setting up administrative and financial form and facilitate partnerships, alliances, and networks
management information systems for a specific of organizations to promote cross-organizational
entity. Institutional development strategies may use information sharing, learning, and collaboration.
a broad range of approaches and methodologies, Partnership building may involve state and federal
including the development of institutional policies, agencies, tribal entities, the NGO community, and
mentoring, peer-to-peer exchanges, and organizational other partners to achieve shared objectives and
and network development. broader coordination across overlapping areas. Many
conservation projects, especially those that are large-
Institutional and civil society capacity is important for scale, require an approach that involves multiple
ensuring the long-term sustainability of biodiversity stakeholders acting outside of traditional decision-making
conservation. Biodiversity projects are often concerned structures. Maintaining effective governance and ensuring
with building the technical capacity of individuals and adequate participation can be difficult, particularly in
organizations (e.g., how to monitor a particular species). politically contentious situations. Achieving consensus
Other types of capacities, however, can be critical to the on the specific conservation approach, the focal species
long-term success of biodiversity conservation efforts. and ecosystems, the goals, the strategies, and even the
Organizational capacities are those concerned with the boundaries of the project area can be a challenge.
necessary systems, structures, and skills and abilities to
ensure good governance, financial management, human Because of the cross-boundary nature of large landscape
resource development, and resource mobilization. conservation projects, it is important to include multiple
Adaptive capacities are those that are needed for an users and a wide range of stakeholders to ensure
individual, organization, or network to be able to react broad societal support. For example, a ridge-to-reef
effectively to changes in the operating environment. project in Jamaica included national and subnational
Monitoring and evaluation, adaptive management, development committees, agricultural agencies, fisheries,
strategic planning, and learning are all skills and abilities forestry organizations and companies, an office on
that help build adaptive capacity. Finally, entities may need national emergencies, local environmental and social
influencing capacities, which are essential to advocacy, NGOs, coastal development and zoning organizations,
lobbying, negotiation, and coalition building. Ideally, a municipalities, regional and municipal planning agencies,
biodiversity conservation program will provide a mix of water agencies, and water user groups, among others.
these capacities to a range of entities.
There are also a variety of ways to develop the capacity.

These include technical assistance and training from an
external consultant or “expert” via a workshop, course,
or on-site training. Mentoring is another option that
involves building longer-term relationships between
experts and the target audience. Mentors provide a safe
environment in which recipients can “learn by doing.”
Lastly, peer-to-peer exchanges bring practitioners of
differing skills and abilities together to share experiences
and lessons learned.

BOX 51. USAID’S EXPERIENCE IN CAPACITY DEVELOPMENT
USAID has a long history of supporting institutions that are critical to biodiversity conservation.
Government park authorities: Considering that parks and wildlife agencies have the primary
responsibility for managing biodiversity, USAID has prioritized investing in their capacity to
sustainably conserve biodiversity beyond the end of donor funding. Types of support vary but
include direct technical assistance, equipment purchases, financing activities, participant training,
and organizational development. Specific examples include The Kenya Wildlife Service and the
Madagascar and Tanzania parks authorities.
Wildlife and forestry management colleges: Given the need for conservation skills in
developing countries and the often-limited resources available for fostering these skills, USAID
sometimes invests in improving curricula and teaching abilities, conducting assessments, and
providing equipment. The Mweka College of African Wildlife Management in Tanzania and the
Garoua Wildlife College (L’Ecole de Faune de Garoua) in Cameroon are examples of regional
institutions focused on teaching and training the current and next generation of African wildlife
conservation agents.
Non-governmental institutions: USAID has also focused on supporting and strengthening

these important actors. These organizations might include national conservation NGOs, civil
society structures and networks, and local community-based organizations.
Biomedical tests inform

conservation planning for this
Far Eastern leopard captured in
Southwest Primorsky Krai along
Russia’s border with China.With
a population of only 30 to 40
individuals, this little-known and
highly threatened subspecies is
one of the world’s rarest cats.
Photo: John Goodrich,WCS

More Information Salafsky, Nick, Daniel Salzer, Alison J. Stattersfield et al.,
Policy and guidance documents “A Standard Lexicon for Biodiversity Conservation:,
Unified Classifications of Threats and Actions,”
Dudley, N., and M. Rao, series ed. J. Ervin. Assessing and
Conservation Biology, July 2008, 22: 897–911. doi:
creating linkages within and beyond protected areas: A
10.1111/j.1523-1739.2008.00937.x
quick guide for protected area practitioners.
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monitoring supported by USAID in Nicaragua. Photo: Jerry Bauer, USFS

USAID
BIODIVERSITY AND
DEVELOPMENT
HANDBOOK
BIODIVERSITY AND
IV DEVELOPMENT
INTERSECTIONS
Families rest in the shade while Northern

Rangelands Trust community rangers
pass by on patrol in Kenya. Nature-based
enterprises and improved management
earned about $1.3 million in 2013, in an
area with low annual incomes and few
economic options.
Photo: Juan Pablo Moreiras,
U SA ID BIO DIVER SIT Y A ND DEVELOFauna
P MENT HA NDBO
& Flora OK 119
International
IV BIODIVERSITY AND DEVELOPMENT INTERSECTIONS
4.0 OVERVIEW........................................................................................................................................................121
4.1 HEALTH AND DEMOGRAPHIC CHANGE.............................................................................................121
4.1.1 Human Population and Reproductive Health, including HIV/AIDS....................................................121
4.1.2 Health Benefits of Biodiversity................................................................................................................................125
4.1.3 Ecosystem Health and Disaster Risk Reduction and Response...........................................................129
4.2 FOOD SECURITY...........................................................................................................................................130
4.3 AGRICULTURE AND LIVESTOCK.............................................................................................................133
4.3.1 Ecoagriculture....................................................................................................................................................................133
4.3.2 Rangeland Management and Pastoralism..........................................................................................................137
4.3.3 Agroforestry and Tree Crops...................................................................................................................................139
4.3.4 Fisheries and Aquaculture..........................................................................................................................................142
4.4 GLOBAL CLIMATE CHANGE.....................................................................................................................147
4.4.1 Overview.............................................................................................................................................................................147
4.4.2 Biodiversity and REDD+/Sustainable Landscapes........................................................................................148
4.4.3 Biodiversity and Clean Energy/LEDS...................................................................................................................149
4.4.4 Biodiversity and Climate Change Adaptation.................................................................................................152
4.5 FORESTRY.........................................................................................................................................................155
4.5.1 Conservation of Natural Forests...........................................................................................................................155
4.5.2 Non-Timber Forest Products..................................................................................................................................160
4.6 WATER RESOURCES.....................................................................................................................................164
4.6.1 Freshwater and Biodiversity......................................................................................................................................164
4.6.2 Freshwater Systems and Conservation Planning..........................................................................................167
4.6.3 Integrated Planning for Watersheds, Estuaries, and Coasts.....................................................................168
4.6.4 Wetlands and Biodiversity.........................................................................................................................................170
4.6.5 Water Supply, Sanitation, and Hygiene (WASH)..........................................................................................175
4.7 SOCIETY, CULTURE, AND INSTITUTIONS............................................................................................179
4.7.1 Social Safeguards and Soundness...........................................................................................................................181
4.7.2 Effective NRM Institutions..........................................................................................................................................183
4.7.3 Cultural and Spiritual Values in Conservation.................................................................................................185
4.8 DEMOCRACY, RIGHTS, AND GOVERNANCE (DRG)........................................................................187
4.8.1 Governance........................................................................................................................................................................187
4.8.2 Conflict and Peace Building.......................................................................................................................................195
4.9 LAND TENURE AND PROPERTY RIGHTS..............................................................................................201
4.10 ECONOMIC GROWTH................................................................................................................................208
4.10.1 Economic Growth and Biodiversity...................................................................................................................208
4.10.2 Extractive Industry.......................................................................................................................................................210
4.10.3 Infrastructure..................................................................................................................................................................215
4.10.4 Illegal and Unsustainable Trade.............................................................................................................................219
4.11 SCIENCE, TECHNOLOGY, AND INNOVATION.................................................................................231
Fishermen of the Hail Haor wetland in Srimongol, Bangladesh, have much to celebrate.
After USAID helped local people participate in decision making and management of Hail
Haor, fish diversity went up significantly, waterbirds that hadn’t been seen for years returned,
and fishermen regularly caught more fish in less time than they used to. This success with
community co-management led the Government to change national policy on the rights
of communities and initiated a large scale up in effort with USAID support.
Photo: Sirajul Hossein

IV BIODIVERSITY AND DEVELOPMENT
INTERSECTIONS
4.0 OVERVIEW incorporating and facilitating the positive evolution of
land tenure and property rights concerns. Similarly, many
This chapter supports Goal 2 of the Biodiversity Policy, practitioners are increasingly realizing the importance
“integrate biodiversity as an essential component of of governance in biodiversity conservation programs:
human development,” as well as Agency integration Integration of such basic principles as transparency and
goals and emerging best practices. Virtually all USAID accountability can lay the foundation for more equitable,
programs are integrated with other sectors, whether positive, and sustainable results. Finally, the crosscutting
intentionally or not, because they operate within issue of global climate change has profound implications
socioeconomic systems. Biodiversity conservation for natural resource management (NRM) and the
programs are no exception. Conservation activities conservation of biological diversity. Integrating climate
impact other sectors and vice versa. This chapter change adaptation measures into conservation programs
provides information on these linkages and impacts, will be a necessity. At the same time, healthy and diverse
for consideration in increasingly common multi-sector ecosystems will provide resilience to climate change for
programming. Programmers and managers may also find other sectors.
this information useful in considering how working in
different sectors contributes to sustainability. In addition,
biodiversity and environment experts need to know 4.1 HEALTH AND
enough about other sectors to be able to engage DEMOGRAPHIC CHANGE
appropriately, though they do not have to be experts.
4.1.1 Human Population and Reproductive
Integration does not mean doing everything; it means Health, including HIV/AIDS
being strategic. Resources presented in this chapter can Definition and Significance
help planners make these strategic choices – identifying The world’s current human population of 7 billion
entry points and actions in other sectors that can lead is estimated to exceed 9 billion by 2050, with the
to and enhance biodiversity conservation outcomes. highest growth rates occurring in some of the poorest
For example, in the context of a threats-based approach, countries. Increasing human populations coupled with
planners and practitioners could engage with efforts poor development planning and unsustainable use
to strengthen legal and justice systems and apply best of natural resources can put an enormous strain on
practices to specific conservation challenges such biodiversity. Population pressures can also lead to further
as trafficking or illegal, unreported, and unregulated degradation of already fragile ecosystems. This, in turn,
(IUU) fishing. can have negative impacts on human health, since natural
systems provide critical ecosystem services, including the
As explained in Chapter 3, it is also evident that provision of clean water, food security, protection from
conservation approaches require knowledge about natural disasters, and medicinal plants.
and engagement with the sectors to be covered here.
Broad-scale landscape and seascape approaches often Many of the world’s most biodiversity-rich areas face
dictate integration of agricultural considerations; these some degree of threat from population pressures.
could involve a mix of ecoagriculture, agroforestry, and According to Conservation International, an estimated
intensification techniques, as well as improved fisheries 1.4 billion people, or 20 percent of the global population,
management in seascape settings. Community-based live in “biodiversity hotspots,” defined as the most
natural resource management (CBNRM) approaches biologically rich areas on the planet, which are under
can improve conservation impacts and results by significant threat from human activities. These human

communities are not only growing at a fast rate, within communities, which may have negative effects
1.3 percent per year, but are also putting pressure on on ecosystems and biodiversity. Similarly, outmigration
natural resources through such practices as slash-and- or emigration may have negative environmental
burn agriculture and unsustainable harvesting of flora consequences. For example, when indigenous groups
and fauna, leading to loss of biodiversity. In addition, many leave an area, they may take traditional knowledge of
of these communities are located in very remote areas sustainable natural resources management with them,
where basic public health services, including voluntary making management more difficult for those remaining
family planning, are not available. Studies have shown (or for new immigrants).
that improving access to family planning – respectful of
the rights of individuals and couples to freely choose For these reasons, an integrated approach to human
the timing, spacing, and number of children – not only population, health, and environment may be warranted
reduces population growth but also saves the lives of in order to achieve biodiversity conservation objectives.
women and children. Clearly, not every program should be expected to
address all of these complex and interrelated issues.
Human migration, driven by factors as diverse as Given the primary importance that health, fertility, and
natural disasters, wars, and environmental degradation, population issues play in the lives of humans, particularly
also presents serious risks to biodiversity. When large the poor, these aspects of biodiversity conservation may
populations migrate to rural areas that are rich in provide credible entry points for working with relevant
biodiversity, they can negatively impact ecosystems and communities and other partners. Addressing issues in an
species in a number of ways, including through forest integrated way often increases the potential for broad
clearing for agriculture, unsustainable natural resource buy-in for a complementary suite of conservation and
extraction, introduction of invasive species, and pollution. human development goals.
In addition, migration impacts the social structure
CIRCLE OF LIFE:
An instructor in the
Democratic Republic
of Congo explains the
standard days method
for tracking daily fertility
using traditional cycle
beads.When integrated
into biodiversity projects,
family planning and other
health services help achieve
long-term sustainability
goals while providing an
immediate, tangible benefit
to families who are in turn
more inclined to participate
in conservation actions
Photo: Daren Trudeau/
Institute for Reproductive
Health, courtesy of
Photoshare

BOX 52. DEMOGRAPHICS CONCEPTS
Demographics: This term refers to statistical information that defines a population. When studying
the impact of demographics on biodiversity, key concepts to consider include global population
density and distribution, global biodiversity richness and distribution, global resource use and
consumption patterns, and the spatial and temporal intersection of these.
Global population: The world’s current population is 7 billion people, which translates to a
population density of nearly 50 people per square kilometer of land. By 2050, the global population
is likely to reach 9 billion, or more than 60 people per square kilometer of land. Of course, human
population is not evenly distributed on Earth; China’s density is 145 persons per square kilometer,
while Canada’s is less than 5 persons per square kilometer.
Biodiversity hotspots: As with human populations, biodiversity distribution is variable around the
globe. The concept of biodiversity hotspots – areas with disproportionately high concentrations of
endemic species and disproportionately high levels of threat – is now well recognized among leading
biodiversity scientists. More than half of the world’s endemic species (and nearly 80 percent of all
endemic vertebrate species) live in 34 biodiversity hotspots, covering just 2.3 percent of the Earth’s
land surface. These areas are among the most threatened by humans.
Human footprint: Human impacts on biodiversity can be thought of as a footprint and can be
measured by such indicators as population, travel routes, and land use. Using these indicators,
humans have influenced more than 80 percent of the Earth’s surface. The human footprint is not
evenly distributed; some parts of the planet remain relatively intact, such as northern Canada,
while others, such as southern and southeastern Asia, face very high levels of transformation
and degradation.
Ecological footprint: It is useful to understand patterns and trends of both localized and
international resource consumption, referred to as the “ecological footprint.” The ecological
footprint is a measure of demand (consumption of resources) on the Earth’s ecosystems and
can be contrasted with the Earth’s ecological capacity to regenerate. In 2011, the human population
used 135 percent of the resources that the Earth can generate. The consumption of resources
is not distributed equally around the globe – less than one-half of one percent of the world’s
population uses more than one-third of its resources, and about 7 percent of the world’s population
is responsible for more than one-half of all CO2 emissions. Population density alone is not
necessarily a strong indicator of an ecological footprint (and associated impacts on biodiversity).
For example, the population living in the grasslands of Brazil (with a density of only 13 persons
per square kilometer) has a greater impact on the grassland ecosystem, due to the expansion
of commercial agriculture, than the more dense population of the Ethiopian Highlands has on
its ecosystem.

Key Questions objectives. When done well, this can create synergies and
How do human population issues have the movement toward sustainability.
potential to enhance or constrain the achievement
of biodiversity conservation results? A recent World Wildlife Fund (WWF) manual (see
tools and resources below) defines population, health,
In many cases, the sustainability of conservation results
and environment (PHE) programs as “projects that
can either be threatened by or secured through changing
integrate health and/or family planning with conservation
population demographics and health concerns. For
activities, thereby seeking synergistic successes and
example, rapid population growth can lead to resource
greater conservation and human welfare outcomes than
consumption that exceeds sustainable rates. Conversely,
if they were implemented in single-sector approaches.”
a significant decrease in human population near a
These programs are good models of effective integration
degraded ecosystem, due to such factors as migration or
of health and conservation goals. An example of a
increased use of family planning services, may facilitate
successful PHE program is the USAID-supported
recovery of that ecosystem.
BALANCED (Building Actors and Leaders for Advancing
Community Excellence in Development) project,
Migration of human populations into biodiversity-rich
which focuses on applying an integrated health and
areas can threaten conservation results when the use of
conservation approach to high-biodiversity areas that
natural resources exceeds sustainable levels. Rural-to-
are threatened by population pressures in a number
rural migration generally has the highest negative impacts
of developing countries. In the Philippines, research
on biodiversity, especially when driven by agricultural
conducted by a BALANCED partner found that sites
expansion. Migration of populations due to insecurity or
where the integrated PHE approach was used had
natural disasters can increase demand for biodiversity
improved coral reef and mangrove health and increased
products – bushmeat and medicines, for example –
use of family planning, when compared with sites
when refugees end up settling in an area more or
where conservation or family planning programs were
less permanently.
implemented separately.
In remote areas with biodiversity-rich ecosystems,
How can effective linkages be made between
addressing the unmet need for basic health services,
family planning and/or health programs and
including family planning, can serve as an effective entry
biodiversity conservation?
point to build community support for conservation
and as a key rationale for projects that integrate health In many cases, “win-win” opportunities for human health,
and conservation goals. Because these communities are population, and biodiversity may exist. For example,
dependent upon their natural resources for livelihoods the restoration of intact upstream forests may also
and basic needs, maintaining a healthy environment ensure potable water supplies for downstream users.
and population is a priority for ensuring sustainable The promotion of alternative sources of fuel to replace
community development. wood consumption may also decrease the occurrence
of human respiratory problems from indoor air pollution.
Do synergies exist between biodiversity Family planning programs that address the unmet need
conservation and human health and/or for contraception may reduce the long-term demand
population programs? for natural resources in biodiversity-rich areas due to
population pressures by allowing women to control
In many cases, the tools and technologies for
their own fertility and reach their desired family size.
meaningful strategic approaches in population, health,
and biodiversity conservation already exist. Often, the
PHE programs can serve as models for how family
greater challenge lies in finding ways for programs and
planning and health objectives can be integrated into
stakeholders who do not traditionally work together
conservation projects. These programs are successful
to form effective partnerships around common
in meeting conservation objectives because the parallel

public health and family planning measures help to Until recently, the public health benefits of biodiversity
build trust within communities and meet community and intact ecosystems have not been well appreciated.
needs in a holistic way. This trust then leads to increased International multilateral organizations, such as the World
community buy-in for the conservation aspects of the Health Organization (WHO) and the United Nations
project. In addition, the integration of conservation and Environment Programme (UNEP), have started to
health goals leads to engagement of different groups recognize these connections, however. The WHO has a
within a given community; traditionally, men and youth webpage highlighting the importance of biodiversity for
have been involved in conservation efforts, while human nutrition, regulation of infectious diseases, and as
women are more engaged in family planning and public a source of traditional medicines. A 2010 UNEP/CBD
health activities. PHE programs have been successful in fact sheet for the public on biodiversity and health starts
engaging women on conservation issues and increasing with the statement, “You rely on biodiversity to stay
participation of youth and men in family planning and healthy.” The Cooperation on Health and Biodiversity
health activities. (COHAB) Initiative, which works with UN agencies,
conservation NGOs, and government agencies such
One limitation of current PHE programs is that they as USAID, was formally established in 2007 to increase
are often implemented on a small scale in communities understanding of the links between biodiversity and
located in remote regions near areas of high biodiversity. health among relevant parties.
Cross-sectoral approaches that integrate family planning
and public health goals with conservation programs Biodiversity conservation advances global health
can be successful in a variety of settings, however, priorities and provides important ecosystem services
and therefore should be expanded beyond remote that help to prevent human diseases and maintain health.
biodiversity-rich areas to any areas where conservation Therefore, integrating efforts to prevent biodiversity
and health goals intersect. Integrated programs such loss and ecosystem degradation into the global health
as PHE not only succeed in meeting health and agenda may be warranted. Clearly, many global health
conservation outcomes but also build capacity for priorities require such focused prevention and treatment
coordination within communities while reducing programs as vaccinations, antiretrovirals for HIV, and
operating costs and preventing duplication of effort. insecticide-treated bed nets for malaria prevention;
however, long-term global health strategies that focus
4.1.2 Health Benefits of Biodiversity on disease prevention and health optimization should
recognize the importance of biodiversity and natural
Definition and Significance
systems in meeting these objectives. In doing so, the
Biodiversity loss and ecosystem degradation pose conservation and public health communities can work
myriad threats to public health and well-being. Intact together to advance common goals. For example, an
ecosystems contribute to human health by providing integrated, comprehensive, long-term approach to
critical services, including the provision of clean water, malaria control and prevention would require the use
food, and medicines. In addition, a growing body of of such public health tools as indoor spraying with
research suggests that biodiversity loss and ecosystem insecticides and insecticide-treated bed nets, which
degradation may facilitate the transmission of such have proven short-term benefits. Long-term prevention
infectious diseases as malaria, schistosomiasis, and strategies should also involve efforts to prevent
Lyme disease, which impact tens of millions of people deforestation, which has been linked to increased malaria
each year. There is also increasing evidence that the incidence and transmission in some parts of the world.
degradation of natural systems and biodiversity loss may Malaria transmission zones are expected to expand
contribute to the rise in emerging infectious diseases in many regions due to climate change; preventing
seen in the last several decades. deforestation in these areas may have the added benefit
of slowing down this expansion.

Key Questions children living in areas with higher percentages of forest
How does biodiversity loss have the potential to cover were less likely to experience diarrhea.
impact human health and well-being?
What are the synergies between biodiversity
Biodiversity and functioning ecosystems benefit public
conservation and global health priorities?
health in many ways, most essentially by providing clean
water, food, and critically important medications. For USAID’s Global Health programs focus on a number
example, it is estimated that more than two-thirds of of priority areas, including HIV/AIDS, maternal/child
residents of developing countries have used natural health, family planning, nutrition, malaria, diarrheal disease,
medicines. Natural products have also provided the emerging infectious diseases, and neglected tropical
templates for many modern drugs; a recent analysis diseases. Ecosystem degradation and loss of biodiversity
(Bernstein and Ludwig 2008) found that almost half can exacerbate many of these priority issues and impede
of the 100 most-prescribed medications in the United the long-term success and sustainability of the global
States are derived from nature. On the other hand, health programs that address them.
ecosystem degradation and biodiversity loss can
decrease food production and water availability, pollute The following are examples of common goals that
water sources, increase transmission of certain infectious advance both global health and conservation priorities:
diseases, and result in the loss of species that could • prevent biodiversity loss among thousands of
produce the next blockbuster drug to treat a common species that serve critical roles in agriculture, such
medical ailment. as pollinators and natural pest control agents, to
optimize and diversify crop production and decrease
A number of studies from different regions have drawn malnutrition/undernutrition
a direct correlation between deforestation and increased • prevent deforestation in regions of the world where
prevalence of the vector that transmits malaria, a disease research has indicated that loss of forest cover can
that kills 1.2 million people per year. In the Peruvian increase malaria transmission
Amazon, researchers found that Anopheles darlingi, the
• prevent loss of biodiversity to maintain potential
primary vector for malaria in the region, had a biting
natural sources of critically important, life-saving
rate that was 278 times higher in deforested areas than
medications
in forested areas. In the Kenyan highlands, the vectorial
capacity (a measure of transmission efficiency) of • prevent deforestation in regions of the world where
Anopheles gambiae increased by a range of 29 to schistosomiasis is common, since research has
106 percent in deforested areas, depending on whether indicated that loss of forest cover can preferentially
measurements were done in the dry or rainy season. increase numbers of snail species that carry the
When researchers looked at the association between parasitic worm that causes the disease
long-term loss of forest cover and malaria incidence in • prevent deforestation and ecosystem degradation as
the Amazon, they found that a 4.2 percent change in a means of decreasing rates of emerging infectious
deforestation over a four-year period resulted in a diseases, especially in areas where humans and wildlife
48 percent increase in malaria incidence. live in close proximity
• value the health benefits of ecosystem services – such
Intact ecosystems, particularly forests, help to maintain as clean water, wild foods, clean air, and healthy soils –
the watersheds that provide adequate supplies of that healthy, biodiversity-rich environments provide
clean water for downstream communities and may
thus decrease the risk of diarrheal disease in these How can integration benefit both global health
communities. In Indonesia, research on the relationship and conservation efforts?
between watershed protection and diarrheal disease Given the inextricable links between human health
found an inverse relationship between water availability and biodiversity, the global health and conservation
and diarrhea risk. In Malawi, a recent analysis found that sectors have an opportunity to integrate many of their

efforts and programs in ways that benefit both sectors. Cooperation between the global health and
Integration of efforts to prevent ecosystem degradation conservation communities can lead to joint efforts
into global health programs can strengthen health that take advantage of the strengths of each sector.
programs and contribute to their long-term sustainability. For example, global health programs have developed
Similarly, biodiversity conservation programs should communication strategies that are effective in targeting
consider community issues, including health impacts, communities to bring about changes in behavior. These
when designing strategies. For example, establishment of strategies can be adapted to educate communities
a protected area that restricts access to medicinal plants about the importance of biodiversity to health and
or wild-harvested foods can have profound impacts to help members to be better stewards of their
on the health of a community. The community may local ecosystems.
then perceive that their interests and well-being take a
back seat to conservation efforts, which may result in In addition, engaging the health sector in conservation
resentment and encroachment into the protected area. efforts brings in potential new stakeholders at all levels,
BOX 53. THE IMPACTS OF HIV/AIDS ON BIODIVERSITY
HIV/AIDS is a serious public health issue in many developing countries that are also rich in
biodiversity. In southern Africa, which has some of the world’s highest incidence of HIV/AIDS,
prevalence rates are estimated to be as high as 25 percent in some countries. The prolonged
illness and early mortality associated with HIV/AIDS can devastate family structures and lead to
widespread social and economic instability.
The HIV/AIDS crisis has impacted biodiversity conservation in two primary ways. First, organizations
that work on conservation issues in some developing countries have lost a substantial portion of
their workforce to the disease, resulting in setbacks in all types of environmental programs and
projects. Capacity within the conservation community in many countries has been severely depleted
due to the disease. Second, the HIV/AIDS crisis has profound social impacts on the patterns of
natural resource use in many communities. Households that experience the loss of healthy adults
to the disease may also lose significant income; as a result, they may turn to natural resources to fill
this gap in livelihoods, leading to increased hunting of wildlife and collection of plant species for food
and medicine (see Oglethorpe and Gelman, 2009, for more information on the links between HIV/
AIDS and the bushmeat trade). Unsustainable harvesting of trees to make coffins has also increased
deforestation in some areas.
In areas where HIV/AIDS has been found to impact conservation programs, the environmental
sector should make an effort to collaborate with the health sector to optimize treatment and
prevention efforts. PHE programs have been successful because they engage different sectors,
drawing from the strengths of each to advance both conservation and health goals. Similarly,
integrated approaches that address both biodiversity loss and HIV/AIDS can have positive impacts
that go beyond what can be achieved if the sectors work separately.

including traditional healers, public health advocates, Integration is often difficult to accomplish, given current
physicians, and ministries of health. These new constraints on the use of foreign assistance funds.
stakeholders can serve as effective champions USAID’s Global Health funds are often allocated for
for conservation programs and contribute significantly very specific, targeted strategic approaches, which makes
to their success and long-term sustainability. it difficult to design integrated programs. Policymakers
and legislators need to be informed about the
advantages of integrated programs.
BOX 54. THE INTERSECTION OF WILDLIFE, LIVESTOCK, AND HUMAN HEALTH
• Infectious diseases that can be transmitted from animals to humans, and vice versa, are known
as zoonotic diseases. Well-known examples include anthrax, rabies, and avian influenza. Zoonotic
diseases can be transmitted to humans from both wildlife and domesticated animals.
• According to WHO, an emerging zoonotic disease is “a zoonosis that is newly recognized or
newly evolved, or that has occurred previously but shows an increased incidence or expansion in
geographical, host, or vector range.” Emerging zoonoses present a serious threat to public health;
such diseases as HIV/AIDS, influenza A (H1N1), Ebola, and SARS have contributed to the deaths of
millions of people and cost the global economy billions of dollars.
• Major drivers of emerging zoonotic diseases include environmental change, increased human
population density, and land use changes, especially those related to expansion of agriculture.
According to the recent World Bank report People, Pathogens, and Our Planet, specific
environmental factors that contribute to zoonotic disease emergence include deforestation, loss
of biodiversity, bushmeat trade and consumption, unregulated tourism, human encroachment into
previously unexplored areas, illegal wildlife trade, and habitat fragmentation (see Chapter 2, pg. 8).
• Conversely, zoonotic diseases can also be transmitted from humans or livestock to wildlife,
presenting a serious risk to many endangered species. For example, the endangered mountain
gorillas that reside in the Bwindi Impenetrable National Park in Uganda are vulnerable to
contracting scabies and tuberculosis from people in nearby communities. The Ugandan nonprofit
Conservation through Public Health seeks to address this issue by providing basic health services,
including tuberculosis surveillance and treatment, for community members. As community health
improves, there is less opportunity for zoonoses to be transmitted from humans to the gorilla
populations in the adjoining national park.
• Certain wildlife diseases also pose a risk to livestock, and countries take great effort to regulate
meat processing and trade, often to the detriment of wildlife. In southern Africa, thousands of
miles of fences have transformed the landscape in order to prevent foot and mouth disease
(FMD) transmission from African buffalo (the endemic carrier) to cattle, a requirement to access
to export markets for beef. Fences negatively impact pastoralists and prevent wildlife migration,
crisscrossing new transfrontier conservation areas established to promote free movement
of large animals. There is increased interest now in applying no-fence approaches to FMD
management that are compatible with the needs of wildlife and local people.

4.1.3 Ecosystem Health and Disaster Risk human, monetary, and environmental cost. For example,
Reduction and Response without careful consideration for their siting, camps for
Definition and Significance displaced people can harm ecosystems through activities
surrounding infrastructure, water and sanitation, food
Healthy ecosystems can provide protection from climate
distribution, fuel collection, and agricultural practices.
change and a variety of natural disasters, including floods,
These camps can cause ecosystem degradation, with
tsunamis, and landslides. Forests, mangroves, sand dunes,
negative impacts on food security, availability of clean
and wetlands can serve as physical buffers to these
drinking water and fuel, and livelihoods of already
natural events. For example, a 2006 study (Chang et al.
vulnerable populations.
2006) on the role of ecosystems in providing protection
from the 2004 Indian Ocean tsunami found that “a
These types of impacts can be significantly reduced if the
preliminary comparison of villages that otherwise faced
relief and development sectors integrate environmental
similar tsunami exposure suggests that the presence of
considerations during all stages of disaster management,
healthy mangroves did afford substantial protection.”
including prevention. Collaborative planning with
As environmental degradation increases worldwide,
governments, local stakeholders, relief organizations, and
however, natural systems are losing their capacity to
environmentalists can identify mutually agreed-upon
protect nearby human communities from disasters.
responses that are both culturally and environmentally
appropriate. Environmental damage from humanitarian
Similarly, forests can act to stabilize hillsides that would
or reconstruction operations is far less costly to prevent
otherwise be prone to dangerous landslides. Highly
or mitigate than to repair. Moreover, all parties involved
denuded regions, such as in the Philippines, chronically
in humanitarian relief, reconstruction, and development
suffer from deadly, damaging landslides, like the event
have a powerful incentive to collaborate on biodiversity
that killed more than 8,000 people in 1991 on Leyte
conservation activities, because the livelihoods and
Island. In addition, healthy ecosystems, especially forests,
ultimate survival of local communities and refugees alike
can serve as effective carbon “sinks,” thereby contributing
depend on natural resources and healthy ecosystems.
to climate change mitigation. Forests also hold water in
their soils and can regulate water flows to mitigate the
Key Questions
effect of drought.
How can USAID activities help protect against
Environmental degradation can also lead to the loss disasters and reduce the negative environmental
of other critical ecosystem services that may increase impacts of disaster response?
vulnerability to disasters. Food security, access to clean USAID programs that focus on improving ecosystem
water, and livelihoods can all be negatively impacted health may also serve to strengthen many of the natural
by ecosystem degradation, leaving communities more systems that help protect communities from disasters.
vulnerable to disaster impacts. As an example, USAID’s biodiversity and forestry
programs provide assistance to improve the condition of
Once a disaster occurs, the humanitarian response forests, mangroves, and wetlands in many countries – all
can have serious negative impacts on the health of of which serve as important physical barriers to such
ecosystems and on the provision of ecosystem services natural disasters as hurricanes, floods, and landslides.
to local communities. Because humanitarian assistance
and reconstruction activities are needed to save lives Conflicts and natural disasters often cause impacted
and relieve human suffering as quickly as possible, populations to migrate from their homes to escape
planners and responders often disregard environmental harm or seek assistance. Migration can be a major
considerations. Experience has shown, however, that driver of environmental change, resulting in ecosystem
not addressing actual or potential threats to ecosystems degradation and unsustainable use of natural resources.
only leads to an increase in these threats that must In addition, competition and conflict can erupt between
be mitigated later on, almost always at a much higher the displaced and local communities over control and

access to such life-sustaining resources as water, crops, 4.2 FOOD SECURITY
fodder for animals, and fuel wood. Early consideration
of these problems can help determine effective ways to Definition and Significance
better share assets and reduce the impacts on Despite tremendous gains in food production over the
local ecosystems. past 40 years, currently 795m people do not have
enough food to lead a healthy active life. That’s about
The rapid environmental assessment is a methodology one in nine people on earth, according to the World
initially developed with the assistance of USAID Food Programme. USAID combats food insecurity
implementing partners that helps to determine through the U.S. Government’s flagship Feed the
environmental issues and risks in a disaster context and Future initiative, among other efforts.
provides a foundation for addressing them effectively.
After the 2010 earthquake in Haiti, a USAID team Food security involves many sectors and strategic
was deployed to the country to complete a rapid approaches. Beyond agricultural production, fisheries,
environmental assessment, which was circulated among forest products, wild meat, and other non-agricultural
contractors, NGOs, and other aid organizations involved products are critical to food security, contributing
in the disaster response and rebuilding effort. UNEP has critical nutrients as well as income to buy food.
also published guidelines on how to conduct a post-
disaster environmental needs assessment. These natural assets are under threat, however.
According to the World Resources Institute, “Forty-
What are the potential effects of disaster aid or five years of increasing fishing pressure has left many
reconstruction activities on local ecosystems and major fish stocks depleted or in decline.” Overfishing
natural resources? has been recognized as a problem across the globe since
The influx of personnel, vehicles, and the other the 1950s, but better management practices have not
inputs associated with humanitarian assistance, or the kept pace. Based on projections from the UN Food
materials needed for reconstruction operations, can and Agriculture Organization (FAO), 60 percent of
cause damage to and exact a significant toll on local important fish stocks are in need of rehabilitation as
ecosystems. Environmentally sensitive planning after they are already showing declining yields.
a disaster can help to ensure that ecosystems and
natural resources are used in a sustainable manner, and Sustainable agriculture that is compatible with or
this in turn can increase resilience to future disasters. enhances biodiversity conservation can make a major
“Green procurement,” the acquisition and use of contribution to food security, as discussed in the next
ecosystem-friendly materials and goods, should also be section. USAID has invested in sustainable agriculture
a part of all humanitarian assistance or reconstruction for decades in the form of support to agroforestry,
activities. The post-disaster period should be regarded integrated pest management, conservation agriculture,
as an opportunity to rebuild communities that are and components of traditional agricultural production
more environmentally sustainable over the long term. projects. Currently, USAID promotes climate-smart
WWF and the American Red Cross have produced agriculture, implementing the U.S. Government’s flagship
a toolkit that provides guidance on how to integrate food security initiative known as Feed the Future.
environmental concerns into the disaster recovery Climate-smart agriculture seeks to achieve food security
and rebuilding effort. This Green Recovery and while enhancing ecosystem services derived from
Reconstruction Training Toolkit provides guidelines biodiversity in landscapes or seascapes.
on different aspects of post-disaster recovery, from
how to optimally site new construction to the best
way to incorporate sustainable, local materials into
rebuilding efforts.

instance, the Sustainable Agriculture and Natural
BOX 55. BUSHMEAT: A CRITICAL Resource Management (SANREM) CRSP supported
FOOD SECURITY AND BIODIVERSITY the Community Markets for Conservation (COMACO)
INTERSECTION program in Zambia, which applies a market-driven
approach to conservation to address two root causes
of biodiversity loss: poverty and food insecurity.
The hunting of wild animals for meat is Key Questions

perhaps the least documented, but one
What food security activities may be compatible
of the most far-reaching, uses of wildlife.
with the Biodiversity Code?
It is believed to involve more people and
to have a greater effect on terrestrial Note that all biodiversity earmarked funding must meet
wild animal populations, including those all criteria of the Biodiversity Code, as described in
in protected areas, than any other wildlife Chapter 2.
use. Growing human populations and a
lack of livelihood options in many areas Food security activities should be designed to minimize
of the globe mean that demand for wild threats to, and promote benefits of, biodiversity;
meat is likely to continue to rise. Poverty however, these practices alone are not sufficient
and a lack of alternative resources mean for such activities to comply with the code. Food
that traditional taboos restricting the security activities that may be considered biodiversity
consumption of certain species are conservation activities include
increasingly being ignored, and traditional • capture fisheries management, including marine
resource management systems are breaking management areas that increase natural productivity
down. In addition, rising prices and facilitated and fish populations for human consumption while
access to remote areas are stimulating trade conserving habitat, breeding grounds, and fish
for a dwindling resource. As a consequence, populations
wild meat harvest is now the primary illegal
• community-based natural resource management, such
activity in many protected areas. Efforts to
as natural forest management or wildlife management
improve hunting efficiency have also led to
areas that includes increasing the rights and capacity
the increased use of more effective and, in
of local communities to access, utilize, and market wild
most cases, unsustainable hunting techniques
food products
such as “night torching,” long-line wire
snaring, and hunting with semi-automatic • sustainable hunting practices promotion that
weapons. More information on the links contributes to revenue as well as food stocks while
between biodiversity, livelihoods, and food increasing wildlife populations through regulations,
security can be found here. zoning, enforcement, and other measures
• landscape management that sustains or enhances
ecosystem services that support both priority
conservation areas and food production zones
Research within the former Collaborative Research • In addition, if a vulnerable population depends on
Support Programs (CRSPs), now known as Feed the natural forests and wild biodiversity for food security
Future innovation labs, and the International Agricultural and the project is protecting or sustaining these
Research Centers (IARCs), funded entirely or in part resources, activities may qualify under the Biodiversity
by USAID, contributed to our knowledge base about Code. These activities should be integrated into a
the links between biodiversity and food security. For comprehensive conservation program.

What are the opportunities for integrating
biodiversity conservation and food security in
BOX 56. FEED THE FUTURE LINKAGES
the USAID context?
Food security is not just about agriculture. Planners
need to consider the role of a wide variety of natural
resources in food security at the landscape or seascape Feed the Future strategies for food security
scale. There are multiple connections between natural are designed not only to accelerate
resources and food security, including pollination and agriculture-led growth and reduce
other ecosystem services and famine resources like wild undernutrition but also to encourage
tubers or fruits, which provide calories, micronutrients, sustainable and equitable management of
and protein sources. land, water, fisheries, and other resources.
Poor land use and agricultural practices
Water resources for agricultural production and are common factors that increase the
clean water for health impact both food security vulnerability of developing countries
and biodiversity, as described in Section 4.6 on to such global threats as water scarcity
water resources management. and pandemic disease. Feed the Future
integrates environmental considerations into
Revenue is another entry point: Having resources to buy USAID’s investments and builds the capacity
or barter food is as critical as producing enough food for of partner countries to take advantage
one family, community, or locality. High-value assets such of opportunities in effective resource
as fisheries or community forests not only assure food management and proactive adaptation to
security but also provide a social safety net in times of environmental challenges. Feed the Future
resource scarcity and instability. does emphasize nutrition but has not made
a specific link between diversity of foodstuffs
and diversity in agricultural systems
and nutrition.
Additional integration entry points and

resources include
• FAA 118-119 and Reg 216
(see Section 2.1.2 for more information)
• Feed the Future’s research agenda
• Interagency Climate Smart Agriculture
Working Group [http://rmportal.net/
groups/csa]
OVERLOOKED: A fisherman peers over his drying racks in the village of Nkolongue, Mozambique.
Recognizing the benefits of conservation for fish stocks and ecotourism, communities to the south of a
planned Lake Niassa Reserve successfully petitioned to add their fishing grounds to the protected area.
Photo: Caroline Simmons,WWF

4.3 AGRICULTURE AND USAID supports research and programs that enhance
LIVESTOCK production from the livestock sector as well as
promoting sustainable landscapes and seascapes. For
Agriculture has a tremendous impact on biodiversity, example, the Feed the Future Innovation Lab for
both directly through land conversion and indirectly Collaborative Research on Adapting Livestock Systems
through ecosystem effects. During the last four decades, to Climate Change supports integrated research
almost 500 million hectares of land were converted to that helps small-scale livestock holders adapt to
agriculture from other uses. Increasing demand for food environmental and health impacts of climate change
production drove this trend, which primarily occurred in Sub-Saharan Africa and South Asia.
in developing nations.1 All told, agriculture has displaced
one-third of temperate and tropical forests and one- To contribute to overall ecosystem health, especially in
quarter of natural grasslands. In 2005, cultivated systems the face of global climate change, agricultural and food
covered one-quarter of the Earth’s land surface.2 Every security activities should integrate principles of resilience,
year, about 13 million hectares of tropical forests are diversity, and sustainability, including
degraded or disappear, mainly because of agricultural • preserving agrobiodiversity at species and
encroachment.3 In addition, most water use (70 percent landscape levels
worldwide) is for agriculture, and the amount of water
• optimizing water use and protecting water sources
impounded behind dams has quadrupled since 1960.
Three to six times as much water is held in reservoirs • applying integrated pest management
as in natural rivers. Water withdrawals from rivers and • sequestering carbon in soils and woody biomass
lakes have doubled since 1960. Since 1970, livestock on farms
consumption has tripled across the globe, mainly due
to population growth, rising incomes, and urbanization. 4.3.1 Ecoagriculture
Agriculture also includes the use of wild foods, such as Definition and Significance
fisheries. Wild fisheries are covered in Section 4.4.4. Ecoagriculture, sustainable agriculture, Evergreen
Agriculture, and Landcare are all approaches that aim
Agricultural intensification also has had an impact to minimize the enormous impacts of agricultural
on the biodiversity within agroecological systems as production on biodiversity and ecosystems.
farmers have reduced the number of crop and livestock Ecoagriculture is one of a family of holistic approaches
species produced to the point of monoculture; however, to integrated natural resource management that include
diversified agricultural systems can provide important both production and conservation. The term was coined
habitats for many birds and insects that are typically in 20034 to designate management of agricultural
found in undisturbed ecosystems. Farm crop diversity landscapes to enhance rural livelihoods and sustainable
influences the diversity of wildlife on-farm, in transition, agricultural production of crops, livestock, fish, and
and located in neighboring habitats (see Section 4.4.3). forest, while conserving or restoring ecosystem services
Monoculture also alters proportions and diversity in pest and biodiversity. Sustainable agriculture is a compatible
complexes and soil invertebrates and microorganisms. approach “for renewable natural resources that provides
In some cases, these changes may increase pest food, income, and livelihood for present and future
populations and result in greater crop losses, increased generations and...maintains or improves the economic
costs, greater amounts of pesticides used, and eventually productivity and ecosystem services of these resources.”
pest resistance to pesticides. Ultimately, crop diversity is Landcare is a community-based approach that focuses
critical not only in terms of productivity but also as an on perennial crops, among other technologies, partly
important determinant of total biodiversity. in response to cases where failure to apply sustainable
1 FAOSTAT, 2006 techniques has led to loss of land, with application in
2 Millennium Ecosystem Assessment, Ecosystems and Human Wellbeing: the Philippines East and southern Africa supported by
Biodiversity Synthesis (Washington, DC: WRI, 2005). 4 McNeely, J.A. and Scherr, S.J. 2003. Ecoagriculture: Strategies to Feed the
3 World Bank Development Report Agriculture, 2008. World and Save Wild Biodiversity. Washington, DC: Island Press.

BOX 57. AGRICULTURE AND THE BIODIVERSITY CODE
Agricultural activities that typically comply with the code include

• working in target areas that are biologically significant in their own right (e.g., some highly diverse
rubber or cacao agroforests that conserve native flora and fauna) and are adjacent to natural
forests under threat. There is a need to meet all criteria of the code.
• working in target areas that are not biologically significant in their own right, but where the
activities are clearly and directly linked to the conservation of biologically significant areas,
and all Biodiversity Code criteria are met (e.g., agricultural production strategic approaches
are explicitly designed to draw users and unsustainable practices away from protected areas
on a permanent basis)
• working where the activities are explicitly designed to conserve, in situ or ex situ, the germplasm
of wild endangered species
• working on improved management of wild fish populations in biologically significant areas
Activities that typically do not comply with the code include

• conservation of soil biodiversity in solely agricultural landscapes
• conservation of domesticated species or non-native species, such as livestock and non-native
crops or trees, including feral populations of non-native species and local “endemic” cultivars
• promotion of sustainable agriculture with no clear link to conservation of natural areas (no
proximity or landscape-scale connectivity, no strategy for conservation of natural areas)
Case-by-case situations:
• Increasing agrobiodiversity in itself does not comply with the code but, as part of a landscape
conservation strategy that also seeks to conserve natural wild biodiversity, some or all of the
project might align with the code. Conserving germplasm of wild indigenous plant species does
typically align if all code criteria are met.
• Agricultural intensification can have positive or negative impacts on biodiversity. Thus, the
links between project activities and intended conservation results should be clearly delineated
and appropriate monitoring mechanisms included. Intensification does not stand alone as a
conservation strategy but may be part of one.
• Increasing on-farm and landscape-level diversity can be critically important in terms of
limiting risk to farmers, sound resource management, and the delivery of ecosystem services.
It may not meet criteria for biological significance, however, if activities are located in areas not
considered to have high conservation value.
• Land use and land policy activities that include landscape-level planning – agriculture, forestry,
protected areas – may or may not be appropriate under the code, depending on whether the
project meets all the other criteria.

Australian and other donors. These approaches are forest plots, livestock, backyard gardening, and herbal
compatible with ecoagriculture, putting more emphasis medicines. They promote agricultural systems that
on biodiversity in managed landscapes, sustainable mimic natural ones, such as use of integrated pest
agriculture on the farm, and Landcare on institutional management and natural compounds and efficient
elements. They all propose a mix of technologies, farming application when pesticides are used. They also seek
systems, and actions that can favor biodiversity without better management of soil (including conservation
harming agricultural productivity. tillage, natural vegetation strips along contours, minimum
or ridge tilling, and maintenance of sub-soil flora and
All USAID-supported activities that may impact fauna) and water (efficient applications and year-round
biodiversity or fragile environments are subject to soil cover to enhance rainfall infiltration, for example).
assessment and mitigation under 22 CFR 216, but Managing nutrient cycles (composting, green manures)
some go beyond “do no harm” to promote a positive is a focus. The somewhat controversial (questions about
relationship between conservation and meeting the complexity, replicability) system of rice intensification is
needs of developing populations. Ecoagriculture is one compatible, as are organic practices.
such approach that has gathered significant support
among research centers and donors.5 According To some degree, these approaches all include
to one USAID-financed review of the concept, socioeconomic actions to complement agricultural
managing productive landscapes to benefit biodiversity technology in ways that increase production without
conservation, agricultural productivity, and communities is harming biodiversity. They support whole-farm planning
necessary because most wild biodiversity resides outside and on-farm waste management. They aim to improve
of protected areas and over a billion poor derive their spatial organization of land use, achieve economies
livelihoods in and around protected areas. of scale through collective action, exchange labor for
conservation activities, and address community problems.
Key Questions Though proponents may or may not refer to value
chain concepts, practitioners know that results at the
What are some common elements among different
landscape level require that recommended practices
approaches to ecoagriculture?
are profitable to producers, so most projects will aim
All three of these approaches look for biodiversity to work on marketing as well as production.
conservation in landscapes that include productive
activities and foster community development and How do ecoagriculture, sustainable agriculture,
conservation. They see biodiversity in the form of soil and Landcare affect biodiversity?
microorganisms, for example, as benefitting agriculture,
At the landscape level, elements of these approaches
and farmland as potential habitat for many species,
seeking to increase the habitat value of farms and the • maintain large areas of minimally disturbed native
prospects for co-management of livestock and wildlife. vegetation;
They draw on such academic and technical specialties • maintain or reestablish connectivity between native
as conservation agriculture, agroforestry, sustainable habitats within the agricultural landscape;
rangeland and forest management, wildlife biology
• conserve areas of native habitat within the agricultural
and ecology, and agricultural landscape design – an
landscape, giving priority to large, intact, and
emerging science for configuring perennials, spatially
ecologically important patches;
and temporally, to provide desired services.
• implement conservation plans for species and
These approaches also aim to increase the diversity ecological communities of high value;
of crops, trees, and livestock by promoting diverse • convert marginally productive lands to natural
production systems, including perennials, tree crops, vegetation;
• protect watersheds with spatial configuration of
5 This site has a number of tool kits useful for planning projects: perennial natural and planted vegetation;
Ecoagriculture.

