Social and Environmental Safeguard (SES) requirements for

PROCARIBE+ Co-Executing Partners

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Ugo Ribet & Aracely Pazmino

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December 2024

• Roadmap of co-executing partner SES requirements

-> Where we are and where we need to go?

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• Presentation to ensure all co-executing partners understand the SES requirements

-> What do these requirements include?

-> What tools/documents to complete?

-> When does this need to be done?

-> How to go about doing this?

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• Group activity to put into practice and start filling in the tools

- Social and environmental screening procedure (SESP)

- Stakeholder Engagement identification table

- Gender Equality Integration identification

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• Next steps

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PEG SES session overview

1.

Roadmap of co-executing partners SES requirements

PROCARIBE+ SES Implementation: �Where we are and where do we need to go?

Pre-2024

2024

Dec 2024

2025 …

Where we are now?

2.

PROCARIBE+ Social and Environmental Safeguard requirements and tools

• PROCARIBE+ is UNDP/GEF project -> must apply and comply with UNDP SES -> principles, standards and procedures relating to social and environmental safeguards

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• Objective of UNDP SES is to ensure adverse social and environmental impacts and risks of project activities are identified and assessed early on, in order to appropriately avoid, mitigate, reduce or manage these risks prior/during implementation

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• Also aims to ensure full and effective participation of stakeholders in project decisions and implementation

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• This will strengthen social and environmental impact of the project throughout implementation

UNDP Social and Environmental Standards (SES)�

UNDP Social and Environmental Standards��

Stakeholder Engagement & Disclosure

Principles and Standards

Risk Management System

Overarching Policy and Principles

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1. Leave No One Behind
2. Human Rights
3. Gender Equality and Women’s Empowerment
4. Sustainability and Resilience
5. Accountability

Project-Level Standards

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1. Biodiversity Conservation and Sustainable Natural Resource Management
2. Climate Change Mitigation and Adaptation
3. Community Health, Safety and Working Conditions
4. Cultural Heritage
5. Displacement and Resettlement
6. Indigenous Peoples
7. Labour and Working Conditions
8. Pollution Prevention and Resource Efficiency

PROCARIBE+ Safeguard Implementation and Tools

• Updated Screening (SESP)

• Safeguard Action Plan

• Resulted in 6 risks, 3 substantial
• Project overall categorized as substantial risk

• Establishes the procedures and measures needed to manage risks identified
• In particular, outlines how site level activities will be dealt with (co-executing partners)

Mainly due to potential risks of project activities including:

• exclusion of stakeholders from activities, in particular the most vulnerable
• adverse impacts on rights and livelihoods of indigenous peoples,
• access restrictions leading to economic displacement and loss of livelihoods,
• pollution and adverse impacts on habitats and ecosystems,
• potential discrimination and adverse impacts on women,
• poor labour standards and working conditions

• Stakeholders Engagement Plan (SEP)

• Gender Action Plan(GAP)

• Grievance Redress Mechanism

• Safeguards Action Plan

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• Presents how the PROCARIBE+ project will comply with SES
• Outlines procedures for site level activities to be implemented by co-executing partners
• Roles, responsibilities and timeline

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Exception: Co-executing partners without site activities (Pew, CRFM etc.)

• Grievance Redress Mechanism (GRM)

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• Designed for PROCARIBE+ to address any complaints or social or environmental grievances regarding actvities funded by the project
• Managed by PMCU
• Co-executing partners expected to have a procedure in place too

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(separate session on the GRM later today)

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• SEP (Stakeholder Engagement Plan)

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• GAP (Gender Action Plan)

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• The Stakeholder Engagement Plan (SEP) aims to ensure the provision of measures for avoiding, reducing and managing impacts regarding the lack of adequate stakeholder involvement.
• Outline of principles to guide stakeholder engagement during project implementation
• Identification of means of engagement of stakeholders.
• Response measures to overcome barriers in participation.

• The Gender Action Plan (GAP) aims to avoid negative impacts for women's conditions and to achieve specific results for gender equality.
• Integrates actions to support gender equal participation and representation, as well as affirmative actions as measures for focussed support.
• Description of 15 specific activities for gender-mainstreaming in the project implementation.

