UNDP Social and Environmental Standards

UNDP Social and Environmental Standards
POLICY UPDATE
OPG approved in 2019
Effective as of January 1, 2021

What is New
The proposed update to the SES focuses on the following top-line revisions:
Alignment with the UN Sustainable Development Cooperation Framework country

programming principles
Inclusion of provisions addressing risks of gender-based violence, sexual harassment
and sexual exploitation and abuse
Inclusion of provisions addressing the rights of persons with disabilities
Inclusion of provisions to strengthen disaster risk considerations
Addition of a new Labour and Working Conditions Standard
Alignment with UNDP’s updated programme and project Management (PPM) and
Enterprise Risk Management (ERM) policies
Incorporation of provisions to strengthen alignment with the 2018 Global
Environment Facility (GEF) safeguards policy, UN Model Approach to Environmental
and Social Standards, and World Bank Environmental and Social Framework
Key changes include:
SES 2015 Sections/Issues Proposed Change

Introduction Introduction eliminated as not prescriptive
Scope of application Updated PPM definition of programmes and projects
Overarching Policy/Principles Renamed “Programming Principles” and revised to align with UN
Sustainable Development Cooperation Framework guiding principles
GBV, sexual harassment, Added to Gender and Women’s Empowerment Principle, Community
sexual exploitation and abuse Health and Safety, Labour and Working Conditions and Assessment
provisions sections
Rights of persons with Added provisions in Human Rights, Community Health and Safety,
disabilities Displacement, Assessment, Stakeholder Engagement, Access to
Information sections
Emphasis on resilience Incorporated throughout Programming Principle 3 and in Standard 2
Climate Change and Disaster Risks
Disaster Risk Reduction Mainstreamed across SES to reflect multi-hazard approach of Sendai
Framework, and a dedicated focus in Standard 2
Biodiversity Conservation Include risks of incidental take, illegal trade in protected species;
and Sustainable Natural revised mitigation measures for Natural Habitats, increased emphasis
Resource Management on management of risks to ecosystem services, added provisions on
soil management, animal welfare and antibiotic use in
agriculture/livestock management, and sustainable procurement
(primary suppliers)
Climate Change and Disaster Strengthened provisions on disaster risks, strengthened section on risk
Risk analysis, rephrased GHG estimation language
Community Health Safety Broadened range of potential risks and impacts, strengthened focus on
and Security health and safety assessments, broader coverage of health risk
exposure, revisions and additions on infrastructure safety, hazardous
materials, antimicrobial stewardship, influx of project worker risks,
impacts on ecosystem services, risk of reprisals
Cultural Heritage Strengthened community participation provisions, confidentiality and
restricted access, strengthened provisions of use of CH, and added
provisions on additional measures for various types of CH
Displacement and Added emphasis on ensuring that any resettlement activities provide
Resettlement sufficient resources that seek to improve livelihoods. Also added
exceptions where Standard does not apply, strengthened assessment
provisions, strengthened monitoring and completion provisions
Indigenous Peoples Strengthened provisions on engagement processes, assessment,
appropriate benefits, Indigenous Peoples Plan
Labour and Working New Standard (drafted in collaboration with ILO)
Conditions
Pollution Prevention and Various strengthening throughout, updated provisions on pesticides
Resource Efficiency management
Policy Delivery Process: Renamed “Social and Environmental Management System
Requirements”
• Screening and Alignment of programme risk screening with Quality Assurance
Categorization Framework and revised ERM Policy, including addition of Substantial
Risk category
• Assessment and Reframed assessment criteria to apply to all assessments, expanded
Management range of potential risks, added provisions re gender-based violence,
persons with disabilities, risk of reprisals, and contractors and primary
suppliers
• Stakeholder Engagement Added provision on risk of reprisals
and Response
Mechanisms
• Access to Information Added provision on making public record of consultations available
• Monitoring, Reporting Added provisions on third party monitoring and on corrective actions
and Compliance
Table of Contents
Acronyms................................................................................................................... 2
Policy Objectives and Scope of Application ................................................................. 3
PART A: Programming Principles ................................................................................ 5
Leave No One Behind ....................................................................................................................... 5
Human Rights ................................................................................................................................... 6
Gender Equality and Women’s Empowerment ............................................................................... 7
Sustainability and Resilience ............................................................................................................ 8
Accountability................................................................................................................................... 9
PART B: Project-Level Standards ............................................................................... 10
Standard 1: Biodiversity Conservation and Sustainable Natural Resource Management ............ 11
Standard 2: Climate Change and Disaster Risks ............................................................................. 18
Standard 3: Community Health, Safety and Security..................................................................... 22
Standard 4: Cultural Heritage......................................................................................................... 27
Standard 5: Displacement and Resettlement ................................................................................ 32
Standard 6: Indigenous Peoples ..................................................................................................... 38
Standard 7: Labour and Working Conditions ................................................................................. 44
Standard 8: Pollution Prevention and Resource Efficiency............................................................ 51
PART C: Social and Environmental Management System Requirements .................... 56
Programming Quality Assurance and Risk Management .............................................................. 56
Project-Level Screening, Assessment and Management of Social and Environmental Risks and
Impacts ........................................................................................................................................... 56
Stakeholder Engagement and Response Mechanisms .................................................................. 61
Access to Information .................................................................................................................... 64
Monitoring, Reporting and Compliance ......................................................................................... 64
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Acronyms
CPD Country Programme Document
DIM Direct Implementation Modality
ESIA Environmental and Social Impact Assessment
ESMF Environmental and Social Management Framework
ESMP Environmental and Social Management Plan
FPIC Free Prior and Informed Consent
GBV Gender-Based Violence
GHG Greenhouse Gas
GMO Genetically Modified Organism
GRM Grievance Redress Mechanism
HRBA Human Rights-based Approach to Development Programming
ILO International Labour Organization
IPCC Intergovernmental Panel on Climate Change
IPP Indigenous Peoples Plan
IPM Integrated Pest Management
IVM Integrated Vector Management
LAP Livelihood Action Plan
LMO Living Modified Organism
NGO Nongovernmental Organization
NIM National Implementation Modality
OAI Office of Audit and Investigations
POPP Programme and Operations Policies and Procedures
RAP Resettlement Action Plan
SECU Social and Environmental Compliance Unit
SEA Strategic Environmental Assessment
SES Social and Environmental Standards
SESA Strategic Environmental and Social Assessment
SESP Social and Environmental Screening Procedure
SRM Stakeholder Response Mechanism
UNFCCC United Nations Framework Convention on Climate Change
UNSDG United Nations Sustainable Development Group
UNDP United Nations Development Programme
UNDRIP United Nations Declaration on the Rights of Indigenous Peoples
WHO World Health Organization
2
Policy Objectives and Scope of Application
1. UNDP’s Strategic Plan1 and policy framework articulate the organization’s strategic commitment to
promoting the 2030 Agenda for Sustainable Development.2 The SES underpin this commitment by
ensuring social and environmental sustainability is mainstreamed across all programming. The SES
are UNDP policy and require that all UNDP programming maximizes social and environmental3
opportunities and benefits as well as ensures that adverse social and environmental risks and
impacts are avoided, minimized, mitigated and managed. The SES do not define the substantive
development outcomes and results orientation of UNDP’s programming, as this is elaborated in
UNDP’s Strategic Plan and programming instruments.
2. Through application of the SES, UNDP enhances the consistency, transparency and accountability of
its decision-making and actions, improves performance, and strengthens achievement of sustainable
development outcomes. The SES assist UNDP staff, implementing partners and responsible parties to
manage social and environmental risks and impacts of UNDP programmes and projects.4
3. The SES objectives are to: (i) strengthen the quality of programming by ensuring a principled
approach; (ii) maximize social and environmental opportunities and benefits; (iii) avoid adverse
impacts to people and the environment; (iv) minimize, mitigate, and manage adverse impacts where
avoidance is not possible; (v) strengthen UNDP and partner capacities for managing social and
environmental risks; and (vi) ensure full and effective stakeholder engagement, including through a
mechanism to respond to complaints from project-affected people.
1 UNDP Strategic Plan, 2018-2021, available at http://strategicplan.undp.org/.