• create biodiversity reserves that benefit local farming What are some of the benefits of an ecoagriculture
communities; and approach?
• develop habitat networks in non-farmed areas, such as There are multiple benefits to be gained from an
areas around waterways, abandoned fields, forest sites, ecoagriculture, sustainable agriculture, and Landcare
“sacred groves,” parks, roadways, industry, hospitals, or approach to biodiversity conservation. Benefits to
agro-ecotourism. farmers include increased profits and yields, better
access to specialty green markets and market premiums,
How can these approaches most usefully assurance of compliance with environmental regulations,
be incorporated into the design of biodiversity potential for payments for ecosystem services (PES),
projects? increased crop diversity, and reduced conflicts with other
Ecoagriculture approaches can easily be incorporated groups. Environmental benefits include reduced impact
into projects throughout each stage of the project cycle. from agricultural outputs, including runoff and siltation;
improved connectivity at the landscape scale; greater
Planning and design phase: In the project planning carbon sequestration; improved habitat for certain
phase, projects using ecoagriculture should work at the species, including pollinators; and improved water quality.
landscape level to achieve landscape-scale biodiversity
objectives. Taking an ecoagricultural approach means What is an alternative approach to ecoagriculture?
managing agricultural landscapes for their full range of One alternative to ecoagriculture is agricultural
production, ecosystem, and social benefits. intensification, or the clear demarcation between
protected areas and intensive, improved farming systems,
Capacity needs-assessment phase: Achieving often involving high-input, high-return agriculture.
landscape goals often requires the complementary use Conservation programs may seek to use agricultural
and management of farm and non-farm lands and will intensification as a tool for protecting natural areas by
likely require new skills, capacities, tools, and policies, all a) decreasing pressure from extensive, shifting cultivation
of which should be clearly assessed during the planning or slash-and-burn practices through improvements in
phase of the project. productivity (i.e., increasing yields without expanding
the area under production) or b) as an incentive to
Implementation phase: In implementing producers living in and around biologically significant
ecoagriculture approaches, planners will need to take areas, in which case there are often associated
a multidisciplinary team approach to fully cover the management covenants or bylaws that restrict use
ecological, agricultural, and social aspects of landscape of the biologically significant area. If these biologically
objectives. Planners will also likely use the value chain significant areas can be effectively protected within a
planning approach, where potential strategies are larger agricultural landscape, then biodiversity will
identified at each stage of production. often be concentrated in a given area where those
species and ecological communities that require
Monitoring and adaptation: Because farming is undisturbed areas can thrive. The species that can
inherently experimental, ecoagriculture approaches will adapt to living in a disturbed, predominantly agricultural
require robust monitoring. When practicing adaptive landscape are a relatively small subset of more adaptable
management, planners should keep project approaches species, and an ecoagriculture landscape will harbor less
flexible enough so that they can be modified to work biodiversity overall.
with people and farms and allow an appropriate
mix of technologies. Some requirements may be set Proponents of ecoagriculture point out that the
in procurement documents, but the nature of the conditions for maintaining natural areas based on an
technologies – adjusted to local natural, agronomic, intensification approach are unlikely to be put in place
and social conditions – requires both flexibility and and that these areas have a high risk of being converted
accountability for the best results. anyway. Moreover, large-scale industrial “agriculture”

focused on such crops as palm oil or soy may account Europe, and Siberia. Among the ethnicities and cultures
for more forest loss than smallholder agriculture in some associated with pastoralist adaptations are the Maasai,
areas. Certain enabling conditions for intensification Tuareg, Somali, Fulbe/Fulani, Mongol, Tibetan, Bedouin,
are critical for a positive contribution to conservation: Baktiari, Sami, Siberian, and Turkic peoples.
secure property rights to assure that investments can be
reaped over the long term, market demand and price Under varying definitions, 25 to 40 percent of the
incentives to offset the costs of more labor or capital, Earth’s terrestrial area is rangeland, including the world’s
and good technical information that people can use grasslands. Many dryland species are uniquely adapted
and adapt to their own circumstances. Of these, secure to their environment or represent remnants of species
property rights is perhaps the most important; without that were elsewhere driven to extinction, making
these rights, intensification can lead to displacement and grassland biodiversity irreplaceable. The population
migration into undisturbed, biologically significant areas. of pastoralists – the human custodians of the
USAID and the CGIAR centers have been highlighting grasslands – also varies by definition, from tens of
the benefits of sustainable intensification as a millions to 200 million. Because of the often delicate
new paradigm for agriculture that is climate smart. relationship between rangeland health and productivity
Sustainable intensification is a practical pathway toward on the one hand and grazing and management practices
the goal of producing more food with less impact on the on the other – and because the vast majority of
environment, intensifying food production while ensuring pastoralists are wholly dependent upon grazing animals
that the natural resource base on which agriculture for their subsistence and/or livelihoods – rangeland
depends is sustained, and indeed improved, for management is critically important for one of the world’s
future generations. most economically disadvantaged and vulnerable groups.
4.3.2 Rangeland Management and Grasslands are also among the world’s most threatened,
Pastoralism but least protected, ecosystems. An International Union
Definition and Significance for Conservation of Nature (IUCN) report found
that the most immediate threats to dryland biodiversity
Rangeland ecosystems are dominated by herbaceous
are the degradation of ecosystems and habitats
and shrub vegetation and maintained by fire, grazing,
caused by urbanization and other forms of human
drought, or freezing temperatures. This broad category
settlements, commercial ranching and monocultures,
includes savannas, mixed woodland savannas, shrublands,
industrialization, mining operations, wide-scale irrigation
tundra, and grasslands. Pastoralists are herders in areas
of agricultural land, poverty-induced overexploitation of
where rain-fed agriculture is not particularly viable or
natural resources, and – underlying all of the threats –
possible; they have livestock-based livelihoods with
disincentives and distortions in the enabling environment.
mobility to pasture and water as a key characteristic.
Pastoralists manage herds of domestic livestock, including
cattle, sheep, goats, camels, yaks, llamas, alpaca, and
Key Questions
horses. In the drier ecosystems, pastoralists may be truly How can pastoralists contribute to biodiversity
nomadic, following sporadic and often unpredictable conservation strategies?
rains. In other areas, they may be very mobile but follow Pastoralists can be a primary actor in contributing
predictable seasonal rainfall with long-standing wet and to biodiversity conservation by maintaining habitat
dry season grazing areas. Agro-pastoralists are herders and ecological processes. Rather than being a threat
in areas that can either regularly or occasionally support to biodiversity, pastoralists’ grazing practices often
crops. These groups tend to be sedentary, with a subset maintain processes that promote healthy grasslands
of the community often moving with herds to distant and support biodiversity. However, a major threat
grazing lands. There are tens of millions of pastoralists to grassland biodiversity is a massive loss of habitat
in Central Asia, the Sahel, and East Africa, with fewer and unsustainable use by pastoralists. Planners should
numbers in the temperate zones of South America, consider how to develop strategies that build on existing

pastoral practices that are compatible with biodiversity of their adaptations; failure to do so can result in missed
conservation objectives. opportunities. For example, in Sierra Leone and Guinea,
pastoralists interact with forest dwellers and should be
Pastoralists can also contribute to biodiversity included in forest management plans. If they are not, the
conservation by maintaining traditional knowledge about groups may compete with each other for water and
grasslands. There is a rich body of literature describing forest resources. Pastoralists may also burn forests to
the many pastoralist and agro-pastoralist cultures and create pasture and start land tenure struggles with the
adaptive strategies, including their response to variation forest dwellers. Thus, in much of West Africa, herder-
of rainfall in space and time, changing relations with their agriculturalist interactions are both symbiotic and a
neighbors, and even political events that affect them and source of conflict.
their herds. Activities of adapting pastoralists include distribution of benefits – There is a growing body
moving flexibly among pastures, choosing among herd of literature on the costs and benefits of ecotourism for
animals (for example, between goats and camels), selling herders. While participation in tourism strengthens land
or using their animals, allocating milk between calves and tenure claims, low or inequitably distributed benefits
people, investing in wells, adopting mechanized transport, can result in social conflicts and exacerbate land tenure
diversifying occupations (tourism, agriculture, wage issues for pastoralists.
labor), bartering or buying food for money, migrating,
need for mitigation measures – Conservation
sending remittances, competing for pasture with other
strategies that seek to protect grasslands need
clans or tribes, establishing symbiotic relations with
to address impacts on the human populations.
agriculturalists or agro-pastoralists (some codified in
Expropriation of rangeland for strict conservation is
cultural norms, as along the margins of the African Sahel),
likely to raise a resettlement issue that requires serious
and entering or leaving the pastoralist life as opportunity
attention and mitigation of potential harm.8 Many
allows. Pastoralists can contribute expert knowledge of
studies show that herding livestock within protected
grassland biodiversity and the factors affecting ecosystem
areas can be compatible with biodiversity9. Therefore,
functioning and health, as holders of “indigenous
rather than excluding herders from these areas,
ecological knowledge,”6 as survey respondents, or in
programs should address the factors that overwhelm
interchanges with pastoralists from other regions.7 This
the capacity of pastoralist systems to maintain habitat:
knowledge can be particularly useful to researchers and
increasing populations, in-migration of other ethnicities,
biologists who are establishing biodiversity baselines,
sedentarization of nomads, changing land tenure (for
identifying potential strategies and priority sites, and
example, privatization of land holdings), reduction of
monitoring ecosystem health.
territories, erosion of traditional social organizations,
and availability of powerful firearms. While some of
What are some key issues in rangeland
these changes may bring diet, health, or income benefits,
management and pastoralism?
they may also lead to overstocking and environmental
There are a number of issues that conservation planners degradation. Maintaining the capacity of pastoralists to
should consider when working with rangelands and survive, even while incorporating new adaptive options,
pastoralists, including is an important and complex consideration for any
complex adaptations and relationships – Any development effort.
project with pastoralists should recognize the complexity
6 Arnold L. Mapinduzi, Gufu Oba, Robert B. Weladji, and Jonathan E. Colman,

“Use of indigenous ecological knowledge of the Maasai pastoralists for
assessing rangeland biodiversity in Tanzania,” African Journal of Ecology 41:
329–336. Article first published online: January, 2004. 8 K.M. Homewood, and W.A. Rodgers, Maasailand Ecology: Pastoralist
doi:10.1111/j.1365-2028.2003.00479.x Development and Wildlife Conservation in Nogorngoro Conservation Area,
Tanzania. (Cambridge: Cambridge University Press, 2004.)
7 C. Curtin and D. Western, . Over-the-Horizon Learning Exchanges 9 Vasant K. Saberwal, “Pastoral politics: Gaddi grazing, degradation and
between African and American Pastoralists. Conservation Biology, August, biodiversity conservation in Himachal Pradesh India.” Conservation Biology,
2008, 22:4: 870–877. doi: 10.1111/j.1523-1739.2008.00945.x June, 1996. 10:3: 741–749.

What experience does USAID have with grasslands 4.3.3 Agroforestry and Tree Crops
and pastoralists? Definition and Significance
Using the model that improved grazing systems can Agroforestry is commonly defined as the deliberate
lead to increased wildlife populations, USAID has association of trees and shrubs with agricultural crops
supported the management of pastoral grazing lands, and/or livestock. There are several forms of agroforestry,
focusing on sustainable stocking rates, reliable access to including
markets, improved grassland health, improved livestock
production, and effective conservation of wildlife habitat. agrisilvicultural – the association of agriculture with
trees. These can be “natural systems,” such as shifting
In Ethiopia, Kenya, and Somalia, the USAID Africa cultivation (see below), or “improved systems,” where
Regional Enhanced Livelihoods in Pastoralist Areas high-value and/or nitrogen-fixing trees are introduced
project is aimed at increasing the resiliency of into a farming system to enhance value and improve
pastoralists and agro-pastoralists in drought-prone soil fertility.
areas by stabilizing and improving their livelihoods. agrosilvopastoral – the association of agriculture,
Activities include 1) emergency assistance to trees, and livestock. One example is Sahelian
affected populations; 2) conflict prevention and Agroforestry Parklands, where valuable trees, such as
mitigation; 3) livestock-based and alternative the shea tree, are combined with livestock browsing
livelihood development; 4) increased involvement and different crops grown intensively and extensively.
and representation of pastoralists, including in regional silvopastoral – the association of trees and livestock.
policy affecting pastoralists and cross-border trade in Examples include USAID/Panama’s efforts to support
live animals; and 5) improving regional early warning sustainable ranching with reforestation in the Panama
information and dissemination. USAID supported Canal watershed.
the Small Ruminant CRSP, the Global Livestock CRSP, evergreen agriculture – the combination of trees in
and nine other CRSP programs developed under farming systems with the principles of conservation (no-
Title XII of the International Development and Food till or low-till) farming. This is emerging as an affordable
Assistance Act of 1975. Research from this investment and accessible science-based agroforestry solution,
has shed much light over the last couple of decades which results in better care of the land and increased
on the rethinking of rangeland management from a smallholder food production.
traditionally preferred ranching model of livestock
production toward sustainable pastoral livelihoods
Agroforestry plays a role in ecoagriculture and
with mobility and environmental stewardship as
sustainable intensification approaches that reduce
fundamental considerations.
pressure on natural system. Ecoagriculture (see Section
4.3.1) approaches incorporate agroforestry and
Local and international NGOs such as the African
agricultural intensification into multi-stakeholder land
Wildlife Foundation have worked extensively with
use planning for target, biodiversity-rich landscapes.
pastoralists. One such organization in the international
Agroforestry also may be considered as a low-input,
research systems is the International Livestock Research
perennial technology for agricultural intensification that
Institute, which studies pastoralism and other work
may be more appropriate for poor farmers (e.g., “green
related to livestock. The institute and associated scientists
manure” from agroforestry shrubs, versus purchasing
have developed actor-based models for rangeland
inorganic fertilizer). A naturally intensified farming system
management, depicting the different and convergent
that increases soil carbon can improve productivity, thus
uses, needs, and goals of various stakeholders in
mitigating the need for agricultural expansion.
grassland ecosystems.10
10 USAID East Africa Regional webpage.

Key Questions What are the best ways for agroforestry to support
What are important biodiversity values of landscape-scale conservation?
agroforestry systems? Agroforestry tree crops, such as native fruits, nuts, and
It makes intuitive sense that agroforestry is a more barks, and intercrops within tree-crop agroforestry
appropriate use of land around natural forests than systems add value to diverse forest farming systems.
land with few or no trees. More trees in the landscape Farmers are less likely to cut and burn trees in their
promote connectivity of habitat and improve ecosystem fallows and forest areas if they harbor valuable products
function. For example, using native trees and shrubs to grow crops. Natural enterprises from these products
in agroforestry systems next to protected areas is a can bolster conservation efforts (see Section 4.5.2).
way to extend/expand the natural habitat. Important Some non-timber forest products (NTFPs) may be
biodiversity species, including pollinators, find habitat successfully cultivated in agroforestry systems, and this
in these corridors and edges. could broaden and localize their production nearer to
households, with concomitant savings in labor time and
In addition, many agroforestry systems have intrinsic effort; however, it could also undercut the value the
biodiversity value. These include diverse tree crop and products provide in more natural forest systems.
agroforestry systems, such as
Agroforestry techniques may be used as part of a
Multistory agroforestry systems found in Amazonia larger, landscape-scale ecoagriculture or agricultural
Jungle rubber in Indonesia intensification program in mixed agricultural and natural
Cocoa agroforestry systems of West Africa habitat and protected area landscapes. These techniques
Swidden or shifting cultivation systems with long may be effective in reducing pressure from more
rotations that promote regrowth of trees and extensive, shifting agriculture practices; for example,
incorporation of trees into the farm – as distinguished providing the positive benefits of fallow in a smaller
from “slash and burn” where rotations are short or large area through hedgerow intercropping. These more
areas are cleared with low productivity. intensive, sedentary practices, combined with native tree
crops, can also enhance connectivity between natural
habitats. Figure 17 shows how this approach can provide
landscape benefits even as there are risks to consider.
Figure 17. Three Models of the Relationship between Agroforestry (AF) and Protected Areas (PAs)
Source: Reprinted by permission. Russell, Diane, Rebecca A. Asare, and J. Peter Brosius. “People,Trees, and Parks:
Is Agroforestry In or Out?” Journal of Sustainable Forestry. 2010.

To employ agroforestry effectively for conservation, it • livelihood options around protected areas may
is important to ensure that people will benefit from be characterized by restrictive economic and
additional trees on their land and/or in their common conservation polices and few wage options. In
areas. The trees and associated crops must have addition, the “buffer zone” is an area of “rough policy
economic value and people must be able to control terrain,” where protected area policy on use of forest
their use. (In some countries indigenous trees are the resources meets national policy and local bylaws
property of the state forestry agency, even if on private governing land and tree use and tenure. Thus, local
land.) Agroforestry technologies have to make economic people may receive conflicting signals about whether
sense to farmers. Adding more trees or more biomass they can plant trees or be free to use trees and
has to translate into concrete gains, either through tree products.
direct sales of products or clearly increased production
of marketable crops. The agroforestry approach has to Tree Crops and Biodiversity
be technically and economically sound. It is important Tree crops can be a threat to biodiversity
to employ the right expertise for assistance and to use
adaptive techniques, such as farmer field schools, to • when oil palm, rubber, or timber plantations extend
share and disseminate best practices. into natural forests
• where there is monoculture and intensive tree crops
The target population should be involved in using or systems, including use of chemicals such as fungicides
managing the natural area; otherwise, there is little that can have an impact on soil microorganisms and
incentive for agroforestry to substitute for use of other vegetation
natural forest.
Tree crops can make a contribution to conservation
The scale should be sufficient to make a real difference through extending habitat and improving forest
in the landscape, but increased scale often results in connectivity. For instance,
increased costs, at least initially (e.g., more extension • as part of complex indigenous tree crop agroforestry
resources are needed to facilitate introduction of systems, such as “jungle rubber” systems (see
improved techniques to a large number of farmers). Agroforestry Section 4.3.3)
• within shade and bird-friendly tree crop systems,
Agroforestry does not always work in a conservation
where there is a price premium for biodiversity-
strategy. Promoting agroforestry approaches has been
friendly production
used extensively in conservation programs, yet there
has been little rigorous testing of its efficacy. Studies of • where they buffer natural forests or parks and may
agroforestry around protected areas have found that protect against poaching and incursion (such as “tea
buffers” in Kenya)
• access to planting materials – and hence farmers’
• in new initiations, such as TFA2020, that seek to
choice of trees – is often limited to fast-growing
reduce the impact of larger-scale tree crop production
exotics that are not likely to extend or improve
on tropical forests and as such may have a positive
natural habitat, although they may sequester carbon.
impact on biodiversity at the landscape level
• incorporating the history of agroforestry and tree use
by local people into conservation planning can deepen
understanding of the landscape, as well as strengthen
local natural resource use and management.
• agroforestry extension in conservation projects can
be weak technically and not appropriately targeted,
particularly with respect to more marginalized land
users, such as women, indigenous peoples, and
younger households.

4.3.4 Fisheries and Aquaculture Sustainable fisheries can be defined as the
Definition and Significance management of resource extraction and ecosystem
health to ensure conservation and long-term use of
Fisheries involve the harvesting of fish from wild,
these valuable natural assets. Thus, sustainable fisheries
natural populations. Wild fisheries are the largest
depend upon a focus on the open-access nature of
use of biodiversity in the world. Fish are among the
these “common resources” and the restoration and
most nutritious foods, providing an array of minerals,
maintenance of the natural productivity of aquatic
vitamins, and fatty acids that are vital for normal brain
ecosystems. Sustainable fisheries often require the
development. Globally, fish provide an estimated 30
implementation of sustainable fishing policies and
percent of daily protein requirements for over one-third
practices, as well as effective local, national, and
of the world’s population and provide livelihoods for
international governance, to ensure the long-term
more than 600 million people. Despite their importance
health and productivity of aquatic species that are
to the health and economic well-being of billions of
important to human health, livelihoods, and economic
people globally, fisheries are one of the most poorly
well-being. Unlike traditional fisheries management,
managed natural resources on earth. The World Bank
modern approaches consider the entire ecological, policy,
estimates that more than $50 billion in revenue is lost
social, and political context and focus on fostering intact
each year because of poor or weak management of
and productive ecosystems, rather than simply on the
these valuable resources, including at least $1 billion in
harvest levels of a narrow range of target species.
Sub-Saharan Africa. As a result, fisheries are collapsing,
largely due to open and often unregulated access, lack
of proper management, and destructive fishing practices
that are reducing the natural productivity of aquatic
habitats around the world.
COLLECTING COCKLES: In Bweleo Village, Zanzibar, women spend hours bent at the waist collecting
cockles for food. USAID support for “no-take” zones has allowed regeneration of cockles while securing
a good supply of oysters for half-pearl farming and jewelry making. Photo: Klaus Hartung

Key Questions How can the productivity of fisheries, both small-
What are key threats to sustainable fisheries and scale and industrial, be maintained or enhanced
aquatic biodiversity? through investments in biodiversity conservation?
Major threats to sustainable fisheries and aquatic There are a range of biodiversity conservation strategies
biodiversity may include open access to resources; that can help to reverse the trend in fisheries and
destructive fishing practices that destroy the natural ensure healthy and sustainable fish populations. Modern
productivity of ecosystems; overfishing; removal of fisheries management practices can restore, maintain,
under-aged individuals before they reproduce; loss of and increase the biodiversity resource base upon which
critical fish habitats, especially spawning and nursery the productivity of fisheries and livelihoods depends.
habitats such as mangrove forests and wetlands; New practices manage access to the fishery, adopt
unsound aquaculture; diversion of water flows and an ecosystem-based approach to management, utilize
water pollution; unsustainable coastal development; appropriate fishing gear, establish fishery reserves,
sedimentation and pollution from poor watershed and promote active participation by fishers in the
management; the introduction of marine and freshwater management process. These practices include
invasive alien species through aquaculture, transportation, managing access to fisheries – A key step in
and the wildlife trade; and climate change threats, such reforming fisheries is to manage access to fishing areas.
as acidification and increased temperatures. Co-management approaches, in which both the fishers
and government share management responsibility, can
Unsound fishing practices threaten not only the health increase resource stewardship, improve compliance, and
and biodiversity of aquatic ecosystems, but also the promote transparent decision-making.
fishing industry itself. Destructive fishing practices – promoting sound economic and trade policies –
such as the use of poisons (i.e., cyanide), explosives Policy reforms are needed to eliminate perverse
(dynamite), bottom trawls, and beach seines – destroy subsidies driving overfishing, destructive fishing, and illegal
the habitats and disrupt the food chains upon which fishing, and to capture the economic rents from these
healthy fisheries depend. Non-selective removal of valuable resources.
target fish can also lead to the unintended mortality and
reducing and eliminating destructive fishing
waste of non-target species (referred to as by-catch),
practices – This step includes eliminating bottom
further disrupting the ecosystem and food chains. The
trawling; dynamite fishing; and the use of destructive
use of small net sizes catches juveniles before they
fishing gear, such as long-line fishing.
can reproduce, and overfishing reduces the ability of
the population to replace itself and grow, reducing the creating fisheries or ecological reserves,
resource “capital.” protected, or managed areas – Fisheries reserves
ensure the health of critical feeding, nursery, and
Aquaculture also presents considerable threats to spawning sites; allow the growth of juveniles; and foster
marine fisheries. More than 40 percent of all fish caught larger, healthier fish that can help populate fishing
in the world are ground up to produce “fish meal,” areas. Creating no-take zones in vital fish spawning
which is used as feed, primarily for farmed fish, but also areas increases fish stocks and ultimately benefits
for livestock. Small fish lower down on the food chain fishermen and communities. This step may also include
are particularly targeted for fishmeal; these small fish are the promotion of locally managed and community-
also important components of the natural food chains, conserved areas.
and their collection can have ramifications for the rest ensuring connectivity of marine and freshwater
of the ecosystem. habitats – Best practices in maintaining connectivity,
particularly for anadramous fish such as salmon, include
the construction of fish ladders; the design of fish-
friendly culverts and passages; the regular release of
dams in order to mimic natural flow regimes; and the

maintenance of large sections of undammed rivers and Maintain a diverse structure in fish populations.
streams, especially main river stems. Large, healthy, and older female fish are extremely
protecting and restoring key aquatic habitats – productive but also susceptible to overfishing.
Ensuring the health of key habitats, such as mangrove Maintain the natural spatial structure of fish
forests, coral reefs, and wetlands, may require proper stocks. This requires ensuring that management
economic incentives for the sustainable use of these boundaries match natural boundaries in the sea.
areas. In some areas, active restoration efforts may Monitor, protect, maintain, and restore key
be needed. habitats. This ensures that fish have adequate feeding,
changing land and watershed management spawning, and nursery habitat.
practices – Direct sources of pollution and Maintain resilient ecosystems. This ensures that
sedimentation, such as unsound coastal development, the healthiest examples of diverse ecosystems are
hotel effluent, logging, and excessive pesticide and maintained and are able to withstand occasional shocks.
fertilizer use, can often be addressed through improved
Identify and maintain critical food-web
land use practices and sectoral policies, including
connections. This includes both predators and
requiring wastewater treatment and reforming logging
forage species.
practices to minimize sedimentation.
Think in longer time cycles. This requires thinking in
increasing efficiency – Utilizing value chain analyses
decadal and even longer cycles to accommodate impacts
to identify areas for improving efficiency can promote
from climate change.
more efficient and sustainable fishing and processing
practices, thus providing more benefits to fishing Assess the impacts of fishing and account for
communities and incentives for improved management. evolutionary changes. This entails determining the
long-term impacts of harvesting larger, older fish on the
utilizing market-based mechanisms and rights-
overall trophic structures.
based approaches – Appropriate economic incentives
can promote sustainable use and environmental
How can effective governance help foster the
stewardship. Rights-based management allocates
sustainable management of fisheries?
a given percent of the catch to each individual or
license, increasing owner buy-in and commitment to Governance includes the range of actors, policies,
sustainability. Certification schemes can also promote laws, structures, and practices by which decisions are
improved and sustainable management through third- made regarding the management, harvest, protection,
party verification. Major seafood buyers around the and conservation of fisheries. Governance exists at
world are recognizing the need for more sustainable multiple scales, including community, national, and
seafood sourcing and are investing in and promoting international. Each of these levels is important to
improved management. ensuring sustainable fisheries.
Governance of community fisheries: Small-

What are some basic principles of an ecosystem- scale fishers comprise approximately 94 percent of
based approach to sustainable fisheries? the world’s fishers and produce nearly half of the
A group of scientists recently identified ten principles of global fish supply for human consumption. Therefore,
ecosystem-based approaches for promoting sustainable effective community governance is vitally important. A
fisheries. These include first step in community governance is delineating and
managing access to the community fishing area, which
Keep a perspective that is holistic, risk-adverse,
will increase local stewardship and compliance with
and adaptive. This requires the incorporation of
management practices. Governance approaches can
clear monitoring mechanisms, the development of
include community-based management, co-management,
management thresholds and warning signs, and the use
or territorial use rights, where access is managed at
of adaptive management practices.
the community level. More attention is also being

placed on securing individual access “rights” through fisheries in the high seas is one of the greatest
“individual transferable quotas” or “catch shares,” which challenges in establishing sustainable fisheries beyond
guarantee an individual a certain percentage of the total national boundaries.
quota. Catch shares have been shown to both increase
stewardship and maintain more stable fish populations. What are some examples of sustainable fisheries?
Fisheries Improved for Sustainable Harvest
Governance of national fisheries: National (FISH) Project – a USAID-funded program in
governance affects fishing policies within a country’s the Philippines. Along the Danahon Bank, FISH
exclusive economic zone – a 200 nautical mile boundary has demonstrated that well-managed fisheries can
from the coastline. An example of a national fisheries increase productivity three-fold, and that fish catch
governance framework can be found in the Philippines, decline can be arrested and reversed over a period
where the country has adopted a comprehensive coastal of time if destructive and illegal fishing practices are
resource management approach as the foundation of reduced, fishing capacity is managed, and local fisheries
fisheries management. Examples of actions that indicate governance is strengthened. Management initiatives
effective national fisheries governance include included gear restrictions; species-specific management,
• development of a comprehensive, integrated coastal- establishment of marine protected areas (MPAs)
zone management framework or integrated river and MPA networks; coordinated and consistent law
basin framework enforcement; stakeholder education and engagement;
and registration, licensing, and zoning of fishing and
• development of a comprehensive fisheries
water-use activities. From 2004 to 2008, there was
management plan, including the development of a
a 76 percent increase in the total harvest, with a
list of species allowed to be collected and traded,
corresponding 73 percent increase in the value of fish.
a list of registered collectors and exporters, a
Likewise, catch per fisher showed an increase from 2.6
science-based approach to setting quotas, financing
kg per day in 2004 to 6.06 in 2008. Such changes in
mechanisms to capture the economic rents from
exploitation patterns in these municipalities redound to
fisheries and reinvest revenue back into management,
increased food on the table and increased income for
an assessment of fishing capacity, and enforcement of
many coastal families dependent on the Danajon Bank
sustainable fish harvest levels
for food and livelihood (see also Box 58).
• creation of a comprehensive system of marine
protected areas and fisheries reserves – the current Management of Aquatic Ecosystems through
guidelines for the 2011-2020 Strategic Plan of the Community Husbandry (MACH) – a USAID-
Convention on Biological Diversity call for 10 percent funded program in Bangladesh. By adopting conservation
protection of marine and coastal areas measures and sustainable fishing practices, villages in
• effective surveillance, control, and prevention Bangladesh restored and improved fisheries productivity
programs governing illegal fishing within the economic in three degraded wetlands, leading to improved food
exclusive zone security and well-being of 184,000 of the country’s
poorest citizens. Between 1999 and 2006, fish catches in
Governance of international fisheries: project villages rose by 140 percent, consumption went
International governance is particularly important for up 52 percent, and average daily household incomes
regulating straddling fish stocks (fish populations that increased 33 percent. With increased consumption of
span political boundaries and exist in more than one fish – a vital source of much-needed protein, essential
national jurisdiction) and high seas fisheries (those oils for brain development, and micronutrients like
that exist outside of all national jurisdictions). Global vitamin A – malnourishment and hunger decreased.
responses include the UN Convention on the Law of Restoration of the wetlands also led to a large increase
the Sea, the UN Fish Stocks Agreement, and the FAO in bird, as well as fish, diversity.
Code of Conduct for Responsible Fisheries. Regulating

How can aquaculture help to conserve
biodiversity?
BOX 58. SECURING SUSTAINABLE
Aquaculture is one of the fastest-growing food SMALL-SCALE FISHERIES FOR FOOD
production sectors globally. It also accounts for as SECURITY, POVERTY ERADICATION, AND
much as one-half of the global consumption of fish and BIODIVERSITY CONSERVATION
shellfish. This trend comes at the expense of terrestrial
and marine biodiversity and is driven by ever-increasing
global demand for inexpensive freshwater and marine
fish products. While aquaculture presents opportunities Small-scale fisheries have been largely
for providing high-quality protein sources to meet invisible within the global fisheries sector
the demand of a growing global population, there are even though they play a pivotal role
some basic best practices that can help to minimize in meeting food needs, building local
environmental risks. These include economies, and managing marine and
coastal ecosystems. They represent about
• promoting landscape-scale governance that ensures 90 percent of the world’s nearly 51 million
proper siting and management of aquaculture facilities capture fishers, produce half of all global
• promoting native, low trophic-level species, especially fish catch, and supply two-thirds of the fish
filter-feeding animals (such as oysters, clams and consumed by people. Small-scale fisheries
mussels) that do not require any feeds and can help employ more than 90 percent of the world’s
cleanse the water capture fishers and fish workers, about half
• moving toward plant-based feeds originating from of whom are women. World marine capture
sustainable agriculture fisheries production, however, peaked in
• reducing and eliminating the use of fishmeal or fish- the 1990s and continues to decline, with
oil-based feeds from unsustainable fisheries about 61 percent of the global marine wild
fish stocks fully exploited or overexploited.
• ensuring that there is no net loss in fish protein yield
These trends have keen implications for
in the life cycle of the fisheries
biodiversity conservation and the viability
• avoiding the use of wild-caught juveniles for grow-out of small-scale fisheries that provide food
• preventing negative environmental impacts from and livelihoods in developing countries. The
discharges and effluents to the surrounding areas Voluntary Guidelines on Securing Sustainable
• preventing negative effects to local wildlife (plants as Small-scale Fisheries in the Context of Food
well as animals), including avoiding risks to local wild Security and Poverty Eradication were
populations adopted in 2014 to draw attention to the
considerable contribution of small-scale
• avoiding the use of exotic species and genetically
fisheries to a broad array of development
engineered fish or feed
objectives.
• minimizing the risk of disease outbreaks and
transmission (e.g., by controlling stock densities) For more information, see USAID 2015. Small-
• avoiding the depletion and diversion of local water scale Fisheries and Marine Tenure: A Sourcebook on
resources to safeguard the health of wild fish Good Practices and Emerging Themes and USAID
populations 2015. Looking to the Sea to Support Development
Objectives: A Primer for USAID Staff and Partners.
• promoting land-based Recirculating Aquaculture
Systems (RAS)
NOTE: Restocking has been shown to reduce the resilience

of fish populations.

4.4 GLOBAL CLIMATE CHANGE What are some of the impacts of climate change
on natural and human communities?
4.4.1 Overview The impacts of climate change on biodiversity and
Definition and Significance ecosystems are highly variable globally and depend, in
Climate change is defined as a change in global climatic part, on the geographical context. Examples include low-
patterns, primarily caused by increased levels of lying coastal areas that are susceptible to rising sea levels,
atmospheric greenhouse gases (GHGs) and produced areas at each of the poles that are most susceptible to
by such human activities as burning of fossil fuels, rapid warming, areas closest to the equator and dry
clearing and burning of forests, and grazing of livestock. areas that are most susceptible to drought and heat
Climate change impacts are highly variable and unevenly extremes, areas at high elevation that are susceptible
distributed around the world. Greenhouse gases to species loss, degraded areas that are susceptible to
refers to a number of different gases, including carbon invasive species and disease, and fragmented areas that
dioxide, methane, and nitrous oxide, that collectively are susceptible to disruptions in migratory patterns.
increase the amount of solar radiation trapped in the Even where short-term climate conditions are
Earth’s atmosphere. compatible with the persistence of species, the current
speed of climate change is expected to outpace many
Climate change has implications for biodiversity and species’ ability to migrate or adapt, especially in the case
natural ecosystems around the world. Loss of biological of species with highly restricted ranges or those whose
diversity is one of many impacts associated with habitat has been severely fragmented. Climate change is
changing climatic conditions, and planning for effective expected to be one of the main causes of biodiversity
biodiversity conservation will mean helping species and loss this century.
the ecosystems on which they depend adapt to the
expected changes. In the terrestrial realm, changes in The effects of climate change on ecosystems and
rainfall quantity and seasonality mean that conditions biodiversity will also have profound impacts on human
will no longer allow certain plant or animal species to communities. These impacts, which are also variable and
exist in portions of their current ranges, changing the context-dependent, include decreased productivity in
functionality of entire ecosystems, such as forests or fisheries, grazing lands, forests, and agriculture; increased
grasslands. When these changes make wilderness or incidences of human disease; increased numbers of
pastoralism a better use of land than cultivation, wildlife forest fires in proximity to human habitations; increased
and native plant species can benefit. In marine systems, frequency and intensity of catastrophic storms; increased
changes in ocean temperature and acidity can lead to numbers of floods and droughts; and impacts to coastal
mass die-off events, such as coral bleaching. cities through sea-level rise.
Key Questions What are some strategies for incorporating

What is the global response to climate change? climate change considerations into biodiversity
conservation strategies?
The global community has begun to address climate
change in a number of ways; the most notable is the Although the impact of climate change on natural and
United Nations Framework Convention on Climate human communities will likely be profound, conservation
Change (UNFCCC), which was adopted in 1992 planners can take steps to help strengthen resilience to
and which more than 190 nations have now signed. climate change and promote adaptation:
According to Article 2, the purpose of the Convention • Identify long-term biodiversity conservation and
is the “stabilization of greenhouse gas concentrations in development goals for an area, focusing on the
the atmosphere at a level that would prevent dangerous ecosystem goods and services that will require
anthropogenic interference with the climate system.” conservation, restoration, protection, and/or
management. Planners should keep in mind that
climate change will continue for decades, even if

the emissions of greenhouse gases are dramatically also plays a key role in affecting the amount and types of
decreased in the near future. GHGs in the atmosphere and, therefore, the severity of
• Reduce the impact of other stressors, such as climate change. The most obvious example can be found
pollution, overexploitation, land use change, and in tropical forests, which store large volumes of carbon
invasive species. A comprehensive approach to and have experienced high rates of deforestation during
biodiversity conservation will increase the capacity the last century. Other ecosystems, such as tundra,
of species to adapt to climate change, and a more peatlands, and wetlands, may store a very large amount
diverse, functional ecosystem will be more resilient of carbon-rich biomass below ground, so the conversion
to its impacts. of these areas has the potential to release large amounts
of GHGs as they dry out, are exposed to air, and/or are
• Assess how climate change may impact an area’s
burned. Terrestrial ecosystems have the potential to
biodiversity, ecosystems, and ecosystem services.
both store large amounts of carbon, which could
Biodiversity responses to current or recent climate-
otherwise end up in the atmosphere, and release
related events offer some guidance. It is valuable
carbon, if poorly managed.
to consider future scenarios of key environmental
variables, such as temperature and precipitation, and
The dual role of ecosystems as both potential carbon
how they may be expected to impact biodiversity
sources and sinks means that their proper management
and ecosystems. Planners also should account for
represents an accessible, low-technology mechanism by
predicted changes in demand for ecosystem services
which atmospheric carbon content can be regulated.
that may magnify or moderate climate impacts
This is especially the case with tropical forests. Tropical
and likely human adaptation actions that may
deforestation, forest degradation, and agriculture
affect ecosystems.
together account for as much as 30 percent of all GHG
• Focus on connectivity and spatial distribution. Species emissions globally. Considering that the clearing of
and ecosystems will tend to shift their habitats and tropical forests is often a result of increased demand for
ranges toward areas that will remain cooler, including agricultural production, their management has become
poles, higher elevations, and sheltered areas. This may an important focus of climate change mitigation. In many
also entail identifying areas of refugia – places that tropical developing countries, forestry and land use are
have survived or are likely to survive extreme weather by far the most important sources of GHG emissions.
conditions. Planners can consider how to facilitate
ongoing and future range shifts in their spatial planning 4.4.2 Biodiversity and REDD+/Sustainable
efforts. This process makes conservation outside Landscapes
formally protected areas more important; current and
What is REDD+ and what is its impact on
future habitats can be connected by creating corridors
biodiversity conservation and development
between protected areas and increasing the size of
outcomes?
areas being managed for biodiversity.
In recognition of the importance of preventing forest
• Maintain and expand large, intact landscapes and
degradation and loss, climate change scientists and policy
blocks of habitat. By focusing on landscape-scale
experts developed a mechanism known as Reduced
conservation, planners can provide the best safety net
Emissions from Deforestation and Forest Degradation
for species and ecosystems and encourage a more
(REDD+). REDD+ describes a mechanism by which
resilient, robust landscape. This can be accomplished
forest conservation and/or restoration, as well as the
through transfrontier conservation areas.
sustainable management of forests and enhancement
of forest carbon stocks, can play a key role in reducing
What is the relationship between ecosystem
atmospheric GHGs. Site-level projects or policy-level
management and climate change?
interventions to reduce deforestation are an increasingly
Although climate change is largely caused by the common part of national and international climate
consumption of such non-renewable fossil fuel resources mitigation strategies. Early projects sold carbon credits,
as oil and coal, the management of various ecosystems

representing tons of CO2 sequestered as a result of What are some examples of conservation projects
avoided deforestation, on the international voluntary that address climate change?
market as a way to finance forest conservation or In the Congo Basin of Central Africa, maintaining
reforestation activities in specific sites of interest. Carbon the region’s carbon sink potential is a key objective
credits are purchased by companies or individuals in of USAID’s Central African Regional Program on
order to meet voluntary or required reductions in the the Environment (CARPE), a long-term initiative to
amount of GHGs they emit from their operations. promote improved forest management and biodiversity
conservation. With its vast forest reserves, Central
A well-designed REDD+ program has the potential Africa is the most important African sub-region for
to deliver benefits for local communities, including storing carbon and mitigating carbon dioxide emissions.
indigenous peoples and forest-dependent populations, The CARPE Program creates and executes on-the-
by providing direct PES. Sources of subsistence and ground land use management improvement, coupled
livelihoods, such as small-scale agriculture, agroforestry, with a satellite imagery monitoring system supported
and non-timber forest products, depend on the reliable by stakeholder participation and good governance
provision of forest ecosystem services. Successful tools. At the same time, national governments in the
REDD+ programs may also assist communities with CARPE region are moving forward with the design and
adaptation to climate impacts. implementation of their national REDD+ plans, providing
opportunities for USAID to support key elements while
What are some key issues for USAID to consider informing emerging priorities with years of successful
when supporting the development of REDD and conservation work at the subnational landscape scale.
REDD+ mechanisms? A United Nations Development Programme/Global
There are several key areas where USAID programming, Environment Facility (UNDP/GEF) project in Namibia
in synergy with efforts from other donors and national focuses on increasing the capacity of protected
programs, could advance the development of REDD+, area managers to improve climate resilience and
including adaptation by promoting activities that reduce bush
encroachment and maintain water supplies for forests,
• supporting the development of national REDD+
even under climate threats, thereby reducing water
strategies while helping to build capacity at the
demand. The project also aims to increase the size
provincial/state or local government level to engage in
and representativeness of the protected area system
the program
to extend protection of climate refugia, such as
• supporting the effective engagement of forest- mountainous areas with south-facing slopes, and increase
dependent communities, private enterprise, and other connectivity through the north-south corridors.11
civil society actors in the development of REDD+
• providing technical support to the development of 4.4.3 Biodiversity and Clean Energy/LEDS
national GHG inventories, national forest inventories, What is LEDS?
and national or subnational reference scenarios
LEDS refers to low emission development strategies.
(“baselines”), as appropriate
USAID’s climate change mitigation work seeks to help
• providing technical assistance on the legal, financial, countries accelerate the transition to low emission,
and regulatory structures necessary for participation sustainable economic development through investments
in the REDD+ mechanism in clean energy and sustainable land use. A country
• developing demonstration projects at the site pursuing a low emission development path will grow
level to test methodologies, strategic approaches, its economy and improve the lives of its people in
and safeguards to inform the development of the a way that achieves economy-wide reduction in net
national REDD+ strategy greenhouse gas emissions, compared to a business-
11 GEF, Strengthening the Protected Area Network (SPAN) in

Namibia.

as-usual trajectory. Changes will be achieved through on biodiversity (e.g. fish ladders on dams or bird-safe
sector-specific improvements in key areas, such as energy, wind turbines). Improvements in efficiency of appliances,
forests, agriculture, and transportation. Countries that buildings, etc., reduce the amount of fuel or other
pursue low emission development will be the best energy sources needed, potentially relieving pressure on
positioned to benefit from a new global low carbon resources. For example, improved cook stove efficiency
future. USAID accomplishes LEDS work through two could lead to less wood or charcoal collection, reducing
mitigation pillars: clean energy and sustainable landscapes. forest and habitat degradation.
What is the relationship between LEDS and Where do LEDS and biodiversity work together?
biodiversity? The U.S. Government’s flagship interagency program
Climate change poses direct and indirect threats to Enhancing Capacity for Low Emissions Development
species and ecosystems across the globe. Climate change (EC-LEDS) has established partnerships with more
mitigation seeks to lower the rate of accumulation of than 20 developing countries, including Albania,
GHGs in the atmosphere by reducing emissions and Bangladesh, Colombia, Costa Rica, Gabon, Indonesia,
increasing sequestration of GHGs. Mitigation lowers Kenya, Macedonia, Mexico, Moldova, the Philippines,
the probability that the Earth’s temperature will rise to Serbia, and Vietnam. Where these countries overlap
dangerous levels, and that humans and other species will with biodiversity priorities, there are opportunities for
experience the worst consequences of warming. Two integration. Many USAID clean energy and biodiversity
main sources of GHG emissions are burning fossil fuels projects have been successful in reducing carbon
for energy and land practices that release GHGs into the emissions, conserving biodiversity, improving human
atmosphere. By adopting a low emissions development health, and raising household income (see Nepal case
pathway, countries can reduce their emissions with study in Box 59).
benefits for biodiversity, as well as human communities.
The clean energy and sustainable landscapes pillars both
interact with biodiversity. See Section 4.4.2 for more on
sustainable landscapes.
What are the impacts and benefits of clean energy

on Biodiversity?
USAID works to strengthen countries’ abilities to use
indigenous or regional clean energy resources, including
wind, solar, biomass, and hydropower, at both small and
large scales, and supports improvements in efficiency of
buildings, appliances, and industrial applications – all of
which can reduce greenhouse gas emissions. Alternative
energy sources can have impacts on biodiversity. For
example, in addition to land that may be flooded
and other land conversion caused by infrastructure
development, dams for hydropower can disrupt river
and stream ecosystems and impede fish migrations. In
addition, wind turbines and some types of solar arrays
are a threat to birds, bats, and insects that are killed in
HEALTH IS WEALTH: A member of the Samjhana Community
collisions. Some of these threats can be ameliorated Forest User Group in the Terai Arc of Nepal examines her “crop”
through informed siting based on thorough analysis of medicinal plants. In addition to producing a valuable harvest,
of species migration and movement corridors and by they are easier to maintain than food crops because wildlife don’t
designing infrastructure that mitigates negative impacts eat them. Photo: Helena Telkanranta,WWF-Canon

BOX 59. TERAI ARC LANDSCAPE, NEPAL – BIOGAS TECHNOLOGY
One example of a clean energy project that conserves biodiversity is in the Terai Arc Landscape
of Nepal. In 2003, WWF-Nepal and the Khata Community Forestry Coordination Committee,
an entity comprising 32 forest user groups in the Khata area, began incorporating health services
into conservation work in the southern region of the Terai Arc Landscape (TAL), Nepal. The Khata
corridor is a critical area connecting Bardia National Park in Nepal and Katarniaghat Wildlife
Sanctuary across the border in India, and a suite of activities was planned to restore degraded forest
land in the corridor by relieving the main threats to the forest and promoting community forest
management. Subsequently, WWF-Nepal expanded this program and began introducing the use of
biogas technology more widely in the region to produce an efficient, environmentally friendly, locally
constructable, and healthy energy source for local communities.
Biogas would be used to combat biodiversity loss in the landscape due to increased agricultural
grazing and deforestation for firewood. WWF-Nepal signed an agreement with the Alternative
Energy Promotion Centre and Biogas Sector Partnership-Nepal to develop its own WWF-Nepal
Gold Standard Biogas VER project in 2006. Starting in January 2007, the program’s goal was to
build 7,500 biogas plants in buffer zones throughout the TAL. With preliminary funding from WWF-
Germany, WWF-US, WWF-Finland, Johnson & Johnson, and the USAID Nepal Mission, and seeking
matching funds from carbon financing, WWF-Nepal introduced micro-financing loans so that
villagers could afford to install biogas plants.
From January 2007 to August 2009, more than 3,628 biogas plants were constructed and operational
in buffer zones and corridors across the Terai. To finance the installations, micro-financing institutions
now work in 13 different sites across the TAL. The village of Badreni in Chitwan has earned the title
of First Biogas Village in the TAL, as 80 of the 82 houses in the village now have biogas plants. Due
to the nature of the project, hundreds of jobs for local Nepalese residents have been created for
planning, construction, and maintenance of the biogas plants. The hope is for the project to prevent
as much as 148,000 tons of carbon dioxide from being emitted into the atmosphere.
More information on clean energy biodiversity projects can be found at

http://wwf.panda.org/what_we_do/footprint/climate_carbon_energy/energy_solutions22/
renewable_energy/bioenergy_access/