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3.

Co-executing partner SES requirements, procedures and tools

Overview of Co-executing partners: requirements and responsibilities

Link to: SES Guide for PROCARIBE+ Co-execurting partners

What is the Social and Environmental Screening Procedure (SESP)?

• Tool to identify and explain potential social and environmental risks of proposed activities
• Goal is to detemine what SES standards are triggered and what the project needs to put in place to address the key risks identified

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• 2 main sections:

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-> Questionnaire (yes/no checklist)

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-> Risk description, significance and

mitigation measures

Step 1

a) SESP

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Link to: SESP template

All the ‘Yes’ answers to the checklist should then translate into risks

Yes/No

Completing the risk table of the SESP

• Describe the risks. This should be as specific to the project (not just a restating of the Checklist wording) and as short as possible. The risk description should indicate the cause (triggering action/event) and the potential impact (environmental, social). Multiple related risks from the Checklist can be summarised together under a single risk description, if relevant. 

Example:

Risk x:  Process of MSP may lead to access restrictions, causing economic displacement and loss of livelihoods of local stakeholders.

Activities related to MSP could limit or reduce access to existing resources or areas, ultimately leading to economic disruptions and loss of livelihoods for those who depend on them. Promoting new activities in the marine/coastal space could compete with more established sectors and potentially affect livelihoods. This could inadvertently exacerbate economic disparities and increased social inequalities among actors.

Depending on the measures adopted, some communities, in particular the most vulnerable (as identified in the SEP) could lose their livelihoods through a restriction of access rights to a specific resource or area. 

• To be as specific as possible, in the ‘comments’ column explain who specifically is at risk, where, and due to what measures specifically.

Step 1

a) SESP

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Completing the risk table of the SESP

�-> Once the risks are identified, their level of significance should be determined. To do this, screeners estimate both the potential impact (e.g. consequences if the risk were to occur) and likelihood (e.g. the chance of the risk occurring) for each identified risk. 

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I= 3

L= 4

Impact: (1) negligeable, (2) minor, (3) Intermediate, (4) extensive, (5) extreme

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Likelihood : (1) not likely (2) low likelihood, (3) moderately likely (4) very likely (5) expected

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Moderate

Step 1

a) SESP

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Completing the risk table of the SESP

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-> Provide a description of the assessment and management measures for each risk/ These can be measures already included in the project design, or additional measures/tools to develop for project implementation. 

While economic displacement is usually avoided, where economic displacement cannot be avoided, the required assessments and management plans (Livelihood Action Plan, as part of the Environmental and Social Management Plan) will be prepared during project implementation.

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Stakeholder engagement measures and participation

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Etc.

Step 1

a) SESP

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Implement, monitor, report

2. Assessment

3. Management

Moderate

High

Targeted Assess.

Targeted Mngt Measures/

Plans

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. Indigenous Peoples Plan (IPP)

. Livelihood Action Plan (LAP)

. Labour Action Plan

.Biodiversity Action Plan

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Low

Substantial

X

X

Stakeholder engagement throughout

Scoped

ESIA/SESA

Scoped ESMP/

ESMF and plans

Full

ESIA/SESA

ESMP/

ESMF and plans

1. Screening

Why is the SESP important for the project?

Step 1

a) SESP

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Step 1

a) SESP

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SESP also includes a section on GRM

-> If the answer is NO, PMCU will discuss with co-executing partners to set up a procedure for to receive the complaint at project level, and transfer to PROCARIBE+ GRM

Questions on the SESP?

As part of the SEP and prior to the implementation of site level activities, the Co-executing partners need to identify the key stakeholders that are expected to be involved in implementation.

It is important that the key stakeholders are identified to assess how they will be involved and/or impacted in project activities.

Stakeholder engagement activities: map, assess and list engagement activities

Step 1

b) Stakeholders

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For the stakeholder mapping and analysis, 5 steps should be followed:

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Step 1: Listing stakeholders

Step 2: Identifying the key stakeholders

Step 3: Assess the level of interest and influence

Step 4: Assess how they will participate

Link to:

Stakeholder Mapping and Assessment Template

Step 5: Final document with list of Stakeholders engagement activities +timeline + indicators for reporting

Step 1

b) Stakeholders

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Step 2: Identify the “key ones”

-Review the list of all the actors and select the ones that will have direct relation to the project activities.

