Screening and Categorization

Screening and Categorization/ Social and Environmental Screening Procedure (SESP)

UNDP will carry out Project screening and categorization at the earliest stage of Project preparation when sufficient information is available for this purpose. Screening is undertaken (i) to identify and reflect the significance of potential impacts or risks that Project activities might present, and (ii) to identify opportunities to enhance benefits and to support stakeholders. Categorization is undertaken to reflect the level of review and resources required for addressing such impacts and risks. All proposed Projects will be screened to identify potential application of requirements of the SES Overarching Policy and Principles (i.e. human rights, gender equality, environmental sustainability) and relevant Project-level Standards.

UNDP utilizes its Social and Environmental Screening Procedure (SESP) to identify potential social and environmental risks and opportunities associated with the proposed Project. UNDP’s SESP applies a Project-level categorization system to reflect the significance of potential social and environmental risks and impacts and to determine the appropriate type and level of social and environmental assessment. Each proposed Project is scrutinized as to its type, location, scale, sensitivity and the magnitude of its potential social and environmental impacts. UNDP screens all Project activities, including planning support, policy advice, and capacity-building (often referred to as “upstream” activities), as well as site-specific, physical interventions (“downstream” activities) and procurement. Based on the screening, UNDP categorizes Projects according to the degree of potential social and environmental risks and impacts. In some cases, applicability of specific requirements will need to be determined through additional scoping, assessment, or management review. The screening process results in one of the following three categories for the proposed Project:

Low Risk: Projects that include activities with minimal or no risks of adverse social or environmental impacts. Further assessment of potential adverse social and environmental risks and impacts is not required.
Moderate Risk: Projects that include activities with potential adverse social and environmental risks and impacts, that are limited in scale, can be identified with a reasonable degree of certainty, and can be addressed through application of standard best practice, mitigation measures and stakeholder engagement during Project implementation. Moderate Risk Projects may require limited social and environmental assessment and review to determine how the potential impacts identified in the screening will be avoided or when avoidance is not possible, minimized, mitigated and managed. Further assessment may determine that a full social and environmental assessment is required in order to ensure that the SES requirements are addressed, and that the Project should be re-categorized as High Risk. Moderate Risk activities include “upstream” activities that may present benefits and/or risks that are predominantly indirect, long-term or difficult to identify, including potential future downstream implementation activities where moderate risks are likely but undefined. UNDP adopts a social and environmental mainstreaming approach for such “upstream” activities, employing a potential range of methodologies and/or tools, depending on the potential issues, risks and/or impacts.91
High Risk: Projects that include activities with potential significant and/or irreversible adverse social and environmental risks and impacts, or which raise significant concerns among potentially affected communities and individuals as expressed during the stakeholder engagement process. High Risk activities may involve significant impacts on physical, biological, socioeconomic, or cultural resources. Such impacts may involve a range of human rights, gender, and/or environmental sustainability issues (i.e., the Overarching Policy and Principles) and Project-level Standards.92 Potential significant adverse risks or impacts of “upstream” activities shall be analyzed and addressed, utilizing a potential range of tools, including Strategic Environmental and Social Assessment (SESA). A full environmental and social impact assessment (ESIA), including development of applicable social and environmental management plans, is required for “downstream” activities with potentially significant adverse impacts. 93 Such assessments are required, for example, for Projects that (i) may adversely impact critical habitats, (ii) involve significant displacement and/or resettlement,94 (iii) produce significant quantities of greenhouse gases, or (iv) may adversely impact the rights, lands, resources and territories of the indigenous peoples, and (v) other circumstances that reflect potentially significant adverse impacts. Projects will adhere to recommendations of the SESA/ESIA. High Risk Projects require enhanced internal and external support.95

Projects that undergo substantive revision after the initial screening and categorization will be re-screened and potentially re-categorized.

Footnotes:
91 Tools and methodologies are outlined in UNDP’s Social and Environmental Screening Procedure (SESP) and supporting guidance materials. 92 UNDP’s Social and Environmental Screening Procedure contains an indicative list of potential “High Risk” Projects. 93 For example, an Environmental and Social Management Plan (ESMP) or an Environmental and Social Management Framework (ESMF). An ESMF is a document that establishes a mechanism to determine and assess future potential social and environmental impacts of a Project or Programme when uncertainty remains on the Project component or exact location. 94 Significant displacement and/or resettlement refers here to its potential scale. UNDP typically requires a full ESIA for all Projects involving displacement or/resettlement; however where potential displacement and/or resettlement may be minimal, UNDP may determine that its requirements could be met without a full ESIA. 95 For High Risk Projects UNDP requires that the SESA/ESIA address UNDP’s assessment requirements. For High Risk Projects for which assessments have been commissioned or completed prior to UNDP’s support, UNDP reviews the assessment (and/or its terms of reference) and works with Implementing Partners to ensure that it fulfills UNDP’s requirements.

Footnotes: 

91 Tools and methodologies are outlined in UNDP’s Social and Environmental Screening Procedure (SESP) and supporting guidance materials.

92 UNDP’s Social and Environmental Screening Procedure contains an indicative list of potential “High Risk” Projects.

93 For example, an Environmental and Social Management Plan (ESMP) or an Environmental and Social Management Framework (ESMF). An ESMF is a document that establishes a mechanism to determine and assess future potential social and environmental impacts of a Project or Programme when uncertainty remains on the Project component or exact location.

94 Significant displacement and/or resettlement refers here to its potential scale. UNDP typically requires a full ESIA for all Projects involving displacement or/resettlement; however where potential displacement and/or resettlement may be minimal, UNDP may determine that its requirements could be met without a full ESIA.

95 For High Risk Projects UNDP requires that the SESA/ESIA address UNDP’s assessment requirements. For High Risk Projects for which assessments have been commissioned or completed prior to UNDP’s support, UNDP reviews the assessment (and/or its terms of reference) and works with Implementing Partners to ensure that it fulfills UNDP’s requirements.

Guidance

Coming soon