2 See Transforming Our World: the 2030 Agenda for Sustainable Development, UN Doc. A/RES/70/1.
3 The term ‘social and environmental’ should be understood to include the breadth of issues in the Programming
Principles and Project-level Standards.

4 UNDP “programming” comprises the planning, implementation, reporting and evaluation of development results
achieved with partners through UNDP support. A UNDP “programme” is a plan for effectively contributing to
outcome-level development results through UNDP’s “project modalities:” development projects, the engagement
facility and development services.
3
Figure 1: Key Elements of UNDP’s Social and Environmental Standards (SES)
4. UNDP ensures adherence to the SES for programming activities implemented using funds channeled
through UNDP’s accounts,5 regardless of implementation modality. In cases where implementation
of the SES is found not to be adequate, UNDP will undertake appropriate measures to address
shortcomings.
5. UNDP programmes and projects may involve partners that contribute in-kind resources or parallel
funding and apply their own policies and procedures to achieve common objectives. Therefore,
while UNDP does not ensure compliance with the SES beyond those activities funded through
UNDP’s accounts, the entire programme or project is reviewed for consistency with the
requirements of the SES.
6. When the implementing partner6 is a government institution (National Implementation Modality or

“NIM”), UN entity, inter-governmental organization, or nongovernmental organization (NGO), it is
5Excluding pass-through funds where UNDP serves only as the Administrative Agent.
6The “implementing partner” is the entity responsible and accountable for the overall management of a UNDP-
supported project. It is the entity to which the Administrator has entrusted the implementation of UNDP assistance
specified in a signed project document along with the assumption of full responsibility and accountability to UNDP for
the effective use of UNDP resources and the delivery of expected outputs. The Implementing Partner enters into an
agreement with UNDP to manage the project and achieve the results defined in the signed project documents. The
accountability of an Implementing Partner is: to report, fairly and accurately, on project progress against agreed work
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responsible and accountable to UNDP for overall management of the project. UNDP remains
ultimately accountable to its Executive Board and respective donor(s) for the sound use of financial
resources channeled through UNDP accounts and must ensure the quality of its support.
Implementation of the SES is therefore integral to UNDP’s quality assurance responsibilities.
7. UNDP supports sustainable practices in contracting and procuring goods and services. Procurement
of certain goods and services may at times present social and environmental risks. UNDP’s
Sustainable Procurement Policy 7 seeks to identify such risks and to maximize environmental, social
and economic considerations in the procurement process whenever possible. UNDP promotes
sourcing from responsible suppliers and requires contractors to comply with, among other policies,
the SES.8
8. UNDP is responsible for informing all implementing partners, responsible parties9 and relevant
contract holders of their obligations to address the SES in their respective activities.
PART A: Programming Principles

9. UNDP applies the United Nations Sustainable Development Group (UNSDG) guiding principles for UN
Sustainable Development Cooperation Frameworks (Cooperation Frameworks).10 These principles
form the normative foundation for the Cooperation Framework and integrated programming in all
country contexts, with “leave no one behind” as the overarching and unifying principle. Leaving no
one behind and reaching the furthest behind first is at the core of programming and advocacy efforts
across all UN agendas. This principle is further elaborated through the guiding principles of human
rights; gender equality and women’s empowerment; sustainability and resilience; and
accountability. The SES reinforce a “principled” 11 approach to all UNDP programming.
Leave No One Behind