-Make a final list.

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Step 1

b) Stakeholders

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-Draft a list of all the actors that may be

involved in the project activities (type of

actor, scope of action, geographical location)

Step 1: Listing stakeholders

-Using the final list, indicate for each stakeholder, the level of interest and influence.

Step 3: Assess the level of Interest & influence

Answer these questions:

1. What level of interest will the stakeholder have in the project activities?

2. What level of influence will the stakeholder have over the project or the project activities?

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Step 1

b) Stakeholders

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Involve

Inform

Consult

Collaborate

Step 4: Asses how they will participate

Key Stakeholders at the moment

1.Based on the answers, and according to their level of influence and interest, the stakeholders should be classified

into four categories of engagement:

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Step 1

b) Stakeholders

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Step 4: Asses how they will participate

2. Fill the appropriate categories of engagement in the table.

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Step 1

b) Stakeholders

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Step 4: Asses how they will participate

3. Use the Report tab in the stakeholder mapping and assessment template to describe the findings based on the guiding questions to prepare a final document:

1.List the key stakeholders that are in the category of "collaboration”

2.Identify and list stakeholders that have low interest and influence but are key for project implementation

3.Briefly indicate how the stakeholders will participate in the project based on the categories identified

4. Make a final list of the activities that you will develop to engage the key stakeholders, timeline and indicators.

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Document with the list of stakeholders' engagement

activities + timeline + indicators for reporting

Step 5: Final document

Step 1

b) Stakeholders

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• Prior to the implementation of the site level activities, the coexecuting partners are required to identify specific actions to integrate gender equality.

Step 1

c) Gender

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Gender activities list: Identify gender activities for project-site interventions

• The objetive is to identify actions to promote women participation and representation, as well as to promote that the project opportunities arrive equally to men and women.

• Promote that women participation in project meetings will be about 30% and to report sex disaggregated beneficaries.

To implement gender equality activities in the project site interventions there are 4 steps to follow:

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1. Are women participating?
2. Are women participating in decision making processes?
3. Will the site-level activities provide men and women equal opportunities to benefit from the project?

Step 2: Propose specific

actions

Step 3: Budgeting

Step 1: Describe the context

Provide suggestions on how to address the barriers and enhance the opportunities for increasing participation in the project activities

Link to Gender Activities List Template

Indicate the budget that may be required

Document with the list of gender equality

activities + timeline + indicators for reporting

Step 4: Final document

Step 1

c) Gender

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Step 2:  Submission to PMCU for review and approval

• The PMCU will review and provide any questions or feedback to the co-executing partner

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• The PMCU and the Co-executing Partner will discuss the conclusions of the SESP, to determine the final level of risk of the project and therefore the triggered standards and required social and environmental assessment and management measures, as appropriate

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• These requirements will be added and included in the agreement between UNOPS and the co-executing partners, as appropriate

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• These assessments or plans will need to be prepared and approved prior to the implementation of the related activities.

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• The stakeholders and gender lists will be drafted and discussed as necessary with the PMCU.

Submission of SESP, Stakeholder activities list and Gender activities list to PMCU

Step 3:  Preparation of agreed social and environmental assessments and management measures. 

• During the inception phase, co-executing Partners may  be required to prepare relevant assessments (Social and Environmental Strategic Assessment (SESA), Environmental and Social Impact Assessments (ESIA), targeted assessments) and management plans (Environmental and Social Management Framework (ESMF), Environmental and Social Management Plans (ESMP), specific plans) as determined under the SESP for moderate, substantial or high risk projects. 

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• This will also include agreeing with the PMCU on the set-up or procedure for the GRM. 

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• These will be submitted for review and approval by the PMCU.

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• The stakeholders and gender lists will be finished and registered to be followed up and reported.

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• The social and environmental risk management measures/plans will include indicators to be reported on during implementation

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• The stakeholder engagement list and gender activities list final documents will include indicators to be followed up and reported
• The report will be followed up with Monday

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Step 4:  Implementation of SES tools, monitoring and reporting 

Thank you for your attention

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Questions?