A_M

Assessment and Management of Social and Environmental Risks and Impact

Programme Level

UNDP will screen Programmes early in their development. Programme screening, which is aligned with the SES Overarching Policy and Principles, assists with the identification of potential social and environmental risks and opportunities. Programme documents will incorporate appropriate management and budgetary resources to address any identified social and environmental risks, including for potential application of requirements of the SES to Projects identified in the Count ry, Regional and/or Global Programme. For Programmes that include a set of activities which pose potentially significant adverse social and environmental risks, a Strategic Social and Environmental Assessment (SESA) 90 may need to be integrated into the Programme.

At each stage of the Programme Management Cycle, application of the SES will be reviewed as part of UNDP’s quality assurance process.

Project Level

Quality Assurance

The SES are included as one of seven quality criteria within the Quality Assurance Framework for UNDP Projects. Therefore, compliance with the SES are reviewed by UNDP throughout the Project cycle as part of the required periodic Quality Assessments.

Assessment and Management

UNDP will ensure that potential social and environmental risks, impacts and opportunities of supported activities are systematically identified and assessed in an integrated manner. The type and scale of assessment and the agreed management measures should be proportionate to the level of social and environmental risk.

UNDP supports countries through a wide range of services, including policy advisory services and capacity building. UNDP applies a social and environmental mainstreaming approach to these types of services. UNDP will seek entry points for strengthening capacities for integrated approaches to development policies and planning that consider social and environmental risks and opportunities. (96)

Projects with potentially significant adverse risks and impacts, including potential impacts which may undermine the realization of human rights, require review and/or assessment of potential social and environmental impacts, identification of measures to avoid and minimize adverse impacts and to improve social and environmental performance. Risk reduction measures follow a mitigation hierarchy that favours avoidance of potential adverse impacts over minimization, and where adverse residual impacts remain, mitigation and, as a last resort, the application of offset and compensation.

Strategic Environmental and Social Assessment (SESA) and/or Environmental and Social Impact Assessments (ESIA) are required for High Risk Projects, and may also be utilized to address potential impacts of Moderate Risk Projects. The UNDP Project Manager will ensure that the SESA/ESIA adequately includes and/or reflects the following measures: (97) Address impacts on physical, biological, socioeconomic, and cultural resources, including direct, indirect, cumulative, and induced impacts in the Project’s area of influence, including associated facilities. (98) Address potential transboundary concerns. Utilize strategic, sectoral or regional environmental assessment where appropriate.

Assess adequacy of the applicable legal and institutional framework, including obligations under Applicable Law and confirm that the Project would not be supported if it contravenes international obligations.

Assess feasible investment, technical, and siting alternatives, including the “no action” alternative, as well as potential impacts, feasibility of mitigating these impacts, their capital and recurrent costs, their suitability under local conditions, and the institutional, training and monitoring requirements associated with them.

Enhance positive impacts and avoid, minimize, and/or mitigate adverse impacts through social and environmental planning and management. Develop an Environmental and Social Management Plan (ESMP) that includes the proposed measures for mitigation, monitoring, institutional capacity development and training (if required), an implementation schedule, and cost estimates. When uncertainty remains regarding specific Project components or exact locations (e.g. for “upstream” activities), develop an Environmental and Social Management Framework (ESMF) in place of an ESMP. (99)

Use independent expertise in the preparation of social and environmental impact assessments, where appropriate. (100) Use independent advisory panels during preparation and implementation of Projects that are highly risky or contentious or that involve serious and multi-dimensional social and/or environmental concerns.

Examine whether particular individuals and groups may be differentially or disproportionately affected by the Project’s potential adverse impacts because of their disadvantaged or marginalized status, due to such factors as race, ethnicity, gender, age, language, disability, sexual orientation, religion, political or other opinion, national or social or geographical origin, property, birth or other status including as an indigenous person or as a member of a minority. Where such individuals or groups are identified, recommend targeted and differentiated measures to ensure that the adverse impacts do not fall disproportionately on them.

Ensure that the SESA/ESIA is undertaken as early as possible, noting that in some cases, a SESA/ESIA will be undertaken as a component of the Project. In no case shall Project activities that may cause adverse impacts be carried out until completion of the SESA/ESIA.

Ensure that the SESA/ESIA process and development of ESMF/ESMP involves early, iterative and meaningful stakeholder engagement and participation, predicated on timely disclosure of relevant information. (101)

UNDP’s mandatory Social and Environmental Screening Procedure (SESP) provides detailed requirements and guidance on screening and assessment.

Diagrammi2

Footnotes:
(96) UNDP applies a range of tools to su pport social and environmental mainstreaming, these approaches and tools are outlined in UNDP’s Social and Environmental Sustainability of Programming Toolkit (forthcoming). (97) See UNDP’s Social and Environmental Screening Procedure for guidance (please note, UNDP’s current screening procedure will be revised and updated to align with SES). (98) A Project’s area of influence encompasses (i) the primary Project site(s) and related facilities (e.g., access roads, pipelines, canals, disposal areas), (ii) associated facilities that are not funded as part of the project but whose viability and existence depend on the Project (e.g., transmission line to connect UNDP-supported hydropower facility), (iii) areas and communities potentially affected by cumulative impacts from the Project or from other relevant past, present and reasonably foreseeable developments in the geographic area (e.g., reduction of water flow in a watershed due to multiple withdrawals), and (iv) areas and communities potentially affected by induced impacts from unplanned but predictable developments or activities caused by the Project, which may occur later or at a different location (e.g. facilitation of settlements, illegal logging, agricultural activities by new roads in intact forest areas). (99) UNDP’s Social and Environmental Screening Procedure contains an outline of the contents of an ESMP and guidance on preparing an ESMF (current screening procedure and guidance to be updated to include these components). (100) UNDP will generally require that independent experts not directly affiliated with the Implementing Partner or UNDP conduct ESIAs for Projects with potentially significant adverse impacts. UNDP will ensure that conflicts of interest are avoided. (101) Draft social and environmental assessments, including any draft management plans, are to be disclosed before Project appraisal formally begins.

Footnotes: 

(96) UNDP applies a range of tools to su pport social and environmental mainstreaming, these approaches and tools are outlined in UNDP’s Social and Environmental Sustainability of Programming Toolkit (forthcoming).

(97) See UNDP’s Social and Environmental Screening Procedure for guidance (please note, UNDP’s current screening procedure will be revised and updated to align with SES).

(98) A Project’s area of influence encompasses (i) the primary Project site(s) and related facilities (e.g., access roads, pipelines, canals, disposal areas), (ii) associated facilities that are not funded as part of the project but whose viability and existence depend on the Project (e.g., transmission line to connect UNDP-supported hydropower facility), (iii) areas and communities potentially affected by cumulative impacts from the Project or from other relevant past, present and reasonably foreseeable developments in the geographic area (e.g., reduction of water flow in a watershed due to multiple withdrawals), and (iv) areas and communities potentially affected by induced impacts from unplanned but predictable developments or activities caused by the Project, which may occur later or at a different location (e.g. facilitation of settlements, illegal logging, agricultural activities by new roads in intact forest areas).

(99) UNDP’s Social and Environmental Screening Procedure contains an outline of the contents of an ESMP and guidance on preparing an ESMF (current screening procedure and guidance to be updated to include these components).

(100) UNDP will generally require that independent experts not directly affiliated with the Implementing Partner or UNDP conduct ESIAs for Projects with potentially significant adverse impacts. UNDP will ensure that conflicts of interest are avoided.

(101) Draft social and environmental assessments, including any draft management plans, are to be disclosed before Project appraisal formally begins.