10. Leaving no one behind and reaching the furthest behind first is the central promise of the 2030
Agenda. As an overarching programming principle, leaving no one behind requires UNDP to prioritize
its programmatic interventions to address the situation of those most marginalized, discriminated
and excluded, and to empower them as active agents of the development process. All persons living
in extreme poverty, in any form, are left behind, together with those enduring disadvantage(s) that
plans in accordance with the reporting schedule and required formats; and to maintain documentation and evidence
that describes the proper and prudent use of project resources in conformity to the signed project document and in
accordance with applicable regulations and procedures (e.g. SES). Possible Implementing Partners include
government institutions (National Implementation Modality), eligible UN agencies, inter-governmental organizations
(IGOs), eligible civil society organizations (CSOs), and UNDP (Direct Implementation Modality).
7 See UNDP Sustainable Procurement Policy.
8 See UNDP General Terms and Conditions for Contracts (September 2017), para. 31.
9 An implementing partner may enter into a written agreement with other organizations, known as responsible
parties, to provide goods and/or services to the project, carry out project activities and/or produce outputs using the
project budget. Responsible parties are directly accountable to the implementing partner in accordance with the
terms of their agreement or contract with the implementing partner.
10 UNSDG, UN Sustainable Development Cooperation Framework, June 2019.
11 “Principled” is one of UNDP’s 7 quality standards for all programming.
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deny or limit their choices and opportunities relative to others in society. In identifying who is being
left behind, UNDP considers five key factors: discrimination, geography, vulnerability to shocks,
governance and socio-economic status.12 At the intersection of these factors, people face multiple
reinforcing sources of deprivation and inequalities. Programming to leave no one behind should
follow the rights-based approach to development, including the application of a gender perspective.
Actions and decisions that improve the lives of poor, excluded and marginalized groups and that
address inequalities and discrimination include advocacy, creating enabling environments, capacity
development and support for civil society, community empowerment, and enhancing the quality and
accessibility of services.13
Human Rights
11. UNDP recognizes the centrality of human rights to sustainable development, poverty alleviation,
sustaining peace and ensuring fair distribution of development opportunities and benefits and is
committed to supporting “universal respect for, and observance of, human rights and fundamental
freedoms for all.”14
12. UNDP adheres to the United Nations Development Group (UNDG) Statement of Common
Understanding of the Human Rights-Based Approach to Development Cooperation and
Programming (UN Common Understanding)15 which outlines that development programmes and
policies should further the realization of human rights as laid down in the Universal Declaration of
Human Rights and other human rights instruments. UNDP’s Strategic Plan 2018-2021 also recognizes
the protection of human rights as a core development need central to addressing key development
challenges.16
13. In furthering the realization of rights, UNDP refrains from providing support for activities that may
contribute to violations of a State’s human rights obligations and the core international human rights
treaties,17 and seeks to support the protection and fulfillment of human rights. UNDP programmes
and projects are required to be informed by human rights analysis, including from the UN human
rights mechanisms (the relevant human rights treaty bodies, the Universal Periodic Review process
and Special Procedures).
14. In its programmes and projects, UNDP upholds the principles of accountability and the rule of law,
participation and inclusion, and equality and non-discrimination, noting that prohibited grounds of
12 See UNSDG, Leaving no one behind – A UNSDG operational guide for UN Country Teams (interim draft April 2019).
13 Ibid, page 35ff.
14 Charter of the United Nations, Article 1, para. 3.
15 More information on the UN Common Understanding is available at https://unsdg.un.org/resources/human-rights-
based-approach-development-coordination
16 UNDP Strategic Plan 2018-2021, para. 22ff.
17These include the following: International Convention on the Elimination of All Forms of Racial Discrimination
(1969), International Covenant on Civil and Political Rights (1976), International Covenant on Economic, Social and
Cultural Rights (1976), Convention on the Elimination of All Forms of Discrimination against Women (1981),
Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (1987), Convention on
the Rights of the Child (1990), International Convention on the Protection of the Rights of All Migrant Workers and
Members of Their Families (2003), International Convention for the Protection of All Persons from Enforced
Disappearance (2010), Convention on the Rights of Persons with Disabilities (2008).
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discrimination include race, ethnicity, sex, age, language, disability, sexual orientation, gender
identity, religion, political or other opinion, national or social or geographical origin, property, birth,
health status or other status including as an indigenous person or as a member of a minority. UNDP
also ensures the meaningful, effective and informed participation of stakeholders in the formulation,
implementation, monitoring and evaluation of programmes and projects.
15. UNDP programmes and projects are inclusive of and accessible to persons with disabilities, with
reasonable accommodations 18 provided to ensure that persons with disabilities can exercise all
human rights and fundamental freedoms on an equal basis with others.
16. UNDP seeks to support governments to adhere to their human rights obligations and empower
individuals and groups, particularly the most marginalized, to realize their rights and to ensure that
they fully participate throughout UNDP’s programming cycle. UNDP seeks to support State efforts to
meet their human rights obligations as requested. UNDP does not have a monitoring role with
respect to human rights. In the context of UNDP programmes and projects, UNDP’s due diligence
obligations require UNDP to monitor compliance with its policies.
Gender Equality and Women’s Empowerment

17. Gender equality is a fundamental human right and a necessary foundation for a peaceful,
prosperous and sustainable world. Gender equality is central to UNDP support to countries to
implement and achieve the 2030 Agenda for Sustainable Development and the Sustainable
Development Goals as well as other commitments agreed by Member States. The promotion of
gender equality and the empowerment of women are intrinsic to UNDP’s human rights-based
approach to development programming. This effort includes advocating for women’s and girls’
human rights, combating discriminatory practices, and challenging the roles and stereotypes that
create inequalities and exclusion.19
18. UNDP programmes and projects are informed by gender analysis in their design and
implementation. UNDP seeks to identify and integrate the different needs, constraints, contributions
and priorities of women, men, girls and boys into its programming.20 Both women and men are able
to participate meaningfully and equitably, have equal access to programme and project resources,
and receive comparable social and economic benefits.
19. UNDP programmes and projects promote gender equality and the empowerment of women. UNDP
strengthens interventions tackling structural changes and remove the institutional, societal, political
and legal barriers to accelerate gender equality and women’s empowerment and will go beyond
18 Article 2 of the Convention on the Rights of Persons with Disabilities defines reasonable accommodations as
“[n]ecessary and appropriate modification and adjustments not imposing a disproportionate or undue burden, where
needed in a particular case, to ensure to persons with disabilities the enjoyment or exercise on an equal basis with
others of all human rights and fundamental freedoms.”
19 See UNDP Gender Equality Strategy 2018-2021, available at https://undocs.org/DP/2018/21, and UNDP Strategic
Plan (including signature solution 6 on strengthening gender equality and the empowerment of women and girls).
20 References in SES to “women and men” or similar is understood to include “girls and boys” and other groups
discriminated against based on their gender identities, such as transgender or transsexual people.
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counting numbers of beneficiaries by sex. UNDP focuses on empowering and creating agency for
women and men and closing gender gaps.
20. UNDP ensures that its programmes and projects do not discriminate against women or girls or
reinforce gender-based discrimination and/or inequalities.
21. UNDP programmes and projects ensure allocation of financial resources for gender equality
accordingly with its corporate target established in its Gender Equality Strategy 2018-2021.
22. UNDP uses sex-disaggregated data and gender sensitive indicators in its programming.
23. UNDP seeks to identify and address any risk of potential exposure of affected people to gender-
based violence (GBV) and other abuse that may occur in connection with any of its supported
activities. This includes a zero-tolerance policy for sexual exploitation and abuse involving UNDP
personnel as well as personnel of the UNDP implementing partner and responsible parties. UNDP
requires that appropriate prevention and response measures be adopted to prevent and to respond
effectively to GBV, including designing activities to prevent and address potential exposure of
project-affected people to GBV risks; screening of personnel; provision of training on prevention and
response to GBV; effective reporting and response protocols; referrals for safe and confidential
survivor assistance; and prompt investigation of allegations of GBV related to project activities.
Sustainability and Resilience