4.4.4 Biodiversity and Climate Change ecosystem-based adaptation approaches (see Mekong
Adaptation ARCC case study below) can facilitate an integrated
How can integrating biodiversity conservation and design. It is advisable for the VA to address more subtle
climate change adaptation improve programs? climate change issues, such as expected gradual shifts
in temperature or precipitation, and not just extreme
Among many possible connections, a vulnerability
events like floods and droughts, as they may be
analysis (VA) can spur stakeholders to protect coasts
important for ecosystems.
or make sure water recharge occurs in the face of a
changing climate, which can motivate them to apply
Consider the whole system. A systems approach can
coastal and watershed conservation approaches.
identify linkages and common pressure points for
Additionally, conservation of landscapes – corridors –
adaptation and biodiversity conservation. Intersections
helps to climate-proof areas while encouraging greater
where vulnerable ecosystem services have a large impact
engagement with people living around and between high
on human well-being and where biodiversity and people
biodiversity areas.
rely on a shared vulnerable resource may serve as good
areas for integration. A systems analysis may also reveal
What are some key resources and issues for USAID
other threats and development opportunities that can
to consider when planning integrated conservation
inform the decision of whether integration makes sense.
and adaptation programs?
Required assessments can help scope opportunities Ensure that requirements associated with biodiversity and/
for integration. Congress mandates that operating or GCC-Adaptation funds are met. Beware of incorrect
unit strategies be informed by an analysis of threats attribution! While conserving biodiversity or improving
to biodiversity (FAA Section 119) and the extent to the management of natural resources often positively
which planned programs will address those threats. This impacts nearby communities, one cannot assume
assessment is usually associated with a tropical forests that any biodiversity or NRM activity automatically
assessment (FAA Section 118) in tropical countries, and contributes to GCC-AD outcomes. To attribute GCC-
sometimes is part of a broader environmental threats AD results to activity strategic approaches, actions must
and opportunities assessment (ETOA). The 118/119 or explicitly seek to measurably reduce vulnerability and
ETOA is a good first resource, often recommending increase resilience to specific climate threats identified
opportunities to integrate funds or approaches, including in a VA. Conversely, one cannot assume that adaptation
those associated with biodiversity and adaptation. strategic approaches automatically contribute to
biodiversity results. There must be intent to positively
Conduct a vulnerability analysis. A vulnerability analysis impact biologically significant areas, and activities must
(VA) can often be done as a desktop exercise, and need address threats identified in an analysis of threats
not be done by USAID; if a VA that is relevant to the to biodiversity.
targeted sector or geographic area already exists, it may
be sufficient. The E3/GCC Office is available to help The following conceptual models may be helpful
assess existing VAs or design new ones. in developing an integrated activity, regardless of
funding streams:
Including cross-sectoral considerations into a 118/119
assessment and a VA will help to identify appropriate adaptation for people through ecosystem
points for integration. A high-quality 118/119 assessment goods and services – Often called ecosystem-based
would include information on how climate stressors adaptation, this involves the conservation, management,
acting directly on biodiversity and climate stressors or restoration of biodiversity and ecosystem services to
acting on human communities could exacerbate existing increase the resilience of people, places, or livelihoods
threats or introduce new threats to biodiversity. Likewise, to climate change. With biodiversity funds, reducing
a VA that considers the vulnerability of key ecosystems threats to biodiversity should be the main objective, but
to climate change and includes some consideration of increased resilience due to more sustainable ecosystems

and their services could be a co-benefit of, or synergistic adaptation efforts and promoting consideration of
with, adaptation-funded strategic approaches. ecosystem-based adaptation options alongside more
adaptation for people and biodiversity – People typical responses, such as the construction of
and biodiversity use shared natural resources, such hard infrastructure.
as land and water, which can be vulnerable to climate integrated planning and management – A
change stressors. Activities designed to reduce the number of ongoing activities are using capacity building
vulnerability of these shared resources to climate and technical assistance to promote the adoption of
stressors can benefit both people and biodiversity. systems approaches in local planning, management,
climate-smart conservation – To be sustainable, and decision-making processes – similar to the
conservation activities should take account of a changing holistic approach to program and activity design that
climate. It may be possible to support the adaptation has been discussed earlier in this document. In this
of species and ecosystems to climate change through, way, biodiversity and adaptation considerations are
for instance, managing or protecting suitable refugia or incorporated into initial prioritization processes and can
adaptively altering approaches to fire management. be “mainstreamed” into any future actions. An example
of such an approach is integrated water resources
climate change and water availability/scarcity –
management (see the RESILIM case study below).
A key link for development is how climate change will
impact water available for human use, which in turn governance – Supporting the capacity of governments
can be associated with watershed protection. A link and communities to manage biodiversity and natural
to biodiversity is how changing water availability will resources may have direct benefits in terms of their
shape ecosystems and impact wildlife. An example is ability to address climate threats. Better coordination
the Mau Forest, one of Kenya’s major “water towers.” between resource management institutions, for instance,
This watershed not only meets the needs of humans can lead to more effective long-term planning and
for drinking and irrigation but also those of domestic flexible approaches for future droughts or floods.
animals and the globally important biodiversity found Addressing disputes over rights to natural resources can
in the Serengeti and the Maasai Mara downstream. improve conservation outcomes and may reduce the
Reports like this from the BBC on the drying up of the vulnerability of local communities who depend on
rivers emanating from the Mau Forest created a stir in those resources.
Kenya and led to considerable investment from donors biodiversity and climate monitoring – Adaptation
including USAID to better understand climate links requires understanding how changes in climate
and improved management. variables, for example shifts in seasonality or water
temperature, impact natural and human systems. Climate
What areas of intervention offer high potential for change data collection and monitoring may dovetail
integrating conservation and adaptation? nicely with species monitoring to assess conservation
impacts. The effects of climate change are often more
The following examples are representative of actions
tangible for local communities when they become
being undertaken in current USAID field activities
involved in monitoring potential climate stressors and
focused on biodiversity conservation and adaptation:
their impact on key species – like red crab stocks in
ecosystem valuation for decision-making – coastal Ecuador (see Forests and Coasts case below)
As ecosystems have become a more recognized – and can begin identifying adaptation responses
concept, there has been a growing interest in how themselves. Furthermore, climate data collected by local
to demonstrate their value to policymakers and communities can contribute to larger climate datasets.
planners. Quantifying the ecosystem values at risk due
integrated farming methods – Helping farmers
to increased weather variability and projected climate
to adopt methods that lower their impact on natural
change can serve as a sound integrated adaptation and
systems can offer a number of co-benefit opportunities,
biodiversity strategic approach. A related undertaking
especially when agricultural encroachment is a threat to
is building understanding among decision makers of
neighboring biodiversity areas. (Note, this linkage is not
the role that healthy ecosystems can play in human

always sufficient to justify the use of biodiversity funding.) in 2009. In addition, activities using only one source of
Reducing land conversion contributes to improved funds are increasingly looking for co-benefits. In response
watershed management around critical habitats while to this growing trend, the Forestry and Biodiversity
also potentially providing a buffer against storms and (FAB) and Global Climate Change (GCC) offices within
floods. This and other practices, captured under the the E3 Bureau set out to identify early lessons learned
rubric of climate-smart agriculture, can provide an from these activities and begin to develop a set of best
opportunity for adaptation, sustainable landscapes, practices for integrating adaptation and biodiversity in
biodiversity, and/or food security benefits. USAID programming.
ecosystem management and restoration –
Activities in this area might include strategic approaches Ba Nafaa (“Benefits from the Sea” – Gambia-
such as restoration of corridor connectivity, removal Senegal) – The Challenge of Integrating in
of invasive species, reforestation on degraded lands, Mid-Stream: The Gambia-Senegal Ba Nafaa activity
or fire line maintenance. While reducing threats to (2009-2014), which focuses on artisanal fishing and
biodiversity, these activities can also improve livelihoods coastal and marine conservation, was designed as
and increase ecosystem resilience so that ecosystems a classic biodiversity activity based around USAID’s
can serve as a buffer against climate-related impacts for nature-wealth-power framework. When GCC-AD
nearby communities. Since many of these activities deal funds were added in year three, the team found it
primarily with non-climate stresses, any direct GCC-AD difficult to integrate new adaptation activities with
funding would need to be paired with biodiversity funds the existing biodiversity activities. The team initiated a
and clearly reduce specific vulnerabilities of human and VA with the funds, which was quite comprehensive in
natural systems. nature and assessed the sensitivities of some of the
critical ecosystems to potential climate shifts. However,
mangrove forest conservation and restoration –
the implementation challenge came in identifying
Mangroves are often cited as a high-potential ecosystem
local climate vulnerabilities that aligned with ongoing
for programmatic integration. They can serve as a buffer
biodiversity conservation and fisheries management
against extreme storms, which may increase in frequency
activities, limiting their ability to successfully integrate.
and intensity with climate change. In addition, mangrove
habitats are often high in biodiversity value, support food
The Mekong Adaptation and Resilience to
security, and provide other services that underpin local
Climate Change (ARCC) – Quantifying the Link
livelihoods. Assuming that storm surge, flooding, sea level
Between Shifting Ecosystems and Livelihoods:
rise, and/or food insecurity due to shifting fish stocks
The Mekong ARCC activity (2011-2016) undertook a
are identified as significant climate change stressors,
comprehensive climate downscaling study in the Mekong
and mangroves are identified as priority areas for
River Basin, to identify projected shifts in ecosystems
biodiversity, activities in mangrove areas could provide a
and eco-agricultural zones that impact local livelihoods.
good intersection of biodiversity, livelihoods, sustainable
In the face of rising average temperatures, these
landscapes, and adaptation opportunities. However, not
ecosystem boundaries are generally projected to shift
all mangrove areas are biodiverse or viable in the face
upland. The study analyzes how this will likely impact
of sea level rise and other climate change impacts, so
species migration, invasive species, reproductive rates
activity designers should not assume that any mangrove-
in fisheries, availability of non-timber forest products,
related activity is inherently biodiverse or “climate smart.”
and productivity of lowland rainfed rice, among other
livelihood assets in the region. Understanding how a
What are some examples of projects that integrate shifting climate regime might impact ecosystem services,
climate change adaptation and biodiversity and thereby livelihoods, will lead toward an analysis of
conservation? the value of those services for the region, which will
In 2012, USAID Missions launched 11 new environment help governments to identify smart adaptation and
activities receiving both biodiversity and GCC-AD conservation options.
funding, up from only two co-funded activities initiated

Resilience in the Limpopo River Basin To address these issues, the team designed a wetland
(RESILIM) – Use of the IWRM Approach: The restoration activity to remove invasive species and
RESILIM activity (2012-2017) was designed using an improve management of rivers and streams.
integrated water resources management (IWRM)
framework overlaid with conservation and adaptation
objectives. IWRM supports programmatic integration 4.5 FORESTRY
by addressing a critical shared resource, water, when 4.5.1 Conservation of Natural Forests
it is vulnerable to climate stressors and essential
to biodiversity. Issues, such as water allocation and
environmental flow requirements for ecosystem and Forestry is the science and practice of managing trees
human needs within a particular catchment, could be and forests to provide a diverse range of benefits.
addressed within an integrated activity. RESILIM suggests As an example of the sustainable use of biodiversity,
that balancing socioeconomic and ecological needs the type of forestry that will be discussed here is the
to optimize land use practices and integrating climate sustainable management, use, and conservation of
information increases the ability of river basin landscapes natural forest ecosystems in order to maintain their
to support water flows critical to the integrity of health, flows of timber and non-timber forest products,
biologically diverse habitat and the corresponding and nonmaterial values and benefits, as well as the
well-being of the population benefiting from its ecological services they provide.
ecosystem services.
Many people, especially those in rural parts of the
Costas y Bosques (“Forests and Coasts” – developing world, depend on forests for their livelihoods,
Ecuador) – Monitoring Red Crabs: The Forests deriving from them food, medicine, fuel, construction
and Coasts activity in Ecuador (2009-2014) works with materials, and monetary income. Forests are also
local crabbing cooperatives whose primary source of important for their spiritual and aesthetic values and
income is generated from their respective mangrove are central to the cultural identities of many indigenous
concessions. As part of the mangrove concession peoples. Local forest communities often serve as
agreement, crabbing cooperatives are required to stewards, preserving and protecting areas rich in
capture data on their catch and report it to the National biological diversity. In other cases, economic conditions,
Institute of Fisheries as a means of species monitoring. settlement patterns, cultural changes, or population
While the impetus for the activity is tied to biodiversity dynamics can change what may have been traditionally
conservation, the team plans to use the data alongside sustainable use patterns into overexploitation of key
an analysis of weather trends and water temperatures to species or habitats. Many local economies depend on
monitor potential climate change-driven seasonal shifts the sale of forest commodities, especially timber and
and their corresponding impact on crab populations. wild game (or bushmeat), for revenue.
Indirect GCC-AD results could be attributed to this
activity because it uses biodiversity funds to improve the Healthy forests also provide critical ecological services
science available to track climate change-related impacts that are of local, regional, and global significance.
on a natural resource of importance to local livelihoods. These include climate regulation, carbon sequestration,
watershed protection, soil conservation, and recycling
Hariyo Ban (“Healthy Forests”-Nepal) – of organic matter and mineral nutrients. These services
Ecosystem Restoration as a Co-Benefit are the result of ecological processes that depend on
Activity: The Hariyo Ban activity in Nepal (2011-2016) the overall health and resilience of the forest ecosystem.
identified an invasive species (water hyacinth) as a The long-term health of that ecosystem, in turn, relies
threat to biodiversity in wetlands and waterways. At the on the maintenance of the biological diversity it contains;
same time, the implementing team realized that local there are clear linkages between the maintenance or loss
communities are vulnerable to increased flood events, of a forest’s biological diversity and the environmental
in part due to degraded wetlands and waterways, which services it provides.
exacerbates impacts from large rainstorms.
CAUGHT IN THE ACT: Remote camera traps assist with jaguar censuses in places such as the Amazon rainforest.
For proper setup, a staff member must act like a jaguar to ensure the right height and settings for capturing images.
Photo: Wildlife Conservation Society
The greatest threat to biological diversity, especially A major impediment to protecting forests, the biological
in tropical regions, is the loss of forest cover as forest diversity they contain, and the environmental services
lands are converted to other land uses, especially due they provide, is the failure of the market to capture
to agricultural expansion. Poor governance; weak legal, noncommercial values of forests and the opportunity
judicial and institutional capacity; and short-sighted costs of competing land uses. Emerging experiences
national policies that fail to promote sustainable use or with payment for such ecosystem services as water
that subsidize or promote agricultural expansion along provision or carbon sequestration offer opportunities
the forest frontier all contribute to the conversion to recalibrate those tradeoffs and provide additional
of forest land to other uses. Tropical forests and the incentives for forest management and protection. Where
biodiversity they contain are also being destroyed by ecosystem services are undervalued, or not valued at
conventional forestry practices and the extraction of all, and competing land uses (e.g., agricultural or pasture
unsustainable volumes of timber. Illegal logging activities expansion) are subsidized, land holders and settlers are
and corruption further accelerate the destruction of likely to opt for the highest short-term return, which
many of the world’s forests; sustainably harvested often results in forest conversion to other uses. Tenure
wood cannot compete in markets flooded with regimes that recognize stronger rights over cleared land
illegal timber whose lower price reflects the lack of than over forested land further tip the scales toward
investment in forest inventories, management plans, activities that result in deforestation. Entry costs can also
and careful harvesting. determine land use choices; the strict regulations and

upfront investments needed for legal forestry activities landscape-level approach to biodiversity conservation
(forest inventories, forest management plans, maps, and sustainable development.
environmental impact studies, roads, and machinery)
can be daunting and beyond the means of both Growing international interest in REDD+ can increase
governmental forestry agencies and rural communities. the value of forests by attaching an economic value –
This often leads to the easier and cheaper path of potentially through the sale of carbon credits to national
overharvesting forest resources, both legally and illegally, or international markets – to their ability to sequester
resulting in eventual forest conversion to low-input and store atmospheric carbon. The “plus” in REDD+
agriculture or grazing. refers to increasing forest carbon stocks through forest
restoration, natural regeneration, or management
Forest and biodiversity conservation is dependent techniques that increase the carbon density of forests.
on conserving forest species and ecosystems within Many countries are developing strategic plans to reduce
protected areas, as well as on the sustainable use their overall greenhouse gas emissions, including through
of forests in managed or production forests outside the more deliberate management of forests for carbon.
protected areas. In 2006, IUCN estimated that 11.5 This is encouraging; however, it also will be important to
percent of the world’s forests were in protected areas consider and monitor biodiversity tradeoffs that could
and 5 percent were in plantations. This means that 84 occur under particular schemes that favor more carbon-
percent of the world’s forests are in areas where they rich species.
may be either under some form of forest management
or no formal management at all. In these forests, logging If countries are able to capture the economic values of
is perhaps the most important activity that influences healthy forests and improve coordination in the land
their ecological sustainability because of its direct and use sector by reducing or eliminating subsidies working
indirect environmental impacts. Depending on the against sustainable forest management, it is hoped that
intensity, logging can change the mosaic of habitat types, the economic balance will shift away from favoring the
alter species distribution and forest turnover rates, conversion of forested lands toward other uses. The
change soil nutrient and moisture quality, and influence challenge will be to ensure that those making daily land
aquatic communities downstream. The greatest harm use decisions are able to perceive and fully realize the
to biodiversity associated with logging, however, is often benefits of healthy, standing forests – i.e., that incentives
from the indirect, follow-on effects of logging – human are structured and delivered to the right stakeholders.
encroachment, overhunting of wild game, mining,
and forest conversion facilitated by easy access on Key Questions
logging roads. What current economic development policies
encourage forest degradation and deforestation,
The sustainable management of natural forest resources, and what reforms can USAID support to reverse
whether through the collection and marketing of the trend?
NTFPs, such as wild game, resins, rattan, or medicinal
As countries seek to develop and grow economically,
plants, or through the harvesting of timber products
the pressure of national budgets to increase short-
by reduced or low-impact logging techniques, has the
term revenues often means that they favor growth in
potential to support economic development both locally
agriculture, mining, infrastructure, and other sectors
and nationally. This can be done while conserving and
over forestry. Forests are often considered to be
maintaining biological diversity outside the boundaries
“undeveloped” land, and forest agencies are given few
of formal protected areas. As home to 70 percent
resources for management, monitoring, protection,
of all terrestrial plants and animals, forests are critical
or forest-sector development. The widely shared
to conserving biodiversity on a global scale; however,
economic benefits of forests for climate regulation,
efforts to maintain forest biodiversity outside protected
water catchment, and recreation are not quantified
areas – where the vast majority of the biodiversity is
or recognized as tradeoffs that are made between
located – must be an integral component of a larger,

forests and agricultural or infrastructure expansion. in Nepal. Prior to 1978, local communities were
Working with national governments to more fully value alienated from the forest estate: They used trees and
and develop the forest sector can lead to improved tree products but did not have clear, legal rights to do
policies and incentives to maintain forests. The following so. This resulted in a denuded and increasingly degraded
are a few strategies that USAID has used successfully landscape, as there were no incentives to manage the
to highlight the value of forests and improve the forest estate sustainably. Starting in 1978 and culminating
management and protection of forest lands: with the 1993 Forest Act, a series of new laws were
passed that devolved forest management, giving clear
• promoted policies that created incentives and an
rights to Forest User Groups (FUGs) to manage and
enabling environment for local control of forests ;
benefit from forest resources. In the space of two
fostered public-private partnerships based on the
decades, FUGs became direct managers of more than
sustainable production of forest products (including
one million hectares of forest – approximately
timber and NTFPs), which increased product values
25 percent of Nepal’s forest estate – and forest cover
and sales
in the middle hills significantly increased.
• raised awareness among stakeholders and built local
capacity to certify forest management systems and In Southeast Asia, USAID catalyzed a groundbreaking
wood products; in some cases, this led to linking public-private alliance under the Responsible Asia Forest
existing forest-based enterprises to voluntary market- and Trade (RAFT) initiative to combat illegal logging,
based mechanisms, such as Forest Stewardship consisting of the U.S. Government, international and local
Council (FSC) certification, that improved access to NGOs, research institutions, and more than 17 private
higher-value international markets and created greater companies. These alliance partners worked to
incentives for sustainable management and harvesting
methods • sustainably manage forests
• encouraged the planting of indigenous species with • track sources of wood
market value on private or communal land, including • link legal and sustainable wood producer groups
timber and fuel wood plots to international buyers (such as Home Depot) and
• supported the valuation of timber, NTFPs, and avoid forest destruction by building awareness among
ecological and cultural services derived from specific international banks and other financial institutions
forest areas as part of a larger strategy to improve
public and policymaker understanding of tradeoffs For example, in Lao PDR, the alliance helped make
between alternative development paths regulations clearer; forged links between responsible
producers, manufacturers, and buyers through the
• worked with financial institutions to improve their
establishment of the country’s first voluntary chain-of-
environmental risk assessment of loans to companies
custody certification system, which tracks timber from
engaged in commercial forestry or forest conversion
forest to factory; and increased benefits to people
(i.e., oil palm); this has led to better environmental
who rely on forests for income. Based on this work,
management and practices by these companies,
the Association of Southeast Asian Nations (ASEAN)
as they did not want to risk having their financing
produced guidelines on tracing timber that are
disappear
expected to be adopted by all its members by 2015.
• brought national decision makers together with local These activities have generated increased incomes
stakeholders in the field to understand realities of from sustainable forest products while conserving
implementation for better policy formulation high-biodiversity forests. This highly successful program
partnership continues as a well-known entity in Asia,
Remarkable transformations can occur in a relatively with follow-on funding from the U.S. Department of
short period of time with changes in the policy-enabling State and the Government of Australia.
environment. A case in point is the middle hills landscape

What are the roles and responsibilities of national How can USAID strengthen processes for
and local government institutions in implementing transparent and equitable sharing of benefits from
current forest land management and use policies? forests that consider gender and marginal groups?
And what are the most effective ways that USAID Nepal also provides an example of how managed
can help strengthen forest governance at the local forest benefits can be linked to empowering women
level and support the devolution of authority for and vulnerable or marginalized groups. Within the
forest management to communities? community forestry program, many donors, such
Many governments are devolving or decentralizing as USAID, the UK Department for International
control over forest resources to local governments and Development (DFID), and the Swiss Agency for
institutions. By supporting the strengthening of these Development and Cooperation (SDC), have emphasized
local institutions and systems to manage forest resources the importance of targeting these groups as part of an
(including indigenous land use systems), USAID can overarching poverty alleviation strategy. After several
significantly improve local forest governance and years of raising awareness on these issues, FUGs have
promote equitable access to forest resources. internalized the need to target women, the landless, and
lower-caste groups. Many now grant a portion of their
In Ecuador and Colombia, USAID has supported revenue directly to marginalized groups and households.
activities to involve indigenous groups in designing Representation of marginalized groups in FUG executive
management plans for forest reserves, certifying forests committees has also shown a noteworthy increase.
and forest products for increased market value, resolving Moreover, the USAID-funded Strengthened Actions
land and resource tenure issues, integrating traditional for Government in Utilization of Natural Resources
subsistence activities with sustainable natural resources (SAGUN) project promoted an approach known as
management practices, learning through exchange visits, public hearing and public auditing (PHPA). This proved
and sharing best management practices. The results to be an important tool in improving the governance
of these activities have strengthened conservation of of FUGs, ensuring that issues were discussed in a
biodiversity, enhanced local and indigenous capacity, and transparent fashion and that all stakeholders within the
improved income levels in the region. FUGs benefited from forest management activities.
In the Philippines, USAID supported the development How can USAID help to develop the full range
of indigenous lands policies that recognized the rights of values (timber, NTFPs, ecological and cultural
of indigenous people to manage, use, and protect forest services) from a forest as part of a strategy to
tracts they have occupied for hundreds of years. This expose the opportunity costs of forest degradation
policy, later codified into law, enabled the government and conversion?
to devolve authority to the indigenous communities, In Guatemala, USAID has been supporting community
provided they could produce a plan for the protection, forestry in the Petén for more than 15 years. Initial
management, and sustainable utilization of resources projects focused on the new community concession
found in these lands. USAID subsequently supported system and capacity building in sustainable forest
efforts to help several indigenous peoples organizations management. Concession requirements stipulated that
develop these management plans. More recently, USAID Forest Stewardship Council (FSC) certification was
has supported programs that strengthen the capacity of necessary to demonstrate good forest management. The
local and provincial governments to manage and control next generation of projects focused more on community
the use of public forest lands other than those under enterprise development and helped communities with
the management of indigenous peoples organizations. improved processing and marketing of certified timber
These efforts are in line with the overall initiative of the products, especially to international markets looking
national Government to devolve greater management for FSC-certified wood. The value-added focus helped
and regulatory authority to local governments. communities improve product quality while increasing
their competitive edge in the international marketplace.

The latest focus of USAID support has been on What is the current legislation on USAID working
increasing the full range of values from the forest, which with the commercial forestry sector and where do
includes sustainable management and certification we get guidance to comply with this legislation?
of NTFPs (especially xate, a forest palm exported to Since 2010, Annual Foreign Appropriations legislation
the floral industry) and potential carbon sales to the has specified prohibitions and restrictions to USAID
voluntary market from the FSC-certified concessions. programming in the forestry sector. Proposed FY15
Proceeds will be deposited into an endowment fund language is identical to FY14 language, which reads
that will support government monitoring of the
concessions, as well as community economic activities. “... funds appropriated under Title III (Bilateral Economic
Communities will be able to realize multiple and diverse Assistance)...shall not be used to support or promote the
streams of funding from timber, xate, and carbon, all expansion of industrial scale logging or any other industrial
of which are dependent on the maintenance of forest scale extractive activity into areas that were primary intact
cover and health. forests as of December 30, 2013...”
Are national and local governments and local Title III covers all bilateral economic assistance, including
communities able and willing to use innovations the Development Credit Authority, humanitarian
such as payments for ecosystem services to response, the MCC, global climate change programs
generate greater economic resources and support (GCC) , and not only biodiversity earmarked funds. For
for sustainable forest management? further guidance on programming, please contact your
RLA or GC representative or E3/FAB office.
The UN’s 2004 Millennium Ecosystem Assessment
grouped ecosystem services into four categories:
It is important to remember that USAID strategies,
1) provisioning, including the production of food and
investments, or impacts on forests are also governed by
water; 2) regulating, including the control of climate
the Foreign Assistant Act Section 118, Tropical Forests,
and disease; 3) supporting, including nutrient cycles and
as well as FAA Sections 117 and 119 as relevant, and
crop pollination; and 4) cultural, including spiritual and
this legislation changes less frequently. Under Section
recreational benefits. One of the most tangible and
118, part (c) (13) and (14) describe restrictions on
easily recognized ecosystem services is the provision of
commercial forestry activities, such as the purchase
clean water. Most cities depend upon nearby or distant
of logging equipment and the need for conducting
watersheds for their water supplies; however, to date
environmental impact assessments (EIAs) related to
there exist few examples of successful payments for
forest work.
environmental services outside of developed countries.
Few cities or water companies in developing countries
4.5.2 Non-Timber Forest Products
actively contribute to the management and protection
of these watersheds. For example, Tegucigalpa, Honduras Definition and Significance
receives almost half of its water supplies from the nearby The term “non-timber forest products” refers to all
La Tigra National Park, yet neither the water company biological materials other than wood that are extracted
nor the city contributes to the park’s maintenance or from forests for human use. As used here, it is the
protection. Some cities or water companies charge equivalent of “non-wood forest products.” NTFPs
water users an environmental fee – either fixed or include plant products, such as fruits, tubers, roots, seeds,
assessed, based on cubic meters of water consumed – leaves, resins; fungi; grasses, such as bamboo; and animal
that provides a dedicated source of funding for products, such as meat and skins, insects, and fish and
watershed rehabilitation, protection, and management. aquatic invertebrates (see Section 4.10.4). NTFPs may
This represents an opportunity but will depend upon be used for subsistence or as a source of income. They
enlightened leadership and government commitment, provide a wide range of direct material uses, including
combined with effective public-information campaigns, food, fiber, medicine, building materials, fuel, and cultural
to convince water users to pay for a service they had and religious objects.
previously received at no cost.

It is estimated that 80 percent of the population of enable USAID and its partners to determine the viability
developing countries relies on NTFPs for their primary of these enterprises from an environmental/ecological
health and nutritional needs (FAO, 1995). Many perspective. Practical, participatory, and cost-effective
rural communities trade NTFPs in local, regional, and methods of estimating the potential harvest level should
international markets. In some forest communities, be developed, along with methods of monitoring the
many poorer households get a substantial part of response to harvesting. Guidelines exist for monitoring
their incomes from NTFPs. This income may be crucial sustainable use based on the plant parts to be harvested
during the “hungry time,” when crops have not yet been (such as bark, leaves, stems, seeds, and roots)
harvested and available household financial resources (see Shanley et al. 2002).
are few. The NTFPs often provide hunger foods and a
safety net to prevent starvation. NTFP enterprises have Sustainable management and harvesting depends on
the potential in some cases to diversify and improve the user group’s rights and ability to exclude other
local economies. stakeholders from these activities. Forest concessions
often extend rights to timber but not to other products.
At least 150 NTFPs – including honey, gum arabic, rattan, While a community might be managing a forest for
bamboo, cork, nuts, mushrooms, resins, essential oils, and wood harvest, the government could still have the right
plant and animal parts for pharmaceutical products – to give permits to outsiders for hunting, grazing, and/
are important export commodities that are significant or NTFP collection. Inability to control the actions of
in international trade. Trade of NTFPs, particularly for outsiders removes the incentive for sustainable resource
pharmaceutical uses, may form a significant portion management and creates a situation where each user
of regional and national economies, comparable in tries to maximize their extraction (if markets exist).
some countries to annual timber sales. Yet, despite their Where rights are clear and outsiders can be excluded,
widespread use and importance, NTFPs have generally communities or user groups may still need enforcement
been considered to be minor or specialty products, and and legal back-up to exert their rights.
their management has been not included in regional or
national forest planning. Note that activities that support the sustainable use
of NTFPs are not necessarily considered biodiversity
Interest in NTFPs, as with other sustainable uses of conservation under USAID’s Biodiversity Code. In order
biodiversity, has grown due to the increasing awareness to be attributed to the biodiversity funding earmark, all
of the potential role of these materials in biodiversity conservation activities must adhere to the Biodiversity
conservation and sustainable forest management. Code criteria. For example, tight linkages between
Managing forests for NTFPs can increase their long- identified threats to biodiversity and the proposed NTFP
term value and may provide a diversified stream of project must be present.
income from the forest for local communities and
national economies. Are NTPF enterprises appropriate and desired by
local communities?
Key Questions Investments in NTFP-based enterprises can improve
Are NTFP harvest practices sustainable? community capacity, access to natural resources,
Ensuring that harvest of NTFPs is sustainable for and income levels. These investments will be most
subsistence and commercial uses may be the greatest appropriate when communities are already engaged
challenge. Sometimes little is known about the basic in the extraction of NTFPs to some extent. It is
biology of an NTFP, such as its ecology; response important, however, to understand the following: how
to harvesting; or potential for domestication, semi- these enterprises link into the broader value chain
domestication, or silviculture. Ecological sustainability for the specific NTFP product (discussed in greater
has to be factored into value chain analysis, and if data detail below); what investments and capacity are
are not available, monitoring will have to be included to needed for the communities to meet market volume

and quality requirements to extract good value and and how the income is distributed. Strengthening the
benefits in terms of jobs, incomes, and greater technical rights or abilities of one group within a community
capacity for both men and women; and whether the may lead to a weakening of rights for another group.
communities have the wherewithal to undertake these Women from poor households generally rely more
investments without significant outside support. With on NTFPs for both subsistence use and income; an
this information, government agencies and/or outside enterprise development project may encourage
advisors can have discussions with community leaders additional members of the community to collect the
and members to determine whether they are interested NTFP, decreasing their availability to poorer households.
and would want the types of investments and changes Enterprise activities may also add to women’s time
that these enterprises would bring to their community. burdens, since they are often the ones who harvest
Equally important are opportunities to create niche NTFPs; and NTFP-based enterprises may actually
markets based on sustainable practices and greater decrease women’s incomes if men take over the
economic equity. enterprise. Combining NTFP products (which tend to
be gathered by women) with traditional timber products
Are NTFP-based enterprises developed using value (which tend to be harvested by men) broadens the
chain analyses? participation of families in forest-based incomes. In
It is important to understand how the NTFP value general, the more value-added processing involved, the
chain operates in the areas of production, collection, more income opportunities generated for women.
processing, storage, transport, marketing, and sales in
order to identify weak links in the commercial process. A Has certification of the NTFP been considered?
value chain analysis of the particular NTFP can provide Various forms of certification are available for some
useful information to local enterprises and guide their NTFPs that can increase their market value in certain
business and investment planning. The value chain analysis circumstances. Many accepted certification schemes
can also help clarify potential issues related to the rights, include criteria focused on the environmental, and
responsibilities, and economic returns for each actor to some extent, the social aspects of forest-product
in the chain that could be addressed through project harvest. Others involve “chain-of-custody” tracking that
activities. It should not be assumed that eliminating follows a forest product through the value chain, from
middlemen will benefit producers. Middlemen can play harvest, through processing or manufacturing steps, to
important roles in aggregating supplies for the market, marketing and point of sale. Organic certification focuses
extending credit and technical assistance to producers, on production and processing stages for agricultural
and providing quality control. and agroforestry products and sometimes NTFPs, as
well as tracing products to ultimate point of sale. Fair
Have the appropriate investments been made to trade certification focuses on fair compensation to the
ensure the success of an enterprise project? producers. Rainforest Alliance certification contains both
Investments can be made along the value chain, environmental and social standards. Certification can
depending on the analysis. While development activities increase producer costs, so a careful analysis of different
often focus on the community enterprise, support for markets is needed to ensure that the price buyers
storage facilities, credit, and other critical inputs might be are willing to pay merits the increased costs for
needed at different points along the value chain, not just product certification.
at the community level.
Have NTFP enterprises been integrated with other
What are the social implications of NTFP economic activities?
production? To be successful, NTFP enterprises must be integrated
The potential social impacts of an NTFP-based with other economic activities. If a community depends
enterprise depend on who in the community gathers too much on one enterprise, they may lack resilience
and processes the NTFP, how the resource is managed, when a harvest fails or market demand decreases. NTFP

management might require separate zoning in forest
areas or close coordination with other forest uses (such
BOX 60. NTFPS AND
as timber, pole, and firewood extraction and grazing) to
THE BIODIVERSITY CODE
ensure compatibility in resource management. These
possibilities should be taken into account when designing
the project. One way to address this is to diversify
enterprise activities to avoid excessive dependence on a
Non-timber forest products (NTFP)
single NTFP. enterprise development or promotion is not
automatically compatible with biodiversity
Another strategy is to domesticate high-value NTFPs. conservation. To contribute positively to
Wild grown and harvested plants are subject to natural biodiversity conservation objectives, explicit
conditions, such as weather variability or animal and links must exist between the enterprise and
insect predation, which affect their production. Also, conservation of a biologically significant area,
certain plants that have pharmaceutical or cosmetic not just the species used. Compliance with
value are site-specific in terms of active compounds the code may also depend on the relationship
found in their tissues. This will have to be factored into between the NTFP enterprise group and the
any consideration of the plants’ economic value and biological resources. For example, the NTFP
enterprise group may be natural resource users,
will require bioassays before true market value can
but activities should focus on the group’s role in
be determined. Learning to commercially produce
either protecting or threatening biodiversity.
these products can reduce threats to the forest,
increase quality and reliability of supply, and provide
a more constant stream of income for farmers. Care
is needed, however, in the decision to support NTFP
domestication, as those who might gain could be interests who hope to gain economically from improved
farmers with land and those who might lose could be varieties. A promising example is the Novella Africa
the landless poor with few other options for income initiative, involving Unilever, SNV, IUCN, and the World
generation. Several organizations are currently working Agroforestry Centre species of the Allanblackia genus.
on genetic improvement and domestication programs Allanblackia trees produce a fruit with an edible oil that
for tree crops and NTFP-producing species. In some is remarkably similar to butter. This oil could replace palm
cases, partnerships are developed with private sector oil in a wide variety of products.
Pa Somphorn and Ngorn Tvey

take stock of non-timber forest
products – NTFPs – collected
from their community forest in
Cambodia. NTFPs provide food,
fuel, fiber, and medicine to local
communities and sometimes
have export value, all of which
encourage conservation of natural
forests and sustainable harvests
governed by careful resource
monitoring and access rights.
Photo: Jeremy Holden

4.6 WATER RESOURCES Fresh water plays a key role in every aspect of human
life, including those that are most essential: drinking
4.6.1 Freshwater and Biodiversity water, food, and sanitation. Poor people, in particular,
Definition and Significance depend upon the goods and services provided by
Freshwater ecosystems cover a wide range of freshwater ecosystems, including for their subsistence
systems, including lakes, ponds, rivers, streams, springs, and livelihoods. An estimated 2.8 billion people are
headwaters, wetlands, deltas, and floodplains, among expected to face serious water shortages by the
others. Freshwater diversity includes the species that year 2025.
depend upon freshwater ecosystems for one or more
components of their life cycles, including plants, insects, Freshwater ecosystems and the biodiversity they contain
amphibians, reptiles, fishe, crustaceans, mammals, are declining faster than almost all other ecosystems
and birds. globally. More than half of the world’s wetlands have
been lost in the past century alone, and a large
There are some important concepts related to the percentage of threatened and endangered species
anatomy of aquatic systems. The headwaters area is the are aquatic.
area at which a river begins. This area might include a
wetland, a natural spring, a lake or pond, or a series of Key Questions
small tributaries in a mountain forest. Riparian areas are What are key types of threats to freshwater
the areas along a river or stream; these are especially biodiversity?
important for maintaining water quality, reducing Just as with threats to terrestrial biodiversity, there are
sedimentation, and regulating water temperature. Flow a wide variety of stresses on and threats to freshwater
is the amount of water that runs in a river or stream; it biodiversity. The most important threats include
includes two aspects: the volume and seasonal timing
pollution – Water pollution includes chemical and
of water and the pattern of movement, which can be
nutrient run-off and effluent from households, farms, and
altered by dams and channels. Wetlands are lands that
businesses. One of the most difficult threats to tackle is
are inundated by water for at least a portion of the year.
non-point source pollution, which includes pollution, such
They range from ephemeral wetlands that last a few
as run-off from farms, which emanates from numerous
weeks to permanent wetlands that are permanently
sources that are difficult to pinpoint, detect, and regulate.
covered by water. Floodplains are low-lying, flat areas
In areas with high levels of air pollution, water bodies are
adjacent to rivers, lakes, and coastal areas that frequently
also vulnerable from acidification.
experience, and are particularly adapted to, periodic
flooding. Estuaries are semi-enclosed bodies of water fragmentation – Fragmentation occurs when dams,
that have a free connection with the ocean but are dikes, and levees are constructed, whether for water
considerably less saline. The mouth of a river, or delta, is supply, flood control, or hydro-electricity. The vast
where a river runs into an ocean, lake, or wetland; majority of the world’s major river systems have been
these areas are typically rich in nutrients and thus very dammed. Fragmentation poses an especially significant
high in biodiversity. threat to migratory fish species, such as salmon.
alteration of hydrological regimes – Fragmentation
Water is the basis of all life on Earth. Although fresh is not the only threat resulting from the construction
water makes up only 3 percent of the world’s available of dams; the regulation of water flow results in altered
water, only 1 percent of this 3 percent of total water hydrological regimes, such as timing of seasonal floods.
is available and suitable for drinking water. Moreover, The channelization of rivers and streams, and dredging
freshwater bodies cover only about .8 percent of the of stream and river bottoms, can also result in altered
Earth’s surface, but freshwater ecosystems support hydrological regimes, which can be just as important as
nearly 6 percent of all species ever described, and fragmentation for many aquatic species, affecting their
extinction rates are four to six times higher for ability to reproduce at key points in their life cycles.
freshwater species than for terrestrial species.
sedimentation – Changes to riparian ecosystems, such water security – National water security is defined
as through intensive logging, can result in sedimentation as the ability of a country to reliably secure an adequate
and siltation downstream, with huge impacts on aquatic quantity of sufficiently high-quality water to meet the
biodiversity. needs of its population. Water security is threatened
conversion of wetlands – Because wetlands can around the world primarily by three factors: diversion
easily be converted to other land uses by dredging and of rivers toward competing uses (either within or
filling, and because they are traditionally undervalued, across national boundaries); unsustainable water
they are especially susceptible to conversion to other management practices, such as the depletion and/or
land uses, including transportation and industrial and salinization of aquifers and unsustainable consumption;
residential infrastructure. and inappropriate land management practices that do
not adequately protect headwaters, riparian buffers, and
invasive alien species – Freshwater systems are
water-recharge areas.
vulnerable to a variety of invasive alien species, such as
mussels, snails, parasites, fish, snakes, and aquatic plants. gender – In many cultures, women are largely
These species can easily spread from one water body to responsible for agricultural work, home sanitation,
the next, and one country to the next, through multiple food preparation, and childcare. All of these are water-
pathways, including transportation. intensive activities. In many regions of the world, women
spend more than a quarter of their time and daily
calories collecting water. In India alone, this adds up to
What are some emerging social and political
150 million work-days per year that are lost to water
dimensions in freshwater management?
collection. In addition, access to clean drinking water is
Some key emerging issues in water management include essential to maintaining the health of children, particularly
political conflicts, gender issues, and water security. in developing countries, and this role also primarily falls
Although these issues do not directly involve biodiversity, to women. Therefore, access to sufficient water is widely
they can be either exacerbated by mismanagement of recognized as a key gender issue.
biodiversity and aquatic ecosystems or mitigated by
sustainable natural resource management practices.
How will climate change affect freshwater
conflict – Water is a source of conflict in many regions resources and what can managers do about it?
of the world. More than a billion people do not have
Climate change impacts are most noticeable through
adequate supplies of drinking water. This number will
changes in precipitation, including increased frequency
continue to grow; as stated above, some studies predict
and intensity of storms, floods, and drought. Studies
that by 2025, two-thirds of the world’s population will
suggest that weather-related disasters involving water
face water shortages. Water conflicts may take several
(e.g., floods, drought, and storm surges) have increased
forms, including control of water resources and use of
three-fold over the past three decades and will continue
water as a political tool, military target, or instrument
to increase in the future. These threats are felt most
of terrorism. Although there are few direct wars over
severely in developing countries and can be mitigated to
water, and water conflicts have been relatively mild in
some extent by effective ecosystem management that
the past, water-related issues have often aggravated
focuses on principles of climate resilience and adaptation.
existing conflicts. With increasing pressure on freshwater
Examples of managing freshwater ecosystems for climate
resources, and with many countries sharing the same
resilience, adaptation, and mitigation include
water sources, an increase in water-related conflicts is
likely to occur in the future. Areas of particularly acute riparian and headwater forests – Forests,
water conflicts include the Jordan River Basin and the particularly riparian and headwater forests, help regulate
Tigris-Euphrates Basin in the Middle East; the Nile, Volta water flows and maintain water quality. Nearly half of the
Niger, and Zambezi Basins in Africa; and the Indus River world’s largest cities obtain a significant portion, if not
Basin in Asia. all, of their water from protected or managed forests.
Maintaining high-quality forests is the first step toward

maintaining water supplies during times of drought, help decision makers recognize and capture the value of
which are likely to be exacerbated by climate change. these services, often through a payment for ecosystem
wetlands and floodplains – Wetlands are a natural services (PES) scheme. Proliferating watershed markets
water-treatment system and ensure regular flows allow downstream users to pay for the costs of
of clean water in times of both drought and flood. conserving water sources upstream. Nearly 300 such
Floodplains enable human communities to adapt to markets have been identified, and the number continues
more frequent and intense rainfall events by absorbing to grow (Stanton et al., 2010).
large volumes of water. Managers can help strengthen
resilience of both areas by reducing threats to wetlands,
maintaining key structures and ecological processes, BOX 61. AN EXAMPLE OF A PAYMENT
and designing and managing wetland areas to withstand FOR WATERSHED SERVICE IN ECUADOR
weather events that are more frequent and intense than
historical norms.
rivers – Managers can strengthen river resilience
by maintaining natural hydrological flow regimes; An example of a payment for watershed service
increasing connectivity; and reducing key threats that is the Quito Water Fund (FONAG) in Ecuador,
lower resilience, such as removing invasive alien species, a trust fund established with USAID technical
restoring degraded riparian areas, and reducing pollution assistance over several years for the protection
of the watershed providing Quito’s drinking
and siltation.
water supply. The quasi-public municipal drinking
peatlands – Peatlands cover less than 4 percent of the water and electrical utility, a private brewery, and
world’s terrestrial area, yet they contain up to a third a water bottling company committed resources
of the Earth’s terrestrial carbon and store more than through an 80-year trust fund mechanism
double the amount of carbon stored in the world’s created through local financial regulations. To
forests. Peatlands found in Indonesia, the Amazon, date, FONAG has generated an endowment
and the Congo Basin harbor major forest biodiversity. of $6 million and provides $800,000 a year for
Managers can ensure that peatlands continue to be a conservation efforts that involve strengthening
carbon sink rather than a carbon source by avoiding upstream watershed parks and protected areas
peatland dredging, draining, and drying out. providing water quality protection to the city’s
municipal water supply. Payments support rural
families in restoring degraded lands and adopting
Why is economic valuation important to sustainable farming practices, reforestation,
freshwater biodiversity? and educating children about sustainable water
Economic valuation is the assigning of economic values management. From 2000 to 2008, USAID
(usually measured in monetary figures) to the ecological invested US $2.3 million and leveraged an
services provided by an ecosystem. Numerous studies additional US $7 million of fund revenue to
on the economic valuation of ecosystems have been support key conservation and watershed
protection activities through FONAG. The Quito
conducted over the past decade, many of which have
model is now being replicated for many Andean
focused on the vital services that freshwater ecosystems
cities (Stanton et al. 2010).
provide, including the provision of clean water and flood
control. The total value of services provided by wetlands
has been estimated to be as high as $15 trillion annually
(MEA, 2005).
Increasingly, economists not only focus on the value of
Yet these benefits are often hidden, and not well ecosystem services but also calculate the infrastructure
incorporated into full cost accounting and decision- costs that are avoided by maintaining freshwater
making processes. Economic valuation studies reveal the ecosystems. According the Environmental Protection
hidden costs and benefits of ecosystem services and can Agency, maintaining the Congaree Bottomland

Hardwood Swamp in South Carolina helped to avoid from freshwater ecoregions,12 and the primary unit for
a $5 million wastewater treatment plant; protected freshwater planning is often the drainage unit.
forests in the Catskills of upstate New York helped
avoid $6 billion in construction costs and $300 million Figure 18 shows South American ecological drainage
in operating costs annually for a water-filtration system; units based on geomorphic and climatic attributes (TNC,
and restoring the 100-year flood zone of the five-state 2007). This section outlines a process by which planners
Upper Mississippi River Basin could store 39 million can incorporate freshwater aspects into conservation
acre-feet of floodwaters – the same volume that caused planning at ecoregional and watershed scales.
the Great Flood of 1993 – and save over $16 billion in
flood-damage costs.
Figure 18. South American Ecological Drainage Units Based on
In the future, economists will likely place even more Geomorphic and Climatic Attributes (TNC, 2007)
importance on the economic value of freshwater
ecosystems, particularly as the full brunt of climate
change impacts begins to be felt. From 2000 to 2006,
more than 2,100 water-related disasters were reported
globally, killing more than 290,000 people, affecting more
than 1.5 billion, and inflicting damages worth more than
$422 billion (Adikari and Yoshitani, 2009). Given that the
World Bank estimates the total costs of adaptation to
be between $71 and $82 billion, there is little doubt
that governments will soon want to begin to assess
the economic value of freshwater ecosystems,
particularly their role in enabling societal adaptation
to climate change.
4.6.2 Freshwater Systems and Conservation

Planning
As described earlier in this handbook, conservation
planning is defined as the deliberate process of
identifying priorities for taking conservation action.
Freshwater conservation planning entails planning for
the conservation and protection of freshwater species;
natural communities; and ecosystems at a variety of
scales, including site, ecoregion, watershed, and
national levels.
The vast majority of conservation planning processes

that have taken place around the world have focused Reprinted by permission. Petry, Paolo and Leonardo Sotomayor.
on either terrestrial or marine biodiversity. There Mapping Freshwater Ecological Systems with Nested Watersheds
have been very few systematic efforts to incorporate in South America.The Nature Conservancy: 2009.
freshwater biodiversity into ecoregional- and watershed-
scale planning processes. Yet freshwater processes
and dynamics are often very different from terrestrial
ones. Terrestrial ecoregions are dramatically different 12 See, for example, the freshwater ecoregions defined by WWF and
compare with their terrestrial ecoregions.

Key Questions What are some key challenges in planning for
How can planners incorporate freshwater freshwater biodiversity conservation?
biodiversity into broad-scale conservation Planners face numerous challenges when planning
planning? for freshwater biodiversity conservation. Much of
Just as terrestrial biodiversity is divided into realms, freshwater biodiversity has yet to be classified. As a
biomes, ecoregions, landscapes, and ecosystems, result, planners often rely upon biodiversity surrogates,
freshwater biodiversity can be divided into classification rather than actual biodiversity data. The reliability of
units that help planners better capture it in their planning these surrogates has yet to be tested. The selection of
efforts. Higgins, et al. propose a four-tier classification focal species in freshwater conservation planning has not
system that includes a) an aquatic zoogeographic unit, yet reached the same level of maturity as in terrestrial
or basin; b) an ecological drainage unit; c) an aquatic planning. Integrating the results of freshwater, marine, and
ecological system within an ecological drainage unit; and terrestrial planning can be difficult, and there are multiple
d) microhabitats within aquatic ecological systems. conservation tradeoffs that must be made. In addition,
the process of planning for freshwater connectivity is
Key variables in defining an aquatic ecological system still largely uncertain; connectivity requirements are clear
include stream size and gradient, stream and lake for some anadromous fish species but are far less so for
elevation, stream and lake geology, hydrological regime, other freshwater species. Finally, the process for and key
lake size, lake drainage, lake drainage network position principles of planning freshwater ecosystems for climate
relative to species connectivity requirements, and resilience are still in their infancy.
lakeshore complexity. These factors allow planners to
develop conservation plans that better capture the 4.6.3 Integrated Planning for Watersheds,
nuances and complexities of freshwater biodiversity. Estuaries, and Coasts
Once these factors are defined, planners can Definition and Significance
incorporate them into the same kinds of systematic Several interrelated concepts are involved in managing
conservation planning processes and models as used freshwater biodiversity in a coordinated fashion across
in terrestrial planning, including Marxan and other broad scales.
software programs.
The issue of integrated water resources management
What is an example of incorporating freshwater is an increasingly important focus of USAID’s work.
biodiversity into broad-scale conservation Defined as “the coordinated development and
planning? management of water, land, and related resources in
In South Africa, planners used generic conservation order to maximize economic and social welfare without
planning software and applied it to the freshwater compromising the sustainability of ecosystems and the
ecosystems and planning units that were particular to environment” (Global Water Partnership), integrated
freshwater ecology (Rivers-Moore et al., 2011). They water resource management is a critical process. It
began by identifying priority primary catchments, and helps to avoid unsustainable rates of water use; address
then selected priority sub-catchments for finer-scale problems between competing water uses (including for
planning. The team identified significant biodiversity for drinking water, livestock, agriculture, industry, and energy);
the freshwater systems by focusing on key estuaries, and promote better cooperation and coordination
free-flowing rivers, highly intact areas, and important across multiple sectors.
catchment areas. They added additional features by
focusing on upstream-downstream connectivity and The concept of integrated coastal management is also
identifying migratory aquatic species, such as eels and important. Defined as a dynamic planning process
fish. As with terrestrial conservation planning, they that encompasses the sustainable use, development,
incorporated existing protected areas into their analysis. and protection of coastal, nearshore, and marine
areas, integrated coastal management is a well-

established process in many countries. But integrated negotiating and formalizing goals, policies,
coastal management planning processes often do not and institutional structures – getting formal
address inland issues within watersheds. A “ridge-to- endorsement of policies by major stakeholder groups,
reef ” approach tries to create a planning framework selecting an institutional structure for implementing
for uniting inland waters with integrated coastal integrated water resource management policies, and
management. See Chapter 3, Section 3.2.3, for more securing the required funding
details on ridge-to-reef approaches. adaptively implementing the integrated water
resource management program – assessing
What are some basic principles of integrated water the degree to which the preconditions of effective
resource management? implementation have been met, encouraging voluntary
Integrated water resource management is a widely compliance with agreements, and monitoring results
recognized planning approach. Broad consensus exists evaluating the program and learning from the
on some of its basic principles, including results – assessing the quality of the program execution
• a focus on coordination among multiple stakeholders and evaluating social and environmental impacts
• a simultaneous focus on economic and social welfare,
What are some examples of integrated water
equity, and biodiversity protection
resource management actions?
• an understanding of the interconnectedness of
improving institutions and policies for water resource
catchments, coastlines, estuaries, and land use practices
management – USAID has helped develop new
at multiple scales
mechanisms for better coordination and stakeholder
• an understanding of the potential for conflicts and participation and assisted in the development of new
tradeoffs between various stakeholder groups policies on key water issues.
• the use of scientific data as the basis for decision-
making developing best practices in water resource management –
• an emphasis on good governance and democratic USAID can help identify best practices, then encourage
participatory processes the diffusion and adoption of these technologies and
practices throughout the country.
What are some practical steps toward integrated
water resource management? increased NGO participation in water resource
A recent USAID guide highlights a series of practical, management – USAID has helped NGOs and
concrete steps that planners can take to put integrated community-based organizations increase their capacity
water resource management principles into practice. to participate in water resources management. The
These include Agency has also supported public-awareness and
outreach campaigns.
identifying key issues and building
constituencies – understanding the historic and
predicted water flows, threats, and uses; identifying
stakeholders and their concerns; evaluating potential
future impacts of uses on the freshwater ecosystems;
assessing the existing management system
formulating integrated water resource
management policies and strategies – setting
goals with stakeholders, conducting targeted data
collection and research, developing potential scenarios,
and experimenting with potential plans to determine
potential outcomes

4.6.4 Wetlands and Biodiversity Key Questions
Definition and Significance What is an integrated wetland assessment and why
The Ramsar Convention on Wetlands defines wetlands is it important?
as “areas of marsh, fen, peatland, or water, whether Because the economic, social, and ecological values
natural or artificial, permanent or temporary, with water of wetlands are so inextricably intertwined, a broader,
that is static or flowing, fresh, brackish or salt, including integrated assessment is often required. A recent guide
areas of marine water the depth of which at low tide by IUCN (Darwall et al., 2007) describes the process
does not exceed six meters.” Wetlands may include of integrated wetland assessment, with examples of key
lakes, rivers and marshes, nearshore marine areas, and elements to be included:
human-made wetlands, such as reservoirs.
physical wetland – the geology and topography and
hydrological regime
Wetlands harbor extraordinary levels of biodiversity.
Because wetlands are remarkably productive ecosystems, biodiversity and ecosystems – the wetland ecosystem-
they provide an unusually large number of benefits and specific species and their ecological context, and
services. The Millennium Ecosystem Assessment for ecological processes
Wetlands listed dozens of services, including ecosystem services – the full range of values, benefits,
and services, including water provisioning and regulation,
food production: fish, wild game, grains
food, and flood control
fresh water: for domestic, industrial, and
local livelihoods – agriculture, fisheries, and products that
agricultural uses
flow from the wetland
fuel: production of peat
policies, governance, institutions, and markets – markets,
climate regulation: carbon sink fisheries policies, and protected area management and
water regulation: groundwater recharge land use patterns
and discharge
water purification: removal of excess nutrients Together, these elements can be combined into a
conceptual synthesis, which in turn can lead to an
natural hazard regulation: flood control and
integrated management plan that addresses each of
storm protection
the issues above.
habitat: highly diverse ecosystems
What is an example of integrated wetland
As a result of these services, wetlands have enormous assessments?
value to society. One study found that for the
One example of an integrated wetland assessment is
Muthurajawela Wetland in Sri Lanka, the economic value
from Mtanza-Msona, Tanzania (Campese, 2008). In this
exceeded $7.5 million; for the Lake Chilwa Wetland
assessment, planners held a series of national and local
in Malawi, it exceeded $21 million; for the Wadden
dialogue meetings, followed by a national roundtable
Sea in the Netherlands, it exceeded $2.3 billion; and
discussion. Key findings included the following:
for the Pantanal Wetland in Brazil, it exceeded $15.6
billion. Despite the extraordinary economic, social, • All households used a variety of wetland resources for
and ecological value of wetlands, they are among the their subsistence and livelihoods.
most-threatened ecosystems in the world, and poor • Wetlands provided substantial economic value to the
consideration of these values is the leading cause of their village as a whole (about $100 per capita).
loss and degradation. Integrated wetland assessments
• The poorer households had a heavier dependency on
can help identify the economic, social, and ecological
the wetland in order to spread household risk.
values of wetlands and foster better societal decisions
about wetland management. • The vast majority of village economic activities
depended on the wetland.

