Social and Environmental Screening Procedure: How To

1. Social and Environmental Screening Procedure: How To

2. Outline Introduction Screening Requirements and Process What is the SESP and its objectives? What projects must be screened? When does screening take place? Who is responsible for screening? Completing the Checklist Template Impact Assessment and Management Plans

3. Background SESP updates the existing mandatory Environmental and Social Screening Procedure (ESSP) to: Align with the new Social and Environmental Standards (effective January 1, 2015) Align with new Project Level Quality Assurance System (to be rolled out in a phased approach starting Dec 2014) Respond to lessons learned from implementation (based on survey and interviews) New SESP will also come into effect January 1, 2015

4. Basis for the SESP = UNDP’s SES Overarching Policy and Principles Principle 1: Human Rights Principle 2: Gender Equality and Women’s Empowerment Principle 3: Environmental Sustainability Project-Level Standards Standard 1: Biodiversity Conservation and Sustainable Natural Resource Management Standard 2: Climate Change Mitigation and Adaptation Standard 3: Community Health, Safety and Working Conditions Standard 4: Cultural Heritage Standard 5: Displacement and Resettlement Standard 6: Indigenous Peoples Standard 7: Pollution Prevention and Resource Efficiency

5. What is the SESP? • Integrate the SES Overarching Principles in order to strengthen social and environmental sustainability • Identify potential adverse social and environmental risks and their significance • Determine the Project's overall risk category (Low, Moderate, High) • Determine the level of social and environmental assessment and management required to address potential risks and impacts • The SESP is an operational procedure/tool to ensure the SES are applied at the project level. Objectivesare to:

6. What Projects Must Be Screened? All Projects over $500,000 that are proposed after 1 January 2015 UNDP needs to ensure compliance with the SES for all activities implemented using funds channeled through UNDP’s accounts Screen entire project for consistency with SES, ensure partner activities do not pose S/E risks Some exceptions: SESP not required if… UNDP only serving as Administrative Agent If outputs consist solely of report preparation, training event, communication of results (media), event/workshop/meeting/conferences

7. Who Is Responsible for Screening? Key roles and accountabilities for screening: “Completes” Project Developer “Checks” QA Assessor “Clears” QA Approver “Reviews” PAC “Approves” Programme Manager “Implements” Project Manager Supported by Regional Hubs and focal points in BPPS and RBx

8. When Does Screening Take Place?

9. SESP Step 1: Gather Information and Conduct Pre-Screening to Inform Project Design Project Developer: Reviews UNDAF, CPAP, planning docs, applicable legal and regulatory framework, studies & reports Reviews Project Concept to anticipate potential applicability of SES Iteratively pre-screens draft ProDocusing Screening Template determine prelim risk category and potential required assessments If assessment conducted as part of design, incorporate management measures Discuss pre-screening results as part of pre-PAC (if conducted)

10. SESP Step 2: Conduct Mandatory Final Screening at Appraisal Project Developer screens final draft ProDoc using Screening Template If screening was done on iterative basis, final screening will document how the project is complying with SES, rather than identifying issues at this late stage in project design Append to ProDoc and submit to PAC

11. SESP Step 3: Ensure Ongoing Compliance with SES Ensure S/E risk management measures implemented and monitored. Risks logged and updated in Project Risk Log Where S/E assessments conducted as part of Project implementation, rescreen/revise SESP per results and incorporate identified management measures. Review by Project Board or subsequent PAC Rescreen/revise SESP if changes to Project or Project context significantly alters Project’s risk profile. Review by Project Board or subsequent PAC

12. Completing the Screening Template: 6 Questions Part A – Integrating the Three Overarching Principles Question 1: How does the Project integrate the Overarching Principles to Strengthen Social and Environmental Sustainability? Part B – Identifying and Managing Social and Environmental Risks Question 2: What are the potential social and environmental risks? Question 3: What is the level of significance of the identified risks? Question 4: What is the overall social and environmental risk categorization of the Project? (Low/Moderate/High) Question 5: Based on the identified risks and risk categorization, what requirements of the SES are relevant? Question 6: What is the level of social and environmental assessment and management required to address potential impacts and risks (for Moderate and High Risk Projects)? Attachment 1. Social and Environmental Risk Screening Checklist (tool to help answer Question 2)

13. SESP Template: Question 1 How does the Project integrate the SES Overarching Principles in order to strengthen social and environmental sustainability? Describe how a human-rights based approach to development programming, gender equality and women’s empowerment, and environmental sustainability are integrated into Project

14. SESP Template: Question 2 What are the potential adverse social and environmental risks? Use Attachment 1 of the SESP – Social and Environmental Risk Screening Checklist – to identify potential adverse risks/impacts. “Yes” answers indicate potential adverse risks related to specific SES Overarching Principles and Project-level Standards

15. SESP Template: Question 3 What is the level of significance of the potential S/E risks?

16. SESP Template: Question 4 4. What is the overall S/E risk categorization? One of three risk categories: Low, Moderate, High Low: minimal or no adverse S/E risks/impacts Moderate: risks/impacts limited in scale, identifiable, subject to best practice mitigation High: significant, may be irreversible, raise signficant stakeholder concerns

17. SESP Template: Question 5 5. Based on the identified risks and significance, what requirements of the SES are relevant? Signifies level of required due diligence & management For risks rated “Moderate” or High” the relevant Principles and Project-Level Standards will be “triggered” and noted in SESP

18. SESP Template: Question 6 6. What is level of required S/E assessment and management to address adverse risks/impacts? Categorization helps determine level of required assessments High Risk projects require full ESIA/SESA, including relevant management plans (e.g. Social and Environmental Management Plan, Indigenous Peoples Plan, Resettlement Action Plan) Moderate Risk projects require forms of limited S/E assessment and relevant management plans Assessment and management measures must be integrated in Project Design

19. Assessment and Management: Timing S/E Assessment is a planning tool to specify potential S/E impacts and avoidance & management measures If possible, should be undertaken prior to approval Three scenarios: Existing assessment is used Assessment conducted as part of Project preparation Assessment conducting during Project implementation In all cases required S/E assessments and adoption of appropriate mitigation and management measures must be completed, disclosed, and discussed with stakeholders prior to implementation of any activities that may cause significant adverse social and environmental impacts

20. Assessment: Types SES requires various types of assessments based on level of risk and issues to be addressed: Low Risk Project: no further assessment required Moderate Risk Project: limited assessment, which may subsequently determine that a full ESIA/SESA is required and project re-categorized as High Risk High Risk Project: comprehensive assessment, ESIA/SESA

21. ESIA/SESA

22. Management Plans Assessment results in an Environmental and Social Management Plan (ESMP) that may include a range of issue-specific action plans SES has specific action plan requirements if certain Standards applicable: Resettlement/Livelihood Action Plan Indigenous Peoples Plan