24. Strengthening the resilience of societies to the impact of shocks, disasters, conflict and emergency
situations, and the sustainable management, conservation and rehabilitation of natural habitats (and
their associated biodiversity and ecosystem functions) are fundamental to UNDP’s efforts to develop
and implement sustainable development pathways. UNDP seeks to address poverty and inequality
and to reduce vulnerabilities while maintaining and enhancing natural capital.
25. UNDP acknowledges that conflicts and environmental and disaster related risks and their effects
hinder the implementation of the 2030 Agenda and integrates social, environmental and economic
resilience and sustainability considerations into its programmes and projects to build resilience and
achieve sustainable development. In line with its Strategic Plan, UNDP supports Programme Country
efforts to reduce risks and vulnerabilities associated with shocks and hazards (whether from
socioeconomic or natural causes), climate change, violence, conflict, political and social instability, or
economic volatility.
26. In designing development cooperation activities, UNDP seeks to support Programme Countries and
implementing partners to identify opportunities to advance sustainability and resiliency dimensions
of development initiatives and to strengthen environmental management and protection.
27. UNDP uses and promotes a precautionary approach 21 to significant social and environmental
challenges and requires application of the mitigation hierarchy to first avoid potential adverse
21See Principle 15 of the Rio Declaration on Environment and Development,(1992) noting that the lack of full
scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent serious threats of
environmental degradation.
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impacts to people and the environment, or where avoidance is not possible, to then minimize,
mitigate, and as a last resort, offset and compensate for potential residual adverse impacts.
28. UNDP assists Programme Countries, implementing partners and responsible parties to integrate low-
emission, climate-resilient objectives into national and sectoral development plans, and ensures that
supported programmes and projects enhance climate resiliency and avoid unwarranted increases in
greenhouse gas (GHG) emissions, instead enhancing efficiency and reducing GHG intensity.
29. UNDP’s disaster risk reduction and recovery work aims to deliver risk-informed development
through actionable risk information, risk governance, early warning systems and preparedness,
recovery and local (urban and community level) action. By working with Governments and partners
towards ‘risk-informed’ national, local and sectoral development planning processes, UNDP helps
build the resilience of communities and nations. This includes identifying and addressing the
interconnections among issues related to the environment, human rights, conflict, crises and
vulnerability, where relevant.
Accountability
30. UNDP does not support activities that do not comply with national law and obligations under
international law, whichever is the higher standard (hereinafter "Applicable Law").
31. UNDP promotes accountability to programme and project stakeholders by (i) enabling active local
community engagement and participation in decision-making, particularly those at risk of being left
behind; (ii) ensuring transparency of programming interventions through provision of timely,
accessible and functional information regarding supported activities, including on potential
environmental and social risks and impacts and management measures; (iii) ensuring stakeholders
can communicate their concerns and have access to rights-compatible complaints redress processes
and mechanisms; and (iv) ensuring effective monitoring—and where appropriate, participatory
monitoring with stakeholders—and reporting on implementation of social and environmental risk
management measures.
32. UNDP’s SES are underpinned by an Accountability Mechanism with two key components: (i) the
Stakeholder Response Mechanism (SRM) that ensures individuals, peoples, and communities
affected by projects have access to appropriate grievance resolution procedures for hearing and
jointly addressing complaints and disputes related to the social and/or environmental impacts of
UNDP-supported projects; and (ii) the Social and Environmental Compliance Unit (SECU) which
investigates alleged non-compliance with UNDP’s Social and Environmental Standards and screening
procedure from project-affected stakeholders and recommends measures to address findings of
non-compliance.22
22 For further information, visit www.undp.org/secu-srm.
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PART B: Project-Level Standards
Introduction
1. At the project level, UNDP Standards 1-8 further support implementation of UNDP’s commitments
to promoting that no one is left behind; human rights; gender equality and women’s empowerment;
sustainability and resilience; and accountability (collectively, the SES Programming Principles). The
Standards set out specific requirements relating to different social and environmental issues.
2. UNDP’s Project-level Standards relate to the following areas:
Standard 1: Biodiversity Conservation and Sustainable Natural Resource Management

Standard 2: Climate Change and Disaster Risks
Standard 3: Community Health, Safety and Security
Standard 4: Cultural Heritage
Standard 5: Displacement and Resettlement
Standard 6: Indigenous Peoples
Standard 7: Labour and Working Conditions
Standard 8: Pollution Prevention and Resource Efficiency
3. Application of relevant SES requirements is determined during application of UNDP’s Social and
Environmental Screening Procedure (SESP) and social and environmental assessment requirements.
4. The SES Social and Environmental Management System (see Part C) describes the requirements
regarding (i) screening, assessment and management of social and environmental risks and impacts;
(ii) stakeholder engagement and response mechanisms; (iii) access to information; and (iv)
monitoring, reporting and compliance.
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Standard 1: Biodiversity Conservation and Sustainable Natural Resource
Management
Introduction
1. Conserving biodiversity,23 maintaining ecosystem services, 24 and sustainably managing natural
resources are fundamental to sustainable development. Biodiversity and healthy ecosystems
strengthen our resilience to address environmental and social changes and shocks, including climate
change impacts and disaster risks. UNDP seeks to maintain and enhance the goods and services
provided by biodiversity and ecosystems in order to secure livelihoods, food, water and health,
enhance resilience, conserve threatened species and their habitats, and increase carbon storage and
sequestration.
2. UNDP is committed to integrating biodiversity and ecosystem management into development