• Some wetland species had a disproportionate strengthening governance – supporting the consolidation
importance for local livelihoods, while others were of water governance across many sectors within
more important ecologically. each basin
assessing and incorporating the economic values of
The existing management framework was inadequate wetlands – determining the economic values of
to incorporate these issues and needed to be upgraded environmental services and products, incorporating
to accommodate the multiple benefits, challenges, these values through demonstrative projects, and
threats, and opportunities revealed by the integrated promoting the results of these projects widely
wetland assessment.
promoting sustainable resource use – strengthening the
capacity of rural and indigenous communities to improve
What is mainstreaming of wetland biodiversity and
sustainable use of ecosystems, particularly sustainable
why is it important?
forestry and agriculture
Conducting an integrated assessment of wetlands is an
securing water rights – ensuring that indigenous and rural
important first step. In order to ensure that the values
communities with populations under 2,500 had secure
of wetlands are fully recognized by society, however,
water rights for domestic and productive activities
planners will need to take the next step – integrating
and mainstreaming these values into broader sectoral
Cameroon: In Cameroon, African coastal mangrove
plans and policies. Mainstreaming can be defined as
forests cover 3.9 million hectares and are of enormous
the full internalization of biodiversity conservation
economic and ecological significance to the country.
and sustainable use goals and objectives into the daily
For decades, these mangrove forests have been facing
management practices and policies of production
threats from harvesting of timber, fuel wood, non-
sectors. Examples of sectors that influence and/or
timber forest products, and artisanal fishing. Efforts to
depend upon wetlands include agriculture, land use
address these threats have focused on the dual aims
planning, water management, tourism, forestry, energy,
of biodiversity conservation and poverty alleviation.
and climate change planning.
Specifically, wetlands and poverty mainstreaming efforts
have included
What are some examples of mainstreaming of
wetland biodiversity? mangrove and wetland restoration – restoring key
There are several examples of effective mainstreaming mangroves and wetlands, while building efforts for
of wetland biodiversity into sectoral plans, policies, and poverty alleviation through sustainable harvest of non-
practices, including timber forest products
value-added processing of wetlands products – improving
Mexico: One of Mexico’s main development challenges methods of drying fish by building 50 community fish
is the availability of water – 32 percent of the country’s smoking buildings
natural water is located in central and northern Mexico, land use planning and gazetting – improving
where 77 percent of the population lives and 88 percent participation in the land use planning process and
of the gross domestic product is generated. The number creating community-use zones adjacent to core
of depleted aquifers has jumped from fewer than 20 conservation areas
in the 1970s to more than 100 in 2006. The focus of ecotourism development – promoting ecotourism,
mainstreaming efforts, supported by WWF and the specifically to the international bird-watcher community
Government of Mexico, has included
forestry and tenure policies – revising forest-clearing
improving sectoral awareness – promoting awareness of policies that allowed for the clear-cutting of mangroves,
the functions and services of freshwater and wetland and helping to resolve ambiguous land tenure policies
ecosystems, especially in the land use and water that promoted unsustainable practices
management sectors

Community members restore coastal mangrove forests near Davao City in the Philippines. Mangroves are
biodiversity hotspots, acting as nurseries for a variety of marine fish and invertebrates with local and/or
commercial value. They also help mitigate and adapt to climate change by sequestering carbon above and below
ground and shielding coastal communities from more frequent or intense storms, especially as sea levels rise.
Photo: DAI
4.6.5 Water Supply, Sanitation, and Hygiene Sustainable and equitable access to water supply and
(WASH) sanitation services and adoption of critical hygiene
Definition and Significance behaviors are important enablers of a broad range of
development benefits. WASH investments improve
“Water supply,” “sanitation,” and “hygiene” (WASH)
health and save lives, especially those of children under
(see Box 62 for definitions) constitute a suite of basic
5, about 760,000 of whom die from diarrheal-associated
services that are fundamental to human well-being
causes every year. When safe household water supply
and development. Providing more of the world’s
is reliably accessible, food security and nutrition are also
population with WASH services is a declared Millennium
improved. Girls have better opportunities for education,
Development Goal, and access to water supply and
and women are less burdened in the home. Secure and
sanitation was recently acknowledged by the United
sustained access to domestic water expands options
Nations as a basic human right. Despite this high-level
for livelihood strategies for both men and women
attention, it is estimated that 2.5 billion people around
and facilitates broad-based economic development.
the world still lack access to improved sanitation, and
WASH is a good investment, as well; the World
over 780 million people, primarily in sub-Saharan Africa
Health Organization has estimated that economic
and South Asia, do not have access to improved drinking
benefits associated with WASH total $3-34 for every
water sources.
dollar invested.

Underpinning these benefits are numerous important ensure the continuous natural supply of this resource
linkages between WASH and the natural environment, for all human uses, including WASH. The economic value
including the conservation of biodiversity. The integrity of the environmental services provided by such healthy,
of ecosystem processes is, in fact, a key supporting intact natural systems as high-biodiversity forests, riparian
element for the provision of sustainable WASH services. areas, and wetland systems is not trivial. In the well-
At the same time, carrying out WASH activities known case of New York City, a long-term watershed
in an environmentally responsible way is essential protection scheme has saved billions of dollars by
for protecting ecosystems and biodiversity. These avoiding drinking water filtration and treatment costs
intersections occur both “upstream” and “downstream” over the two decades it has been in place. In addition
of the WASH services. Domestic water supply and to drinking-water quality protection, intact and
water-based sanitation depend on the availability of biodiversity-rich ecosystems can provide other services,
steady, reliable, and clean quantities of water from such as the mitigation of climate change impacts that
natural sources. “Ecosystem services” associated with threaten WASH infrastructure and services (e.g.,
the natural hydrologic cycle – including the regulation coastal ecosystems buffering extreme storm events
of water runoff, infiltration, recharge, natural water or mitigating sea level rise saltwater intrusion into
storage, sediment control, filtering, and purification – groundwater supplies).
BOX 62. WASH DEFINITIONS
“Water supply,” “sanitation,” and “hygiene” can embrace a wide variety of meanings in day-to-day
conversation. Not all of these meanings align with the technical definitions most accepted in the
international WASH community, however. International WASH initiatives, such as are included in the
Millennium Development Goals (MDGs), use more precise definitions that should be kept in mind:
• Water Supply refers to water services provided primarily for domestic uses, including drinking,
cooking, cleaning, laundry, and basic personal and household hygiene. Some productive uses
of water may be included, but dedicated water supply development for agriculture, power
generation, or ecosystem use is not included in this definition. “Improved” domestic water supply
under the WASH MDG definition implies some degree of “safety,” but does not include explicit
water quality standards or required treatment.
• Sanitation is defined as hygienic management of human feces to reduce the risk of fecal-
oral transmission of disease. As a primarily public health-oriented definition in the developing
country context, “improved sanitation” has not traditionally required management of human
waste collected before discharge into the environment (i.e., wastewater treatment or fecal
matter processing). In more recent international dialogues, however, the definition of sanitation
has broadened to address the issue of environmental sustainability and appropriate waste
management associated with sanitation collection systems. Note that issues such as industrial
wastewater management are still not included in these discussions.
• Hygiene, for most WASH practitioners, refers to specific evidence-based behaviors that are
linked to the reduction of diarrheal disease, including hand washing with soap; sanitary feces
management; and proper transport, storage, or treatment of household water quality. Increasingly,
attention to food preparation and storage is also included as a key hygiene behavior. In addition,
some WASH practitioners include other forms of personal hygiene, such as face washing to
control trachoma and other water-related diseases, or non-diarrheal disease-related practices,
such as menstrual hygiene.

At the opposite end of the WASH services value chain, the implementation of such approaches demonstrates
poorly managed waste from human sanitation systems equal or better development results than stand-alone
can pose significant threats to biodiversity downstream, programming in each area. Guiding principles include
especially near dense population centers. In developing the following:
countries, less than 10 percent of wastewater is treated
“Do no harm” to either sector – e.g., by ensuring
or managed in an environmentally sustainable fashion.
that human waste from WASH systems is managed
Given expected rates of global urbanization, and a shift
properly before discharge into the environment, or that
to more water-based sanitation and sewerage typically
investment in ecotourism or other natural resource-
accompanying the growth of cities, these volumes are
based livelihoods to conserve biodiversity does not
likely to increase dramatically in the future. Discharge
result in domestic water shortages for communities.
of this untreated human waste from urban areas is
already having a significant environmental impact. Adhere to state-of-the art technical approaches
More than 50 percent of global rivers, lakes, and coastal in both sectors. The provision of one-off, individual
waters are estimated to be seriously contaminated, community WASH systems, employed as an entry point
with bacteriological and nutrient pollution from domestic for rural community NRM governance, is not generally
wastewater a key contributor in some areas. “Dead considered to be either sustainable or transformative by
zones” currently affect more than 245,000 km2 of WASH practitioners. Conversely, focusing biodiversity
marine ecosystems as a result of such contamination. programs specifically on WASH-related ecosystem
By 2030, more than one-fifth of the global population services (either upstream or downstream) may not be
will be discharging its waste in coastal areas, placing seen by biodiversity specialists as the most critical way
fragile coastal/estuarine ecosystems and biodiversity to reduce threats to a country’s high-value biodiversity
at even greater risk. areas. However, with some modest compromises and
strategic pooling of resources on each side, synergies
Systems thinking and integrated approaches are can often be found that are strategic from both points
essential to addressing both “upstream” and of view.
“downstream” WASH and biodiversity linkages. The Engage appropriate technical expertise in both
prevailing management paradigm in the water sector sectors. Much of the justifiable criticism of integrated
is integrated water resources management (IWRM), programs has occurred when WASH or biodiversity
which includes WASH and all interconnected users specialist organizations attempt to design and/or
and stakeholders in the governance and management implement programs in the other sector. Environment
of water resources. Intersections between WASH NGOs often construct water points or train community
and biodiversity can be explicitly addressed within the WASH committees without a core expertise in this area,
framework of IWRM, including issues of water quantity while WASH NGOs may add on environment-sector
and quality for human use, as well as the maintenance activities without the necessary technical capacity in this
of healthy ecosystem services. area. Demonstrated multi-sectoral expertise should be
present starting in the design stage of the program and
Key Questions continue throughout implementation and follow-up;
What are the essential ingredients for strategic this may require engaging more than one implementing
integration of WASH and biodiversity programs? organization.
While there has been increasing interest in the

integration of biodiversity conservation and WASH What are some of the most common examples
programs, not all such efforts are strategic or result in of strategic integrated WASH and biodiversity
sustainable benefits. Successful integrated WASH and activities?
biodiversity programming occurs when the approaches Successful integrated WASH and biodiversity programs
proposed are deemed a priority from the perspective support a variety of policy tools, technical approaches,
of both the WASH and biodiversity sectors, and when and market mechanisms to simultaneously keep

ecosystems healthy and ensure the sustainable delivery watershed-related benefits. “Beneficiaries” of these
of WASH services. The Africa Biodiversity Consultative services can be downstream consumers of drinking
Group (ABCG) provides a valuable resource based water supply, as mentioned above. At the other end
on an expert workshop for integrating WASH with of the spectrum, businesses and industries in valuable
freshwater conservation and biodiversity. See Box 63 coastal and marine habitats, including tourism and
for tips on applying biodiversity funding earmarks to fisheries, can also be recipients of ecosystem benefits
WASH activities. derived from upstream urban areas that treat domestic
wastewater. In selected contexts, there are opportunities
Common strategic approaches seen in successful to convert this value into financial support in the form
integrated WASH and biodiversity programs include of payments for environmental services (PES)/payments
for watershed services (PWS) that transfer funds from
water resources and watershed management
the recipients to the providers of ecosystem services.
to protect source water supplies for WASH
More than 100 of these schemes are currently operating
services and healthy ecosystems – There is
around the world in association with municipal drinking
increasing recognition among WASH practitioners that
water supply, primarily in Latin America (e.g., in Quito,
protecting the quantity and quality of source water
Ecuador and Bogotá, Colombia). While promising in
in nature is a fundamental component of sustainable
some settings, operationalizing such schemes is difficult
and resilient domestic water and sanitation service
in practice, and many barriers remain, including lack of
delivery. Biodiversity advocates also recognize the value
technical and market information, limited institutional
of conserving high-value ecosystem services provided
experience, inadequate legal framework, limited
by important river basin systems, most of which also
successful business models, and equity concerns.
provide a supply of drinking water and assimilate
sanitation waste. Integrated strategic approaches may improved management of excreta and domestic
include reduction of threats to ecosystem services in wastewater to reduce threats to sensitive
upper catchments that specifically protect drinking water freshwater and marine aquatic habitats – The
quality (such as WHO’s “Water Safety Plan” approach) design and implementation of WASH programs must
or multi-stakeholder, participatory governance of water follow USAID environmental compliance regulations
resources and services at the scale of the watershed, to mitigate environmental externalities associated with
catchment, river basin, or aquifer. Managing domestic these activities. This starts with the immediate impacts
water supply extractions to ensure that there is no of construction of water and sanitation infrastructure
adverse impact to natural flow regimes or the ability of that might affect ecosystem functions (e.g., vegetation
hydrologic systems to produce food, cycle nutrients and clearing, damage to riparian or wetland habitats,
sediments, and maintain critical wetland and estuarine alteration of river flows, and soil erosion at construction
habitats is also important. These integrated activities sites). The long-term environmental impacts of waste
are most appropriate in defined water catchments management are also priority areas of intervention.
with documented high-value ecosystem services that Numerous wastewater treatment options are available,
also provide surface water supply to a population including decentralized constructed wetlands and other
center. (See Box 64 on water safety planning in lower-technology/lower-cost approaches. For household
the Philippines.) or institutional latrines, there are several “ecological
sanitation” options available that compost waste on-site.
economic valuation of environmental services –
Increasingly, technologies are being developed that view
Economic valuation of ecosystem services that benefit
excreta as a useful resource, rather than simply as a
people can be an effective tool to advocate for the
waste disposal problem. These technologies are creating
importance of investing in biodiversity conservation.
closed-loop systems that transform human waste into
It also provides an incentive for promoting policy and
a valuable community asset such as fertilizer or energy.
legal reforms for both environmental and human health.
(See Box 65 on wastewater management and marine
A significant portion of the monetary value assigned
conservation in the Caribbean.)
to ecosystems worldwide is associated with water and

provision of basic WASH services as an entry broader range of governance and development issues.
point to other development issues – Poverty, Likewise, biodiversity programs that include livelihood
environmental degradation, poor human health, and the components and WASH programs can find productive
lack of basic WASH services often coexist, especially in and mutually beneficial ways to partner through the
remote rural areas, and there has been some positive development of multiple use water services that provide
experience in co-programming these sectors to achieve community water supply for both domestic and small-
development outcomes at a more efficient cost. From scale productive uses. As mentioned earlier, care must
a community buy-in perspective, access to WASH be taken to ensure that any such co-programming is
services is often a much higher local development done as part of a systemic and strategic investment in
priority than the conservation of biodiversity or sustainable WASH services at scale, not merely as a
environmental protection. Biodiversity programs “wrap-around” activity for NRM, or water and sanitation
can productively collaborate with WASH partners services are unlikely to remain operational over time.
as a way to engage and organize local residents in a
BOX 63. WASH AND BIODIVERSITY: TIPS FOR APPLYING USAID FUNDING EARMARKS
When considering options for integrated programs that include both WASH and biodiversity
components, careful attention must be paid to the requirements associated with both the USAID
biodiversity earmark and the USAID water earmark (as well as any other potential sources of
funding used for either). Some things to keep in mind:
• Biodiversity earmark funds can only be used for the direct provision of WASH services in rare
instances, e.g., the construction of WASH facilities for visitors in national parks. (Use of water
earmark funds for this purpose would be technically eligible but not considered particularly
strategic from a WASH systems point of view.)
• The water earmark generally only permits a partial attribution to water resources management
activities, so would need to be pooled with other funding sources (potentially including the
biodiversity earmark) to support an integrated water resources/watershed management activity.
• To partially attribute biodiversity earmark funds for water resources/watershed activities
supporting WASH, there must be a clear, documented, and evidence-based cause/effect
relationship between reduction of biodiversity threats and the high-value watershed ecosystem
services being protected.
• Geographic location is critical to even considering the possibility of successfully integrating
biodiversity earmark money with the water earmark or other funds. Strategic approaches
supported by the biodiversity earmark must reduce threats in areas of high-value biodiversity.
To effectively integrate with WASH activities, these zones of high-value biodiversity must occur
on the “upstream” or “downstream” side of the targeted WASH activities.
• Water earmark resources may be used for small-scale treatment of community wastewater
or management of fecal matter associated with household sanitation. USAID environmental
compliance regulations can provide an important incentive to allocate water earmark funds to
mitigate potential pollution or other impacts associated with WASH programs.
• Both water and biodiversity earmark programs must have an explicit primary or secondary
objective and must monitor indicators associated with outcomes in each sector.

BOX 64. WATER SAFETY PLANNING IN THE PHILIPPINES
Most “watershed management” activities prioritize conservation, natural resources management, or

poverty alleviation goals, with benefits for downstream drinking water supply sometimes claimed
but rarely documented. The World Health Organization (WHO) has developed a methodology
that provides opportunities to achieve both conservation and WASH outcomes in selected high-
biodiversity watershed settings – water safety planning (WSP). Similar to the threats-based approach
used in conservation programming, WSP focuses on identifying and targeting “risks” to drinking
water quality along the entire service cycle, from source to consumer. The methodology begins
with a thorough assessment of vulnerabilities throughout the service chain. It follows through
with development of specific action plans and implementation of multiple preventive “barriers” to
contamination. Finally, it institutes a rigorous monitoring and evaluation program to ensure that
drinking water quality is maintained to WHO or locally mandated standards.
While much of the WSP methodology is focused on identifying and addressing risks in the physical
infrastructure of the water supply or treatment system, one part of the approach requires assessing
the condition and state of protection of the natural water source. In the case of surface water-fed
systems, there is a specific focus on the important water quality protection services provided by
watershed landscapes, one of the most commonly cited ecosystem services and conservation values
provided by healthy watersheds.
In recent years, there has been considerable dissemination and testing of the WSP methodology
in developing countries around the world. In 2007, the methodology was applied by the Maynilad
Water Company 50 km northeast of Manila, Philippines, which is home to a forest surrounding
the Ipo Reservoir, one source of the municipal water supply for Manila. The ecosystem is under
threat from illegal loggers and charcoal makers, with the resulting deforestation contributing
to mudslides and flash floods that put people and settlements at risk and contaminate drinking
water supplies. The Maynilad Water Company’s WSP has highlighted deforestation as one of
the biggest threats to drinking water quality in their system, with the resulting turbidity levels
requiring a significant increase in the cost of treatment, as well as maintenance needed to prevent
sedimentation blockages.
The village of Sitio Anginan on the shore of the Ipo Reservoir is home to 43 indigenous Dumagat
families whose traditional livelihood is derived from farming, fishing, and making charcoal. Following
the participatory WSP process, the water company and community worked together to reduce
such water-contaminating practices as land clearing around the reservoir, where a vegetated buffer
is now in place to reduce sedimentation into the reservoir. Charcoal making has also stopped, with
firewood now collected from fallen trees. To compensate for the loss of income, the water company
has employed community members to cultivate and plant tree saplings for reforestation and provide
protection of the forest from damaging activities. The discipline and rigor of the WSP process has
also had broader benefits, including capacity building to improve water company operations and
improved governance of both water resources and services through the methodology’s highly
participatory stakeholder planning process. Following the WSP protocol, strict monitoring is also in
place by the water company to track the impact on risks to drinking water quality resulting from
this and other strategic approaches. (For more information, see www.wsportal.org.)

BOX 65. WASTEWATER MANAGEMENT AND MARINE
CONSERVATION IN THE CARIBBEAN
The Caribbean Sea Ecosystem Assessment (CARSEA) and other studies have found that one of
the greatest drivers of degradation of the Caribbean coastal and marine environment is the
discharge of untreated wastewater into coastal waters. This threat to the biodiversity of these
highly valued ecosystems undermines livelihoods that depend heavily on natural marine resources.
Currently, 85 percent of the wastewater entering the Caribbean Sea is untreated, and less than
2 percent of urban sewage in Small Island Developing States (SIDS) is treated before disposal.
While wastewater is considered a serious threat by environmental managers and biodiversity
conservationists, from a WASH services perspective there has been less commitment, with the
global priority focused on access to basic sanitation and sewage collection (not treatment). This
has been changing in recent years, as reflected in the current post-MDG Development Agenda
consultations, where WASH practitioners have begun to consider management of fecal waste as part
of the commitment to sustainable sanitation coverage. Constraints are huge, however, with limited
funding for infrastructure remaining a challenge for many governments in developing countries.
The political priority of wastewater treatment infrastructure financing is also low. In the Caribbean
region in the 1990s, the water and sewage sectors as a whole consistently received the least
investment, compared with the energy, telecom, and transport sectors, with very little directed to
wastewater treatment.
The Caribbean Regional Fund for Wastewater Management (CReW) was established with support
from the Global Environmental Facility (GEF) program in 2011. The program, co-implemented by
the Inter-American Development Bank (IDB) and the UN Environment Program (UNEP), is testing
two different innovative wastewater financing mechanisms in four pilot countries: Jamaica, Belize,
Guyana, and Tobago. Projects are selected to address both biodiversity and WASH considerations.
Investments must result in a significant improvement in (or reduced further deterioration of)
coastal water quality. At the same time, projects must address a high service priority for the
wastewater utilities and work to keep project financing costs within ratepayers’ ability to pay.
Financing mechanisms reflect local financial conditions, regulatory frameworks, and utility capacity
and include both revolving fund and credit enhancement models. The program provides capacity
building and technical assistance for wastewater system design to ensure that projects satisfy all
local government and CReW requirements.
Policy and legislative reform efforts are also being pursued, including improving compliance with
obligations of the Cartagena Convention and its Protocol on Land-Based Sources of Pollution.
Learning, as well as knowledge exchange and dissemination, are also core components of the
program, including sharing of pilot-project results and lessons learned through the GEF International
Waters Learning Exchange and Resource Network (GEF IW-LEARN) and development of a
clearinghouse mechanism to provide information about wastewater management to technical
experts, as well as national leaders, policymakers, the private sector, the media, and the general
public. While it is too early to assess results, the program has the potential for a catalytic impact in
both reducing biodiversity threats and improving the quality and sustainability of WASH services at
a regional scale. (For more information, see: www.gefcrew.org.)

4.7 SOCIETY, CULTURE, AND The section reflects the ways that social science
INSTITUTIONS and conservation science have worked together to
understand, model, and improve natural resource
This section focuses on the intersection of conservation management. Insights have emerged from multiple
and human society as expressed in social institutions, disciplines, notably anthropology, rural sociology,
including cultural norms and legal and regulatory psychology, political science, legal studies, human rights,
systems. Humans are social animals; cooperation is and human geography, as well as cross-disciplinary
essential to human survival. Yet humans are also intensely work on common property (or common pool) natural
competitive. Society is the ultimate driver of the current resource management and environmental governance.
epoch’s catastrophic biodiversity loss, as well as the Intersections with USAID programs that have significant
foundation for conservation. What knowledge about social and institutional dimensions are included in the
human social organization and behavior is necessary for following sections: Land Tenure and Property Rights,
biodiversity conservation programming? What are the Democracy, Rights and Governance, and Conflict
best ways to tame conflict and leverage cooperation in Management and Mitigation.
the service of conservation?
People living in the foothills of the world’s third-highest mountain gather to assess red panda populations and
habitat. Communities like this in the Sacred Himalaya Landscape of eastern Nepal and neighboring India manage
their natural resources through forest-user groups and anti-poaching patrols. Photo: WWF

BOX 66. DEFINITIONS
Society. Society is human interaction that produces enduring structures. All humans are part of
societies, which in turn comprise many levels, groups, and institutions. A person’s role (functions
served in the social group) and status (relative power and influence) strongly determine involvement
in groups and institutions. People have multiple roles within social layers, from the household to the
nation-state and, increasingly, within global societies.
Institutions. Institutions are structures that govern the way societies act, as well as the expression
of how people organize themselves to act. A legal, market, or governance system is thus an
institution or an organization created to work within these systems, such as a legal advocacy group,
Chamber of Commerce, or political party.
Culture. Material culture refers to the physical tools, artifacts, and structures that people create.
But culture also comprises symbolic structures, such as music, art, different forms of written and
spoken language, concepts, and ideas – indeed, the whole architecture of knowledge. The essence
of culture is pattern and structure that is passed on via learning rather than genetic inheritance.
A “culture” is thus a constellation of learned behavior patterns. Non-human primates, such as
chimpanzees, have been found to employ cultural transmission of such knowledge as hunting and
gathering techniques; however, “culture” in its full complexity is a unique human characteristic. A
worldview is a knowledge system that comprises the ways that people perceive and understand
causality, family, strangers, space, time, nature, and other concepts. For instance, in some cultures,
nature is integrated into human society.
Behavior. Behavior is what people do and how they react to situations. It is shaped by humanity’s
primate heritage, as well as by social status, gender, locality, power relations, and other social
variables. There is a difference between normative behavior – people saying or doing what they think
they should do to conform to culture and society – and actual behavior. This difference is crucial to
an understanding of behavior change.
Community. This term is vague and often not useful in understanding and interacting with
individuals, groups, and institutions. Social scientists prefer to use more specific terms that refer to
a locality, for instance “village,” “hamlet,” and “district,” or to a social function, such as “forest user
group” or “marine management institution.”
Conservation requires social capital and collective action in the management of common
property natural resources, such as forests, fisheries, coasts, rivers, and grasslands. Social capital is
the intangible quality of being able to work together productively on common tasks. The glue is
trust that comes from common values and adherence to rules. Collective action is needed because
natural resources and biodiversity are not the province of one individual, family, group, or actor; they
cross boundaries. People must work together to manage them.

4.7.1 Social Safeguards and Soundness informed, more organized, and empowered to challenge
Definition and Significance and/or collaborate with initiatives. There is also more
potential for conflict, in the absence of effective,
A USAID-supported conservation program in the South
legitimate state-society relations, due to the growing
Pacific got off to a rocky start in developing relationships
scarcity of land and natural resources and rapidly shifting
with landowning clans in the conservation area. Project
demographic trends.
staff interviewed project implementers, who described
what happened:
Social safeguards have the aim of assuring that
projects “do no harm” to people and groups, parallel
We organized a landowner forum. It was supposed to be a
to USAID’s environmental safeguards embodied in 22
big meeting where we were going to develop an agreement
CFR 216, which mandates initial analysis and regular
between the project and the landowners. But the meeting
monitoring of possible environmental harm that can
was very poorly planned and facilitated. Our facilitator, who
come from a given activity. Social safeguards require
was from the outside, brought policemen to the meeting
review of projects to assess stakeholder consultation
and kept pushing for conservation in a very open way.This
processes and possible impacts on vulnerable groups
ended up getting the people angry at us.They were saying,
and indigenous peoples. They flag such key concerns as
“This is our land – who are you to tell us how to run it?”
dislocation and resettlement of populations and potential
This kind of forum needs much better planning so that
loss of livelihood.
you can work out a deal that benefits both sides, including
provisions for what happens if the deal is not upheld by
Safeguards are critical both to protecting affected
either side.13
populations and to mitigating risk to project
implementers. They are, in a sense, a minimum standard,
This story illustrates two key elements of social
often legalistic in nature; for example, they may mandate
safeguards and soundness: due diligence and building
stakeholder consultation but not necessarily assure
trust. The bottom line of due diligence is assuring that
the quality of this consultation. Or they may involve
programs do not cause harm or generate conflict –
compensation for displacement and redress mechanisms
or that when they do, managers put in place a sound
in the case of harm or perceived/alleged harm, but not
mitigation plan agreed upon by all stakeholders. To avoid
necessarily analysis that would prevent such harm in the
negative outcomes, managers need comprehensive and
first place. As such, an organization can have excellent
reliable data about target populations, their institutions,
safeguards but not necessarily incorporate the social
and their history on the land, as well as knowledge
soundness approaches that improve prospects for
about appropriate and effective modes of engagement,
social sustainability.
communication, and even proper manners and dress.
While safeguards and other project- or institution-
Communicating in culturally appropriate ways not only
level policy mechanisms are used to avoid or mitigate
prevents misunderstanding and conflict, it builds trust.
harm and conflict, socially sound programming
And relationships of trust are essential for conservation
complements safeguards by proactively assessing and
success. A study in three protected areas by Marc Stern
addressing key social dimensions and issues in design
of the University of Vermont found trust and legitimacy
and implementation. These dimensions include existing
to be key factors related to voluntary compliance in
and historical relations among stakeholders, institutional
situations where general agreement with conservation
capacity, good governance, conflict sensitivity, and
regulations does not necessarily exist.
approaches to behavior change.
In developing countries, the stakes are higher now, as
Behavior change: Although often a stated goal of
local communities and other actors become better
conservation efforts, it is not easy to change behavior. An
13 BSP, If Only I Knew Then What I Know Now: An Honest Conversation individual’s behavior is shaped by a multitude of personal
About a Difficult Conservation and Development Project. Lessons from the
Field, Biodiversity Conservation Network, c. 1998. and social factors. Over-reliance on data gathering

through surveys and focus groups limits understanding What social safeguards does USAID apply to
of behavior and thus the ability to impact it. Observed biodiversity programming?
behavior is often very different from stated behavior, Although USAID has no formal social safeguards, such
which reflects social norms, particularly with respect to as those found in the multilateral development banks
activities that may be sensitive, illegal, covert, or socially and other agencies (e.g., World Bank, Overseas Private
discouraged. Thus, the understanding and trust needed Investment Corporation [OPIC]), efforts to develop
to implement socially sound conservation requires time guidelines that serve a similar purpose are proceeding
and effort, as well as the emotional intelligence to listen on multiple tracks:
and learn from others.
The Forest Carbon, Markets, and Communities (FCMC)
Constituency building: While knowledge about social program has analyzed the social dimensions of REDD+
institutions, norms, and history is critical, social soundness and assisted USAID in evaluating policy and practice
also involves how that knowledge is used – how one options. This analysis includes a review of all donor and
goes about doing the work, as much as what one knows large NGO safeguards and standards for REDD+.
or does. For instance, an assets-based approach builds
on, and builds up, the assets of involved stakeholders The Democracy Conflict and Humanitarian Assistance
(see Section 3.3.5). It uses an understanding of what (DCHA) Bureau has developed a human rights strategy
matters to people and how to best communicate and to guide program managers in considering impacts on
work together to ground an initiative in stakeholders’ such vulnerable populations as indigenous peoples and
knowledge, values, skills, networks, and institutions. These lesbian, gay, bisexual, and transgender individuals.
concepts are the basis for building constituencies for
conservation that may be outside of the “conservation The Policy, Planning, and Learning (PPL) Bureau
sphere” but have intersecting interests, concerns, has mandated project-level “sustainability analysis”
and values. that addresses some elements of social and
benefit sustainability.
Key Questions
Is conservation an essentially benign activity? The mandated gender analysis is increasingly stressed
Virtually all conservation actions involve some measure Agency-wide. Understanding the differential impacts
of risk or tradeoff. Indigenous and environmental justice on men and women of a given activity is a critical
activists, journalists, and social scientists have focused component of social soundness (See Section 3.1.6).
on issues of resettlement and dislocation in the
creation of parks and protected areas, as well as other In Chapter 2, many approaches to assessment and
perceived human rights violations. Protected areas are evaluation are described that can be used to measure
often located in the territories of indigenous, tribal, the social impacts of projects and activities. If appropriate
and marginalized peoples who have weak political and indicators and learning systems are put into place, these
economic influence at the national and international impacts can become apparent early on to avoid possible
levels. As with all USAID programming, it is important for harm and increase engagement of more marginalized
the planners and managers of conservation programs stakeholders.
to be alert to international and national treaties, laws,
and safeguards and – given USAID’s mandate to end In terms of USAID-funded research, USAID’s new
extreme poverty – to consider actions that may put research policy calls for oversight of an Institutional
poor people at risk. Review Board (IRB) for human subjects research – this
typically applies more to laboratory research. The
American Anthropological Association has a detailed
code of ethics with respect to field research informant
and data confidentiality.

How are social soundness principles incorporated Social science research should be consulted and
into USAID programming? supported during the course of the program.
In the past, USAID required a social soundness analysis
(here is as an example from an agroforestry project As noted in other chapters and sections of this
in Haiti) as part of project design. The current guidance handbook, social soundness is part of USAID’s legacy
is better suited to the type of integrated development in the biodiversity and NRM sector – a sector that
project that was implemented in the 1980s than to has learned through the decades to take a holistic,
the range of today’s projects and this analysis is now participatory, long-term approach that builds on and
optional. At present, consideration of social soundness bolsters local institutions. There is no substitute for
may depend on the type of program, the experience of relationships built on trust and partnership.
managers and implementers, the country, and site-level
concerns. The following are suggested approaches to 4.7.2 Effective NRM Institutions
integrating social soundness in programming: Social soundness does not mean sustaining specific
institutions, but sustaining and improving institutional
Pertinent resources to consider in design of socially capacity to meet social needs. Steps include assessing the
sound programs include institutional assessments, conflict capacity, evolution, and context of partner institutions
assessments, and political economy analysis in addition and seeking appropriate roles for local institutions while
to the required gender and sustainability analyses (See taking care not to overload them or put them at risk.
Section 2.3.4). Review social and economic indicators,
which indicate vulnerability of different populations in a Key questions in sustaining and improving institutional
country, and project reports that discuss implementation capacity include the following: What services do local
lessons in terms of adoption, spread, and sustainability of environmental NGOs provide to their constituencies?
specific approaches. Have they become more service providers to donors
and lost touch with local needs and constituencies? What
In line with USAID Forward, project planners should can be done to help them build skills that will aid local
consider ways to support local organizations that have constituencies? What about government institutions and
high social capital and the ability to mobilize collective their capacity and performance with respect to people’s
action in socially and culturally appropriate ways to meet needs for security and livelihood (and beliefs, values,
USAID funding requirements. These institutions may or and sense of dignity)? Perceptions about ineffective
may not be in the conservation or environment sphere. or illegitimate performance by institutions can drive
grievances around natural resource management and
It is important to start at a broad social scale rather fuel conflict. (See Sections 3.3.7 and Section 4.8.2.)
than piloting and scaling up. The SCALE methodology
(see Section 3.1.1) can be used to identify active Nobel Laureate Elinor Ostrom devoted her life’s work
umbrella institutions and networks. These institutions to the study of effective institutions for “common-pool”
and groups may be formally or informally organized. natural resource management. Her quest was motivated
For instance, a market or value chain for a product by the desire to disprove “tragedy of the commons”
may have no formal organization but have a structure theories that posited that when resources were
that links actors. Note that some formal umbrella managed in common they would inevitably be depleted
institutions may be weak because they lack a mandate because individuals would look out for themselves,
or were created to fill donor or government needs for rather than the common good. Orstrom and her
consultation or harmonization, rather than the needs students and colleagues developed a master database
of local constituencies. Working with journalists on common property NRM and identified conditions
and media on campaigns that promote social for successful common property institutions and
soundness is one vital avenue. their outcomes:
• clearly defined boundaries

• adapted to local conditions Some Missions implementing USAID Forward are also
• inclusive decision-making developing guidance and tools for local partners to
strengthen their capacity.
• effective/accountable monitors
• conflict management institutions Many scholars continue Orstrom’s work. The
• graduated sanctions for enforcement International Forest Resources and Institutions
• nested in larger systems (IFRI) database is a major resource for understanding
• recognition/acceptance of resource ownership by institutional dimensions of forestry and human-ecological
external authorities (the state) systems linkages such as this one:
By using original data on 80 forest commons in 10
USAID has invested intensively in NRM institutions and countries across Asia, Africa, and Latin America, we show
learned a great deal as well. Much of this learning was that larger forest size and greater rule-making autonomy
distilled in the January 2013 workshop on CBNRM. at the local level are associated with high carbon storage
Box 67 describes some of this experience related to and livelihood benefits; differences in ownership of
support to NRM institutions. forest commons are associated with tradeoffs between
livelihood benefits and carbon storage.We argue that local
USAID’s Human and Institutional Capacity communities restrict their consumption of forest products
Development Handbook is a great resource for gauging when they own forest commons, thereby increasing
the competencies and needs of local institutions. carbon storage.
BOX 67. NATURAL RESOURCE INSTITUTIONS: LESSONS LEARNED
Rural institutions are presented with a number Apex organizations (networks of CBOs) and
of challenges. externally-created groups may not be the most
• There can be a proliferation of organizations. beneficial to local actors.
• Organizations can be tools of empowerment, • CBOs may need to represent themselves
representation, and self-determination, but rather than through apex organizations or
they may also be coopted as an extension of NGOs.
command and control. • CBOs need legal advice pertinent to their
• They face prescriptive and onerous processes. situations and capacities.
• Documentation requirements (e.g. to obtain • Resource-specific organizations (e.g., forest
a community forest) often reflect a double or water user groups) often duplicate existing
standard and top-down thinking. organizational legislation.
• Groups face low economic margins and • Multipurpose and flexible organizational types
high transaction costs: meetings, monitoring, are often more appropriate.
trainings, meetings, paperwork, planning, • Resource rights may be obtained through
meetings. other avenues, such as land legislation.
Local government and community-based Structural change is needed for local NRM
organizations’ needs must be harmonized. institutions to thrive.
• LG needs resources to have credibility, • Public interest law firms can assist groups.
legitimacy, and discretionary powers.
• Regulating agencies can adopt a minimum
• In some cases, resource-based CBOs and standards approach.
technical committees undermine the authority
and resource base of LG by locking up the tax
base and creating parallel structures.

4.7.3 Cultural and Spiritual Values in or may perceive what we see as wilderness as cultural
Conservation space. Research into land histories has encouraged
Definition and Significance critical reflection regarding long-held assumptions, such
as the myth of the pristine Americas (Denevan, 1992).
Project designers should not assume that economic
Landscapes once viewed as “wild” are now increasingly
rewards are the only conservation incentives. Improved
being recognized as shaped by human societies. The
security, reduction in conflict or corruption, pride in
presence of human-mediated disturbances such as fire,
stewardship and in culturally or spiritually important
pathogens, and viruses provides evidence for past human
landscape features, and opportunities to learn new
settlement in such landscapes.
skills and competencies can be compelling reasons to
sustain conservation.
How is the sacred embodied in conservation?
People are motivated to conserve that which they Examples of the way the sacred can be represented in
value, treasure, and even worship. The last decade has conservation include
seen a proliferation of initiatives linking conservation sacred landscapes – Included in the subcategory of
with religion and spirituality. In addition, research “organically evolved locales” are sacred landscapes and
on conservation and beliefs, values, and norms has sites, such as the groves of Ghana, Uluru in Australia,
uncovered many important conservation approaches and Tongariro in New Zealand, that link natural
that are grounded in the spiritual and transcendental. features to cultural identity. UNESCO recognizes that
“A sense of place” – a term coined by Wendell Berry – this connection, a blend of human and natural forces,
describes how the value of rootedness translates into “enriches and humanizes life the world over.” USAID’s
emotions about home landscapes and terrains, which in SCAPES support to the Sacred Himalaya Landscape
turn can spark a conservation ethic. provides an example.
customary taboos and restrictions in NRM
Key Questions systems – Similarly, societies used taboo or off-limits
How do people perceive their landscapes? zones or time periods, such as restricting hunting during
The concept of biophilia asserts that people are animal reproductive season, to manage exploitation.
evolutionarily adapted to experience strong ties with Fiji’s successful locally managed marine areas were built
nature, as well as preferences for certain landscapes. around these principles, and scientific monitoring was
But biophilia may fade as societies become removed added to confirm and reinforce the effectiveness of the
from nature. In his book The Spell of the Sensuous, author off-limits/taboo approach. Recently, Muslim authorities
David Abram argues that “our Western worldview has issued a fatwa against wildlife crime in Indonesia, a huge
evolved to be based on literacy, abstract thought, and step in engaging the largest Muslim nation on earth.
separation from the body. By ‘the body’ I mean not just species as totems and icons – The conservation
our individual, animal bodies, but the body of the earth organization RARE uses species as cultural icons to
and the material cosmos. By removing ourselves from foster conservation action through social marketing.
this sensuous realm, we have lost the connection to This practice is based on ancient traditions that closely
the living dream that we share with the soaring hawk, linked specific species to human groups. Within a society,
the spider, and the stone silently sprouting lichens on its different clans or sub-groups adopted different totems
coarse surface.”14 or iconic species to represent them; often, they were
prohibited from hunting or eating these species. Or
Do people prefer natural areas to be certain groups would be tasked with hunting a species
“wildernesses,” or are they attuned to more such as lions or sharks but would be subject to specific
domesticated landscapes? Local cultures may not rituals and behaviors to protect them in their role. Such
understand or be attuned to the concept of wilderness practices serve to limit the number of people involved
14 David Abrams, The Spell of the Sensuous: Perception and Language in a
in hunting.
More-Than-Human World (New York: Vintage Books, 1997).

How can implementers capitalize on cultural and
social values in conservation?
• Build on existing efforts, such as those mobilized
for the social and economic benefit of certain
communities or groups, including faith-based groups.
• Define stewardship in a cultural context and enhance
pride in stewardship; reward stewardship by groups
rather than individuals, building the capacity of
key groups.
• Encourage collective action for conservation that
also achieves development objectives.
• Use social media to build and reinforce group
solidarity.
• Find common purpose with culturally valued
institutions and symbols.
In the Maya Biosphere Reserve of Guatemala, a common understory palm generates hundreds of thousands of dollars
each year for local people while providing a strong incentive to keep the natural forest standing.The palm, xate (‘sha-tay’),
is certified sustainable and sold to U.S. buyers at a premium for floral arrangements and Palm Sunday celebrations. USAID
partners have trained local people to collect only high-quality fronds, without hurting the plant or damaging the product,
then sort and pack them to maximize value and profit.
Photo: Dani Newcomb, USAID

4.8 DEMOCRACY, RIGHTS, AND Conservation planning and implementation requires
GOVERNANCE (DRG) knowledge of treaties, policies, laws, and regulations
governing ownership, use, rights, access, and other
4.8.1 Governance elements of the formal systems that impact the
Definition and Significance conservation targets and the stakeholders who interact
with them (see Annex 5.1). Key laws to consider
Governance describes the process by which decisions
are not just those that are directly related to natural
are made and carried out; it can refer to corporate,
resources but also those economic and sectoral policies,
international, national, or local bodies, or interactions
laws, and regulations that may relate to incentives
between sectors of society. Governance comprises such
(such as subsidies or export bans), institutions (such
critical development elements as the rule of law, public-
as decentralization policies and devolution of authority
sector accountability, communication with citizens, anti-
to local entities), or access to markets. For example,
corruption measures, and the ability to deliver goods
promoting the sale of non-timber forest products
and services. A definition of good governance needs to
requires knowledge of laws and policies governing
include two-way communication and active citizen
their harvest, transformation, and sale. To market
voice and engagement.
goods, producer groups may need to register and have
formal charters.
There is a clear relationship between meeting individual,
personal needs and creating a better society. Better
Although a country may have a multitude of excellent
governance, conservation, and NRM all focus on
official policies and laws governing natural resources
improving the collective good. People know that to
and conservation, these may not be implemented for
fulfill individual needs, common property and common
a variety of reasons, ranging from a lack of political
institutions have to be safeguarded and strengthened;
will to a dearth of human and financial resources. In
however, this often is not their highest priority, and
Kenya, for instance, dozens of well-written policies
individuals alone cannot do the job. Collective action
govern conservation and NRM, yet forest destruction
is needed to improve governance and biodiversity
and poaching continue to be severe problems in
conservation. Linking collective action for natural
several areas. Often, informal governance of an area or
resource management with overall governance
resource is stronger or seen as more legitimate than the
objectives provides incentives to individuals and groups:
formal system because the reach of authorities is weak,
They get more value out of their natural assets and
corruption is a factor, or informal institutions are strong
can plan over longer time horizons to safeguard those
and heeded by local actors.
assets. Good governance is thus a linchpin of biodiversity
conservation. Where governance institutions are seen
Learning about informal governance systems requires
as legitimate, transparent, and effective, people are much
knowing what people actually do and what they consider
more likely to follow the rules that such institutions
in taking action. Do they follow, neglect, ignore, or
create or disseminate.
possibly not even know about formal conservation
and NRM regulations? What regulations are followed
Governance has to be considered at all levels, from
and why?
the transnational to the local. This section breaks
governance into two main categories: formal legal and
Asking these questions can help conservation initiatives
regulatory systems, and informal/ indirect elements of
craft workable governance systems. For example, much
governance. The latter category encompasses structures,
effort has been put into studying and improving local
rules, or processes that may not have legal or statutory
conservation bylaws so that they will be adopted and
recognition but do have the power to shape outcomes.
used, or even integrated into formal systems. These
An example is the leadership structure within religious,
bylaws pertain to how people can access, use, harvest,
cultural, kinship, or ethnic organizations or groups.
or own a piece of land, fishery, forest, or other natural
resource. Often, bylaws are derived from customary

governance systems that not only generate rules but also communicate and work together in a way that does not
identify authority and decision-making powers. These harm the less powerful.
systems can be highly effective but inequitable, often
marginalizing women, youth, or minorities. Also, they Power inequalities may be shaped by the history of
often must be complemented by formal governance a country, people, or region. Colonialism and the
systems that step in to deal with crimes or transgressions expansion of the global economy radically transformed
and other larger-scale governance concerns that are local cultures. The impacts resonate in modern struggles
beyond the authority of a local group. For instance, over land and natural resources and, directly or
villagers in northern Sierra Leone turned over poaching indirectly, in models of conservation. Colonialist powers
problems within a national park to national authorities appropriated land and natural resources for the benefit
when an elephant was killed and guns were involved. This of their homeland and for settlers. For instance, many
represented a serious threat to security in a formerly national parks in Africa were originally game parks for
war-torn part of the country. white settlers and administrators and were militarized
to keep the former African landowners and resource
Natural resource management is a tool for better users out.
governance and vice versa. Many USAID Missions have
discovered that NRM and conservation are good entry In the history of many developing countries, local
points for strengthening governance and civil society populations were coerced or minimally compensated for
because they focus on issues and concerns central collective conservation actions, such as reforestation or
to livelihoods and well-being. NRM also offers the soil erosion control. This approach led to resistance that
opportunity to bring together multiple stakeholders resonates even today. To complicate matters, traditional
to foster a priority USAID value of participation and and customary forms of collective action with high levels
helps avoid potential violent conflict. Clearer policies of social capital are eroding in many parts of the world,
and bylaws governing natural resources can diminish due to increased mobility and globalization, among
overexploitation by clarifying management, ownership, other factors.
use, and benefits.
Conservation policies dating from the colonial era may
Clear policy frameworks are necessary but not sufficient continue to impact local livelihoods. Policies often change
for improved outcomes. An additional impediment to more rapidly than practice. For instance, in some African
the implementation of laws and policies is lack of access countries it is no longer illegal to cut a tree on one’s
to information. While the laws may be on the books, own farm, but farmers may not be aware of this policy
if the citizenry does not have access to the laws change, and the colonial-era policy is still enforced by
or other pertinent information, implementation forestry authorities.
is nearly impossible. Access may be related to
freedom of information acts, information on budget Added to these historical patterns are new trends
allocation, availability of information in all languages, that contribute to power inequalities at the national
and capacity/willingness of civil servants to respond scale: land grabbing for plantations or agriculture
to information requests. and non-transparent allocation of concessions, dams,
and other infrastructure. Transparency, advocacy, and
Power Relations communication are central to attacking these abuses
Power has numerous dimensions and operates at all of power.
levels, from the household to the global scale. There
are overt dimensions of power and more hidden At the local scale, power inequalities among stakeholders
ones. Power inequalities are real, as well as perceived. contribute to elite capture, conflict, and lack of collective
Social sustainability and improved governance do not action. These power differences cannot be swept under
involve doing away with power inequalities, as this is the rug. If one group is perceived, and perceives itself,
functionally impossible. They do involve understanding as being less powerful, it will need help to work and
these inequalities and crafting explicit strategies to negotiate with other groups perceived as more powerful.
enable stakeholders with different levels of power to Cultural differences are often involved, such as

Environmental Governance
BOX 68. POLITICAL ECONOMY ANALYSIS: The field of environmental governance introduces a
A KEY TOOL FOR CONSERVATION range of tools and concepts for critical analysis of the
intersection of governance and conservation. A few of
the key terms and concepts are described below. See
also Annex 5.1 for information on international policies
A political economy analysis (PEA) is a and treaties affecting global environmental governance.
field-research methodology used by donors
to explore not simply how things happen perverse policy incentive – Systems of property
in an aid-recipient country, but why. It is rights, government regulations, and market dynamics can
particularly concerned with how power provide both benefits and risks to those who steward
is used to manage resources and, as such, natural resources. While some policies encourage
is especially valuable for exploring a “lack sustainable management of the environment, others
of political will,” which is often blamed for have unintended negative consequences. An example
undermining reform and hindering progress. of perverse policy incentives can be found in tree
tenure systems in Ghana, where all rights to “economic
A PEA asks questions about a set of factors trees” are vested in the president, in trust for the local
that impact a nation’s development and customary leaders. Farmers who have the trees on
governance – factors that include politics, their land have no opportunities to profit from them,
rules and norms, social and cultural and hence usually eliminate seedlings before they can
practices, beliefs and values, and historical mature. A system that gave farmers some percentage
and geographical determinants. It can be of the proceeds from the sale of mature trees
applied at various levels: a countrywide would encourage more silviculture, with positive
analysis investigates the factors driving environmental impacts.15
outcomes nationwide, while a sector-
level PEA explores influences acting on open-access situation – Common property
particular technical areas like health or resources are resources that are owned and managed
education. A problem- or issue-focused PEA by communities, societies, nations, or – in the case of
examines the forces that create a particular international waters and the upper atmosphere – by
developmental or governance challenge. the world community. The challenges of managing such
A PEA can also identify opportunities and resources are great, and the need to understand and
actors that can drive change locally. factor them into broader NRM policies and structures
See Section 4.8.1 is vitally important.16 If the harvesting of resources is not
adequately monitored, or if restrictions on extraction
are not enforced, then the system may break down
those that exist between indigenous peoples and other and an open-access situation may result, in which users
groups. Assistance can take the form of capacity building, have no incentive to sustainably manage the resource.
targeted facilitation, and legal-literacy training. In a governance vacuum, rational economic actors will
simply exploit the resource as rapidly as possible, before
Power inequalities are also found within communities other actors can exhaust it. Careful research and analysis
and households: between the genders, between youth is necessary to determine whether local management
and elders, and between remote residents and town institutions exist before alternatives are put in place.
dwellers. Two considerations are critical in a conservation
context: 1) mitigating harm to vulnerable groups, and
2) assessing how under-represented groups can
contribute to conservation. For instance, remote 15 Rebecca Ashley Asare, Implications of the Legal and Policy Framework
dwellers may have more incentive to conserve a natural for Tree and Forest Carbon in Ghana: REDD Opportunities Scoping
Exercise (Washington, DC: Katoomba Group/Forest Trends, 2010).
area than those on a main road, but if they are not 16 This was recognized by the choice of Elinor Ostrom, a leading theorist of
contacted and engaged, they cannot participate. the management of common pool resources, as winner of the 2009 Nobel
Prize in Economics.

