Screening and Categorization

SES Guidance Notes

Screening and Categorization

Project screening and categorization is conducted 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.

UNDP utilizes its Social and Environmental Screening Procedure (SESP) to identify potential social and environmental risks and opportunities associated with the project.¹ The SESP screens projects for all environmental and social risks and impacts associated with the SES Programming Principles (i.e. leave no one behind; human rights; gender equality and women's empowerment; sustainability and resilience; and accountability) and Project-level Standards, including direct, indirect, cumulative, transboundary risks and impacts and those related to associated facilities (see paragraph 16 below).

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 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 those that will be implemented through procurement.²

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 four categories for the proposed project:

Low Risk: Projects that include activities with minimal or no adverse social or environmental risks and impacts. Further assessment of potential adverse social and environmental risks and impacts is not required. However, the SES Programming Principles and stakeholder engagement requirements still apply to project activities.
Moderate Risk: Projects that include activities with potential adverse social and environmental risks and impacts that are limited in scale, are largely reversible and can be identified with a reasonable degree of certainty and readily addressed through application of recognized good international practice, mitigation measures and stakeholder engagement during project implementation.
Substantial Risk: Projects that include activities with potential adverse social and environmental risks and impacts that are more varied or complex than those of Moderate Risk projects but remain limited in scale and are of lesser magnitude than those of High Risk projects (e.g. reversible, predictable, smaller footprint, less risk of cumulative impacts). Substantial Risk projects may also include those with a varied range of risks rated as "Moderate" that require more extensive assessment and management measures. Scoping and assessment may determine that a scoped, fit-for-purpose Environmental and Social Impact Assessment (ESIA) or Strategic Environmental and Social Assessment (SESA) may be required in order to ensure that the SES requirements are appropriately addressed.
High Risk: Projects that include activities with potential significant adverse social and environmental risks and impacts that are irreversible, unprecedented and/or which raise significant concerns among potentially affected communities and individuals as expressed during the stakeholder engagement process. High Risk activities may involve significant adverse impacts on physical, biological, socioeconomic, or cultural resources, and may have the potential to aggravate existing situations of fragility or conflict, adversely affect human rights, lead to extensive environmental degradation and/or contribute to cumulative impacts.³ High Risk projects typically involve a range of issues regarding the SES Programming Principles and Project-level Standards. Activities that promote plans and policy reforms ("upstream" activities) that may lead to significant adverse social and environmental risks and impacts shall be analyzed and addressed, utilizing a potential range of tools, including Strategic Environmental and Social Assessment (SESA). A comprehensive environmental and social impact assessment (ESIA), including development of applicable social and environmental management plans, is required for physical interventions ("downstream" activities) with potentially significant adverse risks and impacts.⁴ Such assessments are required, for example, for projects that (i) may adversely impact critical habitats, (ii) involve significant displacement and/or resettlement,⁵ (iii) produce significant quantities of greenhouse gases, (iv) may adversely impact the rights, lands, resources and territories of the indigenous peoples, or (v) other circumstances that reflect potentially significant adverse impacts. Projects will adhere to the requirements and recommendations of the applicable management plan (e.g. ESMP or ESMF). High Risk projects require enhanced internal and external support.⁶

The Social and Environmental Screening is updated as needed during implementation as part of project risk management and monitoring. At a minimum, projects that undergo substantive revision or experience a change in context that affects the risk profile will be re-screened and potentially re-categorized.

Footnotes:
(1) See UNDP Social and Environmental Screening Procedure, including guidance in applying the SESP. (2) A limited range of project types are exempt from screening as listed in the UNDP Social and Environmental Screening Procedure (SESP), namely projects that consist solely of any of the following functions or activities: (a) UNDP serves as Administrative Agent; (b) Preparation and dissemination of reports, documents and communication materials; (c) Organization of an event, workshop, training; (d) Strengthening capacities of partners to participate in international negotiations and conferences; (e) Partnership coordination (including UN coordination) and management of networks; (f) Global/regional projects with no country level activities (e.g. knowledge management, inter-governmental processes). These projects are assumed to be Low Risk. (3) UNDP's Social and Environmental Screening Procedure contains an indicative list of potential "High Risk" projects. (4) 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's forthcoming components or exact locations. (5) 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. (6) 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: 

(1) See UNDP Social and Environmental Screening Procedure, including guidance in applying the SESP.

(2) A limited range of project types are exempt from screening as listed in the UNDP Social and Environmental Screening Procedure (SESP), namely projects that consist solely of any of the following functions or activities: (a) UNDP serves as Administrative Agent; (b) Preparation and dissemination of reports, documents and communication materials; (c) Organization of an event, workshop, training; (d) Strengthening capacities of partners to participate in international negotiations and conferences; (e) Partnership coordination (including UN coordination) and management of networks; (f) Global/regional projects with no country level activities (e.g. knowledge management, inter-governmental processes). These projects are assumed to be Low Risk.

(3) UNDP's Social and Environmental Screening Procedure contains an indicative list of potential "High Risk" projects.

(4) 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's forthcoming components or exact locations.

(5) 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.

(6) 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.