planning and production sector activities, strengthening protected areas systems, and managing and
rehabilitating ecosystems for adaptation to and mitigation of climate change. UNDP seeks to
strengthen effective governance and decision-making systems affecting biodiversity and ecosystems,
including strengthening the rights of affected populations including women,25 indigenous peoples
and local communities to sustainable use of resources.
3. This Standard reflects the objectives of the Convention on Biological Diversity 26—including the
conservation of biological diversity, the sustainable use of its components and the fair and equitable
sharing of the benefits arising out of the use of genetic resources—and other international
23 The Convention on Biological Diversity (CBD) defines biological diversity (i.e. biodiversity) as “the variability among
living organisms from all sources including, inter alia, terrestrial, marine and other aquatic ecosystems and the
ecological complexes of which they are part: this includes diversity within species, between species, and of
ecosystems.” CBD, Article 2, available at http://www.cbd.int/.
24 Ecosystem services are the benefits that people derive from ecosystems. Ecosystem services are organized into four
types: (i) provisioning services, which are the goods people obtain from ecosystems (i.e. food, freshwater, timber,
fibers, medicinal plants); (ii) regulating services, which are the benefits people obtain from the regulation of
ecosystem processes (e.g. surface water purification, carbon storage and sequestration, climate regulation protection
from natural hazards); (iii) cultural services, which are the nonmaterial benefits people obtain from ecosystems (e.g.
sacred sites, areas of importance for recreation and aesthetic enjoyment); and (iv) supporting services, which are the
natural processes that maintain the other services (e.g. soil formation, nutrient cycling, primary production).
25 Women often face socio-cultural barriers to equitable access to resources and decision-making processes on
resource use. With strong reliance on natural resource livelihoods, women are often on the front lines of risks posed
by degradation of, and restricted access to, ecosystems and ecosystem services.
26 UNDP supports implementation of national commitments under the CBD, including CBD’s Strategic Plan for
Biodiversity 2011-2020 and the “Aichi Targets” at http://www.cbd.int/sp/. UNDP’s Biodiversity and Ecosystems Global
Framework 2012-2020 outlines UNDP’s priorities and programs to conserve biodiversity and maintain ecosystem
services, available at http://www.undp.org/content/undp/en/home/librarypage/environment-
energy/ecosystems_and_biodiversity/biodiversity-and-ecosystems-global-framework-2012-to-2020.html.
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conventions and agreements.27 UNDP promotes an ecosystem approach to biodiversity conservation
and sustainable management of natural resources.28
Objectives
• To conserve biodiversity
• To maintain and enhance the benefits of ecosystem services
• To promote sustainable management and use of living natural resources
• To ensure the fair and equitable sharing of the benefits from the utilization of genetic
resources
• To respect, preserve, maintain and encourage knowledge, innovations and practices of
indigenous peoples and local communities relevant for the conservation and sustainable use
of biodiversity and their customary use of biological resources
Scope of Application
4. The applicability of this Standard is established during the social and environmental screening and
categorization process. Requirements of this Standard apply to projects that (i) are located in
modified, natural, and critical habitats; and/or (ii) potentially impact or are dependent on the
ecosystem services of modified, natural, or critical habitats; and/or (iii) include production of living
natural resources (e.g. agriculture, animal husbandry, fisheries, forestry).
Requirements
5. Precautionary approach: UNDP ensures that a precautionary approach is applied to the use,
development, and management of natural habitats, the ecosystem services of such habitats, and
living natural resources.
6. Risk identification and assessment: As an integral part of the social and environmental assessment
process, UNDP will ensure that direct and indirect impacts on natural resources, biodiversity,
ecosystems and ecosystem services in the project’s area of influence29 are identified and addressed
as early as possible. The assessment process will consider, inter alia (i) risks of habitat and species
loss, degradation and fragmentation, invasive species, overexploitation, hydrological changes,
nutrient loading, pollution, incidental take, potential climate change impacts, and (ii) differing values
(e.g. social, cultural, economic) attached to biodiversity and ecosystem services by potentially
affected communities. Potential cumulative, indirect and induced impacts will be assessed. Potential
impacts across landscapes and seascapes will be considered to ensure that any adopted mitigation
strategy aligns with regional conservation goals.
27 Including the Convention on Conservation of Migratory Species, Convention on International Trade in Endangered
Species of Wild Fauna and Flora (CITES), International Treaty on Plant Genetic Resources for Food and Agriculture,
Convention on Wetlands (Ramsar Convention), World Heritage Convention, International Plant Protection
Convention, and the International Whaling Commission.
28 The ecosystem approach is a strategy for the integrated management of land, water and living resources that
promotes conservation and sustainable use in an equitable way. See Ecosystem Approach, Convention of Biological
Diversity, available at https://www.cbd.int/ecosystem/.
29 See the section on assessment and management for a definition of a project’s area of influence.
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7. Use of experts: For projects that may adversely affect biodiversity and ecosystems, UNDP ensures
that qualified professionals assist in conducting assessments and in the design and implementation
of mitigation and monitoring plans.
8. Siting preference: As far as possible, UNDP projects that may have adverse impacts under this
Standard are sited in areas of low value for biodiversity and ecosystem services, and of low
sensitivity to the anticipated impacts. In particular, whenever feasible, such projects are sited on
lands where natural habitats have already been converted to other land uses. However, UNDP seeks
to avoid siting projects on lands that were converted in anticipation of the project.
9. Modified habitats: In areas of modified habitat, 30 UNDP ensures that measures are adopted to
minimize further unwarranted conversion or degradation of the habitat and resident species
populations and identifies opportunities to enhance the habitat as part of the project.
10. Natural habitats: Where avoidance of adverse impacts on natural habitats31 is not possible, UNDP
proceeds only if viable alternatives are not available and if appropriate conservation and mitigation
measures or plans32 are in place that describe the conservation outcomes, implementation actions,
and monitoring and evaluation arrangements (e.g. a Biodiversity Action Plan).
11. Mitigation hierarchy: Risk reduction measures follow a mitigation hierarchy that favours avoidance
of potential adverse impacts over minimization, mitigation where adverse residual impacts remain,
and, as a last resort, application of offset and compensation measures.33 Mitigation measures are
designed to achieve at least no net loss of biodiversity 34 and preferably a net gain over the long
term, where possible.35 However, it must be recognized that no net loss is not possible in all cases,
e.g. where endemic species have highly restricted distributions. In such instances, UNDP explores
alternative designs to avoid the adverse impacts on biodiversity.
12. Use of biodiversity offsets: Biodiversity offsets36 may be considered only after appropriate
avoidance, minimization, and restoration measures have been applied. A biodiversity offset must be
designed and implemented to achieve measurable conservation outcomes (demonstrated in situ and
30 Modified habitats are areas that may contain a large proportion of plant and/or animal species of non-native origin,
and/or areas where human activity has substantially modified an area's primary ecological functions and species
composition. Modified habitats may include areas managed for agriculture, forest plantations, reclaimed costal zones,
reclaimed wetlands, and regenerated forests and grasslands.
31 Natural habitats are land and water areas where the biological communities are formed largely by native plant and
animal species, and where human activity has not essentially modified the area’s primary ecological functions and
species composition.
32 Including measures required to maintain affected ecological services.
33 UNDP recognizes that compensation and offsets may eventually be incorporated as elements of a mitigation
strategy; however, avoidance and minimization measures must first be fully considered.
34 “No net loss” is defined as the point at which project-related impacts on biodiversity are balanced by measures
taken to avoid and minimize the project’s impacts, to undertake on-site restoration and finally to offset significant
residual impacts, if any, on an appropriate geographic scale.
35 Mitigation measures may include a combination of actions, such as project redesign, use of financial guarantees,
post-project restoration, set-asides, and, as a last resort, offsets. Set-asides are land areas within the project area
excluded from development and are targeted for the implementation of conservation enhancement measures. Set-
asides will likely contain significant biodiversity values and/or provide ecosystem services of significance.
36 Biodiversity offsets are measureable conservation outcomes resulting from actions designed to compensate for
significant residual adverse biodiversity impacts arising from project development and persisting after appropriate
avoidance, minimization and restoration measures have been taken.
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on an appropriate geographic scale) that can reasonably be expected to result in no net loss and
preferably a net gain 37 of biodiversity. In the case of critical habitats, biodiversity offsets are
considered only in exceptional circumstances, and in such circumstances a net gain is required. The
design of a biodiversity offset adheres to the “like-for-like or better” principle 38 and is carried out
with best available information and current best practices. External experts with knowledge in offset
design and implementation are involved.39
13. Critical habitats: UNDP seeks to ensure that project activities have no adverse impacts on critical
habitats.40 No project activities are implemented in areas of critical habitats, unless all of the
following are demonstrated: (i) there are no measurable adverse impacts on the criteria or
biodiversity values for which the critical habitat was designated, and on the ecological processes
supporting those biodiversity values (determined on an ecologically-relevant scale); (ii) there is no
reduction of any recognized Endangered, Vulnerable or Critically Endangered species,41 (iii) any
lesser impacts are mitigated, and (iv) a robust, appropriately designed, and long-term Biodiversity
Action Plan is in place to achieve net gains of those biodiversity values for which the critical habitat
was designated. Existing protected area management plans are reviewed to ensure alignment with
this requirement.
14. Illegal trade: UNDP seeks to ensure that supported activities do not increase the risk of illegal trade
of protected species.42
15. Protected areas: In circumstances where some project activities are located within a legally
protected area43 or an internationally recognized area,44 UNDP ensures that, in addition to the
37 Net gains are additional conservation outcomes that can be achieved for the biodiversity values for which the
critical habitat was designated.
38 The principle of “like-for-like or better” indicates that biodiversity offsets must be designed to conserve the same
biodiversity values that are being impacted by the project.