Conservation and NRM initiatives benefit greatly few incentives to consider environmental dimensions
from partnership with democracy and governance in their decision-making. CSOs can play a role in
programs and partners to reinforce the importance disseminating and critiquing laws and regulations,
of good governance, transparency, and the rule of monitoring implementation of laws, assisting those
law to society as a whole and to conservation and negatively impacted by environmental injustice to seek
NRM specifically. legal or administrative recourse, pressuring powerful
institutions and individuals (particularly through the
Key Democracy and Governance Concepts in media) to change laws or practices, and transferring
a Biodiversity Context knowledge and skills to local actors to help them better
manage biodiversity. USAID projects can strengthen
Rule of Law
CSOs through financial and technical support, as well as
The rule of law is the cornerstone for all other elements through implicit or explicit diplomatic support, which can
of good governance. Unless the rule of law is respected, protect these organizations from co-option or coercion.
environmental policies and regulations may simply be Co-option by government or the private sector
ignored, particularly by the most wealthy and powerful. essentially involves offering benefits (such as a well-
Effective environmental governance is likely to thrive paid position on a board or commission) in return for
in situations characterized by a free and fair political influence, while coercion may involve false accusations
system, respect for human rights, a vibrant civil society, of sedition or, in extreme cases, outright violence against
and public confidence in the police and the courts. In CSO staff.
many developing countries, the rule of law is constantly
undermined by corruption, systemic inequalities in access Judicial Strengthening
to justice, or economic barriers to enforcement of laws
For biodiversity conservation to succeed, laws must be
and regulations.
interpreted and enforced effectively. In many cases, the
state itself poses one of the most significant threats to
During episodes of widespread conflict, the rule of
biodiversity, and keeping the state within the bounds
law may completely break down. Conflicts often give
of its own laws requires a judiciary that is willing
rise to rampant, uninhibited resource exploitation,
and able to entertain litigation against it – a stand
both by vulnerable households with few alternative
that may be politically unpopular. In some countries,
means of survival and by organized criminal gangs or
transnational or local private corporations also enjoy
armed groups.
great political and economic influence. Public interest
litigation, an important instrument for environmental
Programs designed to better conserve biodiversity
accountability in the United States, is largely unknown in
are unlikely to succeed in the absence of the
many developing countries. Biodiversity programming,
basic elements of the rule of law, and biodiversity
therefore, may involve strengthening the judicial sector
programming in countries where the rule of law is
by supporting changes in the law that make magistrates
weak should include elements to improve accountability,
more independent, providing judges with training on
ensure universal enforcement of regulations, and reduce
the legal interpretation of international and domestic
losses to the financial infrastructure for conservation
environmental legislation, and supporting bar associations
through corruption.
that train lawyers in conducting public interest litigation
around environmental issues.
Civil Society Strengthening
Civil society organizations (CSOs) are important Accountability
to ensuring the accountability and transparency of
The notion of accountability refers to systems,
environmental governance. They are particularly
procedures, and mechanisms that impose restraints
important in situations where the political system is
on power and authority and create incentives for
compromised by violence or corruption, as lack of
appropriate behaviors and actions. It is a core value of
real political competition means that lawmakers have

democratic governance. Key aspects of accountability Transparency
include transparency (the publication or diffusion of laws, Transparency is a key part of “answerability,” as
records, and accounts of potential interest to the public); discussed above. In the environmental sector, aspects
answerability (the responsibility of powerful institutions of transparency include the regular publication of
to answer queries and accusations by the public); and state inventories of land allocation and use, which can
sanctions for illegal or inappropriate actions (which reveal the extent of habitat loss, and the declaration
might be legal in nature but can also include disciplinary of politicians’ sources of income, which can expose
measures associated with professional codes of conduct). links between decision makers and industry, and hence
An institution’s accountability system may be internal or potential conflicts of interest over environmental
external but part of the institution’s broader architecture, regulation. While political will is a key determinant of
such as an ombudsman that is part of the government levels of transparency, financial and technical capacity is
but nevertheless has an oversight role over other also an issue. Institutions might not have the technical
state institutions. Or an accountability system may be means or budgets available to make information
completely external, such as a civil society organization adequately available to the population through official
that plays a “watchdog” role. In the latter case, external websites or the dissemination of printed reports. USAID
efforts to ensure accountability usually have some means strategic approaches intended to improve transparency
to influence internal oversight mechanisms. For example, might therefore include support for legislative reforms
media attention to the environmental misdeeds of a that require the publication of statistics, narrative
particular local administrator will have little effect unless reports of government activities, and other relevant
it can convince the ministry of the local administration information. Such strategic approaches might also
to take disciplinary action against the person in question. include technical support to government agencies to
In more democratic systems, external accountability help them better fulfill their new responsibilities. In some
tends to be more powerful, as civil society can influence countries, linguistic diversity, poverty, and widespread
citizens who have the power to elect officials of illiteracy mean that written documents, televised
their choice. announcements, and even radio programming may not
be an effective means of ensuring transparency. In such
Most rule-of-law strategic approaches that reduce levels cases, community radio stations that broadcast in local
of corruption and coercion will also have a positive languages, along with other civil society organizations,
impact on accountability by creating an environment play an important role.
that encourages it. Strategic approaches explicitly
aimed at improving accountability can include creating, Human Rights
formalizing, or reinforcing systems of “answerability,”
Understanding and being attentive to human rights
such as public accounts committees, which are often
is fundamental to socially sound conservation and
chaired by members of the opposition parties and
development. The conservation human rights agenda
monitor government spending. Through support for
has achieved high visibility in such international fora as
improved answerability, USAID projects can ensure that
the Convention on Biodiversity. Indigenous people are
public funds (and bilateral aid) are disbursed as planned,
active and vocal. As indigenous and local people are
rather than being spent on tangential activities or simply
a key constituency for conservation, it is essential not
stolen. Civil society organization can also contribute
only to consider but also to secure their rights to assets
to answerability: CSOs may publish critiques of the
and negotiation. This concern does not mean neglecting
government budget, drawing attention to any differences
or rejecting the rights of the government or other
between publically stated spending priorities and actual
stakeholders. Indeed, USAID often plays a positive role
allocations of funding.
in facilitating negotiation among these groups to achieve
clarity, mitigate conflict, and establish appropriate local
ownership (See Section 3.1.7).

Media Strengthening Wildlife trafficking has important links to organized
Media can play many important roles: informing crime and corruption of protected area managers,
citizens about the importance of natural resources border guards, and other officials due to the very high
management, performing watchdog functions to assure value of the products (see Section 4.10.4).
compliance with laws, and serving as public forums
for discussing issues related to natural resources and Degazettement is becoming common in many parts
biodiversity. Multimedia approaches can help reach and of the world. Sometimes it is used to place land and
inform diverse segments of a population; for example, resources into elite hands. This was the case in the Mau
community radio in more rural or remote areas; Forest in Kenya, where political elites degazetted state
television in more urban areas; and wireless phones forests and moved in populations from their ethnic
and other devices using the internet and social media groups to shift election balances. Later, the government
to facilitate interactive citizen reporting. Media should wanted to return much of the territory to conservation,
serve as public forums. For example, broadcasters can but people had already settled and in some cases had
host interactive talk shows that connect environmental legitimate titles. PADDD Tracker tracks degradation,
experts, government officials, business representatives, downgrading, and degazettement of protected areas.
civil society activists, and other citizens in ongoing public
discussions about how to approach environmental and How do patron-client relations impact governance
natural resource challenges and opportunities. Also, of biodiversity and natural resources?
investigative journalists and citizen reporters can play Patron-client relationships or “clientalism” is one way
important watchdog and transparency functions, probing that corruption creeps into initiatives and communities.
the effectiveness of NRM program management and These relationships are inherently unequal: An individual
revealing violations of environmental protection laws, or group is linked to wealthier and more powerful
thereby holding public officials, businesses, and society individuals through kinship, ethnicity, locality, or other
more accountable. social identities. The powerful provide resources and
services in return for loyalty, votes, and other support.
Key Questions There is nothing wrong with getting support from
better-off or better-connected people – indeed,
How does corruption impact biodiversity
the poor need these ties to move up in the world –
conservation?
however, relationships can be manipulated by the
Impunity, where elites feel that they can do as they powerful to influence and undermine initiatives to
wish without reprisals, inhibits both good governance improve governance or NRM so that rules are bent
and conservation. This effect can be felt at the local and or changed to facilitate their interests. In the film Weex
national levels. For example, deforestation of protected Dunx, Jesse Ribot shows how, after many years of work
areas for the production of drugs, charcoal, or other to reform the charcoal sector in Senegal with an aim
valuable commodities may be carried out under the of better forest management – USAID funding played
protection of powerful interests who see themselves a key role – powerful charcoal merchants continued to
as untouchable. undermine the community forestry system by offering
bribes to local leaders with whom they had close kinship
Encroachment. In the 1990s, relatively well-off or trade relationships.
cocoa farmers encroached into Lore Lindu National
Park (Sulawesi, Indonesia) with impunity, crowding out In the case involving elephant poaching in Sierra Leone,
other uses, such as honey hunting and ecotourism. the smuggler cultivated clients within the communities by
In Maharashtra, India, forestland was allocated by the providing small employment opportunities and access to
government to NGOs that promised to carry out guns. These ties are often appealing to rural youth, who
development activities on the parcels but often sold have no other employment opportunities and are not
them off to private developers for a profit. inclined to be poor farmers.

Undertaking careful stakeholder analysis is critical in The first extreme – highly organized authoritarianism –
identifying both threats and opportunities from patron- presents different challenges. Because such governments
client ties. Activities need to help stakeholders most are often willing and able to use coercive means to
at risk of becoming clients to smugglers, poachers, and implement policies, biodiversity programming can
other exploiters of biodiversity. Anthropologist Janet rapidly demonstrate “effectiveness,” but the longer-
MacGaffey was able to uncover highly valuable data on term impacts may be counterproductive. For example,
these “underground” relationships in the Congo (then where a donor and an authoritarian government agree
Zaire) through innovative field research approaches that that forest encroachment is a problem, the government
tracked the pathways of such commodities as ivory and may use donor funding to forcibly evict and resettle
minerals from the village level to final destinations as far those living in the forest. This may be done more quickly
away as Europe, including information on financing and and comprehensively by an authoritarian state than
patronage involved in these transactions. Commissioning by one that has to be concerned about the voting
this type of innovative study can show how investments preferences of the evicted communities. In the long-
are flowing from the powerful to local communities. term, however, such coercive measures tend to turn
the affected populations completely against the idea of
What can be done in situations of overall poor forest conservation, and the livelihood options of those
governance? resettled may be so limited that few legitimate sources
Situations of poor governance, where democratic of income remain. The result is likely to be an ongoing
institutions and practices are not in place, may be pattern of poaching, tree-felling, and other unsustainable
conceptualized as forming a continuum between two practices, as well as violence between forest guards
extremes. At one extreme are authoritarian, non- and local people. In authoritarian situations, therefore,
democratic states that have functional, organized biodiversity programming should avoid legitimization of
institutions but are not accountable to the population undemocratic practices and include extra safeguards to
and use coercive, command-and-control mechanisms ensure that the rights of citizens will be respected.
to ensure compliance with environmental and other
laws, policies, and regulations. At the other extreme What conservation efforts contribute to good
are states that may have some characteristics of multi- governance?
party democracies, and hence some element of popular One positive aspect of biodiversity programming in
representation and accountability, but where governance authoritarian contexts is that it may provide an entry-
is routinely undermined by corruption and violence, point for improving governance. For example, it may be
and where government institutions are fairly ineffective. politically feasible to decentralize governance of low-
In the latter case, there is a real risk that piecemeal value forest resources (such as degraded areas) to local
strategic approaches in the environmental sector will communities, whereas this would be impossible in the
be undermined by the dysfunctional political economy case of higher-value resources, such as intact rainforest.
and thus have little impact. Providing these communities with the experience of
autonomous decision-making and building skills for
To make a difference, strategic approaches should be negotiation may have positive effects at the level of
well coordinated with broader programs designed to political governance.
combat corruption and build an institutional culture of
accountability. Sequencing of strategic approaches is key. Role of protected area authorities/enforcement.
In addition, identifying specific pockets of accountability The institutions that manage protected areas and
– such as administrative regions or institutions associated enforce conservation regulations in and around them
with better governance – may allow a ”building block” can make important contributions to good governance
approach, where programs are established in these or, conversely, be tools for corruption and oppression of
“better” areas and then replicated elsewhere. local people. Key to governance of conservation areas is
the collection, management, and redistribution of income
derived from tourism, the sale of non-timber forest

goods, and other sources of revenue. Because protected Most international environmental treaties allow for the
areas may have relatively few, and easily monitored, accreditation and participation of NGOs in many of
means of generating income, USAID programs may the meetings associated with treaty implementation
find that supporting improved financial accountability monitoring. Typically, however, as many treaties do not
within the conservation sector yields more success than categorize NGOs by country of origin (e.g., impose a
broader reforms relating to highly dispersed forms of “quota system” by country or region of origin), and
revenue collection, such as taxation. as the financial and technical capacity of NGOs varies
greatly, Western-based NGOs have been more active
For example, improving systems of receipting for tourist in international environmental governance than those
entry to conservation areas, as has been done in Kenya, based in the developing world. Few treaty organizations,
may be relatively inexpensive and effective. These with the exception of the UN Convention to Combat
efforts may then be replicated more broadly across Desertification and the GEF, have provided funds
other sectors. In some countries, agencies that enforce for NGOs to participate in meetings. Improving the
regulations in and around protected areas – such as technical and financial capacity for non-Western
forest guards or the national wildlife service – have conservation organizations to influence international
institutional links with the police or military. By facilitating environmental regimes may be useful, especially in
a culture of accountability within the institutions of effecting regional-level change.
the forest guards, biodiversity programs may have an
influence over other branches of the security services; Outside of specific treaty frameworks, organizations
for example, as training curricula or institutional reforms working on biodiversity have been part of efforts to
are replicated, or as individual personnel are transferred develop principles, international standards, and best
from one agency to another. practices. In some cases, these have been recognized
as international customary law and incorporated into
Rule of law. Significant opportunities exist regarding the internal regulations of multilateral organizations or
the role of conservation organizations in upholding the have become part of international law. For example,
rule of law, including international treaties and free, prior, organizations like the Forest Peoples Programme,
informed consent/consultation (FPIC). Organizations working on issues of biodiversity and the rights
concerned with biodiversity conservation have played of indigenous peoples in biodiverse areas, have
important roles in the development of frameworks for contributed to the development of the FPIC principle,
international environmental governance. which is now considered a standard international best
practice in situations where such activities as mining
The Convention on International Trade in Endangered or infrastructure development may disrupt local
Species of Wild Fauna and Flora (CITES) was one of ecosystems and livelihoods, and a legal responsibility in
the earliest modern international environmental legal areas inhabited by indigenous peoples. NGOs based in
instruments (dating from 1973) and has developed the Philippines, where progressive laws on indigenous
extensive regulations for the participation of NGO rights have been promulgated (and long supported by
conservation organizations. Such organizations have USAID), were called upon by the UN Commission on
played an important role in the development and Human Rights to help in standard-setting for FPIC,18 and
monitoring of CITES by funding specific CITES activities, the Forest Peoples Programme and other organizations
such as species-specific status surveys, trade projects, and have made formal submissions to United Nations
species management plans. Approximately half of the agencies regarding its implementation. See Chapter 3 for
participants to the Conferences of Parties of CITES are more discussion of FPIC and how the U.S. Government
NGO representatives.17 interprets it.
17 Sebastian Oberthür, et al., Participation of Non-Governmental Organisations

in International Environmental Governance: Legal Basis and Practical Experience 18 United Nations Commission on Human Rights, Sub-commission on the
(Berlin: Ecologic – Institute for International and European Environmental Promotion and Protection of Human Rights Working Group on Indigenous
Policy, 2002). Populations. 2003-6 Resolution 2003/29.

What about governance of transboundary conflict; degradation of biodiversity as an impact of
conservation and peace parks? conflict; and acceleration of unsustainable harvesting of
Poor governance of even one part of a landscape biodiversity elements during the post-conflict economic
can impact the whole landscape through conflict, boom (associated with refugee return, the presence of
migration, and overall mismanagement. For instance, international organizations, and renegotiation of pre-
sound watershed management requires adherence of conflict contracts and resource rights). Although its most
all stakeholders to management agreements. In cases of visible symptom is war or violent clashes, conflict can
transboundary management, the policies and practices also be nonviolent, simmering at the local level, breaking
of one country will impact the other countries. As an down productive relationships, and retarding economic
example, Tanzania allows limited sport hunting while and social development.
Kenya does not, and this has profound implications
for wildlife management. Good governance and peace A systematic conflict assessment and rolling conflict
building can spread across boundaries in the service analysis should help stakeholders understand the conflict
of conservation as well: The International Gorilla dynamics, which include patterns of grievance and
Conservation Program (IGCP) unites efforts in the resilience, how key actors are able to mobilize groups
once-warring countries of DR Congo, Rwanda, for peace or conflict, and which likely events could
and Uganda. trigger violence or create openings to build peace.
At a minimum, conflict analysis for conflict sensitivity
4.8.2 Conflict and Peace Building requires basic knowledge about dividing and connecting
issues in society, as well as important actors pursuing
conflict or peace. Where possible, analysis should be
Conservation is a long-term effort that can generate done in conjunction with local partners and updated
conflict but also holds the potential to encourage during project implementation. USAID’s Office of
cooperation where mutual interest can be identified. Conflict Management and Mitigation (CMM) within
Conservation efforts have to tackle immediate threats the Bureau for Democracy, Conflict, and Humanitarian
while chipping away at the drivers of biodiversity loss, Assistance (DCHA) provides technical assistance to
which often emanate from outside a landscape, no field Missions to plan and implement conflict
matter how large it is. A strategy often needs to balance assessments and understand conflict dynamics
actions “from the inside out” and “from the outside in” as they relate to programming.
in terms of attacking specific threats. For instance,
certain threats tied to powerful interests might be Degradation and high levels of exploitation of ecosystem
challenging for those working inside a country or region goods and services, combined with a changing climate,
to address directly; in these cases, conservation strategies decrease the dependable supply of valuable resources,
need to consider partnerships with watchdog or increasing the insecurity of human populations that
advocacy groups. depend on them. Further, in many parts of the world
where USAID works, weak governance, uneven law
The high economic value of such biodiversity as tropical enforcement, and lack of security of tenure and property
timber and rare species of wildlife, and the importance rights are the norm. The combination of these dynamics
of biodiverse ecosystems to local livelihoods, often is a recipe for increased competition and conflict over
place biodiversity at the center of conflict, making the access and rights to biological resources. For example,
sustainable and equitable management and conservation local communities may have resource and biodiversity
of ecosystems an important aspect of international management traditions but insecure tenure. External
security. The relationship between biodiversity and pressure on local resources – exerted by elites, loggers,
conflict is multidimensional, encompassing scarcity migrants, and other resource users – may force
of valuable biodiversity elements and disputes over communities into violence in defense of their resource
their access or ownership that serve as a catalyst for rights. These conflicts have the potential to arise within,
conflict; exploitation of biodiversity elements to finance as well as between, communities. The growing scarcity

of vital natural resources and biodiversity, as well as the populations while providing some resources to
increasingly global nature of trade (for example, poaching local communities.19
of endangered species in Africa to supply markets in
China), enhances competition for access to resources, The Use of Biodiversity (Timber, Fish, Wildlife
exacerbating conflict. Empowering communities to Trade) to Fuel and Fund Armed Conflict
manage and uphold access rights, develop better It is no coincidence that many conflict-affected countries
institutions and systems of resource governance, and rely heavily on the export of raw (unprocessed)
minimize corruption can both contain conflict and natural resources, such as rubber or timber, as well as
conserve biodiversity. agricultural produce. In past years in the Democratic
Republic of Congo, for example, the value of the annual
Human-Wildlife Conflict sale of non-timber forest products, including bushmeat
High profile human-wildlife conflicts most often occur and medicinal plants, is approximately $2 billion. Timber
around the boundaries of protected areas that are and minerals are also major elements of the national
home to populations of large mammal species; however, economy.20 Some countries are resource dependent but
with the ongoing loss of natural habitat and the spread have managed to avoid internal struggles. The nature
of human settlements into unprotected biodiverse of local and national governance of the extraction
areas, as well as fluctuations in species numbers and trade in resources will determine whether these
(e.g., changes in the equilibrium between “prey” and processes lead to conflict. After all, while resources are
“predator” animals), interactions between people and “natural,” their extraction, transport, and processing
wild animals are increasingly common. Wild animals are social and political in nature. In poor governance
may graze on agricultural crops; hunt domesticated situations, export of high-value natural resources
livestock; spread diseases to livestock or people; damage provides opportunities for taxation and corruption
fences and buildings; or in rare cases, directly attack by elites, which – in combination with unemployment,
humans. In some places, particularly around protected associated with lack of investment in the industrial and
areas, compensation schemes have been established to manufacturing sectors – can eventually lead to civil
reimburse local people for economic losses caused by unrest and violence. In turn, civil unrest discourages
wildlife; however, some schemes have been criticized domestic and foreign investment, thereby reinforcing the
for being slow to respond or for providing insufficient dependence upon primary exports in a vicious cycle.
compensation. In cases where compensation is not
provided or is inadequate, local people may resort to As countries move toward armed conflict, such
killing wildlife, including protected species, to reduce economic elements as trade in natural resources
their economic losses. become increasingly intertwined with the illegal or
informal economy, aspects of which are often linked
If human-wildlife conflict escalates, it can turn into a clash with organized crime. Globally, the “shadow economy”
between local communities and conservation personnel, of untaxed business – without the inclusion of such
and eventually into a wider community-state conflict. inherently illegal activities as drug dealing – represents
More generally, increased interactions with humans some $10 trillion annually.21 While the “criminalization of
can disrupt the migration, feeding, and mating patterns the economy” may be of great concern to international
of wildlife. Management of human-wildlife conflict institutions, the bottom line for local people – and for
may involve the establishment of physical or biological vulnerability to conflict – is not the extent of criminality
barriers (ranging from fencing-in livestock to the use of
19 Distefano, E. 2004. Human-Wildlife Conflict Worldwide: A collection of
flags to limit wolf predation), private insurance schemes case studies, analysis of management strategies and good practices, Rome:
(which are often more effective than state-managed FAO.
compensation programs), or managed harvesting 20 Wolvekamp, P., Schmitz, T., and Anouk, F. 2008. Sustainable forestry in the
Democratic Republic of Congo: The way out of poverty and conflict. Both
of wildlife (e.g., through licensed hunting) to control ENDS Policy Note.
21 Neuwirth, R. 2004. Shadow Cities: A Billion Squatters, A New Urban
World. Routledge.

but the levels of economic exclusion and structural and Key Questions
physical violence involved in resource extraction and How can conflict sensitivity be built into
trade. In some cases, systems of resource extraction biodiversity programming?
may be legal and formal in nature, but nonetheless
Biodiversity conservation and natural resource
exploitative and conflictual.22
management activities, particularly those that address the
allocation of access to resources, have the potential to
In states affected by political instability and violence,
prevent, mitigate, incite, or fuel conflict. The prevention
the trade in natural resources may be used to fund
of further harm and, ultimately, the success of the effort
the purchase of guns and the maintenance of private
require an awareness and consideration of where the
militia. Illegal trade in natural resources, in particular,
location of the project (region, country, or community)
becomes enmeshed in broader networks of criminal
falls on the conflict continuum. CMM describes three
activity, including drug smuggling and human trafficking.
stages of conflict: the “pre-conflict” stage, the “during
Rebel groups that control border areas or such transit
conflict” stage, and the “post-conflict” stage (see Box 69).
points as ports and airstrips may allow the export of
These stages have differing impacts and implications for
endangered and other valuable species in return for
ecosystems and biodiversity conservation efforts. The
illegal “taxes,” putting these flows outside of international
design, implementation, and management of biodiversity
monitoring and enforcement mechanisms. The global
conservation programs must continuously integrate and
illicit trade in wildlife may be worth as much as $10
be responsive to conflict dynamics.
billion annually; key producing areas include sub-Saharan
Africa and Southeast Asia, while key “consumers” include
In areas of violent conflict, are its negative impacts
China, the United States, and the European Union.23 The
on biodiversity being taken into account in
skills and equipment demanded for poaching – weapons;
planning development or emergency aid activities?
combat training; and the ability to operate unseen in
remote, wild locations – overlap with those required Conflict can break down or overwhelm established
for guerilla warfare. It is not surprising, therefore, that institutions of ecosystem protection and management,
non-state armed groups have often been involved including civil society, law enforcement, military support,
in poaching, using the proceeds to fund their armed protected area management, and government ministries,
activities. Examples include ethnic Somali separatists resulting in neglect of ecosystem management and the
in Kenya, who were involved in poaching elephant human communities that depend on these systems
and rhinoceros in the 1980s, and more recently the (Box 70). In general in conflict settings, there may be an
so-called Janjaweed militia in Sudan’s Darfur region, increase in illegal natural resource extraction, because
who have been poaching elephant from the Zakouma “no one is home” in the official sphere to stem the
National Park in neighboring Chad since 2003. This latter flow of criminal activities, and the conflict itself is often
conflict has also spilled into northern Cameroon, where financed at least in part by the money that can be made
Sudanese militias have slaughtered elephants in Bouba by trafficking in illegally and unsustainably extracted
Ndjida National Park. For recent analysis, see this report natural resources.
on Tusks for Terrorists.
In addition, violent conflict can cause the movement
of populations into remote areas and ecosystems,
thereby increasing the exploitation of biodiversity in
these sensitive regions. On a regional level, the use
of environmental information, such as locations of
protected areas and zones of high biodiversity, can
inform the siting of refugee camps in areas that will
22 Le Billon, P. 2001. The political ecology of war: natural resources and have limited negative impacts on local ecosystems.
armed conflicts. Political Geography 20: 561–584.
23 Haken, J. 2008. Transnational Crime in the Developing World. Global
Financial Integrity.

BOX 69. THREE STAGES OF CONFLICT
At the pre-conflict stage, there may be opportunities to help mitigate or lessen the likelihood that
tensions will erupt into outright violence by strengthening natural resource governance; clarifying
property rights; and improving communication among stakeholders, such as communities, the
government, and the private sector. If not designed and implemented well, biodiversity conservation
actions (such as the top-down establishment of protected areas) can quickly precipitate conflict.
Conflict assessments are an important tool to help identify potential sources of dispute. The concept
of “do no harm” should be embraced throughout development programming and is discussed
further below. When conflict becomes imminent, projects may build capacity for key conservation
stakeholders to adapt to the difficulties they will face. This is also the time to secure funding, as it
may become increasingly difficult to access program funding as conflict worsens.
During violent conflict, appropriate actions may be aimed at securing and protecting the
highest- value biological resources, to safeguard them from total destruction. Conservation staff
– such as those working in protected areas – will only be able to continue their work if they are
seen as neutral in the conflict and demonstrate a capacity to strategize or negotiate their way
out of risky situations. Indirect and behind-the-scenes support may be more effective than higher-
profile support so that staff can be seen as neutral. Strategic approaches to control illegal resource
extraction and trade may also be appropriate. Biodiversity and natural resource-based governance
efforts can provide a semblance of stability and a framework for sustainable management during
conflict that will benefit human and ecological communities over time. The design and location of
camps for internally displaced people (IDPs), refugees, and peacekeeping operations should also
take biodiversity concerns into consideration. For example, provision of firewood or sustainably
harvested timber (or alternatives to wood) may reduce the extent of tree-cutting in forest areas
that serve such camps.
In a post-conflict period, there is generally a transition phase to a more stable environment.

As governments and institutions are put back in place, displaced populations return home, and
combatants seek livelihoods and integration back into society, there are opportunities to promote
sustainable approaches to economic development and democratic governance through biodiversity
conservation. The post-conflict period also represents risks: Resource exploitation may accelerate
in areas that were once off-limits due to active conflict, or victorious armed groups or returning
refugees may grab land that is important for biodiversity. In Colombia, for example, as guerilla activity
has begun to decrease, the agricultural and mining frontier is pushing into intact Amazon forest
with little management or control. In post-genocide Rwanda, large parts of the Akagera National
Park were degazetted in order to provide land for returning refugees. In addition, to the extent
that resource-related disputes were a factor in the original conflict itself, it is important to focus
programming on resolving those issues; e.g., through collaborative governance and management,
clarifying tenure, or other approaches.

conflict. In some cases, significant areas of a country may
BOX 70. ILLEGAL FISHING: THE remain stable, even during the conflict phase, allowing
CASE OF JAMAICA’S PEDRO BANKS the state and other institutions to maintain a presence. In
others, central government may temporarily collapse or
be overthrown but NRM institutions may persist, as was
Globally, the trade in illegally harvested fish the case in Nepal (Box 71).
is worth between $4.2 and $9.5 billion.
Fisheries located near international borders USAID staff may be able to remain a significant in-
are often the site of violent encounters country presence in some cases, or they may be
between navy or coast guard vessels and completely evacuated, particularly in situations where
foreign fishing boats accused of illegally foreign nationals and employees of international
fishing in sovereign waters. For example, organizations are being targeted. Programming strategies,
within Jamaica’s national waters, Honduran therefore, may range from maintaining a careful physical
fishing boats on the biodiversity-rich presence and running adapted, stripped-down versions
Pedro Banks have been fired upon by the of regular programs to completely withdrawing from
Jamaican Defense Forces, who are tasked the country and using policy instruments to influence
with enforcing the international fishery the trade in particular natural resources, for example.
regulations in areas of concentration of International border areas between hostile states are
valuable conch and lobster. In 2011, several often off-limits to civilians and, in some cases, may form
Honduran fishermen were shot and many an area of relatively undisturbed natural regeneration
vessels seized. The prevalence of drug- with biodiversity potential.
smuggling operations in the area contributes
to the violent nature of the conflict, as many What about Peace Parks? The potential for
fishermen are equipped with semi-automatic transboundary programming and the symbolic aspects
weapons associated with the drug trade. of border areas have prompted the establishment of
“peace parks” in some parts of the world. In Southern
Africa, which has been the site of civil and international
What conservation actions contribute to peace conflicts, particularly during the apartheid era in South
building? Africa, a number of countries, including Botswana,
A UN report highlights some of the main theories Namibia, and South Africa, have established transfrontier
of change that pay peace dividends. The report conservation areas that straddle international borders
focuses primarily on WASH programs, but the theory and represent areas of significant biodiversity. In the
is applicable across a wide range of activities in the Korean Peninsula, the DMZ Forum and other actors
NRM sectors: To the extent that conservation efforts have advocated that the demilitarized zone (DMZ)
strengthen governance and build responsive, inclusive, between North and South Korea, a narrow strip of
and accountable institutions at national and subnational empty land (2.4 miles wide by 155 miles long), should
levels, they can improve state-society relations and lay be transformed into a UNESCO World Heritage Site.24
foundations for a self-sustaining peace. Practitioners can The goals are to provide a sanctuary for wildlife and
look for opportunities within conservation programs to plant species, while generating tourist revenue and also
address grievances that underlie or can trigger violent representing a monument to the soldiers and civilians
conflict, or offer a means for the state to reach out to who died during hostilities between the neighbouring
society to (re)build its legitimacy. countries. This combination of goals and the large
physical scale of the areas involved has made the Peace
There is no blueprint to biodiversity programming in Parks concept widely popular. In some cases, however,
conflict-affected countries, as the situation will vary the links between conservation and peace building are
greatly from place to place and during different phases of insufficiently clear. The peace parks concept tends to
24 DMZ Forum. 2011. The DMZ: Description and History.

be driven by international organizations and central
governments, and the material and political benefits BOX 71. NEPAL CFUGS
accruing to local communities may be limited.25 While IN MAOIST ZONES
international war is often, by definition, driven by
governments, the roots of conflict can often be found
in local-level political economies characterised by Nepal has a network of more than 13,000
Community Forest User Groups (CFUGs).
poverty, inequality, and marginalization from governance
During the 10-year conflict (1996-2006)
structures. Therefore, the peace parks concept arguably between the government and Maoist rebels,
contributes to peace building to the degree that it can the international agencies that provided
positively transform local political economies, rather than the CFUGs with technical and financial
making larger symbolic statements. support were largely unable to visit rural
locations. The CFUGs came under intense
More Information pressure from both government and Maoist
institutions, but were generally able to
CMM’s relevant toolkits – Forests and Conflict, Water function. In many cases, Maoists saw the
and Conflict, and Land and Conflict and the Conflict CFUGs as legitimate community institutions
Assessment Framework (CAF 1.0) are available at with ideological similarities to the popularist,
http://www.usaid.gov/what-we-do/working-crises-and- peasant-based Maoist political program.
conflict/technical-publications Nonetheless, Maoists demanded free
Another good resource on conflict sensitivity is the supplies of firewood and imposed taxes on
the sale of forest products by the CFUGs,
Conflict Sensitivity Consortium (www.conflictsensitivity.
meaning that the CFUGs were taxed by
org) that has a How-to Guide on Conflict Sensitivity. both the Maoists and the government.
On conflict sensitive M&E, Saferworld has a short In addition, Maoists used forest areas as
module on the subject: http://www.saferworld.org.uk/ training camps and sometimes placed booby
downloads/pubdocs/chapter_3_module_3_conflict_ traps in forests to prevent government
sensitive_monitoring__414.pdf patrols. In retaliation, the Nepalese
government declared some forests off-limits
Human-Wildlife Conflict Collaboration: to civilians and established military camps
http://www.humanwildlifeconflict.org/ in them.
The CFUGs employed various strategies

to reduce their vulnerability to criticism
or control by the parties to the conflict.
To more closely follow the Maoist political
program, some CFUGs emphasized pro-
poor activities (such as income-generating
activities, credit schemes, and construction
of small infrastructure projects), rather than
their forest conservation objectives. This
may have reduced their capacity to manage
the forests sustainably in the short term, but
it ensured their longer-term survival. Other
ELECTION DAY: A community in Guinea uses a show of elements that contributed to the survival
hands to elect forest co-management committee members. of CFUGs included donor support to local
Cooperative management among farmers, community groups, NGOs that provided technical support
and government forestry officials protects biodiversity, maintains to the groups, and the formal legal status
the forest, and results in equitable sharing of responsibility and enjoyed by CFUGs, which allowed them to
benefit among partners. Photo: USAID/Guinea continue to operate even in the absence of
a functioning forest department.
25 Duffy, R. 2005. Global Politics and Peace Parks. Woodrow Wilson
International Center for Scholars, Washington DC.

4.9 LAND AND MARINE TENURE The overlapping and sometimes conflicting nature
AND PROPERTY RIGHTS of formal and informal LTPR systems can undermine
confidence that property rights will be protected, or
Definition and Significance “tenure security.” A lack of tenure security reduces
Land or marine tenure is defined as the institutional incentives for rights holders to invest in long-term
(political, economic, social, and legal) structure that sustainability because there is no guarantee that
determines how individuals and groups secure access to investments made today, such as planting trees or
land/ocean and resources. Property rights are defined as building corrals to protect livestock from predation at
the use, control, and transfer of assets, including land and night, will benefit the right holder in the future. This is
natural resources, such as trees, biodiversity, and carbon. a common challenge in many biodiverse areas globally,
Land tenure rules define the ways in which property so it is critical for USAID biodiversity programming to
rights to land and natural resources are allocated, consider both formal and informal LTPR systems.
transferred, used, or managed in a society. Depending
on the local context, property rights may be held by Who owns the land and its resources? Who is allowed
individuals, families, communities, firms, other groups, and to fish or hunt which species, in which areas, at what
governments. Rights held by individuals and non-state times of year? Who makes decisions, enforces them,
groups, such as communities or firms, are referred to as and arbitrates disputes about ownership and access
“private property,” whereas rights held by government to natural resources? Does the government recognize
entities - such as reserves, national parks and coastal the rights of local individuals or communities, or is
and ocean areas - are considered “public property.” there a disconnect (and potential conflict) between de
jure formal rights and de facto informal rights on the
Property rights may be permanent, as in the case of ground? Questions such as these are fundamental to
permanently protected nature reserves, or temporary. identifying stakeholders at the intersection of LTPR and
Temporary rights may include leaseholds or concessions biodiversity conservation, or those who may be affected
for logging, sport hunting, fishing, tourist lodges, or river by actions in support of conservation. The declaration
rafting. In many countries, property rights are associated of protected areas, extractive reserves, or indigenous
with certain obligations or conditions. For example, a lands; identification of destructive uses; creation of
firm that holds a forest concession right may be required conservation easements; managed access to fisheries;
to log sustainably, while governments may be obligated and many other core conservation actions all depend on,
to protect biodiversity in parks. and may potentially affect, the LTPR of various groups
and individuals.
In addition to defining who can hold and use resources,
for what length of time, and under what conditions, Furthermore, world trends are increasingly reinforcing
land/marine tenure and property rights (LTPR) systems the relationship between secure property rights
include mechanisms to resolve disputes; defend rights; and conservation as population increases, primary
administer or manage land and natural resources; and production rises, globalized trade or finance brings new
transfer rights, including by passing rights from one stakeholders to centers of biodiversity, and indigenous
generation to another (inheritance). LTPR systems peoples come into closer contact with national
may be recognized by either formal or informal authorities. It is reasonable to expect increasing conflict
(sometimes customary) authorities, or both. These over competing rights to land, water, natural resources
systems overlap in many countries where USAID (especially valuable minerals and other raw materials for
works, and informal property rights often go agribusiness and industry), and carbon (and allocation of
unrecognized by formal laws and institutions, REDD+ benefits), particularly as climate change impacts
such as protected areas and land registries. the distribution of these resources.

Existing conflicts often center on the overlapping rights 5. Clarifying and strengthening LTPR can also contribute
to a single resource, such as access to marine resources to local development through sustainable use and
for artisanal and commercial fisheries, recreation, conservation, as occurs when rights are formally or
tourism, aquaculture, or mariculture – especially where informally recognized through co-management, public-
one or more land use rights negatively impact the ability private partnerships, and eco-certified production.
of other users to access the resource and enforce
their rights. For example, the combination of fishing Now that the conceptual relationship between
licenses allocated to commercial firms and changing fish biodiversity activities and secure land tenure and
distribution may potentially lead less-wealthy artisanal property rights is clear, the remainder of this section
fishers to resort to unsustainable techniques to maintain will use real-world examples to illustrate these
their livelihoods. This is just one example of the ways concepts, highlight lessons learned, and provide
that climate change, population growth, and other global additional resources on LTPR issues.
trends are likely to bring competing land and resource
users into conflict, making attention to LTPR issues Key Questions
increasingly relevant.
What are some dimensions in land/marine tenure
and property rights that are of importance to
There are five important reasons why actions to clarify,
conservation?
establish, or change property and access rights must
constitute a core component of biodiversity activities: LTPR systems vary considerably around the world,
and there are many inherently complex dimensions in
1. The current lack of secure tenure in many any LTPR system. Some of these dimensions include
countries leaves many resources claimed by no the following:
one or everyone (“open access”), which may lead
to a “tragedy of the commons,” where users are Different tenure systems for land, marine
incentivized to exploit open-access resources before areas, and the natural resources that occur
others do, thereby degrading areas once beneficial to on or under them – In many countries, property
people and biodiversity. rights to subsoil or natural resources are separate from
land ownership rights. In several African countries, for
2. Some conservation actions are not feasible without
example, land may be owned by private individuals or
attention to LTPR issues, as occurs when parks or
communities, but wild animals are “owned” by a state
land use regulations are declared formally without
wildlife agency; or grazing rights in semi-arid zones may
attention to conflicting (formal or informal) rights,
be vested in one ethnic group, while rights to agricultural
which may undermine conservation incentives.
uses may belong to a different ethnic group. The
3. To be successful, conservation activities that change constitutions of several Latin American countries give
formal or informal resource rights may require the state rights over subsoil resources, water, and some
mitigation measures to address potentially negative natural resources, even while others own the land.
impacts, especially on vulnerable populations, such
Existence of both statutory (formal)
as through compensation or alternative livelihood
and informal (sometimes customary)
support for those who access or use resources inside
LTPRsystems – Informal LTPR systems, which are
protected areas.
sometimes but not always customary or traditional, are
4. Clear rules and institutions governing the use, the social rules and institutions that local people develop
transfer, and ownership of resources provide the to manage their land and natural resources. In many
foundation for sustainable management, particularly countries, these informal systems exist entirely outside
when they place control of resources in the hands of the statutory (formal) LTPR system, but governments
stakeholders likely to conserve them, such as through are increasingly recognizing existing informal systems.
extractive or indigenous reserves that formally For example, the state may define an indigenous
recognize the rights of local people to benefit from people’s territory formally, leaving local custom to govern
sustainable use and conservation.

LTPR within that territory. However, ambiguity can result level planning; strengthen forest governance at the
in conflict or an inability to control the exploitation local or national levels; support the devolution of
of resources where informal rights are not formally resource management to subnational governments or
recognized, or where formal or informal rights overlap communities, for example through community-based
or are not enforced in practice. natural resource management (including rights-based
Communal property rights as an effective and assets-based approaches, discussed separately in
means to manage critical resources – Informal this handbook); support the recognition of indigenous
LTPR systems, including some recognized by government peoples’ territories; and help to make REDD+ a force
statute, frequently include communally held property, to change the way that individuals and communities
or “common pool resources,” such as forest or grazing access and use resources as well as allocate rights to
areas that are owned and managed by the community benefit from forests and carbon sequestration. Many
as a whole. Where these common pool resources are other USAID initiatives affect LTPR and the relationship
governed by rules to control use and access, they can between rights and resource management, such as those
avoid the “tragedy of the commons” and represent in support of food security and adaptation to climate
an effective management strategy for resources that change. Consequently, LTPR concerns are linked to a
cannot easily be subdivided. For example, several wide range of USAID programs.
governments in East and West Africa recognize rights in
arid rangelands where mobility of people and animals is What are some examples of the intersection
critical to sustainability. between biodiversity conservation and LTPR
systems?
Protected areas, land use planning, and
other conservation actions that can have USAID experience with LTPR systems within a
profound impacts on local LTPR – Protected area biodiversity conservation program is very diverse,
management plans, which include zoning or limits on use as illustrated by the following examples:
or access, are de facto LTPR documents with potentially East Africa: In East Africa, USAID supports the
extraordinary impact on vulnerable populations who African Wildlife Foundation with Maasai26 communities
access or use resources within the boundaries of in the Maasai Steppe Heartland, focusing on synergies
a protected area. In addition to undermining local between traditional pastoral systems and biodiversity
livelihoods, these rules can inadvertently compromise conservation. These pastoralists live in areas surrounding
conservation objectives by increasing the potential for such famous wildlife parks as Amboseli and Masai Mara
conflict with other users and/or insufficiently addressing in Kenya and Lake Manyara and Serengeti National Parks
ongoing land uses that may pose threats to wildlife. in Tanzania. Many of these parks were established on
Such often-contentious aspects of parks management lands previously owned by the Maasai, thereby blocking
should be treated with appropriate care and seriousness. these pastoralists from accessing key water and pasture
Although less well-known, the same goes for other resources for their animals, which are the cornerstone of
conservation actions, such as land use planning and their economy. Conflicts over access to grazing resources
conservation easements, that can also impact use, access, within and around the parks have become increasingly
ownership, and/or transfer rights. frequent as farms and other land uses, such as
infrastructure and commercial game reserves, encroach
What types of USAID conservation work rely on the remaining rangelands outside of protected areas
on LTPR? in the region. At the same time, the legal frameworks
Work on LTPR is integral to any USAID program in both Kenya and Tanzania have historically vested
that helps governments adjust rights to resources ownership of wildlife in the state.
in a manner that achieves conservation or requires
mitigation measures to protect vulnerable stakeholders.
Such projects include those that establish or manage 26 “Maasai” and “Masai” are both acceptable spellings, but the former is used
protected areas; promote landscape- and watershed- more often when referring to people, and the latter when referring to the
Masai Mara Reserve.

To address these issues and increase incentives for essential to the management of protected and adjacent
conservation, USAID has supported various efforts areas, but this has to be complemented with monitoring
in the region that aim to provide tangible livelihood and enforcement. After lengthy consultations with local
benefits to the Maasai in exchange for promoting communities, the project resulted in legally secured and
conservation-friendly land uses. These include community registered protected areas and a government declaration
conservancies, where local communities partner with of the country’s first marine protected area.
private companies to establish for-profit game reserves Peru: USAID has supported improved management
that provide local employment and other benefits. and control of forest concessions in eastern Peru,
Another incentive-based approach involves conservation particularly where CITES-listed species are still found.
easements, where individuals or communities are paid The constitution establishes forests as state property,
a fee, usually on an annual basis, for restricting certain and forestry concessions based on satellite images
land uses, such as grazing and cultivation, on their land. were granted. Although this process was designed to
Although these models have the potential to achieve ensure the sustainable production of timber products
both conservation and development objectives, their by limiting logging in high-value conservation areas, it
sustainability depends on the benefits of conservation appears that the concessions granted did not adequately
outweighing the costs to local rights and livelihoods. address all of the drivers of deforestation. Observers
Ecuador and Colombia: Key issues that USAID suggest that half or more of the wood harvested in
identified in Ecuador and Colombia included supporting Peru is illegal, with much of it harvested from within
indigenous groups in designing management plans parks and indigenous territories, making attempts to
for forest reserves that take into consideration their track sources unreliable. A common problem faced by
traditional access and use rights; certifying forests and many landholders, including official protected areas,
forest products for increased market value; resolving is that property borders are not clearly demarcated
land and resource tenure issues; integrating traditional on the ground or in official registries, which allows for
subsistence activities with sustainable natural resource intentional or unintentional encroachment. Often, the
management practices; learning through exchange visits; lack of clearly defined boundaries is compounded by
and sharing best management practices, including those inadequate monitoring and enforcement mechanisms,
related to land and resource tenure, to achieve both which undermine the rights of landholders to
biodiversity conservation and improved incomes. effectively protect their land and resources from illegal
El Salvador: A USAID project in El Salvador that encroachment. As a result of these LTPR issues, violent
focused on improving management and conservation of conflicts over resources had occurred and concession
critical watersheds addressed multiple LTPR issues. The papers were not clearly verifiable.
project followed a major cadastral mapping effort of Democratic Republic of Congo: In the Democratic
the country’s parks and partially focused on protected Republic of Congo, the state leases large logging
area boundary delineation. No procedures were in concessions to private companies. Unfortunately, the
place for recording protected areas and mangrove government does not currently recognize the rights
forests in the national land registry, however, and the of communities living in the forests, including Ba’aka
procedures for defining marine protected areas had not pygmies, although a land tenure reform process is
yet been developed. As a result, resource users, who underway. In the late 1990s, the logging companies
were often not consulted when the parks were initially also encouraged wildlife hunting for bushmeat, even
established and thus were typically unaware of the though their concession rights did not include bushmeat
unrecorded boundaries, continued to collect resources harvesting. The commercial bushmeat trade was
illegally. Moreover, limited budgets for monitoring and ultimately unsustainable and additionally undermined a
enforcement meant that illegal resource collection often critical resource for the Ba’aka pygmies. To address these
went undetected or unprosecuted, which undermined overlapping rights around one protected area, a USAID-
the integrity of the conservation areas. The key point supported NGO worked with a timber company to
is that clarifying and communicating resource rights is control the transport of hunters and bushmeat into the

protected area and logging concession and to provide and adhering to principles of FPIC for actions involving
domestic meat to workers as an alternative. Recognizing indigenous people (see discussion of U.S. Government
the traditional rights of the pygmies to harvest bushmeat interpretation of FPIC in Chapter 3).
and its importance to their diet and livelihood, this including a wide diversity of stakeholders – The
strategic approach provided an alternative source of literature cites or describes diverse stakeholders in
meat that reduced bushmeat demand without negatively LTPR/conservation activities who can, by support or
impacting local food security and livelihoods. The activity resistance, help projects succeed or fail. The ultimate
was so successful that it was used to set a new standard sustainability of any conservation activity depends
for forestry regulations that is now national law. crucially on the inclusion of all those with formal or
The Philippines: In the Philippines, through a project informal rights to land and resources who may be
on governance and local democracy, USAID helped affected by the activity. Incorporating these rights-holders
devolve land tenure and forest-resource extraction into the project design process early on can help to
rights from the central government to local communities, identify potential resource conflicts and solutions to
thereby improving the livelihood of local families and the avoid or mitigate the loss of land or resource rights.
protection and management of 2.9 million hectares of Stakeholder consultations should therefore include a full
forest – 50 percent of the Philippines’ remaining forests. diversity of local and indigenous community members,
In one municipality, USAID support helped community as well as government institutions (local, subnational, and
members develop a forest land use plan. As community national); private sector representatives (e.g. producers);
members became stakeholders, were engaged in the and nonprofit representatives. On the professional
democratic decision process, and had increased control side, national and international experts in land tenure
over local resources, they began to report illegal logging and property rights, in addition to biological and social
incidences and to fully use incentives for the protection scientists, can offer varied and valuable perspectives.
and sustainable use of forest resources. ensuring vigorous monitoring – Use of remote
sensing and overlays using LTPR data, where they
What are some best practices in LTPR in exist, with other data layers is increasing and can be
conservation? accomplished at modest cost. The landscape approach
USAID’s experience with incorporating LTPR into practically requires use of mapping to visualize options
conservation projects, and examples throughout and results. However, there may be a need to first
LTPR literature, highlight many complex and demarcate existing rights, in particular informal rights,
potentially contentious issues, but also many best as many property rights are not formally recorded
practices in addressing those issues. Some of these or mapped. Good project design should identify and
best practices include mitigate potential negative outcomes, such as overuse
of resources, resource conflict, and overharvesting
addressing the impact on indigenous peoples of wild resources. However, the high incidence of
and local communities – Where the state claims informal and/or unrecorded rights in many biodiverse
land or resources for national benefit – a protected area areas complicates the accurate identification of all
or mining concession, for example – the loss of local resource claims. Good project design requires clear
access to previously available resources can result in and adequately supported monitoring systems at the
conflict: illegal taking or encroachment from the state’s local, landscape, and national levels, tied to adaptive
view, dispossession or involuntary resettlement from management practices that make sense and respond
the local perspective. Good project design requires to local issues. Monitoring systems need to be practical,
attention to local LTPR systems, as well as national and sustainable, effective, transparent, supported by
international policies. Conservation planners should stakeholders, and easily understood. In practice, LTPR/
focus on developing feasible alternatives that do not conservation links can only be observed through a
displace local indigenous peoples, vigorously assessing combination of monitoring techniques, including on-the-
the benefits and costs of altering the use patterns of ground monitoring; landscape monitoring using relatively
indigenous people and other legitimate rights holders,

low-cost applications of geographic information systems conservation planners may need to focus national
(GIS) and remote sensing, combined with ground attention on existing international frameworks, such as
truthing; and ongoing consultations, for example using the Convention on Biological Diversity (CBD), CITES,
surveys or appraisal methods. and the Protocol on Access and Benefits Sharing. All
adapting to broad developments and USAID but a few nations have committed themselves to these
priorities – Crucially, LTPR will affect and be affected international conventions, and they provide a useful
by climate change. Potential LTPR impacts could result framework for national LTPR laws and policies.
from shifts in agroecological zones (a situation that is
already bringing farmers and herders into increasing
conflict across Africa); increased risk of conflict over
property and resource access in low-lying, flood-prone
areas, which can complicate efforts to rebuild after
natural disasters, as seen in many countries after recent
hurricanes and typhoons; the displacement or migration
of communities due to changing climate patterns, which
may result in further marginalization of those without
formally recognized property rights; additional stress
on the institutions related to ownership and allocation
of land and natural resources; and conflict over the
allocation of mitigation and adaptation funding. Climate
change is also resulting in new funding sources, such as
REDD and REDD+ (discussed further in Section 4.4),
that are intended to change land and resource use rights
and will create new rights to benefit from forests and
carbon. These impacts may require new ways of thinking
about LTPR issues, as well as new forms of governance
and property rights systems to allocate the benefits
of carbon financing efficiently and equitably and
mitigate risks.
drawing awareness to the broader international
enabling environment – The international
community has recently codified best practices for
the governance of land, fishery, and forest tenure. The
Voluntary Guidelines for the Responsible Governance
of Tenure of Land, Fisheries, and Forests in the Context
of National Food Security were adopted in 2012 by
the Committee on World Food Security (CFS) under
the Food and Agriculture Organization of the UN
(FAO). The Voluntary Guidelines provide a non-binding
framework for countries to use in the establishment
of laws and policies, strategies, and programs that
clarify and secure tenure rights. It is also important to
recognize that LTPR issues are related to a broader
international framework that promotes the conservation
and sustainable use of biodiversity. In addition,

BOX 72. RESPONSIBLE GOVERNANCE OF TENURE IN SMALL-SCALE FISHERIES
The Voluntary Guidelines on Securing Sustainable Small-scale Fisheries in the Context of Food
Security and Poverty Eradication (SSF-Guidelines) seek to ensure that the appropriate conditions
are created to enable small-scale fishers to have access to key resources, promote food security
and nutrition, participate in decision-making, enjoy their human rights, and assume responsibilities
for sustainable use of fishery resources. This is a precautionary and human rights-oriented agenda
that recognizes the importance of bolstering the capabilities of small-scale fishing communities for
oncoming unpredictable transformations, large and small. Building resilience and ending poverty
among small-scale fishing communities will enable them to secure sustainable and robust futures.
One of the central components of this agenda is to ensure that small-scale fishers have secure
marine tenure rights and responsibilities so that communities can gain clear and secure access to
fishing areas in order to manage them for building viable livelihoods and future prosperity. Not only
has there been a breakdown in traditional tenure institutions due to population growth, technology,
and economic transformations, but growing competitive pressures between large-scale and small-
scale fisheries have undermined the tenure rights of small-scale fishers who are typically poorer and
more vulnerable.
For more information, see USAID 2015. Small-scale Fisheries and Marine Tenure: A Sourcebook on Good
Practices and Emerging Themes and USAID 2015. Looking to the Sea to Support Development Objectives:
A Primer for USAID Staff and Partners.