39 For additional guidance on biodiversity offsets, see the Business and Biodiversity Offset programme Standard on
Biodiversity Offsets (2012), available at https://www.forest-trends.org/publications/standard-on-biodiversity-offsets/

40 Critical habitats are a subset of both modified and natural habitats that require special attention. Critical habitats
are areas with high biodiversity value, including any of the following features: (i) habitat of significant importance to
Critically Endangered and/or Endangered species; (ii) habitat of significant importance to endemic and/or restricted-
range species; (iii) habitat supporting globally significant concentrations of migratory species and/or congregatory
species; (iv) highly threatened and/or unique ecosystems; and/or (v) areas associated with key evolutionary
processes. Critical habitats include those areas that are (i) legally protected, (ii) officially proposed for protection, (ii)
identified by authoritative sources for their high conservation value (such as areas that meet criteria of the World
Conservation Union classification, the Ramsar List of Wetlands of International Importance, and the United Nations
Scientific and Cultural Organization’s world heritage sites), or (iv) recognized as protected by traditional local
communities.
41 As listed on the International Union for the Conservation of Nature (IUCN) Red List of Threatened Species or
equivalent national or regional listings.

42 In accordance with the Convention on International Trade in Endangered Species in Wild Fauna and Flora (CITES).
See the CITES Appendices of species threatened by international trade.

43 This Standard recognizes legally protected areas that meet the IUCN definition: “A clearly defined geographical
space, recognized, dedicated and managed, through legal or other effective means, to achieve the long-term
conservation of nature with associated ecosystem services and cultural values.” Areas proposed by governments for
such designation are included. UNDP may also consider ‘legitimate protected areas’ that are not legally established
but are recognized as protected by local communities.
44 Including UNESCO Natural World Heritage Sites and UNESCO Man and Biosphere Reserves, wetlands designated
under the Convention on Wetlands of International Importance (the Ramsar Convention), indigenous protected areas
(IPAs) or indigenous and community conserved areas (ICCAs).
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requirements specified in paragraph 13 of this Standard, the following requirements also apply: (i)
act in a manner consistent with any existing protected area management plans; (ii) consult
protected area sponsors and managers, local communities, and other key stakeholders on the
proposed activities; (iii) implement additional activities, as appropriate, to promote and enhance the
conservation aims and effective management of the area. Where restrictions of access to protected
areas may have potential adverse impacts on livelihoods of local communities, the requirements of
Standard 5: Displacement and Resettlement apply.
16. Management of ecosystem services: UNDP requires that supported activities seek to avoid adverse
impacts on ecosystem services of relevance to affected communities. If avoidance of adverse
impacts is not possible, then mitigation and management measures aim to maintain the value and
functionality of affected ecosystem services. Affected communities are involved and consulted on
activities that may affect their ecosystem services.
17. Invasive species: UNDP requires that under no circumstances will species known to be invasive be
introduced into new environments. Further, UNDP requires that no new alien species (i.e. species
not currently established in the country or region of the project) will be intentionally introduced
unless it is subjected to a risk assessment to determine the potential for invasive behavior, in
accordance with the existing regulatory framework, if such a framework exists. Prior assessment of
the possibility of accidental or unintended introduction of invasive species is undertaken, and
appropriate mitigation measures adopted.
18. Biosafety and genetic resources: For projects that may involve the transfer, handling and use of
genetically modified organisms/living modified organisms (GMOs/LMOs) that result from modern
biotechnology and that may have adverse effects on biological diversity, UNDP ensures that a risk
assessment is carried out in accordance with Annex III of the Cartagena Protocol on Biosafety to the
Convention on Biological Diversity. UNDP ensures that projects involving GMOs/LMOs include
measures to manage any risks identified in the risk assessment.
19. Forests: project activities:
a. are consistent with the conservation of natural forests and biological diversity, ensuring that
they are not used for the conversion of natural forests;
b. incentivize the protection and conservation of natural forests and their ecosystem services,
and enhance other social and environmental benefits;
c. enhance the sustainable management of forests, including the application of independent,
credible certification for commercial, industrial-scale timber harvesting;
d. maintain or enhance biodiversity and ecosystem functionality in areas where forest
restoration is undertaken; and/or
e. ensure that plantations are environmentally appropriate, socially beneficial and
economically viable, and utilize native species wherever feasible.
UNDP gives preference to small-scale community-level management approaches where they best
reduce poverty in a sustainable manner.
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20. Water resources: For projects that affect water resources, UNDP promotes an integrated water
resources management approach that seeks the coordinated development and management of
water, land and related resources in order to maximize the economic and social welfare in an
equitable manner and without compromising the sustainability of ecosystems. UNDP seeks to
ensure that projects avoid significantly altering flow regimes in ways that prevent water resources
from fulfilling their functions for upstream and downstream ecosystems and their services to local
communities.45 Social and environmental risk assessments should address, among other issues,
potential effects and impacts related to climate variability, water pollution, sedimentation, water-
related disasters, drinking water supply, energy production, agriculture, and fisheries. Environmental
flow analysis and management should be carried out to the extent feasible in the context of river
basin planning.46 See also Standard 8 regarding efficient use of water resources.
21. Soil Management: Projects avoid, and where avoidance is not possible, minimize adverse impacts on
soils, their biodiversity, organic content, productivity, structure, and water-retention capacity.
22. Sustainable management of living natural resources: Living natural resources47 are managed in a
sustainable manner. Sustainable resource management is the management of the use,
development, and protection of resources in a way, or at a rate, that enables people and
communities, including indigenous peoples, to provide for their social, economic, and cultural well-
being while also sustaining the potential for those resources to meet the needs of future
generations. This includes safeguarding biodiversity and the life-supporting capacity of air, water,
and soil ecosystems. Sustainable management also ensures that people who are dependent on these
resources are properly consulted, women and men have opportunities to equally participate in
development, and benefits are shared equitably.
23. UNDP ensures sustainable resource management through the application of appropriate, industry-
specific best management practices, and where codified, through application of one or more
relevant credible standards as demonstrated by an independent verification or certification
system.48 Adopt appropriate measures, where relevant, to promote animal welfare, control for
potential invasiveness or escape of production species, and minimization of antimicrobial resistance.
45 Potential adverse impacts on natural and critical habitats and ecosystem services will be addressed per the
requirements of this Standard.
46 Notification to Riparians on International Waterways: When a UNDP project could negatively affect the quality or
quantity of water in an international waterway, UNDP or its partner will notify all riparian states in writing, at least 90
days prior to a decision on whether or not to proceed with the project, so that the riparians have the opportunity to
raise objections or concerns or to request additional information. In situations where there is an international body
that coordinates management of the waterway, such as a river basin commission, formal presentation of the
proposed project at a meeting of that body will meet this notification requirement. Otherwise, notification should be
directly to the appropriate ministry or agency of each riparian state. Documentation of the riparian notifications and
any responses received should be included when the project is presented to management for approval.
47 “Living natural resources” are defined as being the plants and animals cultivated for human or animal consumption
and use, whether in the wild or in a cultivated situation. It includes all types of forestry, biofuels, agriculture, including
both annual and perennial crops and animal husbandry, including livestock; and both wild and capture fisheries
including all types of marine and freshwater organisms, both vertebrate and invertebrate.
48 A credible certification system would be one which is independent, cost-effective, based on objective and
measurable performance standards and developed through consultation with relevant stakeholders such as local
people and communities, indigenous peoples, and civil society organizations representing consumer, producer and
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24. For projects that involve the production, harvesting, and/or management of living natural resources
by small-scale landholders and/or local communities, UNDP supports adoption of appropriate and
culturally sensitive sustainable resource management practices.
25. Access and Benefit Sharing: For projects that involve the utilization of genetic resources, UNDP
ensures that the collection of such resources is conducted sustainably and that benefits derived from
their utilization are shared in a fair and equitable manner. UNDP ensures such projects are
consistent with the Convention on Biological Diversity and its Nagoya Protocol.49 Where genetic
resources are collected from traditional or customary lands of indigenous peoples, the provisions of
Standard 6: Indigenous Peoples apply, including the requirement of free, prior and informed consent
(FPIC).
26. Primary Suppliers: When purchasing natural resource commodities, where possible, UNDP limits
procurement to those primary suppliers that can demonstrate that they are not contributing to
significant conversion or degradation of natural or critical habitats, and if necessary within a
reasonable period, shift to primary suppliers that can demonstrate that they are not significantly
adversely impacting these areas. UNDP encourages application of eco-labels and Environmental
Product Descriptions (EPDs)50 where available.
conservation interests. Such a system has fair, transparent, and independent decision-making procedures that avoid
conflict of interest.
49 Convention on Biological Diversity can be found at http://www.cbd.int/. The Nagoya Protocol on Access to Genetic
Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization to the Convention on Biological
Diversity can be found at http://www.cbd.int/abs/.
50 An Environmental Product Declaration (EPD) is an independently verified and registered document that
communicates transparent and comparable information about the life-cycle environmental impact of products. The
relevant standard for Environmental Product Declarations is ISO 14025, where they are referred to as "type
III environmental declarations."
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Standard 2: Climate Change and Disaster Risks
Introduction
1. Climate change and disaster risks pose an increasing threat to sustainable development and the fight
against poverty. They have the potential to stall and even reverse human development through
impacts on key development sectors and activities, including agriculture and food production, water,
ecosystems and other natural resources, and health. Climate change has become a key driver of
hydro-meteorological disasters and has the potential to produce negative impacts through gradual
environmental changes and may exacerbate extreme weather events, increasing the risk of slow and
sudden-onset, high-impact disasters. Climate variability is contributing to the increasing frequency
and impact of small-scale localized disasters with far-reaching long-term socio-economic and
developmental impacts. Communities that are already subjected to impacts from climate change
may experience an acceleration and/or intensification of impacts due to project activities that do not
integrate and anticipate climate change and disaster risks.
2. UNDP supports countries to integrate disaster and climate risk concerns into national and sectoral
development plans; advance low-emission and risk-informed development pathways; identify
priority disaster risk reduction, risk governance, climate mitigation and adaptation 51 measures; and
implement measures to reduce exposure and vulnerabilities and to increase adaptive capacity and
build resilience.
3. UNDP ensures that its projects are sensitive to climate change and disaster risks and do not
contribute to increased vulnerability to climate change and natural hazards.52 UNDP mobilizes
resources to support programme countries to address the whole spectrum of issues related to
climate change and disaster risk reduction including financing their national adaptation costs and to
advance risk-informed development in order to reduce disaster risks.
4. Reducing the negative impacts of climate change is pursued through two complementary strategies:
mitigation (reducing greenhouse gas emissions53 that are an anthropogenic root cause of climate
change) and adaptation (adjusting human systems to moderate harm and/or exploit beneficial
opportunities from climate change).
5. Disaster risks encompass a broad range of potential hazards, including biological, environmental,
geological, hydrometeorological, chemical and technological processes and phenomena. The Sendai
51 Adaptation is an adjustment in natural or human systems in response to actual or expected climatic stimuli or their
effects, which moderates harm or exploits beneficial opportunities.
52 At times referred to as maladaptation, defined as “business-as-usual development which, by overlooking climate
change impacts, inadvertently increases exposure and/or vulnerability to climate change. Maladaptation could also
include actions undertaken to adapt to climate impacts that do not succeed in reducing vulnerability but increase it
instead.” OECD, Integrating Climate Change Adaptation into Development Co-operation: Policy Guidance 2009,
available at http://www.oecd.org/env/cc/44887764.pdf.
53 “Greenhouse Gases“(GHGs) are those gaseous constituents of the atmosphere, both natural and anthropogenic,
that absorb and re-emit infrared radiation. The UNFCCC requires countries to report on the following direct GHGs:
carbon dioxide (CO2); methane (CH4); nitrous oxide (N2O); hydrofluorocarbons (HFCs); perfluorocarbons (PFCs);
sulfur hexafluoride (SF6); nitrogen trifluoride (NF3) from five sectors (energy; industrial processes and product use;
agriculture; land use, land-use change and forestry; and waste). The Montreal Protocol calls for the phase out of the
powerful GHG hydrochlorofluorocarbons (HCFCs) and the phasedown of controlled hydrofluorocarbons (HFCs).
18
Framework for Disaster Risk Reduction54 calls for decision-making to be inclusive and risk-informed
while using a multi-hazard approach. Disaster risk reduction requires integrated analysis and
planning to prevent, reduce, manage and strengthen resilience to potential hazards, including
applying the concept of “build back better” after a disaster to increase the resilience of
communities. Disaster risk reduction measures are integrated across the sections of the SES.55 Under
Standard 2, risks associated primarily with weather-related or hydrometeorological hazards are
addressed.
6. UNDP strengthens the participation of women in decision-making processes on climate adaptation,