4.10 ECONOMIC GROWTH services on the one hand, and the narrowly focused
economic information often used by policymakers and
Economic growth is essential to development. While development efforts on the other. USAID is making
some have argued that “no-growth” models are best strides to narrow this gap.
to support biodiversity conservation, this philosophy
is untenable and unfair. Growth with technological USAID and Economic Growth
innovation, equity, planning, and efficiency can improve USAID’s E3 Bureau has several offices with objectives
the prospects for humanity, as well as nature. This that are explicitly oriented toward economic growth.
section presents some promising models and tools for The Trade and Regulatory Reform (TRR) Office handles
economic growth that are compatible with and support commercial legal reform issues and generally helps
conservation, while also pointing to sectors and actions countries build the institutions and knowledge needed to
that have the potential to further damage biodiversity if make international trade an engine for economic growth
they are not well managed. (e.g. policy; customs; management of international
financial flows; and the ability to establish, monitor, and
Using the nature, wealth, and power (NWP) framework, comply with global trades and standards). USAID’s
it is important to note that economic decisions are Development Credit Authority (DCA) Office seeks to
closely linked to governance, so economic actions and prove the commercial viability of underserved markets
models that otherwise may be sound can be diverted by working with investors, local financial institutions,
or damaged by poor governance. Conversely, better and development organizations to design and deliver
governance can lead not only to better conservation investment alternatives that unlock financing for priority
outcomes but also improved benefit sharing and equity sectors. The Economic Policy (EP) Office focuses on
for stakeholders whose economic growth depends economic enabling environment and tools that help
on biodiversity. gauge project and business profitability. The Bureau’s
newly created Private Capital and Microenterprise
4.10.1 Economic Growth and Biodiversity (PCM) Office seeks to attract private capital investment
Currently, humanity is experiencing the greatest increase in support of Agency and host-country priorities.
in global economic growth and the most significant
reduction in extreme poverty ever recorded. This is also Many factors contribute to economic growth, including
a time when “humans have changed ecosystems more economic and political stability, investments in human
rapidly and extensively than in any comparable period in capital (e.g. health and education), effective governance
human history.”27 There is a correlation. and strong institutions, favorable environments for
private enterprise and investment, and increases in
Natural assets provide ongoing ecosystem services (ES) technology. USAID has directly invested in virtually all of
that supply inputs for key productive sectors. These these contributing factors across several sectors. Notably,
services include water availability, soil fertility, pollination, these same factors are often outcomes or “co-benefits”
pest control, and growth and reproduction of food from projects that are not explicitly those targeting
species, as well as storm mitigation, climate regulation, economic growth, as is frequently the case in the
waste assimilation, and many other services that are used natural resources sector. For example, community forest
in economic processes, provide conditions essential for management projects frequently entail the strengthening
the functioning of these processes, or inform mitigation of local governance and institutions, which supports
techniques to protect these processes should shocks economic growth more broadly.
arise. While this dependence is well recognized, the costs
of ES degradation are difficult to measure in economic More often than not, explicit economic growth projects
terms; therefore, a gap remains between the emerging incorporate natural resources considerations to the
body of economic data on the role of ecosystem extent that they represent production inputs or negative
27 Millennium Ecosystem Assessment, 2005. Ecosystems and Human externalities to production. Agency screening tools for
Wellbeing: Biodiversity Synthesis (Washington, DC: WRI, 2005).

addressing these environmental considerations include incentives), stakeholder analysis (winners/losers),
the regulatory compliance of the environmental review economic analysis (economy- wide perspective) and
(22 CFR 216) and the sustainability assessment. The a sensitivity analysis (risk assessment). Not surprisingly,
desire is to shift these considerations from a compliance there are elements of these analyses that are coincident
check box to actually informing USAID project design in with those of the analytic tools used within the natural
a manner that recognizes the risks and opportunities of resource sector. For instance, the nature, wealth, and
undertaking productive activities that impact on and are power (NWP) analytic construct also includes strong
influenced by biodiversity and ES. stakeholder analysis and an examination of incentives
and impacts on the economy and society at large. In
While there are few examples of economic growth the CBA, it is the economic analysis that allows for the
projects with biodiversity earmarked funds (compliant inclusion of the negative and positive environmental
with the Biodiversity Code), there have been some externalities of the projects and, therefore, possible
efforts at integration. For instance, there are now compensation or mitigation opportunities.
environmental chapters of free trade agreements, and
there are loan guarantees serving the natural resource Unfortunately, because environmental values (e.g.
sector (e.g. water). In addition, there are some high- biological diversity) are often not quantified in monetary
level cross-sector U.S. Government initiatives, such terms, they are frequently excluded from the CBA.
as the Tropical Forest Alliance 2020 (TFA 2020), a A cost effectiveness analysis (CEA) is generally the
public-private partnership with the goal of reducing methodology applied in such instances, but it is seldom
the tropical deforestation associated with key global actually used within USAID.
commodities (soy, beef, palm oil, and pulp and paper).
The alliance includes government, civil society, and Over the past several years, advances have been made in
private-sector partners, including the Consumer Goods the quantification of ecosystem service (ES) values and
Forum (CGF) – a network of more than 400 retailers, even their inclusion in CBAs. Two means of categorizing
manufacturers, and service providers across 70 countries ecosystem services have contributed to their valuation.
with combined sales of approximately $3.4 trillion and The first originates from the 2005 Millennium Ecosystem
directly employing over 10 million people, with a further Assessment (MEA), which divides ES into the following
90 million related jobs estimated along the value chain. services: 1) provisioning (e.g. food, water, fuel);
In other words, highly significant market influences are 2) regulating (e.g. climate, flood, disease, water);
being brought to bear on reducing commodity-driven 3) cultural (e.g. aesthetic, recreational), and a cross-
deforestation on both the supply and the demand side. cutting service; 4) supporting (e.g. nutrient cycling,
primary productivity, soil formation).
What are the opportunities for integrating
biodiversity conservation and economic growth To this typology, one can then apply the second
in the USAID context? lens for categorizing ecosystem services, listing their
Tools and Concepts contribution to total economic value (TEV) [Pascual
et. al. 2010 TEEB]. The components of TEV include use
An important analytic tool used by USAID/EP,
values (direct use, indirect use) and non-use values (e.g.
which is not mandatory but would arguably be a
bequest value, existence value, option value). Cross-
substantial component of the sustainability analysis,
referencing these two taxonomies can then suggest the
is a cost-benefit analysis (CBA). USAID is most
appropriate valuation methodologies, such as direct/
frequently applying CBA to the agriculture, power, and
market methods (e.g. market price, replacement costs),
infrastructure sectors, all targeting economic growth
revealed preferences (e.g. hedonic pricing, travel cost),
and development.
stated preferences (e.g. contingent valuation), or benefits
transfer. Due to associated costs and the level of effort
A CBA, as performed by USAID, includes four different
required, USAID will generally default to the use of
analyses: the financial analysis (key to understanding
benefits transfers, which simply access and apply ES

values calculated from similar earlier projects researched Office for development of theories of change in
by others. project design.
Because natural resources are universal an undervalued A similar economic growth constraints analysis used
input to most economic growth projects, the need for by the World Bank stems from its Doing Business
natural capital accounting is on the rise. Natural project. Doing Business measures business regulations
capital accounting is the process of calculating the total for local small and medium-size companies operating
stocks and flows of natural resources and services in a in a country. Based on standardized case studies, it
given ecosystem or region. This process can subsequently presents quantitative indicators on the regulations that
inform government, corporate, and consumer decision- apply to firms at different stages of their life cycle. The
making as it relates to the use or consumption of results for each economy can be benchmarked over 189
natural resources and land and sustainable behavior. economies and ranked in 10 areas of business regulation,
ES valuation is required for natural capital accounting, such as starting a business, resolving insolvency, and
and several global initiatives provide good sources of trading across borders. Doing Business encourages
information (e.g., The Economics of Ecosystems and countries to compete toward more efficient regulation
Biodiversity – TEEB). and offers measurable benchmarks for reform in the
business climate of each country. USAID makes use of
Increasingly, progressive private-sector firms are this analytic tool.
recognizing the value of natural resource goods and
services to their profits and applying natural capital Sectors and Activities
values to their financial calculations. Indeed, PES It has already been demonstrated that good project
schemes – applied most frequently perhaps in the water assessment tools and processes (e.g. EIAs, CBAs, and
sector by private, semi-private, and even public utilities – natural capital accounting) can address environmental
are predicated upon being able to value the ES provision. impacts and values of any project in a manner
See Annex 5 for more information on PES. Both firms supportive of sustainable growth. Still, there are those
and nations can apply natural capital accounting. To economic growth projects with very direct links to
date, USAID has explored application of natural capital natural assets and biological diversity that are worthy of
accounting through a handful of its NRM projects (e.g. special consideration, as depicted in Table 4.
Translinks, SCAPES, BUILD) but has not yet engaged
extensively in this area at either the scale of the firm 4.10.2 Extractive Industry
or the nation. It continues to be a promising field with
application for existing initiatives, such as TFA 2020.
Extractive industries are those that are engaged in the
In assessing a country’s capacity for broad-based discovery and/or extraction of non-renewable natural
economic growth, it is not uncommon for economists resources, including minerals, petroleum, natural gas,
to apply constraints analysis (CA) to identify the coal, sand, and gravel. By their very nature, extractive
most binding constraints to private investment and industries are considered unsustainable, and the activities
entrepreneurship that hold back growth. USAID’s associated with extractive industries typically result
inclusive growth diagnostic is a significant expansion in negative impacts on biodiversity. Congress places
upon the MCC’s CA model, which itself builds on the limitations on how USAID can work with extractive
Ricardo Hausmann, Dani Rodrik, and Andrés Velasco industry (forest industries to be specific), as described
(HRV) growth diagnostic model. All such CA models in Section 4.5.
attempt to identify binding constraints (low supply
matched with strong demand) to investment and Extractive industries exert enormous pressure on
growth. In as much as the CA approach incorporates a biodiversity. These industries, by their very nature,
contextual cause-effect framework, it is not dissimilar to convert natural habitat into permanent human uses,
results chains and concept models used by the FAB making it very difficult, if not impossible, to restore or

Table 4. Examples of Economic Growth Activities’ Links to Biodiversity
TYPES OF STRENGTHENING THE LINK WARNING SIGNS*

ACTIVITY WITH BIODIVERSITY
ecotourism/cultural incentives and benefits go to those who increases pressure on land and
tourism represent threats to biodiversity or are resources
land managers
natural products such link back to land and wild species no native species used
as ornamentals, herbs, management promotes cultivation of non-natives
and spices
sustainable agriculture create covenant or conservation farmers do not have secure title and
agreement with farmer groups, enforced cannot exert pressure to change
by peer pressure and backed by economic practices of peers
incentives benefits unclear or not enough to
change behavior
promotes increased use of pesticides
tree crop rehabilitation incorporate native tree crop diversity weak market or private sector
and improvement and connectivity into the planning buy-in; market board disincentives
insurmountable
no clear link to conservation of
biodiverse area
rehabilitate. Extractive industries have both direct and Key Questions

indirect impacts on biodiversity. Direct impacts include What are trends in growth for extractive industries?
the conversion of habitat and the displacement or
Growth in the demand for natural resources has been
destruction of species. Indirect impacts include long-
exponential over the past decade, particularly given
term persistent effects on surrounding biodiversity,
population trends, a booming middle class in Asia, and
including those from noise, light, air, and water pollution;
China’s position as a manufacturing giant. Commodity
from fragmentation; and from associated infrastructure
prices have skyrocketed, with a steep jump in the value
and activities required to explore, extract, process,
of non-renewable resources. Ever-increasing demand
and distribute industrial products, which can open
and higher prices for natural resources have pushed
up previously inaccessible areas to immigration
extractive industries to search for non-renewable
and settlement, as well as conduits for illegal trade.
resources in places where it was once too expensive
Unfortunately, the environmental regulatory agencies
or too dangerous to do so. Globally, many areas once
responsible for oversight often do not have sufficient
considered dangerous or unreachable for mining and oil
resources and capacity to assess and monitor these
companies to operate in are now safer and accessible.
impacts and require that they be addressed. For more
Nowhere does the tension between the demands
information, see Partnering with Extractive Industries
of better livelihoods and environmental protection
for the Conservation of Biodiversity in Africa: A Guide for
manifest itself so immediately as in the debate over
USAID Engagement.
resource extraction. Although extractive industries
create significant opportunities for the near term, they

entail substantial risks for future generations, and the companies and host governments for mining projects.
costs and benefits of resource extraction are seldom The MMDA project asks what a mining contract might
borne equitably. In many geographic areas, extractive look like if the process started from the precept of a
operations overlap with indigenous and/or traditional project aiming to contribute to sustainable development.
peoples’ territories, presenting additional complexities The MMDA recognizes that the natural, social, and
and challenges. economic environments around mining projects are
also essential considerations. The final product is web-
What role do NGOs and aid agencies have based and publicly accessible at www.mmdaproject.
regarding extractive industries? org. It is not “prescriptive” in the sense of setting out
Addressing social equity is a major challenge for one standard form; rather, it seeks to provide an agenda
extractive industries, and it generally falls to governments for negotiations based on a sustainable development
to referee tradeoffs and protect the most vulnerable, as objective that is common to all parties. The MMDA’s
well as future generations. Transparency, public access to public nature will also allow local communities and civil
information on extraction, and stakeholder participation society groups to contribute in a sound manner to
in decision-making are all elements of effective negotiation processes. By setting out a comprehensive
governance of extractive industries. Governments, and common template, it is hoped that this tool will
however, are often ill-equipped to arbitrate tradeoffs enable and assist better structured negotiations, resulting
and, in some cases, may not consider the interests of in better lasting results in mining projects.
all segments of the population when investors promise
high returns, development projects, or even bribes in What kind of assessment and management tools
exchange for access to resources. Given this reality, can be used to improve extractive industries?
international and local organizations, including USAID There are three primary tools that can be used to
and its partners, need to fill critical niches in community improve extractive industries and minimize their impacts
development, public health, and the environment. They on biodiversity:
can do this by encouraging governments to exercise
Environmental impact assessment (EIA) –
due diligence and implement social and environmental
This tool formulates short- and long-term goals for
safeguards; by helping to negotiate tradeoffs with
environmental responsibility and performance by
extractive industries; by ensuring that good governance
determining a project’s current or potential impact
is practiced by extractive industries; and by empowering
on the environment. Before beginning a commercial
affected communities to participate in decisions that
project, a company should perform an EIA, which
have an impact on their lives. Often, empowering
may be a requirement of a government or lending
communities requires their ability to access independent
organization. The EIA reviews likely production of
legal, technical, and social advisors to allow for a more
pollution, wastewater, and solid waste, as well as the
balanced decision-making and negotiation process. More
proposed project’s use of energy, water, and other
specifically, donor agencies such as USAID can provide
natural resources. The assessment identifies the nature
support for extractive industries policy analysis, support
and scope of potential impacts, presents options for
capacity building in SEA/EIA (environmental impact
mitigation, and recommends a course of action.
assessment), introduce biodiversity guidelines for EIA and
other policy tools, collaborate with extractive industries Environmental management plan/system – An
at sites of high biodiversity importance, and support environmental management plan can be developed from
improved monitoring. the EIA’s recommendations; it may include procedures
for monitoring impact on species (e.g., changes in turtle
One example of due diligence in the extractive nesting), changes in water/soil quality, and other indices
industries sector is the Model Mining Development of environmental health. An environmental management
Agreement (MMDA), a product of the International Bar system can be based on the environmental management
Association, which can be used in negotiations by mining plan to improve a company’s environmental

performance by helping to organize the management • Can negative environmental impacts on biodiversity
structure’s focus on environmental impact. be mitigated to an acceptable level?
Strategic environmental (and social)
assessment (SEA/SESA) – SEAs move the What is the mitigation hierarchy approach in
environmental assessment process “upstream” to look conservation?
for potential environmental and social impacts and The mitigation hierarchy is a concept that addresses the
opportunities at the level of policies, programs, plans, need to look holistically at activities that may significantly
or regions. In this way, negative effects or positive impact biodiversity and identify strategies at various
opportunities can be identified early and over a broader stages of the activity development. The mitigation
range, so that individual projects can be “weeded out” hierarchy includes four levels: avoidance, minimization,
before they begin if they will have negative impacts, or rehabilitation, and offset/compensation. It is referred to
be reformulated to have positive impacts. SEA is a costas a hierarchy because of a preferential application of
effective approach that is being applied more and more the stages. The sequencing of adopting the hierarchy
in the developing world. Moreover, SEAs increasingly is to (a) anticipate and avoid risks and impacts; (b)
include social aspects (SESAs). where avoidance is not possible, minimize risks and
impacts; (c) once risks and impacts have been minimized,
What is a framework for integrating biodiversity mitigate; and (d) where residual risks or impacts remain,
into extractive industries? compensate for or offset, as appropriate. Because the
concept of biodiversity offsets is controversial, the
The questions below can help partners in extractive
mitigation hierarchy views the role of biodiversity offsets
industry/biodiversity conservation projects identify
as a last resort, after all reasonable measures have been
biodiversity priorities and previously unrecognized
taken to avoid and minimize the negative impact of
biodiversity issues and values for areas of extractive
a project and then to restore biodiversity on site
interest.
(http://bbop.forest-trends.org/pages/mitigation_
• Has the project area been identified as having high hierarchy, 2014).
biodiversity value? Does it contain endangered species,
and is it considered critical habitat or unique and What are the opportunities for avoiding or
irreplaceable? mitigating/minimizing biodiversity impacts from
• Does the project or other biologically significant extractive industries?
area contain, or exist within, a state-designated or Depending on the extractive activity, there are industry,
community-managed protected area? government, and financial institution safeguards, best
• Has the methodology used in the collection of practices, and protocols that not only reduce negative
baseline data for the determination of the area’s impacts to people and biodiversity but also enhance
biodiversity importance been rigorous enough? profitability and increase operational and resource-use
• Can operating within the protected or other efficiency. Recognition of the availability of such planning
biologically significant area be avoided using and operational resources, willingness to consider and
technical options? invest in these, and capacity to approach them at the
right time and scale are essential for minimizing impacts
• Can the government approve extractive industry
to biodiversity.
development activities within a protected area
or other biologically significant area through a
Some initiatives that work toward improving the
valid process?
environmental and social performance of industrial and
• Can the biodiversity values of the conservation small-scale mining include the Alliance for Responsible
priority area not currently under protection Mining, the Initiative for Responsible Mining Assurance,
be confirmed? the Framework for Responsible Mining, and the
• Are there any significant biodiversity issues? International Council on Mining and Metals.

One interesting example of minimizing damage to a very designed to compensate for significant residual adverse
biodiverse ecosystem and its vulnerable communities biodiversity impacts arising from project development
occurred in the Pastaza alluvial wetlands of the Peruvian after appropriate prevention and mitigation measures
Amazon. For years, as a consequence of petroleum have been taken.” The goal of biodiversity offsets is
exploitation activities, the Achuar indigenous people to achieve no net loss and preferably a net gain of
suffered serious health impacts (from respiratory and biodiversity on the ground with respect to species
skin diseases to birth defects), and extensive thermal composition, habitat and ecosystem function, and
and chemical contamination of significant biological people’s use and cultural values associated with
resources occurred. In 2011 an agreement was reached biodiversity. Although biodiversity offsets are a relatively
between the indigenous communities, the Peruvian new conservation instrument, generating a wide range
government, and the oil company responsible for the of opinions within the conservation and development
damage. The agreement, brokered by local (Racimos world, they have the potential to transform biodiversity
de Ungurahui) and international (WWF) NGOs, and land use planning and become a major new force
included a commitment by the oil company to re-inject in land conservation. One study found, for example,
the contaminating process waters back into the oil that there are more than 60 programs globally for
wells being exploited, the implementation of a biodiversity offsets, with an annual global market of as
monitoring plan that employed local residents, and much as $3 billion.
the establishment of a health fund to address the
community’s medical conditions. One example of a voluntary, market-based biodiversity
offset project is the Ambatovy nickel mining project in
What are some examples of rehabilitation in Madagascar.28 The project, slated to run for 27 years,
extractive industries? is located in the central portion of the country’s moist
Without proper operational controls and closure forest ecoregion. Several offset activities are planned
protocols, extractive operations can leave behind to compensate for the loss of approximately 1,100
dangerous conditions that may continue to cause hectares (ha) of natural forest associated with the mine.
negative impacts to biodiversity and people years These activities go beyond regulatory requirements and
after the activity has ended. For example, abandoned include the off-site protection of 11,600 ha of similar,
mining tailing, deposition pools, and large extensions endangered forest, as well as set-asides of azonal forest
of floodplains where the top soil and vegetation have and 4,900 ha of conserved forest around the mine
been removed can continue to be costly sources of footprint area. The project planned these offsets in
sedimentation, pollution, landslides, and ecosystem consultation with local and international conservation
fragmentation. Mine reclamation is the process of stakeholders and employed quantitative calculation
restoring land that has been mined to a natural or methods to estimate no net loss of biodiversity.
economically usable purpose. It is a common practice
among responsible mining companies and should be a An example of a mandatory biodiversity offset
requirement in all mining projects. One key principle in program can be found in Brazil, which has two different
the rehabilitation of biologically significant areas impacted biodiversity offset arrangements: a forest set-aside
by extractive industries is that the agreements for such offset and a project development offset.29 Both schemes
efforts are made as early as possible in the planning operate under the “polluter-pays” principle. The forest
process, with institutional responsibilities and financial set-aside program requires rural landowners to maintain
resources clearly assigned. a minimum percentage of natural vegetation on their
land and allows them to conserve similar habitat types
What are some examples of biodiversity offsets? within their watershed. The project development offset,
According to the Business and Biodiversity Offsets
28 The Ambatovy Project Business and Biodiversity Offset Programme Pilot
Programme, biodiversity offsets are “measurable Case Study. 2009. Antananarivo, Madagascar.
conservation outcomes resulting from actions 29 Madsen, B., Carroll, N., Moore Brands, K.. 2010. State of Biodiversity
Markets Report: Offset and Compensation Programs Worldwide.

which is linked to an environmental impact assessment, achieve cost-effective conservation outcomes alongside
requires developers to create and maintain conservation infrastructure and economic development. Proponents
land equivalent to their environmental impact.30 of offsets hope that by undertaking a “no net loss” of
biodiversity approach, companies can better secure
One must remember that offsets are the last option in their operational license, as well as better manage
the mitigation hierarchy, coming after efforts to avoid, costs and liabilities.
minimize, and mitigate negative environmental impacts.
Offsets are considered to address residual risks and Nonetheless, the questions and doubts surrounding
impacts as necessary. biodiversity offsets should be known and properly
discussed through transparent processes by stakeholders
What are some challenges in implementing considering this option. Establishing credible and effective
biodiversity offsets in an extractive industries biodiversity offsets is very complex, given the multiple
context? values and services that biodiversity provides, the way
Some of the challenges in implementing biodiversity threats and drivers to biodiversity interact beyond the
offsets include the need for credible and measurable boundaries of specific extractive enterprises, and the
standards for biodiversity loss and offset, and the goal that offsets should be permanent. Many in the
perception that industries could use biodiversity offsets scientific and development community believe that some
to circumvent environmental standards. Organizations areas, like critical habitats, can’t be offset due to their
such as the Business and Biodiversity Offsets Program, uniqueness. In countries where governance, science,
run by Forest Trends, are working to develop data, and capacity for monitoring and implementation
international standards and best practices to address are weak, biodiversity offset options can carry significant
these challenges. sustainability risks.
Even where extractive industry impacts on the 4.10.3 Infrastructure

environment are minimized and mitigated to the Definition and Significance
maximum extent possible, net loss of biodiversity Infrastructure is defined as buildings (houses,
still occurs. Biodiversity offsets have been put forth warehouses, office building); structures (towers, fences);
as a means for achieving no net loss of biodiversity transportation corridors (roads, railroads, airports);
by creating a framework that allows biodiversity to be and areas of permanent land conversion (parking lots,
reliably measured and businesses to compensate for strip mines). Infrastructure includes the basic physical
biodiversity losses in one area through conservation and organizational structures and facilities needed for
actions in another. Biodiversity offsets include establishing a society to develop and function. Built, or physical,
new protected areas, financing management of existing infrastructure can have wide-ranging impacts on
protected areas, and restoring degraded areas. The idea ecosystem services and functions (sometimes known as
is similar to that in the United States of creating a new “natural infrastructure”).
wetland to replace one lost to a highway or housing
development. As mentioned above, the concept of The development of physical infrastructure – roads,
biodiversity offsets has been advanced largely by the bridges, dams, ports – is a critical element of a country’s
Business and Biodiversity Offsets Program (BBOP), economic growth and development trajectory.
a partnership among companies, governments, and Infrastructure development is supported by a variety of
conservation organizations that explores the potential entities globally, including the private sector, governments,
for such offsets. Through a number of pilots in a range of and bilateral and multi-lateral institutions, on a variety
industry sectors, this community hopes to demonstrate of scales, from local farm-to-market roads to mega
the conditions under which biodiversity offsets can help hydropower projects. Infrastructure projects that are
30 Escorcio Bezerra, LG. 2007. Biodiversity Offsets in National (Brazil) and
poorly planned or implemented and/or do not take
Regional (EU) Mandatory Arrangements: Towards an International Regime? into account the full costs of development – including
Dissertation. UCL Department of Laws.

the totality of environmental and social impacts – have health and safety risks, and loss of livelihoods and
been and continue to be a key threat to biodiversity and cultures. Often, these social impacts can have further
ecosystem integrity worldwide. knock-on environmental effects, including relocation
of displaced populations into ecologically vulnerable
Natural Infrastructure is the interconnected areas and resorting to marginal and unsustainable
network of natural areas needed to maintain and economic activities.
support ecosystems and their functions. Natural
infrastructure, and the biodiversity that underpins it, From an economic growth standpoint, it is important
plays an important role in the provision of ecosystem to maintain and support ecosystem functions because
goods and services that are critical to economic growth healthy ecosystems provide goods and services that
and development. Wetlands, estuaries, riparian areas, are key inputs for economic growth and sustainable
intact forests, and free-flowing rivers are all examples development, particularly among the poorest and most
of natural infrastructure. vulnerable communities. Built infrastructure has the
potential to negatively impact or enhance the function
The principle challenge at the nexus of biodiversity of natural infrastructure and biodiversity. For example,
and infrastructure is to improve the interface between when planning for coastal development, governments
built and natural infrastructure to maximize sustainable should consider the important role that natural
development benefits. Over the next 20 years, more infrastructure, such as mangrove forests, plays in buffering
than $35 trillion in public funds will be spent on coastlines and proximate human populations from storm
infrastructure; in Asia alone there will be more than surges and sea level rise and plan built infrastructure
$4.7 trillion in infrastructure investment over the next accordingly, in a way that avoids the degradation or
decade. Although there will be clear benefits accrued fragmentation of critical natural infrastructure. Effective
from this investment, infrastructure development that approaches and tools exist to better integrate and
has negative impacts on biodiversity has the potential maximize economic benefits from built and natural
to have negative direct, indirect, and cumulative impacts infrastructure.
on people, economic interests, and development
investments as well, given that 4 to 8 percent of Key Questions
GDP is lost annually in developing countries due How can more socially and environmentally
to the environmental impacts of poorly planned responsible infrastructure decisions be made?
infrastructure.
Infrastructure development is a response to a variety of
needs that improve human well-being and opportunities
The impacts of infrastructure development on
for progress, including the needs for energy,
biodiversity and ecosystems depend on a variety of
communication, safety, transportation, food security, and
factors, including the planning process (or lack thereof);
reduced vulnerability to disaster. Particularly for mega-
the scale, location, and management regime of the
infrastructure (large projects like dams, ports, and roads
infrastructure itself; and the ecosystem and social
that require large financial investments), a comprehensive
context of the construction site and region. For example,
needs assessment (or feasibility assessment) that
roads bisect critical habitats, and national parks and
compares several alternatives and/or scenarios can assist
dams eliminate migration of important fish populations
decision makers in selecting the options that provide
and alter hydrological systems. These direct impacts
the best balance of social, economic, and environmental
are often accompanied by indirect and cumulative
costs and benefits. Location, design, scale, technology
impacts, like opening up previously isolated areas to
used, operational practices, sustainability, and monitoring
resource exploitation and settlement or changing
parameters of all infrastructure developments can
flooding, sediment, and nutrient dynamics downstream.
be enhanced though well informed and participatory
The negative implications of poorly planned, executed,
needs-assessments processes.
and managed infrastructure for human populations can
include threats to food security, displacement, increased

What other kind of assessment and management planning that considers more than a project-by-project
tools can be used to improve infrastructure view of development.
development?
Environmental impact assessments, environmental A holistic, spatial, and stakeholder-based approach to
management plans/systems, and particularly strategic development planning that takes into account early in
environmental (and social) assessments, as described the process the full environmental, social, and economic
in Section 2.3.4, are also useful tools to assist in costs and benefits of various patterns or options of
the planning of infrastructure development. As with investment and development (including infrastructure)
any assessment, access to the best data available, at an ecologically relevant scale has the potential to
transparency, public participation, and proper timing produce greater benefits and minimize negative impacts
within the planning process are keys for success. over time. The SEA, which includes a range of “analytical
and participatory approaches that aim to integrate
What is a mitigation hierarchy approach to environmental considerations into policies, plans, and
infrastructure and conservation? programs and evaluate the inter linkages with economic
and social considerations,”31 responds to this need. It
The mitigation hierarchy, introduced in Section 4.10.2,
allows the integration of environmental considerations –
should be applied in the planning of infrastructure
alongside social and economic aspects – into strategic
projects. It includes four levels: avoidance, minimization,
decision-making at all stages and tiers of development
rehabilitation, and offset/compensation. Because it is a
cooperation. Strategic environmental assessment is not a
controversial option with a wide range of opinions in
substitute for traditional project impact assessment tools,
the conservation and development world, the option
but a complement to them.32 Improving the interface
of biodiversity offsets should only be considered as a
between built and natural infrastructure in a way that
last resort, and approached with the involvement of
conserves biodiversity and keeps ecosystems intact
appropriate, preferably local, experts.
will involve “soft” strategic approaches to address the
policy, planning, and regulatory environment and should
What are the opportunities for avoiding or
improve the capacity for integrated decision-making in
mitigating biodiversity impacts from infrastructure?
countries where USAID works.
Although many immediately think about EIAs as the
primary tool for preventing negative environmental Avoidance strategies include measures, such as careful
impacts of infrastructure development, there are a spatial or temporal placement of infrastructure elements,
variety of entry points and opportunities for avoiding or taken to prevent from the outset impacts on certain
reducing impacts of infrastructure on biodiversity and biodiversity components or biologically significant areas.
ecosystems. EIAs are project based. They generally only This results in a change to a “business as usual” approach.
capture project-level impacts and mitigation measures; Minimization strategies include measures to reduce
they often do not consider ecologically or socially the duration, intensity, and/or extent of impacts that
relevant geographic scales or intergenerational impacts, cannot be completely avoided, as far as is practically
and they leave out cumulative effects and broad social feasible. Rehabilitation and restoration strategies include
implications. These issues lead to problems that are measures to rehabilitate degraded ecosystems or restore
very difficult to manage, either because the projects do cleared ecosystems following exposure to impacts
not include effective safeguards, or because they have that cannot be completely avoided and/or minimized.
safeguards that cannot effectively assess and mitigate Offset and compensation strategies include measures to
cumulative and broader indirect environmental and compensate for any residual significant, adverse impacts
social impacts. EIAs without broader planning are only
a partial solution. By the time an infrastructure project 31 Applying Strategic Environmental Assessment: Good Practice
Guidance for Development Cooperation. 2006. OECD Development
is at the EIA phase, it may be too late to have sufficient Assistance Committee (DAC). http://www.oecd.org/dac/environment-
influence on the planning and siting of the investment; development/37353858.pdf
there is considerable benefit to taking a broader view of 32 Applying Strategic Environmental Assessment: Good Practice Guidance
for Development Co-operation. OECD. 2006) 24-25

that cannot be avoided, minimized, and/or rehabilitated
or restored.
BOX 73. ASIA REGIONAL BIODIVERSITY
CONSERVATION PROGRAM
Many conservation approaches have been developed to
address biodiversity loss due to infrastructure
development lower down the mitigation hierarchy,
including biodiversity offsets; technological fixes (e.g., USAID’s Asia Regional Biodiversity
wildlife underpasses and bridges, fish ladders, and Conservation Program (ARBCP) worked
regulation of water flows from dams); and site with the Vietnamese government
restoration after damage has been done. Such strategies to establish a policy framework for
should be considered primarily after holistic planning and payments for environmental services
avoidance measures have been exhausted. Also, it should and implement a pilot PES arrangement
be recognized that there are no “one size fits all” options with a hydropower dam operation in the
in biodiversity conservation – for example, fish ladders in Da Nhim watershed area of Lam Dong
hydropower projects must be designed for specific fish Province. In this pilot, payments were
species and river conditions, tested beforehand, and made by the hydropower operation to
approached knowing that they may prove not to be an communities for the stewardship of the
effective alternative. One example of a compensation watershed and biodiversity upstream.
effort is PES arrangements with hydropower Without proper watershed and forest
management. Stewardship payments can incentivize management upstream, the levels of silt
conservation through, for example, compensation flowing downstream and the resulting
for the true economic value of the services intact siltation behind a dam would pose a
ecosystems provide, including protection of water quality, significant problem for dam operation and
prevention of soil runoff that increases siltation of management, requiring expensive strategic
hydroelectric reservoirs, harvest of natural forest approaches. In the Lam Dong PES case,
products, and the aesthetic appeal of natural landscapes by December 2010, payments totaling
important to tourism. Downstream users, such as 87,067,200,000 Vietnam Dong (VND;
hydroelectric power plants and water companies, gain US $4.46 million) were made to 22 forest
management boards and forestry businesses
benefits from water regulation and soil conservation,
and 9,870 households, 6,858 of which were
and so arguably should pay upstream providers of
ethnic minorities. PES activities have resulted
these environmental services. Valuation studies can
in enhanced protection of 209,705 hectares
be instrumental in raising the confidence level of
of threatened forest land, and in 2010, the
policymakers regarding setting payment levels.
average annual payment per household
was 10.5-12 million VND (US $540-615),
representing an almost 400 percent increase
over previous forest protection payments
by the Government of Vietnam. Based on
information in logbooks maintained by
patrol teams, forest protection patrols
supported by PES payments have resulted
in a 50 percent decrease in the number of
reported cases of illegal logging and wildlife
poaching in the Da Nhim watershed area.
Benefits are accrued for both biodiversity
and infrastructure in this case.

What is USAID’s environmental and social does not obviate the need to engage with relevant
oversight responsibility for multilateral stakeholders during the later stages of the process,
development bank investments? when all of the environmental and social documentation
Title XIII of the International Financial Institutions (IFI) is available.
Act, as enacted in Section 537 of Public Law 100-202,
instructs USAID to report to Congress on proposed As of this writing, USAID is engaged in a lengthy process
and current multilateral development bank (MDB) of review of safeguards used by multilateral institutions
projects (many of which include built infrastructure supported by the U.S. Government, especially but not
components) and other assistance proposals likely exclusively the World Bank. U.S. Government agencies,
to have adverse impacts on the environment, natural NGOs, and other stakeholders are actively weighing in.
resources, public health, or indigenous peoples. The
law directs USAID to collaborate with other U.S. 4.10.4 Illegal and Unsustainable Trade
Government agencies to review MDB assistance Definition and Significance
proposals to determine whether they will contribute to
Illegal trade is defined as the trade of any product
the sustainable development of the borrowing/project
that is bought, sold, exported, imported, or processed in
country. USAID produces a biannual report to Congress
breach of a country’s national laws and/or international
that provides information regarding the Agency’s
treaties, such as CITES or fisheries agreements. Illegal
performance of its tasks, as assigned by the Act. USAID
trade largely involves species of high value or high
and its partner reviewing agencies have the responsibility
demand on international markets. For example, growing
for making recommendations, including proposing
wealth in China and Southeast Asia has spurred a
alternative measures that could eliminate or mitigate
demand for exotic animal parts, precious woods, and
adverse impacts. After evaluating MDB proposals, USAID
seafood products. Illegal trade can also be masked by,
undertakes an affirmative investigation of selected
or “co-mingled” within, legitimate trade, such as for
projects that may have substantial adverse impacts and
ornamental fish or the commercial timber and fish
ensures that the resulting information is made available
trades. The presence of illegal wood and fish products on
to the public. USAID provides its findings from this
commercial markets has become so pervasive that the
process to the U.S. Department of Treasury. USAID/
private sector has joined in the cause to halt illegitimate
Washington works with its regional Bureaus and field
trade that is undermining their good practices and
Missions and other U.S. Government agencies, including
cutting into profits. Illegal trade drives over-exploitation
the Department of State, the Environmental Protection
and the use of destructive methods and may do
Agency, and the U.S. Executive Directors’ Offices at the
further damage by introducing invasive alien species
bank to carry out the following tasks: providing adequate
that can create havoc in native environments lacking
attention to priority MDB projects; engaging with project
natural defenses. Illegal fishing and trade in fish products
sponsors, bank staff, civil society, and communities
are often broken down into “illegal, unreported, or
affected by bank projects; and engaging early in the
unregulated (IUU)” categories.
proposal process with project countries, sponsors, and
bank staff.
Unsustainable trade is defined as the extraction,
trade, and consumption of any renewable resource
When final project EIAs are released by MDBs 120
(e.g., timber, fish) beyond what the regenerative capacity
days before their boards vote, there may be inadequate
will allow, or any such activity that causes unacceptable
opportunities and unsatisfactory results in identifying,
levels of degradation of biodiversity and ecosystems. An
averting, or mitigating negative environmental and social
example of unsustainable trade is the charcoal trade,
impacts. To increase its effectiveness in the oversight
where trees are cut in large numbers with no or weak
process, USAID continues to explore new approaches
enforcement of sustainable harvesting, regeneration, or
to earlier engagement in the MDB project-proposal
replanting. Another example is the unsustainable trade
process. However, earlier engagement in this process
of wild fish from many developing countries

that lack adequate management regimes and clothing and jewelry – Wildlife is used by many
enforcement capabilities. groups for clothing, and ornaments are made from
leather, furs, and feathers. Coral, seashells, pearls,
The extraction and trade of wild animal and plant wood, and nuts are used in both traditional and
resources is a driver of biodiversity loss, but the commercial jewelry.
demand also presents a potential incentive for sport –Trophy hunting can generate tens of thousands
conservation and sustainable management of of dollars for private-sector concessionaires, government
ecosystems. Biological resources are extracted and resource managers, and local communities. Wildlife is
traded legally and illegally within and across national also valued for its ability to hunt, specifically falcons used
borders to meet market demands for a variety of for sport hunting in the Middle East and Central Asia.
products and purposes, including Overhunting or unlicensed hunting is reported as a
food – Fish are the world’s most widely traded food common threat in several countries.
products, and the vast majority of wild fish originate physical and spiritual health – An estimated 80
from developing countries. Fruits, mushrooms, nuts, percent of the world’s population is said to rely on
leaves, and tubers are particularly important for nutrition traditional medicines for primary healthcare needs.
and livelihoods in many rural areas. Wild animals, These include herbal remedies, such as those in the
including fish, contribute at least a fifth of the animal Ayurvedic tradition of India; traditional Chinese medicine,
protein in rural diets in more than 60 countries. An which includes ground seahorse, tiger bone, and
increasingly commercial bushmeat trade in Central and rhinoceros horn to alleviate various ailments; and muti
West Africa and the consumption of wildlife in populous of Southern Africa, which involves ingested plant and
Southeast Asia have significantly reduced wildlife animal ingredients for health as well as providing talisman
populations and ranges. A recent study demonstrated properties. Essential oils are a burgeoning natural
that reliance on wild meat is growing in East and product that may be wild harvested and promoted for
Southern Africa in response to increased human both health and well-being.
populations and poverty.33 collections, pets, and research – According to
prestige – Certain wildlife products are traded because TRAFFIC, any wildlife specimens and curios are collected
their combination of traditional value, beauty, and rarity by museums and private individuals; researchers import
(and even illegality) makes them desirable to give or nearly 15,000 primates annually for research; and the
receive. Examples include carved ivory from elephants, illegal exotic pet trade is estimated at $20 billion a year.
hippos, and walrus; carved or whole rhino horn; wolf The primary incentive for wildlife traders is economic,
pelts; precious woods such as mahogany, ebony, and ranging from small-scale local income generation, to
rosewood; and exotic butterflies and coral reef species. major industry, to international crime syndicates.
fuel and fodder – Trees and plants are an important
source of fuel for cooking and heating and provide The problem of unsustainable and illegal trade in
fodder for livestock, especially in rural areas. plant and animal species is significant and pervasive
and poses a considerable and immediate threat to
building materials – Trees and plants provide timber
ecosystem health, biodiversity, global security, and human
and thatch for furniture and housing.
development prospects. For example, if current illegal
gums and resins – Sap from trees and plants produce and unsustainable trade trends continue, scientists
resins used both in manufacturing processes and locally predict that 13 to 42 percent of Southeast Asia’s animal
for a variety of purposes. and plant species could become extinct during this
century (Brooks et al., 2003), and at least half of those
losses would represent global extinctions.
33 Traffic.

Illegal Timber Trade (see Box 74 on the U.S. Lacey Act). Furthermore,
The World Bank estimates that 90 percent of the $10- regional and international processes to address illegal
15 billion timber trade is illegal. The global economic cost logging through trade and diplomatic channels have
of illegal logging has been estimated at approximately emerged. These channels include the Asia Pacific
US $46 billion per year.34 In the host countries where Economic Commission; bilateral MOUs with key trading
USAID works, illegal trade in wood products robs partners; voluntary partnership agreements with the
governments of revenue that could be invested in European Union under their Forest Law Enforcement,
public service. This pervasive problem, typically run Governance, and Trade (FLEGT) Action Plan; and
by organized crime syndicates, has also resulted in environmental chapters of trade agreements, such as
the deaths of community activists in Cambodia, the the one between the United States and Peru, which
Philippines, and Brazil. Illegal logging and associated trade, included an annex on forest governance requirements.
which enters and becomes lost within legitimate global The need to verify legality through better supply chain
commerce, is causing persistent environmental damage, management and law enforcement has also given rise to
costing governments billions of dollars in lost revenue, new scientific applications and technologies to identify
promoting corruption, and undermining the rule of law wood species and their origin – for example, the use
and good governance. A 2012 study by the World Bank of DNA barcoding, fingerprinting, or isotope analysis;
describes the nature of the problem: enhanced use of wood anatomy; and improved remote
sensing and forest monitoring.
Forestry’s criminal justice system is broken. Despite
compelling data and evidence showing that illegal logging
is a worldwide epidemic, most forest crimes go undetected,
unreported, or are ignored. All too often, investigations – in
the rare event that they do take place – are amateurish
and inconclusive.
The report observes that a four-year study in Brazil,

Mexico, Indonesia, and the Philippines – four forest-rich
countries – found that the probability of illegal loggers
being penalized is less than 0.1 percent. The report goes
on to say that estimates of financial losses from illegal
logging don’t consider “the enormous environmental,
economic and societal costs – biodiversity threats,
increased carbon emissions, and undermined livelihoods
of rural peoples” (World Bank, 2012).
Consumer countries contribute to these problems by

importing timber and wood products without ensuring
that they are legally sourced. In recent years, however,
producer and consumer countries alike have paid
increasing attention to illegal logging and its associated
trade. The Governments of the United States, the
European Union, and Australia have developed legislation
that prohibits illegal wood from entering their markets
and requests importers to conduct due care on sourcing
34 Centre of International Economics. 2010. A Final Report to Inform

a Regulation Impact Statement on a proposed new policy on illegally
logged timber.

BOX 74. LACEY ACT
• The Lacey Act (16 U.S. C. 3371 et sq.), the oldest wildlife protection statute in the United States,
combats trafficking in illegally taken wildlife, fish, and plants. It was first enacted in 1900 and was
significantly amended in 1981 and 2008. The Food, Conservation, and Energy Act of 2008 – also
known as the 2008 Farm Bill – amended the Lacey Act further by expanding its protections to
a broader range of plants and plant products, including trees (Section 8204, Prevention of Illegal
Logging Practices).
As amended, the Lacey Act now makes it unlawful to

• import, export, transport, sell, receive, acquire, or purchase in interstate or foreign commerce any
plant, with some limited exceptions, taken in violation of any federal, state, tribal, or foreign law
that protects plants.
• make or submit any false record, account, or label for, or any false identification of, any plant
covered by the Act.
• import certain plants and plant products without an import declaration. The declaration must
contain, among other things, the scientific name of the plant (genus, species), value of the
importation, quantity of the plant, and name of the country from which the plant was harvested.
The import declaration is made by the importer.
The definition of the term “plant” under the Lacey Act now includes “any wild member of the plant
kingdom, including roots, seeds, parts, and products thereof, and including trees from either natural
or planted forest stands.” There are certain exclusions, including 1) common cultivars (except
trees) and common food crops; 2) live plants that are to remain or be planted or replanted; and
3) specimens of plant genetic material to be used for research. Exceptions do not apply to species
protected under CITES or the Endangered Species Act.
Violations of the Lacey Act provisions may be prosecuted through either civil or criminal
enforcement actions. In addition, the tainted plants or products derived from plants – such as timber,
furniture, and paper – may be seized and forfeited on a strict liability basis. The burden of proof is on
the U.S. Government. The defendant need not be the one who violated the foreign law: The plants
or timber, and the products made from the illegal plants or timber, become “tainted” even if another
entity in the supply chain commits the foreign law violation; however, the defendant must know, or in
the exercise of due care should know, about the underlying violation.
More information on the Lacey Act, including definitions of exceptions and the enforcement schedule of the
import declaration, can be found at USDA’s Animal and Plant Health Inspection Service (APHIS) website.

Illegal Wildlife Trade Recognizing the increasing severity and scale of this
The scale of the illegal wildlife trade is alarming. Due issue, President Obama issued an Executive Order to
to the nature of illicit trade, obtaining exact figures is Combat Wildlife Trafficking (July 2013), leading to a
difficult, but some experts estimate the value of the U.S. National Strategy for Combating Wildlife Trafficking
illegal wildlife trade at $10-20 billion annually, rivaling (February 2014) and implementation plan (expected
the scale of the international drug and arms trade February 2015) that are mobilizing resources across the
and involving more than 350 million plant and animal U.S. Government to address this important challenge.
specimens every year. According to the National Strategy, poaching and
illegal trade of wild animals has far-reaching economic,
Arrests and interceptions, although increasing, expose national security, and ecological consequences that are
only a small fraction of this underground criminal undermining decades of conservation and development
enterprise. The trade is global, with trade flows occurring gains. Trafficking in elephant ivory and rhino horn,
between source and demand countries within regions from Africa to Asia, is particularly concerning due
and between continents. The United States, the to the involvement of heavily armed poachers and
European Union, and China are some of the largest organized crime.
consumer countries of illegal and unsustainably traded
wildlife. “Hotspots” where wildlife trade is particularly The National Strategy has three strategic priorities:
active include China’s international borders; trade hubs 1) Strengthen enforcement, in the U.S. and overseas;
in East/Southern Africa and Southeast Asia; the eastern 2) Reduce demand for illegally traded wildlife, in the U.S.
borders of the European Union; particular markets in and overseas; and 3) Build international cooperation,
Mexico; parts of the Caribbean, Indonesia, New Guinea; commitment, and public-private partnerships. USAID
and the Solomon Islands.35 Southeast Asian countries, is the major funder of overseas programs advancing
with the rich biodiversity of Indonesia, Malaysia, and the strategy and is co-lead for several areas of
Burma, are particularly targeted as sources for wildlife. implementation. The Department of State’s Bureau of
Asia also serves as a conduit for such products as ivory International Narcotics Control and Law Enforcement
and timber from as far away as Africa and Latin America. (INL) has a large and growing role in responding
to the first priority. USAID projects are managed in
This multi-billion-dollar black market trade in threatened coordination with the diplomatic efforts of embassies,
and endangered wildlife, marine, and timber species policy engagement by State and the U.S. Fish and Wildlife
has bred complex global criminal syndicates. A host Service, and programs managed by INL. Additional steps
of factors, including porous borders; the use of are found in Box 75. See also key questions at the end
communication technology (cell phones, Internet, etc.); of this section.
improving transportation infrastructure; falsification
of paperwork and labels; and widespread corruption
have facilitated this rapidly growing illegal trade.
According to TRAFFIC, between collectors of wildlife
and the ultimate users, any number of middlemen may
have a role in the wildlife trade, including specialists
involved in storage, handling, transport, manufacturing,
industrial production, marketing, and the export and
retail businesses.
35 Traffic.

BOX 75. STEPS TO ADVANCE THE NATIONAL STRATEGY
TO COMBAT WILDLIFE TRAFFICKING
The Implementation Plan of the U.S. National Strategy for Combating Wildlife Trafficking was
released by the U.S. Department of State in February 2015. The plan guides and directs the efforts
of Federal agencies in executing the strategy, and specifies the agencies responsible for executing
particular tasks. The plan’s success relies on agencies working in consultation or collaboration with
each other whenever possible. Lead agencies are responsible for ensuring that progress remains on
track and will contribute to monitoring or evaluating the effectiveness of strategic approaches.
USAID is taking a co-lead role in several international areas of focus under Strengthening Law
Enforcement, including: Capacity Building of Government Authorities; Support for Community-
Based Wildlife Conservation; Support for the Development and Use of Effective Technologies and
Analytical Tools; Enhancement of Information Sharing with International Partners; and Support for
the Development of an Effective Worldwide Network of Wildlife Enforcement Networks (WENs).
USAID is also taking a co-lead role in the Reducing Demand and Building International Cooperation
priority areas, including: Raising Public Awareness and Changing Behavior; Promoting Demand
Reduction Efforts Globally; facilitating Bilateral and Regional Cooperation among concerned
countries; Promoting Partnerships among government, inter-governmental and private sector
(including NGO) actors; and Encouraging Development of Innovative Approaches.
USAID will play a contributing role in international efforts to advise or facilitate overseas
multinational enforcement operations; address wildlife trafficking in fighting other transnational
organized crime; address corruption and illicit financial flows; use diplomacy to catalyze political will;
strengthen international agreements and arrangements that protect wildlife; use existing and future
trade agreements and initiatives to protect wildlife; and incorporate provisions to protect wildlife in
other international agreements. Our programs may also contribute to domestic-focused efforts to
“Take the Profit Out of Wildlife Trafficking.”

Illegal, Unreported, and Unregulated Fishing poses high threats to marine biodiversity, local food
and Trade security, livelihoods, national economies, and peace and
Fishing is the largest extractive use of biodiversity in security. For example, in Senegal, a recent USAID-
the world, and fish products are the world’s most commissioned study estimated that 60 percent of the
widely traded foods. About 90 percent of wild fish fish collected in national waters were caught illegally, and
products in trade come from the sea. Extraction of of the legal catch, only about a third was reported.
marine resources is often categorized as “legal” or
“illegal, unreported, and unregulated (IUU)” fishing. IUU often creates conflicts between local fishers and
IUU fishing includes all fishing that breaks fisheries laws vessels from outside communities or countries fishing
and is thus “illegal” (i.e. is illegal or unreported) or illegally, fueling conflicts and loss of fishery resources for
occurs outside the reach of fisheries laws and regulations local communities. Global losses attributable to the black
(i.e. is “unregulated”) in international waters. market from IUU fishing are estimated to be $10-23
billion annually, representing around 20 percent of the
Most of the world’s fish are caught in the national waters global seafood catch, weakening profitability for legally
of coastal States, their exclusive economic zones (EEZ), caught seafood, fueling illegal trafficking operations,
which can extend out 200 nautical miles. Illegal fishing and undermining economic opportunity for legitimate
in national waters can include fishing without a fishers. This looting threatens the food security of the
license; fishing in a closed area; fishing with prohibited 2.6 billion people who rely on fish protein in developing
gear; using illegal and destructive practices such as countries. IUU fishing often impacts smaller-scale fishers
cyanide, dynamite, or bottom trawling; fishing over a by stealing fish from near-shore waters or undermining
quota; and the fishing of prohibited species. Illegal fishing the ecosystem on which the fish depend. Illegal fishing
also includes “pirate fishing,” where foreign fishing vessels undermines fisheries management efforts, as it skews
come into national waters with no fishing license at catch and population estimates. Illegal fishing can also
all. Unreported fishing, i.e. not reporting or under- distort marine food webs, damage critical marine
reporting the vessel’s catch, even if the vessel is legally habitats, and catch non-target species, resulting in
licensed to catch that species, is also considered to significant losses to marine biodiversity and ecosystem
be illegal. services. Overfishing and destructive fishing reduce
the ability of ecosystems to recover from and adapt
Unregulated fishing often occurs on the high to global climate change impacts.
seas, the international waters beyond a coastal state’s
exclusive economic zone. These areas are also referred Graft and corruption are major contributors to IUU
to as areas beyond national jurisdiction (ABNZ). A and barriers to its resolution. International reviews
network of regional fisheries management organizations have found a strong co-occurrence of IUU fisheries
(RFMOs) covers some of the high seas. However, the and organized crime, particularly smuggling drugs and
enormous expanse of the oceans, combined with patchy migrants, and piracy, largely because fishing vessels are
regulation and little enforcement, allows for rampant far less regulated than other maritime vessels, which are
illegal and unregulated fishing. managed by the International Maritime Organization.
IUU fishing and trade is associated with egregious human
IUU fish products and trade refer to those products rights violations, such as the rampant use of forced
associated with IUU fishing. Currently, about 50 percent labor in fishing vessels and seafood processing plants, as
of wild fish in trade originate from developing countries. highlighted by the Human Trafficking Report, issued by
Fishery resources in many developing countries are the Department of State on June 20, 2014.
under huge pressures due to the increasing demand for
seafood from developed countries. Coupled with weak Trade in coral reef species for ornamentals, home decor,
institutions and limited capacity for enforcement, pirate and marine aquaria is a key threat in many countries,
fishing in the national waters of developing countries as it drives overexploitation and the use of destructive
practices. Most countries prohibit the use of cyanide in

the collection of live reef fish for the aquarium trade. influence in redirecting the trade toward legality and
However, its use is still widespread, making the trade in sustainability. Box 76 presents more information on
these fish illegal. The United States is the world’s largest actions proposed to tackle IUU fishing.
importer of coral reef products and could exert a major
BOX 76. PRESIDENTIAL MEMORANDUM AND TASK FORCE ON ILLEGAL,

UNREPORTED, AND UNREGULATED FISHING AND SEAFOOD FRAUD
The United States is a major importer of b. It shall also be the policy of the United States
seafood and potential driver of the illegal fish to promote legally and sustainably caught
trade; up to 30 percent of the seafood sold in and accurately labeled seafood and to take
U.S. markets may be illegal. The United States appropriate actions within existing authorities
is also a global leader in sustainable seafood. and budgets to assist foreign nations in
Over the course of the last six years, the United building capacity to combat IUU fishing and
States has largely ended overfishing in federally seafood fraud. In addition, agencies shall
managed waters and successfully rebuilt a record identify opportunities to enhance domestic
number of stocks depleted by the excesses and international efforts to combat global
of the past. As a result, the U.S. management IUU fishing and seafood fraud.
scheme is recognized internationally as a
model for other countries as they work to end It is in the national interest of the United
overfishing. Nevertheless, illegal, unreported, States to promote a framework that supports
and unregulated (IUU) fishing continues to sustainable fishing practices and combats
undermine the economic and environmental seafood fraud and the sale of IUU fishing
sustainability of fisheries and fish stocks, both in products. To achieve these objectives, the United
the United States and around the world. States will need to enhance the tools it has
A Presidential Memorandum issued on June 17, available to combat IUU fishing and seafood
2014 at the U.S.-hosted Our Ocean Conference fraud, including by implementing the United
called for the U.S. Government to develop a Nations Food and Agriculture Organization
Comprehensive Framework to Combat Illegal, Agreement on Port State Measures to Prevent,
Unreported, and Unregulated Fishing and Deter, and Eliminate Illegal, Unreported, and
Seafood Fraud. The Presidential Memorandum – Unregulated Fishing; strengthening coordination
similar to an Executive Order – established and implementation of existing authorities to
a task force and two new U.S. Government combat IUU fishing and seafood fraud; working
policies to ensure that seafood sold in the with the Congress to strengthen and harmonize
United States is legally and sustainably caught the enforcement provisions of U.S. statutes for
and to combat the negative impacts of implementing international fisheries agreements;
seafood fraud: and working with industry and foreign partners
to develop and implement new and existing
a. It shall be the policy of the United States
measures, such as voluntary, or other, traceability
for all executive departments and agencies
programs, that can combat IUU fishing and
(agencies) to combat IUU fishing and seafood
seafood fraud and ensure accurate labeling
fraud by strengthening coordination and
for consumers. The task force will submit
implementation of relevant existing authorities
recommendations to the President through the
and, where appropriate, by improving the
National Ocean Council and will submit annual
transparency and traceability of the seafood
progress reports on implementation of the
supply chain.
policies and recommendations.

Key Questions trade, enforcement of those laws, and effective and just
What is the impact of illegal and unsustainable prosecution and sentencing of offenders, further enables
trade? illegal and unsustainable trade. For example, despite
a complete ban on cross-border trade in pangolins
The impact of this illegal trade reaches beyond that of
(endangered scaly anteaters native to parts of Asia and
a key biodiversity threat. Trafficking in threatened and
Africa and valued for their meat) in Southeast Asia,
endangered species is also a regional security concern, as
investigators believe at least one metric ton is trafficked
well as a national security interest for the United States,
across borders every day. Similarly, although wild
as articulated by the Library of Congress Congressional
populations of tigers and leopards are rapidly dwindling,
Research Service: “Numerous sources indicate that
their skins and body parts are still found in trade across
organized criminal syndicates, insurgency groups, and
Southeast Asia.
military units are among the primary actors involved in
large-scale, commercial-sized wildlife trafficking. …Some
Many species in trade, including most commercial fish
observers claim that the participation of such actors in
and timber species, are not listed in CITES.37 In these
wildlife trafficking can threaten the stability of countries,
cases, trade is illegal when the products are taken in
foster corruption, and encourage the use of violence to
violation of national laws, such as illegal removal from
protect the trade.”36 See also Section 4.8.2. Illegal trade
areas or collection with illegal practices. Regional
also has economic, livelihood, health, food and nutrition
fisheries management organizations develop and manage
security, and climate resilience impacts. Illegal extraction
regional fisheries treaties and set and allocate quotas for
and the associated trade is undermining markets
some high-value fish species. The International Tropical
with cheaply produced goods that have not paid for
Timber Organization (ITTO) is an intergovernmental
environmental or social safeguards. It undermines efforts
organization that develops internationally agreed policy
to promote the rule of law, good governance, and
documents to promote sustainable forest management
sustainable development and reduce poverty. In addition,
and forest conservation. It also collects, analyzes, and
there are significant and troubling linkages between
disseminates data on the production and trade of
trade in wildlife and zoonotic diseases, such as HIV, Ebola,
tropical timber and assists member countries to adapt
and SARS (see Section 4.1).
such policies to local circumstances and implement them.
What is the primary international treaty affecting
What are the primary trends in demand for illegal
illegal trade in endangered species?
and unsustainable trade?
The Convention on the International Trade in
Demand for illegally obtained wildlife, wood, and fishery
Endangered Species (CITES) restricts trade in
products is widespread. The United States, China, and
threatened and endangered species that are listed in
the European Union have some of the highest demand
its annexes for countries that are parties to the treaty.
for illegally traded wildlife and wild fish and are also
Most countries also have domestic legislation for
major consumers of wood products, with a significant
implementing CITES restrictions, making much of the
proportion of both wildlife and wood products
trade in endangered species illegal or restricted. (This is
trafficked through Asia purchased by consumers outside
not true for most species of fish, however.) For some
the region. Although observers say demand for illegally
species, the trade is regulated or prohibited in some
traded wildlife is increasing, the underground nature
countries, but not in others. Restrictions may also differ
of this black market makes it difficult to determine the
by country. International trade in species not listed under
magnitude and the trends of demand. Demand for
CITES, or domestic trade in listed or unlisted species, is
threatened and endangered species is driven by different
often unregulated, and the trade is poorly understood.
factors, depending on the product, region, and culture. In
The lack of effective governance, including the presence
Asia, where a significant portion of the global trade
and awareness of laws regulating wildlife extraction and
takes place, demand is driven by traditional medicine,
36 Liana Sun Wyler and Pervaze A. Sheikh, International Illegal Trade in
Wildlife: Threats and U.S. Policy, Washington, DC: Congressional Research
Service, 2008. 37 Here is a list of the currently listed tree species.

human consumption, and symbols of wealth. The What are some factors that enable illegal and
increase of the region’s economic growth and affluence unsustainable trade?
has reportedly escalated the demand for these illegal Among the numerous factors that can enable illegal
goods in Southeast Asia. In Europe and North America, and unsustainable trade are the following:
analysts find that demand for illegal wildlife includes a
wide variety of products, such as luxury fashion items, • lack of a national policy that clearly lists which
tourist souvenirs purchased abroad, and exotic pets, species can legally be in trade, thus making all
as well as traditional medicines and wildlife meats for other species illegal
human consumption. The United States is thought • corruption and direct involvement in the trade by
to be a significant destination for illegal wildlife, and government, law enforcement, and judiciary officials
the magnitude of the illegal trade in the U.S. may • lack of scientific information and understanding
be increasing. of sustainable resource use levels and sustainable
management
Illegal wood products, on the other hand, are often • lack of transparency over who has legal licenses for
unknown or undetected by the time they reach the extraction and transport along the supply chain
market or end consumer. Tree products are found in a
• absence of laws and regulations against trade in an
multitude of common, everyday goods, including paper,
exploited resource
furniture, tools, handicrafts, picture frames, packaging,
resins, and industrial products. Products typically traverse • failure of enforcement officials to make enforcement
several countries, where they are mixed with other of international treaties or national and local laws
products and transformed into value-added items. regarding the trade a priority
Supply chains have been poorly documented and are • the high profitability of illegal trade for those involved
not well understood. Retailers and importers in the • failure of enforcement actions to stop the ringleaders
United States and Europe are struggling to learn more who run the trade (often, only the lower-level
about their sourcing and finding that it is not simple. traffickers are caught)
Motivated by good intentions and by the amended • weak penalties and sentencing for convictions for
Lacey Act, buyers are struggling to locate consistent illegal trade, which do not serve as a deterrent for
supplies of legal and sustainable timber but finding a future offenses
short supply in tropical countries. This again points to
• lack of capacity in enforcement and judicial systems
the critical need for good governance that can support
legitimate trade; much work remains to be done within • lack of awareness of the problem in supply and
USAID countries on this issue. demand countries and among enforcement officials
• high demand and lucrative returns combined with low
Similar to wood products, illegal fish products are risk of getting caught.
often unknown or undetected by the time they reach • increasing affluence of demand populations, driving
the market or end user. Illegal fish products end up an increase in trade of such “luxury” items as tropical
in many food products, including farmed-raised and hardwood furniture, shark fin soup, ornamental fish,
aquacultured products; about 20-30 percent of all wild ivory, wild meats, and sushi
fish caught globally are ground up and used as fishmeal • cultural factors, including the use of traditional Chinese
for aquaculture and livestock feed. The demand for medicine derived from threatened or endangered
wild fish for fishmeal is also driving demand for illegal, wildlife, such as tigers and rhinoceros, or traditional
and cheap, fish. In an attempt to limit illegal fish from seafood preferences
entering its market, the European Union now requires
• poor communication and networking between
catch documentation for all seafood imports. African
enforcement officials within and between countries
and Asian countries are trying to respond to this
required information by setting up catch document and • lack of appropriate, inexpensive technologies for
traceability systems. tracking all vessels and products in the supply chain

What are early impacts of the U.S. Lacey Act? USAID’s approach to the illegal and unsustainable
Under the Lacey Act (Box 74), importers of plants and wildlife trade is comprehensive, and the Agency has
plant products are required to file a declaration for broad experience working on improving the governance
entry, with potential civil or criminal penalties for failure and management of natural resources from a legal
to properly comply. The declaration requirement has had and enforcement angle. We invest in both the first
an immediate effect on the behavior of U.S. importers line of defense against poachers and traffickers while
and retailers who have been forced to think about the also bolstering community conservation (see CBNRM
identification and source of their imported products. Section 3.2.5), reducing demand for wildlife products,
Among other things, importers of wood products and developing innovative solutions to the crisis.
are required to identify genus, species, and country of
harvest for all types of products in a load. Through such USAID invests in anti-poaching in approximately 25
a mandate, the declaration requirement is expected countries, and despite proscriptions against support
to promote greater transparency in the supply chain for law enforcement in other development sectors,
of wood products and discourage importers from biodiversity conservation (and recently, all environment)
purchasing wood of uncertain or suspect origin programs are allowed and even encouraged to work
and species. with police, park rangers, customs agents, and other
authorities who can play a role in protecting wildlife or
Trade and manufacturing of goods derived from plants catching and prosecuting environmental criminals. Many
can involve global supply chains that touch several programs include important law enforcement support
countries. The Lacey Act and its impacts on U.S. components, working within policy restrictions on
importers, therefore, may reach back to producers and collaborating with certain governments, and sometimes
beneficiaries in USAID-supported countries, regardless vetting individuals for narcotics or human rights
of whether they are exporting to the United States violations. USAID also works with the Department of
or other markets. Along with new, similar import State and the U.S. Fish and Wildlife Service in related
prohibitions in the European Union and Australia, the enforcement coordination efforts. As a result, USAID
Lacey Act is instilling substantial change in trade in order partner countries have undertaken effective coordinated
to eliminate illegal wood in the market. operations across regions and have helped to arrest
criminals and close transit routes. Engaging with a variety
Note: As new laws trying to regulate an extremely of partners, such as agencies involved with trade or
complex trade in forest products, the Lacey Act and organized crime, is essential to complement and not
the EU Timber Regulation (2013) are generating a duplicate U.S. Government enforcement efforts.
necessary debate among a broad array of stakeholders
and interests in forest product trade. Like any other Progress is being made in Southeast Asia through
law, the act and rules will continue to evolve, as both support to the Association of Southeast Asian Nations
stakeholders and the government identify challenges and (ASEAN) Wildlife Enforcement Network (WEN)
solutions to make them effective and true to their intent. for the ARREST project, which aims to increase public
Hence, it will be important to keep updated on the awareness of the problem, stem the demand for illegal
latest version of the statute and its rules. wildlife parts, strengthen regional law enforcement
coordination, and build the capacity of local authorities
What can USAID do to address the illegal and to implement CITES regulations. Over the past three
unsustainable wildlife trade? years, this has resulted in frequent and high profile
arrests and convictions of major criminals. From
See Box 76 and the text associated with it for specific
January 6-26 2014, 28 countries from Asia and Africa
steps the U.S. Government is taking to operationalize
participated in “Operation Cobra II, ” an intelligence
the National Strategy to Combat Wildlife Trafficking.
operation that resulted in over 400 arrests and the
seizure of 36 rhino horns, over 3 metric tons of elephant
ivory, over 10,000 turtles, over 1,000 skins of protected

species, and more than 200 metric tons of rosewood • building national government capacities to integrate
logs, among many other seizures. Though impressive, this wild fisheries into national food security strategies,
demonstration of progress only exposes a small fraction policies, and investment plans;
of the total volume and scale of the illegal trade in the • building regional and national trade capacities for
region. Enforcement of international treaties and regional sustainable and transparent seafood through
and national policies and laws remains the last line of catch certification and traceability systems and
defense and deterrent for this transnational illegal trade. other mechanisms;
• promoting integrated programming by USAID units
Are there other actions that could be taken to
focused on biodiversity, climate resilience, food
combat illegal fish trade?
security, trade, human health, and human rights in
In addition to the recommendations on wildlife trade addressing IUU at regional and country levels;
in the section above, specific actions can be taken
• Strengthening port state measures to combat illegal
to combat IUU fishing and trade. USAID could play
wildlife trade, including terrestrial wildlife and fish
an instrumental role in developing a comprehensive
trade; and
approach to IUU fishing and seafood fraud by drawing
upon our international expertise and experience in • Utilizing science, technology, and innovation – such as
multiple sectors, using such strategies as: mobile technology, DNA bar coding, and electronic
commerce – for traceability systems and enforcement.
• building regional and national capacities to implement
ecosystem-based approaches to fisheries management In addition to supporting “source” countries through the
that emphasize habitat conservation, sustainable catch approaches identified above, USAID could engage with
levels and methods, development of co-governance priority “consumer” countries to reduce the demand for
arrangements, and enforcement mechanisms; IUU products and unsustainable seafood.
FIRE WARRIORS:Twenty-seven indigenous young people from four ethnic groups received training in fire preparedness
techniques and fire safety measures in the Capota-Jarina Kayapo Indigenous Reserve in Mato Grosso, Brazil.
Photo: Eric Stoner

4.11 SCIENCE, TECHNOLOGY, • Integrate local knowledge into scientific data
AND INNOVATION collection – for instance, using local categories
and terms for species and terrains or integrating
Definition and Significance local indicators for environmental change into
Science, technology, and innovation have had a profound monitoring protocols.
impact on biodiversity conservation over the past 20 • Ensure that scientific tools are easy for relevant
years. Science is defined as a systematically organized stakeholders to use.
body of knowledge on a particular subject. Technology • Connect with existing knowledge and databases.
is defined as the application of this scientific knowledge • Be gender-aware in scientific training and capacity
for practical purposes. Innovation is defined as the use building. Forestry and biodiversity are not the province
of technology in new ways to solve problems. of one gender!
• Be up to date. Science changes rapidly. Use current
Effective conservation is founded upon sound science,
standards and methods, as well as research that has
drawing upon social science, biophysical science,
undergone peer review.
and economic fields of practice. Natural resource
management and biodiversity conservation are • Ground monitoring and evaluation in sound science
largely about environmental governance – establishing (e.g., use biologically relevant indicators).
participatory, inclusive, transparent, science-based • Report results/outcomes in formats that are easy
decision-making processes that determine who has for relevant stakeholders to access.
access to resources, how to use resources sustainably,
and who benefits. This governance process should Key Questions
create appropriate incentives and disincentives to What are some examples of the use of science,
promote conservation of these public goods, cultural technology, and innovation for biodiversity
assets, natural heritage assets, and ecosystem services. conservation?
Thus, at the project level, the application of science and Evidence-based conservation and results-
technology should focus on enhancing the effectiveness based management – Science has a strong role
and transparency of the governance and management to play in helping the conservation community adopt
processes, such as by increasing compliance, reducing more rigorous theories of change, establishing and
corruption, and enhancing enforcement. testing development hypotheses, and moving toward
evidence-based conservation (see Section 3.1.8). Many
The use of science and technology is also important initiatives are flourishing to increase the evidence base
at the planning and management stages, from local to and encourage rigorous thinking about conservation
national and global levels. Scientific analyses and tools effectiveness and the links between conservation and
can help identify critical ecosystems, habitats, priority human well-being.
targets, and key biodiversity threats; elucidate the needs,
habits, and life cycles of endangered species; develop Geospatial planning, marine spatial planning,
strategic and culturally appropriate strategic approaches; and land use planning – Geospatial technology and
identify opinion leaders and change agents; develop tools have enhanced people’s ability to plan over large
theories of change and experimental designs; promote spatial scales and in a more integrated fashion. GIS and
adaptive management; and measure impacts. tools like Marxan can assist in the strategic planning of
conservation and development programs, integrating
The following scientific principles should be incorporated human-built and natural infrastructure to ensure that
into planning and implementation activities: biodiversity and ecosystem services are maintained
• Encourage critical thinking; question assumptions. (see Sections 2.1 and 2.3 on conservation priority
• Use scientifically sound baselines and sample frames setting, planning, and design). At the project level, though,
for research and monitoring. the use of these tools must be integrated in a highly

interactive and participatory process to engage local promote more effective land use planning and zoning
stakeholders and resources users in decision-making so that priority areas can be conserved.
and planning. Electronic government (e-government) – The
use of the Internet for government transactions can
Social soundness and political economy promote more open and transparent governance and
analysis – An important aspect of program design reduce corruption over resource use. For example,
is an understanding of which stakeholders may benefit e-government can be used for making public records
from planned strategic approaches and establishing related to the purchase of/bidding for fishery, forestry,
appropriate social safeguards. As discussed in Sections or mining concessions; for posting environmental
4.7.1 and 4.8.2, social soundness, political economy, performance bonds; and for monitoring the status
and social impact analyses are useful tools that can of arrests and prosecutions.
help to ensure more equitable benefit sharing and
empower often-marginalized groups, including Enforcement – Enforcement of resource regulations
indigenous populations and women. These analyses should be viewed as a continuum from awareness and
are receiving more attention with the growing interest compliance to arrest and interdiction and successful
in carbon markets. prosecution. Compliance can be enhanced through
the use of social marketing tools and environmental
Social change methodologies – One theory is education. Arrests and interdictions can be enhanced
that sustainable transformations must originate from, through an array of technologies: the use of mobile
be owned by, and be driven from within a particular phones/personal digital assistants (PDAs) with global
social system. Social change methodologies, such as positioning systems (GPS) and built-in cameras to record
social network analyses, can help to identify key opinion and report illegal incidents anonymously; the use of GPS
leaders within the system and facilitate collaboration and to identify where illegal activities are most likely to occur
problem-solving by local stakeholders. A key USAID tool and where enforcement should be focused; and the use
for identifying and working with social networks is the of video systems to monitor the activities of industrial
Local Systems framework. fishing vessels, or the placement of identification chips in
artisanal boats to allow for easier identification of boats
Social marketing tools – Changing individual and monitoring of catch and fishing efforts.
behaviors – illegal logging, fishing, and poaching – is
often at the core of reducing threats to biodiversity. In Bar coding to track legal trade – The use of bar
social marketing campaigns, the theory of change is that codes to track individual products and shipments is
increased knowledge, new attitudes, and interpersonal a standard practice in many businesses and is gaining
communication, combined with the removal of key traction in the tracking of natural products. Bar coding
barriers to change, will lead to behavior change and thus of timber or other products can enhance certification
reduced threats. USAID pioneered this approach in the efforts or compliance with requirements for legal
environmental sector through the GreenCom project. sourcing and tracking.
Economic analyses – Information on the economic DNA bar coding – Unique DNA sequences can be
benefits provided by nature – from ecosystem services used to identify species, subspecies, and populations, and
to non-extractive uses such as tourism – can be useful often the origin of a product, as well. DNA bar coding
in creating economic incentives for conservation and for is being used to determine whether a timber or fish
demonstrating alternative development options. These product is labeled according to its species and is being
may include payment for environmental services and traded legally.
carbon sequestration and might entail more thorough
ecological/environmental analyses, to inform decisions Mobile technology – The use of mobile banking
about the value of the biodiversity in given areas and and market transactions is rapidly being adopted in
many countries. These new technologies often benefit

individuals, such as through the provision of access More Information
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enhance crop production. An opportunity may exist
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tour operators made an impromptu stop on route to Iwokrama Forest during a familiarization tour organized by USAID.
Photo: Martina Miller

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FOOD DESERT: Generations of deforestation in Haiti make scenes like this one common.These steep slopes are now only
suitable for a crop like manioc, which further exhausts the soil without producing enough leaf cover or root mass to slow
erosion. Massive tree planting campaigns, farmer education, and clear land tenure – providing an incentive for farmers to
invest in the land -- help to restore ecological balance and improve agricultural productivity. Photo: Nick Hobgood, DAI

USAID
BIODIVERSITY AND
DEVELOPMENT
HANDBOOK
V ANNEXES
HANGING ON: An infant orangutan
clings to its mother in the Bukit Lawang
area of Leuser National Park, northern
Sumatra, Indonesia. Probably fewer than
6,000 Sumatran orangutans remain in
the wild. USAID projects have helped
conserve orangutan habitat through
careful land use planning and protected
area management, including community
policing and habitat protection.
Photo: Andrew Watson, DAI

V ANNEXES
5.1 DETAILED INFORMATION ABOUT SELECT CONSERVATION STRATEGIES.............................243
5.1.1 Private Protected Areas (Land and Water Protection)............................................................................243
5.1.2 Sustainable Tourism in the USAID Context (Livelihood, Economic, and Other
Incentives)...........................................................................................................................................................................245
5.1.3 Payment for Ecosystem/Environmental Services (Livelihood, Economic, and
Other Incentives)...........................................................................................................................................................248
5.1.4 Public-Private Partnerships........................................................................................................................................252
5.1.5 Trusts and Funds and Key Questions in Their Development
(Conservation Finance)..............................................................................................................................................255
5.2 INTERNATIONAL POLICIES AND TREATIES.........................................................................................257
5.3 ACRONYMS.....................................................................................................................................................262
5.4 GLOSSARY........................................................................................................................................................265
SEA LIFE: Marine diversity is higher in the

waters of the six-nation “Coral Triangle”
area than anywhere else in the world.
Three USAID missions have supported
marine protected areas, fisheries
management, and information sharing
in East Timor (pictured) and surrounding
nations as part of the Coral Triangle
Initiative launched in 2009.
Photo: Nick Hobgood, DAI

V ANNEXES
This set of Annexes provides additional background information and details useful to USAID biodiversity managers.
It includes
• detailed information (beyond the briefer descriptions provided in Chapter 3)
about conservation strategies where USAID has considerable experience and lessons
• description of key international policies and treaties
• a glossary of terms used throughout the handbook
• an acronym list
5.1 DETAILED INFORMATION

ABOUT SELECT CONSERVATION BOX 77. EXAMPLES OF SPECIFIC
PRIVATE PROTECTED AREAS
STRATEGIES
Chapter 3 provides an overview of conservation Green Hills Private Conservation
strategic approaches, organized by the IUCN-CMP Management Area, Belize: Located in the
Classification of Conservation Actions. This annex Cayo District near Georgeville, this small
provides more detailed information about select (40 ha) but significant area provides habitat
conservation strategic approaches. In general, these for ocelots, jaguarundis, agoutis, coatis, and
tend to be strategic approaches that are more other species. The area links Nojkaaxmeen
commonly used by USAID teams and partners, are Elijio Panti National Park and ecologically
of current interest to the conservation community, valuable forest remnants, such as those
and/or are related to an area of expertise of located on Maya Ranch estate and along
contributors to this handbook. the Macal River.
5.1.1 Private Protected Areas (Land and Siju-Rewak Corridor and Tirunelli-
Water Protection) Kudrakote Corridor, India: The World
As mentioned in Chapter 3, protected areas may be Land Trust funds these privately owned
established through many governance structures by wildlife corridors that provide habitat
different entities, including government agencies, NGOs, for the Bengal tiger, clouded leopard, and
Himalayan black bear, among many other
individuals, communities, and indigenous groups. A
species. The corridors also link the Tirunelli
private protected area is an area that is managed for
and Kudrakote Reserved Forests and act
biodiversity conservation objectives; protected through a
as a migration corridor for India’s largest
legal or contractual agreement; and owned by a private
elephant population.
individual, family, corporation, and/or NGO. Some
specific examples of private protected areas are found in
Selva Verde, Costa Rica: Located next to
Box 77. Key categories include
the Braulio Carillo National Park and
• a family-owned farm or forest with a conservation established in 1982, Selva Verde was one of
easement restricting future development of the the first private protected areas in Costa
property Rica. The over 1,600-hectare reserve hosts
• the leasing of submerged lands along coasts for 448 species of birds, nearly half of all bird
conservation purposes species in the country, as well as pumas,
jaguars, ocelots, margays, and jaguarundis.
• an area owned and managed by a nonprofit for
research, education, and conservation

• a private game reserve that manages wildlife for Conservation Easements as a Private Land
hunting and Water Protection Strategy
• a private reserve managed for ecotourism and bird A conservation easement is a voluntary but legally
watching binding agreement between a landowner and a
• an area designated for biodiversity conservation as government or non-government organization that
part of a biodiversity offset for a development project protects land from certain forms of development by
• a seasonally protected area for migratory species, such dividing the ownership rights from the development
as a bird flyway rights and transferring the development rights to
another party. Activities that are often allowed in a
In some countries, large landscapes consist primarily typical conservation easement include low-impact
of private lands, offering important opportunities for farming, agriculture, and forestry, usually with restrictions
encouraging private protected areas. These areas often that provide general biodiversity protection. The
reduce threats on other types of protected areas that landowner may sell or donate the development rights
have stricter protection. They also add to a national to an organization. In many countries, the easement
portfolio of protected areas, often protecting critical runs with the property in perpetuity, even if the land
sites with endangered species at a minimal cost to the is subsequently sold. The organization that holds the
government. In addition, they may be well-suited for development rights is responsible for monitoring the use
buffer zones and conservation corridors and can expand of the property and enforcing any violations.
the representativeness, size, and connectivity of
a national protected area network. Most conservation easements are held by land trusts,
whose missions include conserving land through
In some countries, laws and legal frameworks do not acquisitions and easements. The establishment of land
allow for the establishment of private protected areas. In trusts and the use of conservation easements in the
such cases, modifications to existing laws may be needed United States have grown from a very small movement
for their formal creation. It may be necessary to “pilot” in the early 1980s to a major conservation force. This
the concept and ensure that it can work within the growth is due, in large part, to financial incentives that
existing legal framework. significantly reduce property taxes on land with a
conservation easement.
Private protected areas provide landowners with legal
protection from certain threats, such as illegal logging Internationally, the growth of conservation easements
and encroachment, providing another incentive for their has been limited, in part because the financial incentives
establishment. However, owners of private protected and organizational infrastructure are either not in
areas rarely have access to the tools, data, and technical place or are very new. If countries are able to create
skills needed to manage and monitor their lands and better incentives for landowners (e.g., legal protection
waters. Having access to relevant national and regional over territory or access to technical assistance),
networks can help landowners identify creative interest in easements could grow and they could
solutions, understand best practices, and learn about become an important complement to other land
management innovations. Similarly, access to government conservation efforts, such as government protected
expertise, training, and technical assistance can help areas. The following are examples of easements in use
them understand the resources they have and how internationally:
best to manage them. When private protected areas • In Mexico, Pronatura created the National Land
are adjacent to large protected areas, such as national Conservation Program to help private and community
parks, collaboration can be particularly important (e.g., landowners establish conservation easements,
managing invasive or migratory species and preventing including one created in 2005 that covers
illegal access). 125,000 acres.

• In Ecuador, the Ecuadorian Center of Environmental based wildlife management and joint venture tourism in
Law introduced conservation easements in the late Namibia, Wild Jordan ecotourism ventures (an initiative
1990s, and although only a handful of easements have of the Royal Society for the Conservation of Nature),
been established to date, these represent a significant and multiple tourism development projects across
legal breakthrough in private land conservation, and Latin America.
more are expected in the future.1
• In Costa Rica, the Center of Environmental and To encourage conservation, it is important for tourism
Natural Resources Law established the country’s first development to focus on the mitigation of key threats
conservation easement in the early 1990s and is now and not to assume that because tourism happens,
the primary NGO responsible for all conservation communities will automatically protect the environment.
easements in the country.2 Communities must understand that the tourists are
coming to see a protected environment and that this
• In Brazil, there has been significant growth of voluntary
environment’s protection is critical to the success of
conservation easements within the past decade.
their livelihoods. Reinforcing this connection requires
These are generally in the form of private natural
community education, a businesslike approach to
heritage reserves that receive tax benefits under the
product development and marketing, concrete action to
Rural Land Tax Exemption.3 Similar examples and
identify and monitor threat abatement, and an emphasis
experiences in conservation easements exist for
on benefits received (i.e., increased income).
Bolivia, Chile, and Peru.4
5.1.2 Sustainable Tourism in the USAID USAID’s Approach to Sustainable Tourism

Context (Livelihood, Economic, and Other Even when projects focus on a specific objective, such
Incentives) as biodiversity conservation, USAID prefers to take a
USAID engages in sustainable tourism development as holistic, cross-sectoral, systems approach. In the case of
a platform for achieving other, broader development tourism, there is overlap or interaction with four main
objectives, such as biodiversity conservation, natural sectors: policy (or governance), environment, economics,
resource management, poverty alleviation, and economic and society. When considering a sustainable tourism
growth. Sustainable tourism development is often project, the following questions should be addressed.
seen as an alternative livelihood for communities in (Some may be more relevant than others, depending on
impoverished rural areas. Under certain conditions, it has the type of tourism project and where it is occurring.)
proven to be a powerful incentive for addressing threats
to biodiversity conservation, such as poaching, slash-and- Governance: Does a protected area have legislative
burn agriculture, and cattle grazing. authority to issue concessions permits to create
operating revenue? Do entrance fees return to the
Benefits (perceived or real) from environmental general treasury or do some remain in the park budget?
conservation can act as strong incentives and be self- If some remain in the park budget, are they adequate?
reinforcing. This is demonstrated in several sustainable Are there policies that facilitate or impede the process
tourism development initiatives, such as the community- of starting a small business? Does the government
understand its role?
1 Agnès Sibileau, Jorge A. Rojas Tome, Maria Fernanda Morillo, and Caroline
Stem, Experiences from Ecuador and Mexico with the Implementation of
Conservation Easements: A Case Study (New York: The Tinker Foundation,
Environment: How protected are wildlife and other
SEPA Project, 2007). park features? Is the park being well managed so visitors
2 Experiences from Costa Rica with the Implementation of Conservation can see wildlife, enjoy interpretive programs, benefit
Easements: A Case Study. Morales, L. Agnès Sibileau, and Caroline Stem, SEPA
Project. 2007. from professional guiding services, hike trails, or see
3 Young, CEF. 2005. Financial mechanisms for conservation in Brazil. scenic vistas? What tourism infrastructure is available
Conservation Biology 19: 756-761. (e.g., trails, restrooms, and information)? Can businesses
4 Environmental Law Institute, Legal Tools and Incentives for Private Lands in
Latin America: Building Models for Success (Washington DC: Environmental
operate in the park to provide services through
Law Institute, 2003). concessions agreements?

Economic Issues: Does the community have access USAID also takes a value chain approach to
to capital or investors? Do they understand business tourism development, because research and experience
management? Do they or their partners have access to in microenterprise development indicate that
appropriate markets? Do they have the skills to engage? linkages among members of a value chain increase
What is needed in the way of product development competitiveness. USAID experience has shown
and marketing? Have feasibility studies been completed? that projects that address the whole value chain
What about business plans? and its enabling environment are more successful in
strengthening the industry than those that focus on
Social Issues: What educational opportunities exist for only one section of the value chain (Figure 19).
developing a trained workforce? Does the community
welcome visitors? Is crime an issue? Is the health of the Involving Stakeholders: USAID has learned that
community or visitors at risk? Does the community value sustainable tourism development is more successful
the biodiversity that it harbors? when relevant stakeholders come together to develop
Figure 19.Tourism Industry Value Chain

Figure 20. Potential Tourism Stakeholders
a common vision, joint solutions, and a commitment together to improve their industry and conserve the
to collaborative action to reach their vision. When natural environment upon which it depends.
contemplating a sustainable tourism project, teams
should consider a variety of stakeholders (Figure Fostering Tourism Entrepreneurship: To provide
20). Teams should also keep in mind, however, that incentives for conservation, ecotourism businesses must
stakeholders whose interests diverge too far succeed. USAID approaches tourism entrepreneurship
from conservation may not be viable partners at two levels:
(see Section 3.1).
1. The enabling environment – primarily helping
governments understand their role. USAID-supported
Communities around protected areas and other areas
activities might include strengthening economic
of significant biodiversity have a unique advantage: They
policy related to fiscal accountability or trade or
are close to the resource people want to see and, if
customs regulations; improving infrastructure, such
well-prepared, can provide the services tourists need,
as communications, utilities, roads, and air travel;
including lodging, food, guide services, equipment, and
providing financing; and addressing social issues, such
transportation. When communities are engaged in the
as workforce, health, and safety and security.
ecotourism value chain, the protected area can become
a valued asset because it is the foundation of their 2. The enterprise level – strengthening the private
economic livelihoods. However, other stakeholders must sector’s ability to produce a quality product and reach
also be involved in supporting rural tourism efforts, important markets by providing training and capacity
including tour operators who bring tourists to the area, building, facilitating product development, and assisting
agencies managing environmental resources and tourism, with marketing and promotion. Products that are
transportation providers, and other specialists. When tailored to specific needs and (differentiated) groups
sustainable tourism works well, all should be working are usually easier to market.

strengthens the tourism industry. A destination approach
BOX 78. KEY USAID can work well to increase tourism expenditure and
ECOTOURISM PROJECTS attract visitors and provide them with quality services
while (ideally) equitably distributing benefits at the local
level and protecting the natural and cultural foundation
In the past decade, USAID has supported on which the tourism is based. The hospitality sector is
tourism development in more than 72 also important if ecotourists need to stay in a capital city
countries through more than 100 projects. or secondary city before arriving at their destination. The
Among the more successful are the LIFE impression of the country made before (and potentially
program in Namibia, the Egyptian Red Sea, after) the ecotourism experience can influence and even
and community conservancies in Kenya. undermine the entire operation, no matter how well the
site-based hospitality is managed.
USAID’s Global Sustainable Tourism Alliance
was a partnership of leading organizations 5.1.3 Payment for Ecosystem/
in the sustainable tourism field working Environmental Services (Livelihood,
together with USAID Missions to apply Economic, and Other Incentives)
a holistic and market-driven approach Implementing conservation typically requires economic
to sustainable tourism development. It tradeoffs in resource use. Such strategies as restricting
involved 15 private partners, including logging, limiting fertilizer and pesticide applications, and
tourism operators, NGOs, and a university changing the way water is managed often bear economic
graduate program, and was implemented costs to users of these resources. Experiences with
in seven countries: Ecuador, Dominican payment for ecosystem services (PES) offer examples
Republic, Mali, Ethiopia, Uganda, Montenegro, of opportunities to reduce those tradeoffs and provide
and Albania. The alliance produced a additional incentives for forest and wetland management
nine-module online training program on and protection.
sustainable tourism, hosted on the Natural
Resource Management and Development Ecosystems provide society with a wide range of critical
online Learning Management System, which services, such as steady supplies of clean water, flood
can be valuable to USAID Mission staff, host control, habitat for wildlife and endemic plant species,
governments, and implementing partners. coastal protection, and the removal of air contaminants
and carbon dioxide (Box 79). These services are
generally “non-exclusive” economic goods; in other
At the enterprise level, most rural communities need words, goods that are commonly enjoyed by all at
assistance in developing livelihoods around tourism. no cost. Payments for ecosystem or environmental
This includes training in feasibility studies, creation services are methods that use market and market-like
of business plans and marketing strategies, and small mechanisms to provide incentives to local landowners/
business administration. Communities also might managers to implement improved resource management
need language training and/or guide, hospitality, and practices that maintain major ecological services to the
vocational training. In general, workforce development broader economy. These systems can be established
is key to strengthening the tourism industry, and it to comply with government regulations or they can be
is often best approached holistically and in partnership entirely voluntary. The payments may be made directly,
with government, the private sector, educators, through intermediaries or trading markets, or collected
and communities. and distributed by designated institutions or government
agencies. Payment may also be made through non-
Ensuring Sustainability: USAID has learned that financial means, such as increased access to government
developing tourism clusters, which are also small services, conditional land tenure agreements, or
businesses providing services to fee-paying members,

regeneration, or management techniques that increase
the overall carbon density of forests. Many countries
BOX 79. TYPES OF ECOSYSTEM SERVICES
are developing strategic plans to reduce their overall
greenhouse gas emissions, including more deliberate
management of forests for carbon storage. While this
The Millennium Ecosystem Assessment trend is encouraging, it is important to consider and
groups ecosystem services into four broad monitor biodiversity tradeoffs that could occur under
categories: schemes that favor more carbon-rich species.
• provisioning: products obtained from For more information, see USAID’s Forest Carbon,
ecosystems (e.g., food, fuel wood, water, Markets, and Communities Program (FCMC), as well
pharmaceuticals) as Section 4.4.2.
• regulating: benefits obtained from Water Funds: Another well-established and common
regulation of ecosystem processes application of PES is support for enhanced watershed
(e.g., climate regulation, pest control, management, whether for water quality or flow
purification of air and water) regulation. In such cases, a water management agency or
• supporting: services necessary for water provider typically collects payments from water
production of all other ecosystem users and/or hydropower operators. The funds are used
services (e.g., nutrient dispersal and to compensate watershed landowners for landscape
cycling, soil formation) protection and restoration. These PES programs are
usually limited to specific watershed and downstream
• cultural: non-material benefits obtained
water users, but some national schemes, such as those in
from ecosystems through spiritual
Costa Rica and Mexico, require most water users to pay
enrichment, cognitive development,
for the benefits of watershed protection.
reflection, recreation, and aesthetic
experiences (e.g., cultural diversity,
Payments for services do not necessarily lead to poverty
knowledge systems, spiritual values)
reduction. Program designers and administrators can
take steps to ensure that the poor participate and
that benefits are equitably shared among different
improved access to economic development programs stakeholders. Broad stakeholder engagement is critical
and employment opportunities. because many rural people earn their living from natural
resource-based activities, and PES schemes can provide
REDD+: There are many examples of voluntary new incentives in the form of regular payments that will
and regulated PES systems around the world (Table encourage more sustainable management of targeted
5). Recently, there has been rapid growth in REDD+ areas or resources. Necessary conditions for feasibility
(Reduced Emissions from Deforestation and Forest are found in Box 80.
Degradation). Growing international interest in REDD+
offers opportunities to increase the value of forests by Specific actions to improve equitable participation
attaching an economic price to their ability to sequester can include instituting regulatory reforms that lower
atmospheric carbon. This value, represented as “carbon transaction costs, simplifying contracting processes, and
credits,” can then be sold on national and international mediating disputes between potential stakeholders.
markets to industries, governments, and others looking Teams should be careful when designing PES
to offset environmental impacts or improve their mechanisms to benefit poor rural communities, however.
environmental record. The funds generated help support Such mechanisms may prove too difficult to implement
the ongoing protection of forested areas represented in areas where institutional capacity and transparency
by the credits. The “plus” in REDD+ refers to increasing are lacking or where resource access and ownership are
forest carbon stocks through forest restoration, natural undocumented or in dispute. Also, sellers of services

could see their resource use or access rights usurped
BOX 80. NECESSARY CONDITIONS by more powerful political forces, conflicts with other
FOR A PES APPROACH stakeholders accentuated, or resource-use rights
curtailed if such rights are a requirement for
In order for a PES to be feasible, it should meet PES payments.
the following conditions (Gutman P. 2002):
• clear demand exists for the environmental Designing a PES System
service In addition to the standard steps that a team would
follow in designing an activity (see Chapter 2), project
• community has formalized rights to the
teams should consider the following when designing a
resource and/or ecosystem service
PES system:
• strong cooperative institutions exist
1. Establish and Manage Clear Expectations.
• proposed PES scheme is compatible with The goals of PES are to compensate service
local legal framework providers and to secure desired ecosystem services
• supporting institutions are in place for buyers over the long term. When planning a PES
mechanism, all affected stakeholders should have
Table 5. Sample Types of PES
TYPE POTENTIAL SERVICES SAMPLE BUYER RECIPIENT OF PES FUNDS/

PROVIDED PROVIDER OF SERVICES
watershed drinking water filtration; water providers landowners; forest managers;

services reduced sedimentation; reduced and, through farmers or communities that
salinity; steady water supply; them, consumers; manage upstream lands
reduced flood risk hydropower producers;
farmers; irrigation
associations
biodiversity endangered species protection; land developers; landowners; land managers;

services opportunities for tourism and hunters; tour operators; traditional land stewards
recreation; wetlands habitat tourists, especially
protection; sources of materials for wildlife and birds;
for bio-prospecting pharmaceutical
companies
climate greenhouse gas (GHG) removal regulated entities forest landowners; reforestation,
services or sequestration for climate under cap and trade REDD+, clean energy, energy
change mitigation regimes; voluntary efficiency, or other GHG mitigation
purchasers of offsets projects
to reduce carbon
footprints; businesses
selling carbon-neutral
products
cultural viewing opportunities of scenic tourism companies and landowners; land managers;
services landscapes and cultural assets private foundations traditional land stewards

realistic expectations about what is required of them as land tenure security, may be difficult or impossible
and what they will receive in return. Nobody should to revoke, however. It is important to keep in mind
expect large windfall profits from PES. Rather, modest that different transaction costs are associated with
incentives that encourage resource conservation or different payment options. For example, intermediaries
protection should be the aim. may select group payments or provide local
2. Identify the Relevant Payment System. infrastructure development to reduce the transaction
PES mechanisms fall into three general types: costs of dealing with many individual service providers.
a. Government payments for services. The government Community payments can also introduce transaction
uses tax revenues and dedicated fees to pay for costs associated with organizing the individual
conservation (e.g., China, Costa Rica, Mexico, and members into cohesive groups and ensuring that all
the United States). members receive their fair share.
b. Private-sector payments for services. While still 5. Define Responsibility for Monitoring Services
small, the private market has potential for significant and Administering Payments. Both sellers and
growth as water utilities, hydropower facilities (e.g., buyers need to know what organization(s) will take
Vietnam), and beverage companies like Coca-Cola responsibility for validating the services being provided
enter the market. and for ensuring that payments for services reach the
c. Trading schemes (especially for polluting rights). intended beneficiaries. This often involves government
Pollution trading, wetland banks, and similar agencies, especially for water and electricity services,
mechanisms are more complex approaches as regulators must approve the collection of PES
that require significant government involvement in fees from consumers. Even purely voluntary systems
their design, oversight, and enforcement and robust require administration, if only between the buying
financial institutions to manage transactions. and selling parties. In some cases, financial institutions
3. Quantify Services and Define How They Are serve as the payment administrators, especially for
Provided. Ideally, services are easily measured using PES commodities, such as carbon credits. In all cases,
methods that are clearly understood by both sellers the administrator takes responsibility for overseeing
and buyers. It should be clear what services are monitoring, verification, and transparent reporting.
currently being provided and what services will be
provided in the future. There should also be a way USAID Mission Incorporation of PES in
to monitor changes in service over time, with clarity Environmental Portfolios
about who will be responsible for the monitoring and PES can be incorporated into many USAID programs
how the monitoring will be funded. The seller should that focus on improving natural resource management,
understand what actions he or she needs to take mitigating climate change, or reducing pollution. The
to ensure that the ecosystem services are provided. assistance that USAID most commonly provides falls into
This may include such actions as protecting a specific three main areas:
tract of land from deforestation, fencing waterways to • Support for national or local policy/regulation
keep out domestic livestock, or reforesting a degraded formulation and implementation – USAID has
catchment area. a long history of helping countries devise policies and
4. Determine the Pricing of Services. Payments regulations to improve natural resources management
can take several forms, including individual or group and environmental protection. For example, in Mexico
payment or non-cash rewards, such as conditional USAID helped the government establish a national
tenure rights, employment opportunities, economic payment for hydrological environmental services
development investments, or access to government program that is funded from water-user fees and
services. For non-cash rewards, managers should make now finances watershed rehabilitation and protection.
sure that conditionality is maintained (i.e., that the Similarly, USAID/Regional Development Mission for
reward can be withdrawn if the environmental service Asia helped the Government of Vietnam establish a
is no longer supplied). Some non-cash payments, such PES law and pilot projects under which hydropower

facilities paid farmers to reduce soil erosion in their • Design and piloting of PES schemes –
watersheds. This program is now being expanded USAID can also provide stakeholders with the
to include payments for biodiversity and carbon diverse technical support they require to design
sequestration. USAID can draw upon its diverse a PES scheme. Such support could include business
experience, as well as that of other donors, to provide and project development, design of improved
countries with the support and guidance required resource management and marketing strategies,
to create the legal and regulatory environment for drafting of operating rules and procedures,
successful PES schemes. development of financial plans and payment
• Support for baseline studies and analysis – mechanisms, certification support, and the design
Setting up successful PES schemes requires careful of performance monitoring systems.
analysis and planning to identify the service sellers and
buyers, quantify the benefits, and establish a realistic 5.1.4 Public-Private Partnerships
basis for pricing services at levels acceptable to all A public-private partnership is an agreement between
parties. USAID can provide independent, science- the public sector and the private sector to deliver
based analyses and studies that define and assess the a project or a service that has public benefits. Such
current quantity and quality of ecosystem services partnerships have been applied to a wide variety of
being provided; estimate the value of ecosystem sectors, including power generation, water and sanitation,
services and explain how the prices for these services hospitals, schools, prisons, and roads and railways,
can be determined; define how these services can be among many others. In conservation, a public-private
monitored and verified; and estimate how predicted partnership is any agreement between a government
changes in resource management can enable and entity and a private entity with the primary aim of
support the provision of ecosystem services over conserving biodiversity. Table 7 provides examples
time. USAID has played an integral role in supporting of how public-private partnerships for conservation
such analyses for water funds in both Ecuador projects might take shape.
and Colombia.
Table 6. PES Benefits and Risks
BENEFITS RISKS
• helps link diverse stakeholders involved in forest • local stakeholders may not adequately understand
conservation, water source and quality protection, what is being bought and sold and the long-term
and climate change and provide cost-effective ways livelihood and resource rights implications
to adapt to changing climatic conditions
• may lead to loss of rights to harvest products, loss
• can lead to positive behavior change for natural of employment, or loss of development options
resource management
• can conflict with cultural values and traditions and
• provides funds for reforestation in important threaten community cohesion
water recharge areas
• unfair/inequitable sharing of costs and revenues and
• leads to high productivity of land increased competition for land and resources
• creates diverse income streams that support • can take two to five years to design and implement
conservation; generates benefits for rural poor a PES program with full participation and
(e.g., increased cash income, expanded experience understanding of all service providers and buyers
with external actors, increased knowledge of
sustainable resource use practices)

Table 7.Types of Public-Private Partnerships for Conservation
TYPES OF TYPES OF TYPES OF CONSERVATION

GOVERNMENT PRIVATE PARTNERSHIP ACTIONS AND
ENTITIES ENTITIES ARRANGEMENTS OBJECTIVES
ministries (e.g., Ministry of for-profit businesses formal or informal spatial planning

Environment) and agencies (e.g., tourism collaboration, with (e.g., land use planning,
(e.g., Agency of Natural or concession agreements in place biodiversity planning,
Resources) operators, consulting between the government protected area planning)
companies, logging and private entities and sectoral planning
companies, investment (e.g., mainstreaming
companies) biodiversity)
government department communities formal arrangement, community outreach,

(e.g., Department of (e.g., game rancher usually with a written consultation, and
Fisheries) collectives, indigenous memorandum of participation (e.g.,
communities, local agreement outlining communication campaigns)
landowners) specific parameters of
the partnership
municipality (e.g., City of local NGOs contractual arrangement, funding and investment
Rio de Janeiro) (e.g., Friends of whereby a private entity (e.g., payments for
Ruaha Society), as is legally bound to environmental services,
well as national and provide certain services tourism concessions)
international NGOs in exchange for fees
municipal water supplier private companies, multi-institutional funding and investment

international NGOs, governing body to (e.g., payments for
and CBOs determine how to environmental services);
spend funds (with management of natural
board of directors and resources (e.g., clean and
membership of entities reliable water flows)
that contribute money
to fund)
governmental panels, universities semi-privatization, management of natural

task forces, advisory where a government resources (e.g., forestry
committees (e.g., National leases the rights, uses, concessions) and
Consortium on Protected and responsibilities to protected areas (e.g.,
Areas) a private entity for a restoration, management
limited amount of time planning, patroling)

The types of public-private partnerships that can occur partnerships enable governments to fill critical gaps in
in the field of biodiversity conservation are potentially staff, skills, funding, and other types of capacity, while
vast. At the heart of all public-private partnerships is the giving the private sector greater access and improved
recognition by governments that the private sector plays relations. Box 81 provides examples of public-private
a critical role as a set of stakeholders who influence and partnerships that advance conservation.
impact the environment and development. By working
together, both parties can gain a greater understanding Key Issues: Despite the wide range of public-private
of their objectives, needs, and relative strengths. For partnerships, some challenges typically occur and
example, USAID’s strengths have been its field presence; should be addressed early on. Both government and
knowledge of the political climate; and access to host- private entities should be very explicit about the goals
country governments, institutions, and stakeholders. of the partnership, especially since the objectives of
Private-sector entities provide a market perspective; some private entities, such as for-profit companies,
technical, managerial, and business expertise; market may conflict with those of biodiversity conservation.
access; employment; and other benefits. Public-private A carefully crafted memorandum of agreement,
BOX 81. EXAMPLES OF REAL-WORLD PUBLIC-PRIVATE PARTNERSHIPS
• Local NGO assists national park: The Friends of Ruaha Society educates local villages about
the need to protect Ruaha National Park in Tanzania. Through informal agreements with the
national park, the NGO also assists with anti-poaching measures.
• Resort owner and municipality collaborate with national government on turtle
conservation: In the Philippines, a formal memorandum of agreement between the Calamai
Tropica Beach Resort, the Hinoba-an municipality, and the Department of Environment and
Natural Resources aims to reduce impacts on and protect nesting sites of Hawksbill turtles.
• International NGO and Afghan government collaborate on biodiversity planning:
Through a formal memorandum of agreement, the Wildlife Conservation Society is helping the
Afghan government conduct a national biodiversity gap assessment and create the country’s first
national park.
• Private fund supports public protected areas: The Mexican Nature Conservation Fund is
a private environmental trust fund that benefits Mexico’s federal protected areas. Local private
conservation organizations administer the fund, while the National Commission for Protected
Areas uses endowment interest to conduct management activities.
• Tourism concessions provide critical park revenue: In South Africa, the government
provides only 20 percent of funding for protected area management. Income from private tourism
concessions helps to fill the funding gap (Varghese, 2008).
• NGO and community organizations help implement national biodiversity plans:
In the country of Georgia, local environmental and community NGOs help the government
implement the National Biodiversity Strategies and Action Plan through species and habitat
conservation activities.

spelling out responsibilities and goals, can help ensure 5.1.5 Trusts and Funds and Key Questions in
that all parties have a shared understanding of the their Development (Conservation Finance)
partnership. Governments may need to develop An environmental fund is a financial account established,
safeguards and management triggers to ensure that governed, and managed to provide long-term funding for
financial objectives do not supersede biodiversity conservation, often in the form of grants. Generally, the
conservation objectives. Governments may also want donor organizations prescribe the governance structures
to place special emphasis on communicating the costs and a fund administrator manages the disbursements.
and benefits of the partnership to the public and on The term “fund” will always refer to the financial
ensuring that mechanisms for public accountability and account; however, it is frequently used synonymously
transparency are in place, particularly where there are with the entity that hosts the account, such as the
contractual arrangements. In some cases, an intermediary aforementioned fund administrator. Box 82 defines
organization, such as an NGO or service provider (i.e., a key terms.
contractor), can play the role of managing, implementing,
or monitoring the partnership. This has tended to be By way of example, conservation trust funds (CTFs)
the model used for larger regional and global USAID are private, legally independent institutions that
partnerships, as it relieves governments of having to provide sustainable grant funding for biological
coordinate such partnerships. diversity conservation. They often finance part of the
management costs of a country’s protected area (PA)
system, as well as conservation and development
BOX 82. CLARIFYING FUND TERMS
Environmental fund is a broad term that includes funds established for various environmental
purposes: carbon, pollution (brown), water/marine (blue), forestry/biological diversity (green), and
other issues. This term is more common in Spanish- and French-speaking countries.
Conservation trust funds always emphasize biodiversity conservation as the main purpose. This
term is more common in English-speaking countries and at the World Bank.
A trust fund can also have a more general meaning, referring to any account or fund kept separate
from other funds, earmarked for a specific purpose, and overseen by a third-party trustee. Funds can
also be categorized by how their value is (or is not) maintained over the longer term:
• endowments are accounts that are intended to exist in perpetuity (e.g. to preserve the corpus
value); normally, only the resulting interest income is spent on conservation grants, from the
endowment’s long-term capital investment.
• sinking funds are temporary accounts that spend down their capital asset (both principal and
interest) over 5 to 20 years, until they are completely spent.
• revolving funds have revenue sources (e.g., taxes, fees, fines, PES payments) to maintain the value
of their grants account. Increasingly, funds of all types are looking to develop revenue-generating
business models, such as fee-for-services, to maintain their value over the longer term.

initiatives outside PAs. Within one CTF there may be
one or more “funds”; each is often donor specific. BOX 83. HISTORICAL BENEFITS
Larger CTFs usually manage multiple funds within their OF TFCA PROGRAM
portfolios, some of which may be endowments, while
others may be sinking funds or revolving funds. A fund
may have an oversight body separate from, but acting in The potential benefits of a TFCA Program
concert with, the governing body of the CTF. include
• cash flow relief – The debtor
The core business of CTFs is to raise and invest funds government’s cash flow improves because
to make grants to NGOs, CBOs, and sometimes to hard currency payments are converted
government agencies (e.g., national protected area into local currency payments and loans
agencies). This steady and predictable stream of financing are restructured to their benefit.
over time (usually 10 to 20 years) helps to stabilize
beneficiaries’ planning and budgeting, allows countries • financial leverage – Because
to absorb resources more effectively, and facilitates the outstanding debt is priced below its face
implementation of multi-year projects. value, the country can retire a significant
amount of debt. Also, third-party debt
swaps are possible, hence leveraging
Environmental funds can complement USAID Mission
money from other sources.
programming and can also serve as a USAID legacy
instrument. While USAID no longer capitalizes • debt reduction – The U.S. Government
endowments, it is often engaged in the governance may partially subsidize the program.
and oversight of environmental funds created through This could result in a partial face value
other authorized U.S. Government programs (e.g., the reduction of outstanding debt.
Enterprise for the Americas Initiative and the Tropical • forest conservation – Resources that
Forest Conservation Act, parts IV and V of the Foreign once went to the U.S. Government
Assistance Act of 1961 respectively). for debt payment remain in the domestic
economy and are channeled to local
Any USAID Mission considering participation in an organizations that engage in forest
environmental fund should review the Agency’s statutory conservation.
authorities and consider the management workload
associated with the fund’s creation, governance, and
oversight, as well as the opportunity costs of short-term
versus long-term access to the capital.
consisting of representatives of the U.S. Government, the
Including Environmental Funds in USAID beneficiary government, and local NGOs, with the latter
Mission Portfolios constituting a majority of its members.
USAID currently does not have the legislative authority
to create endowments; however, the Tropical Forest As of September 2013, approximately $222 million in
Conservation Act (TFCA) has enabled eligible countries congressionally appropriated funds had been used to
to reduce their pre-1998 official concessional debt owed conclude 19 TFCA debt-for-nature agreements with
to the United States (PL 480 and USAID debt) while 14 countries. International NGOs had contributed
generating funds locally for domestic tropical forest an additional $22 million to 11 of these agreements,
conservation activities. Under TFCA, eligible countries enabling more debt to be treated. The TFCA programs
may redirect debt payments that they would have made will generate more than $326 million through 2024
to the United States to local funds. Each local fund is for grants and projects to help protect and sustainably
administered by a local board or oversight committee manage tropical forests in beneficiary countries.

While an understanding of the TFCA program is 5.2 INTERNATIONAL POLICIES
valuable, particularly in those countries with existing AND TREATIES
agreements, the U.S. Congress has thus far discontinued
appropriations to the program after FY13. Therefore, Definitions
no expectations should be raised relative to undertaking International agreements have important ramifications
new agreements. Interested Missions can direct for the work that USAID does in biodiversity
their inquiries to the E3/FAB Office, which hosts conservation. A treaty is “an international agreement
a TFCA Secretariat. concluded between States in written form and
governed by international law, whether embodied
So, if USAID can no longer capitalize endowments, and in a single instrument or in two or more related
the TFCA program no longer looks to be appropriated, instruments, and whatever its particular designation.”
what other mechanisms exist for a USAID Mission to International conventions are a commonly used form
support environmental funds? In fact, the selection of of treaty. Conventions generally arise from meetings of
mechanism, and the nature of the support, is often representatives of multiple nations that result in general
reflected in the degree of administrative sophistication of agreement about procedures or actions the signatories
the environmental fund’s administrator and the extent to to the convention will take on specific topics. Examples
which it provides any services other than grant making. include the Convention on Biological Diversity (CBD)
and the Convention on Wetlands (Ramsar). United
A Mission can certainly co-fund initiatives of mutual Nations goals, resolutions, and declarations are other
interest with an environmental fund through parallel forms of international policy that may impact USAID’s
financing. Secondly, a Mission may wish to support biodiversity conservation work; for example, the
the fund’s own institutional strengthening through a UN Declaration on the Rights of Indigenous Peoples
procurement mechanism with a third party. Lastly, a (UNDRIP). This section will review a number of the
few funds have successfully gone through the USAID most relevant international policies.
pre-award surveys in order to receive funds through a
USAID cooperative agreement or as a sub-contractor. Significance
In every instance, the funds continue to implement
International agreements can have a strong impact
functions consistent with their existing mission and
on national-level policy-setting and action plans. Such
capabilities. Such support is often viewed as consistent
agreements often take into consideration the latest
with the guidance of the USAID Forward initiative.
science, diverse experiences, and best practices from
around the world. They provide important guidelines for
how new national-level policies can be implemented to
support them. A nation’s commitment to adhering to an
agreement can spur new approaches, increase political
will, and support funding for action.
The U.S. State Department is responsible for negotiating

international agreements, and the U.S. Senate ratifies or
approves United States participation (or membership).
USAID may play a role in providing input into the
negotiating process, based on its perspectives and
experiences. Once a convention is ratified, USAID is
subject to that agreement and must comply with its
requirements. Even if the United States has not ratified
a given convention (as is the case with the CBD), a host
country that USAID is supporting may be a signatory

and thus may need support in fulfilling its responsibilities • respecting, preserving, and maintaining traditional
under the agreement. While UN goals, resolutions, and knowledge of sustainable biodiversity use by explicitly
declarations may not be binding on USAID per se, they involving indigenous peoples
may include relevant guidelines and recommendations • preventing, controling, and eradicating alien species
on a range of related topics (such as the rights of that may threaten biodiversity
indigenous peoples), and adherence to them may
• controling risks associated with the use of
be required for certain mechanisms – e.g., free, prior,
biotechnology
and informed consent for Reducing Emissions from
Deforestation and Forest Degradation (REDD). • promoting public participation in biodiversity
conservation, as well as in the assessment of the
Key Questions impacts of development projects that may threaten
biodiversity
What are the major international conventions
related to biodiversity? • educating people and raising awareness on the
importance of biodiversity
Convention on Biological Diversity (CBD):
The UN began work on the CBD in 1988 with a • reporting on how each country is meeting its
series of meetings to start to flesh out an international biodiversity goals
agreement on the identification, conservation, and use • mobilizing financing and resources for the
of biological diversity. Established at the Earth Summit implementation of the convention (Articles 20
in Rio in 1992, the convention now has 193 countries and 21)
as members or parties. Although the United States is a
signatory to the CBD, the U.S. Senate has yet to ratify it, The CBD has a number of thematic programs
and therefore the United States is not legally bound by covering biodiversity conservation of various biomes
its provisions. Given the nearly universal ratification by or ecosystem types (e.g., inland waters, forests, marine
other countries, however, it is critical that USAID take and coastal areas, drylands, and agricultural lands). In
the CBD into account in developing and implementing addition, the CBD addresses many crosscutting issues
biodiversity conservation programs. that have an impact or are important to all of the
thematic areas. These include access to genetic resources
The CBD seeks to conserve biodiversity, promote its and benefit sharing, climate change and biodiversity,
sustainable use, and ensure that the benefits of its use gender and biodiversity, tourism and biodiversity, and
(commercial or otherwise) are shared in a fair and technology transfer and cooperation. Recently, the CBD
equitable way. The convention requires has begun to encourage and facilitate the development
of subnational and supranational (regional) strategies,
• the development of national biodiversity plans that
plans, and programs for conserving and sustainably using
outline how biodiversity will be conserved and used
biological resources.
sustainably
• integration of biodiversity considerations into other The CBD continues to be updated and enhanced. The
development sectors Cartagena Protocol was adopted in January 2000 as
• identifying and monitoring biodiversity a supplemental agreement to the CBD and has been
• establishing protected area systems while promoting widely ratified. This protocol seeks to protect wild,
environmentally sound development around native biodiversity from potential threats from “living
protected areas modified organisms” resulting from modern genetic-
modification technologies. In October 2010 in Nagoya,
• rehabilitating and restoring degraded ecosystems
Japan, the CBD adopted the Nagoya Protocol on Access
and promoting the recovery of threatened and
to Genetic Resources and the Fair and Equitable Sharing
endangered species
of Benefits Arising from Their Utilization. This protocol
covers the sharing of benefits arising from the use of

genetic resources in a fair and equitable way. It has not must designate a management authority in charge of
yet been ratified by the requisite number of signatories administering that system and one or more scientific
and therefore has not gone into effect. authorities charged with advising on the effects of trade
on the listed species. National rules and regulations may
For further information, refer to the CBD website. be more stringent than those required by CITES.
Convention on International Trade in For more information, refer to the CITES website.
Endangered Species (CITES): Development of an
international agreement on the trade of endangered United Nations Framework Convention on
species began in the early 1960s, but it was not until July Climate Change (UNFCCC): Although not directly
1975 that CITES entered into force. CITES’ primary goal related to biodiversity conservation, the UNFCCC is
is to ensure that the “international trade of wild animals very important to USAID Missions and Bureaus. Another
and plants does not threaten their survival.” CITES has of the “Rio Conventions” (like the CBD), the UNFCCC
been widely ratified; signatories include 175 countries, arose from the 1992 Earth Summit and entered into
including the United States. USAID cannot support force in March 1994. There are now 195 parties to
any activity that violates CITES and has a responsibility the convention; the United States was the first
to ensure that all activities that use biodiversity are industrialized nation to ratify it. The UNFCCC seeks
sustainable. USAID staff must determine whether a host to avoid “dangerous” anthropogenic changes in the
country is a party to CITES and, if so, to what extent Earth’s climate system by recognizing that there is a
that county is implementing the convention. The U.S. Fish problem and binding member states to “act in the
and Wildlife Service is the lead implementation agency interests of human safety even in the face of scientific
for CITES within the U.S. Government. uncertainty by”
• setting a goal of stabilizing greenhouse gas emissions
Approximately 35,000 species and sub-species are
at a level that will prevent dangerous anthropogenic
currently “listed” by CITES. CITES listings are organized
interference in the climate system
into three appendices, based on the level of threat the
species or sub-species faces from international trade. • putting the onus on developed countries to act and
lead the way
Appendix I species are the most threatened and are • directing new funds to support climate change
facing extinction. Trade in Appendix I species is permitted activities in developing countries
only under exceptional circumstances. • reporting on the problem and what is being done
about it by member states
Appendix II species are not necessarily threatened with • striking a balance between climate change actions
extinction, but their trade must be regulated in order to and the need for economic development in the
avoid over-utilization. developing world
• beginning the discussion of “climate change
Appendix III species are those that are protected in
adaptation” and how to protect the most vulnerable
member countries that have requested support in
controling international trade as a means of enhancing
The Kyoto Protocol (KP) to the convention was adopted
protection within their borders.
in 1997 but did not enter into force until 2005. The KP
essentially operationalizes the UNFCCC by committing
It is the responsibility of CITES member states to
industrialized nations to reduce and stabilize greenhouse
develop controls on the export, import, re-export,
gas emissions to a specific level. It places a heavier
and introduction of species covered by the convention.
burden on developed nations. Although the United
This is done through a licensing or permitting system
States is a signatory, the Kyoto Protocol has not been
that designates procedures based on the appendix
ratified by the U.S. Senate. At the 2011 Conference of
listing of the species concerned. Each member state

the Parties (COP) in Durban, however, the United States States ratified it in 1976. Ramsar seeks “the conservation
joined other countries in making significant funding and wise use of all wetlands through local and national
commitments to “fast-start financing” of climate change actions and international cooperation, as a contribution
action. USAID has prioritized action on climate change toward achieving sustainable development throughout
as one of its core investments. In January 2012, the the world.” Parties to Ramsar have committed to
Agency released its Climate Change and Development implementing the three “pillars” of the convention:
Strategy. The goal of the strategy is to “enable countries
• designate suitable areas for listing as “Wetlands of
to accelerate their transition to climate resilient, low
International Importance” (the Ramsar List) and
emission, sustainable economic development.” Although
ensure their “effective management”
the Agency’s climate change strategy is implemented as
a cross-cutting activity, Missions promoting biodiversity • work for the wise use of all wetlands
conservation will be most involved in the area of • cooperate internationally on transboundary wetlands
“sustainable landscapes.” Under this heading, USAID and wetland issues
will prioritize work in countries with globally important
forest landscapes; “high demonstration potential” for Ramsar emphasizes national land use planning,
Reduced Emissions from Deforestation and Degradation supportive regulatory frameworks, management actions,
(REDD+) programs; commitment “to developing and public education on wetland issues. More than
monitoring, reporting, and verification (MRV) systems”; 2,000 wetlands of international importance have been
and an enabling policy environment. designated to date.
For more information, refer to the UNFCCC website. For more information, refer to the Ramsar website.
United Nations Convention to Combat Other treaties that may be important to USAID
Desertification (UNCCD): The UNCCD was the biodiversity conservation efforts include
third convention to come out of the Earth Summit in • Convention on Migratory Species
Rio. It entered into force in December 1996 and has
• Convention on Persistent Organic Pollutants (POPS)
been ratified by 193 countries, including the United
States. The UNCCD seeks to combat desertification • International Tropical Timber Agreement
and mitigate the effects of drought. In 2007, UNCCD • UN Watercourses Convention
signatories adopted a 10-year strategy that refined
their goal: “to forge a global partnership to reverse What other international policies may be
and prevent desertification/land degradation and to important to USAID biodiversity projects and
mitigate the effects of drought in affected areas in programs?
order to support poverty reduction and environmental United Nations Declaration on the Rights of
sustainability.” The UNCCD is committed to an approach Indigenous Peoples (UNDRIP): This declaration
that ensures the participation of local communities in focuses on defining the individual and collective rights
combating desertification and land degradation. National, of indigenous people, who often live in biodiverse areas
regional, and subregional plans of action are the key of the world. (See the full text of the declaration.)
implementation instruments used by member states. In particular, UNDRIP has led to the development of
guidelines around free, prior, and informed consent
For more information, refer to the UNCCD website. (FPIC). FPIC provides indigenous peoples with the
right to give or withhold consent to any activities
Convention on Wetlands of International that may affect them or their territories. UN programs
Importance (the Ramsar Convention): Named are required to follow UNDRIP and to get FPIC,
for the Iranian city where it was adopted, the Ramsar which is critical to the successful implementation of
Convention came into force in 1975. To date, 162 REDD+ programs and projects. The U.S. Government
parties have become parties to Ramsar; the United supports UNDRIP.

Millennium Development Goals (MDG): Eight
MDG goals have been identified by the United Nations
and agreed to by most nations and leading development
institutions. They include an environmental sustainability
goal that has a target of significantly reducing the rate of
biodiversity loss. While these goals are set to expire in
2015, the UN has been working on developing a
post-2015 Agenda.
HIGH WIRE: Visitors in Rwanda’s Nyungwe National Park experience the world’s longest canopy walk, one of USAID’s investments
to increase the value and sustainability of tourism to the park. Revenue helps fund management of this high biodiversity area,
home to 13 species of primates and source of 70 percent of the country’s freshwater. Photo: Olaf Zerbock, USAID

5.3 ACRONYMS AND ABBREVIATIONS
AAR after action review CFR Code of Federal Regulations
ABCG Africa Biodiversity Consultative Group CFS Committee on World Food Security
ABNZ areas beyond national jurisdiction (UN-FAO)
ADS Automated Directives System (USAID CGF Consumer Goods Forum
operational policy) CGIAR Global Agricultural Research
AM adaptive management Partnership (Formerly the Consultative Group
on International Agricultural Research)
APHIS Animal and Plant Health Inspection
Service CI Conservation International
ARBCP Asia Regional Biodiversity Conservation CIFOR Center for International Forestry Research
Program CITES Convention on International Trade in
ARCC Adaptation and Resilience to Climate Endangered Species
Change (The Mekong) CLA collaborating, learning, and adapting
ARREST Asia’s Regional Response to Endangered CMP Conservation Measures Partnership
Species Trafficking CMM Conflict Management and Mitigation Office
ASEAN Association of Southeast Asian Nations (USAID DCHA Bureau)
BALANCED Building Actors and Leaders for Advancing CO2 carbon dioxide
Community Excellence in Development CO/AO contracting/agreement officer
Ba Nafaa Benefits from the Sea (Gambia-Senegal) COR/AOR contracting/agreement officer’s representatives
BBC British Broadcasting Corporation COHAB Cooperation on Health and Biodiversity
BCN Biodiversity Conservation Network COP Conference of the Parties (UNFCCC and
BSP Biodiversity Support Program CBD)
BUILD Biodiversity Understanding in CReW Caribbean Regional Fund for Wastewater
Infrastructure and Landscape Management
Development CRSP Collaborative Research Support Program
CA constraints analysis CSO civil society organization
CAF conflict assessment framework CTF conservation trust fund
CAMPFIRE Communal Areas Management Program DCA Development Credit Office (USAID E3
for Indigenous Resources Bureau)
CAR Central African Republic DCHA Democracy, Conflict, and Humanitarian
CARPE Central African Regional Program on the Assistance (USAID Bureau)
Environment DEC Development Experience Clearinghouse
CARSEA Caribbean Sea Ecosystem Assessment (USAID)
CBA cost-benefit analysis DFID Department for International Development
CBD Convention on Biological Diversity (UK aid)
CBNRM community-based natural resources DI defining indicator
management DMZ demilitarized zone
CBO community-based organization DNA deoxyribonucleic acid (genetic sequences
CDCS country development cooperation carrier)
strategy DO development objective
CDCS RF country development cooperation strategy DOAG development objective agreement
results framework DQA data quality assessment
CEA cost-effectiveness analysis DRG democratic rights and governance
CEBC Center for Evidence-based Conservation E3 Economic Growth, Education, and
CEDA Centro de Derecho Ambiental Environment (USAID Bureau)
CEDARENA Centro de Derecho Ambiental y de los EC-LEDS Enhancing Capacity for Low Emissions
Recursos Naturales Development Strategies
CFUG community forest user group EEZ exclusive economic zone

EGAT Economic Growth, Agriculture, and Trade IDB Inter-American Development Bank
(USAID Bureau, now E3) IEE initial environmental examination
EIA environmental impact assessment IFI international financial institutions
EMS/EMP environmental management system/plan IGCP International Gorilla Conservation Program
EP Economic Policy Office (USAID E3 Bureau) IGD inclusive growth diagnostic
EPA Environmental Protection Agency IIED International Institute for Environment and
ES ecosystem service Development
EU European Union ILO International Labour Organization
FAA Foreign Assistance Act INL International Narcotics Control and Law
FAB Forestry and Biodiversity Office (USAID E3 Enforcement (U.S. Department of State)
Bureau) IR interim result
FAO Food and Agriculture Organization (UN) IRB Institutional Review Board
FCMC Forest Carbon, Markets, and Communities ITTO International Tropical Timber Organization
FLEGT forest law enforcement, governance, and trade IUCN International Union for Conservation of
FONAG Fondo para la protección del Agua (the Quito Nature
Water Fund-UNEP) IUU illegal, unreported, and unregulated
FPIC free, prior, informed consent/consultation IWRM integrated water resources management
FRAME Framing Research for Adaptive Management of KM knowledge management
Ecosystems LEDS low emission development strategies
FSC Forest Stewardship Council LFA limiting factors analysis
FUG forest user group LMMA locally managed marine areas
FY fiscal year LTPR land tenure and property rights
G2G government to government LMTPR land/marine tenure and property rights
GBIF Global Biodiversity Information Facility M&E monitoring and evaluation
GCC global climate change MCC Millennium Challenge Corporation
GCC Global Climate Change Office (USAID E3 MDB multilateral development bank
Bureau)
MDG(s) Millennium Development Goals
GCC-AD Global Climate Change Adaptation (pillar
MEA Millennium Ecosystem Assessment
funds)
MMDA Model Mining Development Agreement
GCP Global Conservation Program
MOU memorandum of understanding
GenBank The National Institute of Health’s annotated
database of publicly available DNA sequences MPA marine protected area
GenDev Gender Equality and Women’s Empowerment NBSAP National Biodiversity Strategies and Action
Office (USAID E3 Bureau) Plans
GEF Global Environment Facility NGO non-governmental organization
GEO BON Group on Earth Observations Biodiversity NOAA National Oceanic and Atmospheric
Observation Network Administration
GeoCenter Center for the Application of Geospatial NRM natural resource management
Analysis for Development (within USAID’s NTFP non-timber forest products
Global Development Lab) NWP nature, wealth, and power
GHG greenhouse gas OS open standards
GIS geographic information system OU operating unit
GreenCOM strategic environmental education and PA protected area
communication
PAD project appraisal document
GSTA Global Sustainable Tourism Alliance
PADDD protected area downgrading, downsizing, and
HIV/AIDS human immunodeficiency virus/acquired degazettement
immunodeficiency syndrome

PCM Private Capital and Microenterprise Office SLIMF small and low intensity managed forest
(former Office in USAID E3 Bureau) SPAN Strengthening the Protected Area Network
PDA personal digital assistant SSF small-scale fisheries
PDO project development officer STAP Scientific and Technical Advisory Panel
PEA political economy analysis SWOT strengths, weaknesses, opportunities, and
PES payment for ecosystem services threats (assessment framework)
PHE population, health, and environment TBCA transboundary conservation areas
PHPA public hearing and public auditing TEEB The Economics of Ecosystems and Biodiversity
PIO public international organization TEV total economic value
PMP performance management plan TFA Tropical Forest Alliance
POPS Convention on Persistent Organic Pollutants TFCA Tropical Forest Conservation Act
PPL Policy, Planning and Learning (USAID Bureau) TILCEPA Theme on Indigenous and Local Communities,
PPP public-private partnership Equity and Protected Areas
PPR performance plan and report TNC The Nature Conservancy
ProgramNet USAID’s internal community of
TOC theory of change
practice and key source of support related TRAFFIC wildlife trade monitoring network (formally,
to the program cycle the Trade Records Analysis of Flora and Fauna
PWS payment for watershed services in Commerce)
RAFT Responsible Asia Forest and Trade TRR Trade and Regulatory Reform Office (USAID
E3 Bureau)
RDCS regional development cooperation strategy
UK United Kingdom
RECOFTC The Center for People and Forests (formerly
the Regional Community Forestry Training UN United Nations
Center) UNCCD United Nations Convention to Combat
REDD/REDD+ reducing emissions from deforestation and
Desertification
forest degradation/+ plus the role of UNDRIP United Nations Declaration on the Rights of
conservation, sustainable forest management, Indigenous Peoples
and enhancement of forest carbon stocks UNDP United Nations Development Programme
RESILIM Resilience in the Limpopo River Basin UNEP United Nations Environment Programme
RF results framework UNESCO United Nations Educational, Scientific and
RFA request for application Cultural Organization
RFMO regional fisheries management organization UNFCCC United Nations Framework Convention on
RFP request for proposal Climate Change
RLO resident legal officer USAID United States Agency for International
Development
SANREM sustainable agriculture and natural resource
management USDA United States Department of Agriculture
SARS Severe Acute Respiratory Syndrome USG United States Government
SCALE System-wide Collaborative Action for VA vulnerability analysis
Livelihoods and the Environment WASH water supply, sanitation, and hygiene
SCAPES Sustainable Conservation Approaches in WCPA World Commission on Protected Areas
Priority Ecosystems (IUCN)
SDC Swiss Agency for Development and WEN Wildlife Enforcement Network
Cooperation WHO World Health Organization
SEA strategic environmental assessment WII Wetlands of International Importance (the
SEPA Servidumbres Ecológicas: Progreso a través del Ramsar Convention on Wetlands)
Aprendizaje WISP World Initiative for Sustainable Pastoralism
SESA strategic environmental and social assessment WSC Wildlife Conservation Society
SIDS small island developing states WWF World Wildlife Fund for Nature

5.4 GLOSSARY
Accountability: The responsibility of political actors to all unique formal or informal political-administrative dynamic of
members of society for their actions and decisions. each community.
Acquisition: The buying or contracting for goods or services Conservation Measures Partnership (CMP): A joint
to achieve “results,” in most cases through contracts with for- venture of conservation organizations and collaborators
profit, private-sector organizations. Through this mechanism, committed to improving the practice of conservation. By
consulting firms implement much of USAID’s support for participating, member organizations seek to capitalize on their
biodiversity conservation. individual and collective experience to avoid duplication of
effort, bypass tried-but-failed approaches, and quickly identify
Adaptive Management: A systematic process for
and adopt best practices.
continually improving management policies and practices by
learning from the outcomes of previously employed policies Conservation Trust Fund: The provision of more
and practices. sustained, long-term funding of conservation, usually of three
main types: endowments, in which the principal is invested
Agro-tourism: Tourist venues and experiences that feature
and income generated by that investment is used to finance
agricultural terrains and products such as vineyards and coffee
activities, preserving the principal itself as a permanent asset;
or tea plantations. An ecological attraction such as a forest or
sinking funds, in which the principal and any investment
mountain is often incorporated into the experience.
income over a set period of time – generally a relatively long
Applied/Operational Research: Research conducted time – are used to finance activities; and revolving funds, in
to increase understanding of a development or conservation which new funding is received on a regular basis (such as from
problem, including its context and impacts at a site or in grants, taxes, user fees, etc.) to replenish, or even increase, the
a country. original principal.
Biodiversity: Short for biological diversity, biodiversity refers Consultation: A process by which key stakeholders
to the variety and variability of life, including the diversity of and/or potential beneficiaries are consulted about their
genes within species, the diversity of species, the diversity of potential interest and involvement in a development strategic
communities and ecosystems, and the diversity of ecological approaches and the potential positive and negative impacts,
processes. costs, and benefits that may accrue from such activities.
Biodiversity Code: USAID guidance to help determine Cooperative Agreement: An agreement between USAID
what projects are included in the accounting toward the and implementing partners, awarded to provide funds or
biodiversity earmark. The code comprises four criteria, all of other resources. This type of agreement dictates “substantial
which must be met to be considered a biodiversity project. involvement” among the parties during the performance of
the proposed activity. “Substantial involvement” is statutorily
Civil Society: Groups or individuals acting voluntarily in their
limited and does not allow the Agency to exercise a high level
capacity as citizens to advance common goals and agendas.
of control over the cooperating organization(s).
These actors include both formally registered organizations
and non-registered, loosely organized, cause-oriented groups. Criteria: “Content” level of a standard that sets out the
conditions that need to be met in order to deliver a principle.
Community-conserved Areas: Areas of natural or semi-
It can be possible to verify criteria directly but they are usually
natural habitat that have been conserved by local communities
further elaborated by indicators.
for a variety of ecological and cultural reasons. They may or
may not be legally recognized by national governments or Debt-for-nature Swap: A third party (often an NGO
designated for management and protection. Thousands of or bilateral donor) will arrange to purchase a portion of
small sites are conserved as village forests and pastures, sacred a country’s public debt at a discount. The third party then
groves, and restricted hunting or fishing areas by communities “forgives” the debt in exchange for a negotiated level of
worldwide. investments in conservation on the part of the country’s
government.
Consent: As used within the principle of free, prior, and
informed consent (FPIC), “consent” refers to the decision Enabling Condition: A condition that needs to be in place
reached by indigenous peoples and other local communities to overcome barriers to conservation. Enabling conditions are
through their customary decision-making process. The generally interrelated and can include legal, institutional, social,
collective right to give or withhold consent applies to all and security factors.
projects, activities, and legislative and administrative measures
Ecoregion: A large area of land or water containing a
and policies (and their associated processes and phases) that
geographically distinct assemblage of natural communities
directly impact the lands, territories, resources, and livelihoods
that share a large majority of species and ecological dynamics,
of indigenous peoples and other local communities. Consent
as well as similar environmental conditions, and interact
must be sought and granted or withheld according to the

ecologically in ways that are critical for their long-term in forests managed in environmentally and socially responsible
persistence. or sustainable ways.
Ecosystem: A dynamic system of interactions between all Gender: A social construct that refers to relations between
of the species inhabiting an area and the nonliving physical and among the sexes, based on their relative roles. Gender
environment. Ecosystems vary spatially and change with encompasses the economic, political, and sociocultural
time, and no ecosystem is closed with respect to exchanges attributes, constraints, and opportunities associated with
of organisms, matter, and energy. Priority areas or sites for being male or female. As a social construct, gender varies
conservation exist within ecosystems. across cultures and is dynamic and open to change over time.
Because of this variation, gender roles should not be assumed,
Ecosystem Management: How to manage the complex
but investigated. Note that “gender” is not interchangeable
interactions between ecological and social systems in order
with “women” or “sex.”
to provide sustainable values to societies, even when scientists
and managers do not know enough to accurately predict the Gender Analysis: Identification and interpretation of
behavior of those systems. gender differences and relations and their impact on achieving
development objectives. Gender analysis also gauges the
Ecosystem Services: Services provided by ecosystems and
implications of development strategic approaches that may
ecological processes, including regulation of water flows and
shift the power dynamic between women and men.
maintenance of water quality; the formation of soil, prevention
of soil erosion, and nutrient cycling that maintains soil fertility; Gender Equality: The broad concept and development
degradation of wastes and pollution; pest and pathogen goal that is achieved when men and women have equal
control; pollination; and climate regulation through carbon rights, freedoms, conditions, and opportunities for realizing
storage and sequestration. their full potential and for contributing to and benefiting
from economic, social, cultural, and political development.
Ecotourism: Responsible travel to natural areas that
Equality does not mean that women and men become the
conserves the environment and improves the well-being of
same, but that women’s and men’s rights, responsibilities, and
local people. The Ecotourism Society defines ecotourism as
opportunities do not depend on whether they are born
“purposeful travel to natural areas to understand the culture
male or female. It means that society values men and women
and natural history of the environment, taking care not to
equally for their similarities and differences and for the diverse
alter the integrity of the ecosystem while producing economic
roles that they play. Gender equality is not a “women’s issue”
opportunities that make the conservation of natural resources
but should concern and fully engage men, as well as women. It
beneficial to local people.”
signifies the results of gender equity strategies and processes.
Endemic Species: Species found only in a relatively small
Gender Integration: Identifying and then addressing gender
geographic area and nowhere else, such as Galapagos finches.
differences and inequalities during project planning, design,
Engagement: Engagement means active participation of implementation, monitoring, and evaluation. Since the roles
stakeholders, where they take ownership of the activity and and relations of power between men and women affect
process. how an activity is implemented, it is essential that project and
activity planners address these issues on an ongoing basis.
Environmental Assessment (EA): Analysis to determine
whether a proposed action will have a harmful effect on the Gender Roles: Social roles assigned to men and women
environment; an environmental impact assessment. according to cultural norms and traditions. Often, gender roles
are not based on biological or physical imperatives.
Environmental Impact Assessment (EIA): Analysis to
determine whether a proposed action will have a harmful Genes: A heritable molecular unit of an organism. Genes
impact on the environment, often comparing the impact combine in unique patterns to form individuals and
of this proposed action with that of other alternatives and populations of each species.
options.
Governance: How public institutions conduct affairs and
Equity: A key component of sustainable development, equity manage resources in partnership with civil society and
concerns fairness of outcomes both now and in the future – the private sector. “Good governance” is taken to include
who benefits and who is included in development actions. accessibility, peoples’ participation, transparency, accountability,
Equity is also about inclusion in development decision-making. rule of law, predictability, justice, and sustainability. “Good
Thus, equity is both an instrumental process and a right, governance” is contrasted to ineffective or corrupt economies
concerned with both distributional and procedural justice. or political bodies.
Forest Certification: Programs to audit and certify to Grants: Gifts of funds or other resources.
consumers that wood and other forest products are produced

Green Accounting: An accounting method that attempts greenhouse gas (GHG) emissions. The initial commitment
to factor environmental costs into the financial results of period covered 2008-2012.
operations.
Livelihoods: Means of subsistence based on social, cultural,
Human Rights: Legal, social, or ethical principles of freedom human, financial, natural, physical, and political capabilities and
or entitlement; i.e., fundamental normative rules about what assets.
is allowed of people or owed to people, according to some
Local Laws: Laws or legal norms that apply at subnational
legal system, social convention, or ethical theory. A number
or lower-level jurisdictions. Local laws may include both formal
of human rights have been recognized through international
laws and customary norms.
conventions or treaties.
Low Emissions Development Strategies (LEDS):
Implementation: The actual execution of a program,
A strategic framework that articulates concrete actions,
project, plan, or strategy, including ongoing planning and
policies, programs, and implementation plans to advance
decision-making, as well as the implementation of activities.
economic growth, improve environmental management, and
Indicators: Variables that are influenced by project strategic meet development objectives. This framework provides a
approaches or management activities and that can be foundation for achieving long-term, measurable greenhouse
monitored to provide evidence of progress or success. gas emission reductions.
Indigenous and Traditional Peoples: Groups of people Marine Protected Area (MPA): An area of sea especially
who have resided in a region for generations and can be dedicated to the protection and maintenance of biodiversity
distinguished from the rest of the national community based and natural and associated cultural resources, and managed
on social, cultural, and economic conditions. Indigenous areas through legal or other effective means. MPAs range from small,
are areas traditionally inhabited by these groups. Indigenous locally managed and enforced fisheries or ecological reserves
and traditional peoples have unique cultures that may be (no-take reserves) to larger national marine parks that are
closely integrated with the local natural environment. Such zoned for multiple use.
communities typically have a strong stake in the natural
Natural Resources: Aspects of the biophysical environment
resources around them, on which they depend for their
that humans use or find of value, such as timber, fresh water,
livelihoods and cultures. These groups are often marginalized.
or minerals, and that include ecosystem services provided by
Informed: As used within the principle of free, prior, and these resources.
informed consent (FPIC), “informed” refers to information
Nature, Wealth, Power (NWP): A framework that posits
that should be provided prior to seeking consent and also as
that conservation outcomes (nature) are influenced by how
part of the ongoing consent process. Among other factors,
biodiversity and natural resources are used to generate and
the information should be clear, consistent, accurate, and
sustain livelihoods and economic growth (wealth) and by
transparent and should be delivered in the appropriate
governance of the land and resources (power). The NWP
language and format (including radio, video, graphics,
framework also implies that economic growth is underpinned
documentaries, photos).
by how natural resources and biodiversity are managed.
Institutions: Customs, behavioral patterns, and rules that
Non-Timber Forest Products (NTFP): All biological
define forest-related access, rights, and duties; benefit sharing;
materials other than wood that are extracted from forests for
and decision-making. The term can also be used to refer to
human use.
educational or governmental institutions.
Participation: Involvement of stakeholders in planning,
Invasive Species: A species, often introduced inadvertently
priority-setting, implementation, monitoring, and evaluation of
or deliberately by human activities from another continent or
activities and programs.
ecosystem, that can crowd out native species and take over
habitats, thereby threatening native biodiversity. Private Protected Area: An area that is managed for
biodiversity conservation objectives; protected with or without
Keystone Species: A species that plays a disproportionately
formal government recognition; and owned or otherwise
large ecological role in determining the composition and
secured by individuals, communities, corporations, or NGOs.
structure of an ecological community; if a keystone species
Private conservation areas, like publicly protected areas, vary
disappears, the whole community will change. The African
greatly in terms of management objectives, allowable activities,
elephant is one example of a keystone species.
and level of protection. They may include formally declared
Kyoto Protocol: An international agreement linked to private areas, lands subject to conservation easements, game
the United Nations Framework Convention on Climate ranches, mixed commercial operations based on sustainable
Change, which set binding targets for a group of industrialized use, and land trusts.
countries and the European Community for reducing

Privatization: Converting land or resources formerly under REDD+ (REDD Plus): An enlarged concept that goes
public or communal tenure into private property or private beyond deforestation and forest degradation to include
concession or lease. conservation, sustainable management of forests, and
enhancement of forest carbon stocks.
Protected Areas: Areas managed to maintain certain
elements of biodiversity and the values they provide. Safeguards: Measures, such as policies or procedures, to
protect against, or minimize, social and environmental risks,
Rapid Environmental Assessment: An assessment that
damage, or harm. Safeguards ensure that environmental and
provides relief workers and disaster-affected communities
social issues are evaluated in decision-making, helping to
with a simple and straightforward analytical and decision-
assess and reduce risks. Some safeguards provide an explicit
making framework to identify significant environmental issues
mechanism for consultation and disclosure of information or
in relation to the prime humanitarian objectives of saving lives
for redress of grievances.
and reducing damage.
Tenure: Agreement(s) held by individuals or groups,
Site: A relatively small and circumscribed area of natural
recognized by legal statutes and/or customary practice,
habitat, whether land or water, and/or the area in which a
regarding the rights and duties of ownership, holding, access,
conservation project works, regardless of size.
and/or usage of a particular land unit or specific resources
Social License: Formal or informal approval by the local therein. Rights may be individual and separable, or they may
community and other relevant stakeholders for a biodiversity be bundled.
conservation project to operate. A social license means that
Theory of Change: What and who needs to change to
local actors will not obstruct the organization’s work and, at
achieve the desired results, and how direct threats are linked
best, will see it as a good neighbor and collaborator.
to broader drivers and trends.
Social Marketing: The application of models and techniques
Threats: Refers to threats to processes and actions that may
derived from commercial marketing and behavioral psychology
diminish biological diversity, including conversion of natural
to promote new behaviors that have positive social values,
habitats; overexploitation of valuable species; introduction of
such as biodiversity conservation.
invasive species; and environmental change, such as climate
Social Soundness Approach: An approach that change, desertification, and pollution.
incorporates and goes beyond safeguards that avoid harm
Threats-based Approach: An approach that emphasizes
through proactive assessment, planning, and implementation
the development of a logical plan for determining which
of biodiversity conservation in culturally and socially effective
threats will be addressed, and how. The plan must clearly
ways.
identify the linkages between threats and proposed activities.
Species: An identifiable group of (potentially) interbreeding
Traditional Ecological Knowledge: Knowledge, practices,
organisms that is able to produce viable offspring.
and beliefs that traditional cultures use to conceptualize and
Stakeholders: Any person, group, or organization that has interact with their environments.
an interest in the use and management of some aspect of
Transboundary Conservation Area: Cross-border
biodiversity in a given place, or that affects or is affected by a
collaboration to achieve biodiversity conservation and
particular conservation action. Stakeholders range from local
development goals. Transboundary conservation areas can
users to government agencies, NGOs, and the private sector
include two or more contiguous protected areas across a
and operate at local, national, and international levels.
national boundary; a cluster of protected areas separated by
Sustainable Forest Management: According to the other land uses; a cluster of separated protected areas without
U.S. Forest Service, “management regimes applied to forest intervening land; a transborder area including proposed
land that maintain the productive and renewal capacities, as protected areas; or a protected area on one side of a political
well as the genetic, species, and ecological diversity of forest boundary along with complimentary land use across the
ecosystems.” border.
Sustainable Use: The use of biological products and Transparency: Clarity and free flow of information enabling
ecological services of ecosystems in a manner and at a rate all members of society to access, understand, and monitor
that does not reduce the system’s ability to provide those processes, institutions, and information.
products and services to future generations.
Women’s Empowerment: A critical aspect of promoting
REDD (Reduced Emissions from Deforestation gender equality, focusing on identifying and redressing power
and Forest Degradation): The mechanism by which the imbalances and giving women more autonomy to manage
conservation and/or restoration of forest ecosystems can play their lives. Women’s empowerment occurs when women
a key role in reducing atmospheric greenhouse gases. achieve increased control and participation in decision-
making that leads to better access to resources and improved
socioeconomic status.

U.S. Agency for International Development
1300 Pennsylvania Avenue, NW
Washington, DC 20523
Tel. 202 712 0000
Fax. 202 216 3524
www.usaid.gov/biodiversity

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BIODIVERSITY AND

Reviewers Chapters 3 and 5 Chapter 4

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK i

III CONSERVATION APPROACHES

IV BIODIVERSITY AND DEVELOPMENT INTERSECTIONS

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK iii

iv U SA I D B I O DIV E RS ITY A N D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK v

vi U SA I D B I O DIV E RS ITY A N D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK vii

viii U SA I D B I O D IV E RS ITY AN D D E V E L OP MENT HA NDBO O K

Figure 1. Economic Value of Coral Reefs

TOURISM AND RECREATION

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 1

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 3

• Address the underlying causes of biodiversity loss

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 5

BOX 1. USAID BIODIVERSITY POLICY STRATEGIC FRAMEWORK

All USAID programs and activities should strive to

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 7

Conserving biodiversity in remote areas is

10 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 11

12 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

Figure 3. USAID Program Cycle

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 13

Figure 4. Applying the CLA Framework in the Program Cycle

14 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

This handbook uses adaptive management (AM)

Adaptive management can increase OUs’ ability to

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 15

Capture, Share, Plan Actions &

16 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 17

18 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 19

As outlined in the ADS 200 and summarized in Figure

The PAD is approved by the Mission Director in signing

20 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

BOX 4. INTEGRATING BIODIVERSITY INTO CDCSS AND PROJECT STRATEGIES

Some ways to integrate biodiversity into CDCSs include

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 21

22 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

As described in the Agency’s CLA approach and the

24 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 25

26 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

Grassland Fire regime Years between fires >10 or <5 5-10

Current Status (January 2013) 8

Desired Future Status (January 2025) 5-10

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 27

28 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

BOX 10. EXAMPLES OF HOW ENVIRONMENTAL SUSTAINABILITY

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 29

30 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 31

32 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K

U SA ID BIO DIVER SIT Y A ND DEVELO P MENT HA NDBOOK 33

Building a problem analysis or situation model entails the following steps:

34 U SA I D B I O DIV E RS ITY AN D D E V E L OP M ENT HA NDBO O K