mitigation and disaster risk reduction. UNDP supports countries to ensure that disaster risk
reduction, climate mitigation and adaptation programmes specifically support women to strengthen
their resilience, in part by securing rights and tenure to land and access to finance, housing
livelihood diversification and other socio-economic assets and skills.
Objectives
• To ensure that UNDP projects are sensitive to climate change and disaster risks and
strengthen resilience in order to achieve sustainable development outcomes
• To reduce project-related greenhouse gas (GHG) emissions and intensity
categorization process. Requirements of this Standard apply to all projects that (i) have development
outcomes that may be threatened by climate change or disaster risks; (ii) may contribute to
increased exposure and/or vulnerability to climate change or disaster risks; or (iii) may produce
significant GHG emissions.
Requirements
8. Climate change and disaster risk analysis, planning and implementation: As an integral part of the
social and environmental assessment process, UNDP ensures that proposed activities are screened
and assessed for climate change and disaster risks and their impacts to project activities and outputs
as well as the possibility that project activities could increase exposure to such risks. UNDP ensures
that the status and adequacy and applicability of relevant climatic and disaster risk information is
identified. If significant potential risks are identified, then further scoping and assessment of
vulnerability, potential impacts, and avoidance and mitigation measures, including consideration of
alternatives to reduce potential risks, will be required. The climate change and disaster risk
assessment and related management planning will:
a. Examine potential exposure and sensitivity of relevant communities, ecosystems, and critical
infrastructure to climate change impacts and hazards, both natural and human-made,
54Available at https://www.unisdr.org/we/coordinate/sendai-framework.
55See for example the SES sections on Biodiversity Conservation and Sustainable Natural Resource Management;
Community Health, Safety and Working Conditions; and Pollution Prevention and Resource Efficiency.
19
including extreme weather events and natural hazard-triggered technological (or “Natech”)
accidents.56
b. Analyse physical, social, economic and environmental factors or processes which increase
the susceptibility and vulnerability of relevant communities to potential climate change
impacts and hazards—with a particular focus on marginalized and disadvantaged groups and
individuals. Consider potential specific gender-, age- and social vulnerabilities and
differentiated impacts.
c. Examine the viability or longer-term sustainability of project outcomes due to potential
climate change impacts and disaster risks. This will involve the identification of components
that are sensitive or vulnerable to emerging or anticipated manifestations of climate change.
d. Assess whether activities may increase exposure or exacerbate vulnerability of communities
to climate change impacts or disasters (e.g. maladaptation) and avoid activities that may
exacerbate such risks. Project components must be assessed for potential unintended or
unforeseen increases in vulnerability to impacts of climate change and potential hazards.
e. Identify potential project-related increases in emissions that may exacerbate climate change,
such as GHG emissions and black carbon emissions.57
f. Ensure that appropriate climate and disaster risk management plans are in place, including
but not limited to emergency preparedness and response plans and ensure appropriate
monitoring and, where necessary, adoption of corrective measures.
g. Integrate where relevant climate change adaptation and disaster risk reduction
considerations in planning (risk informing and “climate proofing”) and seek to identify
opportunities for reducing exposure and vulnerabilities and strengthening resilience,
including where possible through ecosystem-based approaches.58 Seek synergies with
existing or planned activities for generating climate change mitigation co-benefits (e.g.
reduction in GHG emissions) where possible and exploiting potentially beneficial changes in
climatic or environmental conditions to deliver developmental benefits.
h. Where relevant, integrate disaster risk reduction measures into the restoration of physical
infrastructure and societal systems to “build back better” after a disaster to increase the
resiliency of communities.
9. Greenhouse gases (GHGs): UNDP seeks to minimize and avoid unwarranted increases in greenhouse
gas emissions or other drivers of climate change from supported activities. UNDP ensures that
56 See UNISDR, Words into Action Guidelines: 9. Natech Hazards and Risk Assessment (2017).
57 Black carbon (BC) is a primary aerosol emitted directly at the source from incomplete combustion processes such as
fossil fuel and biomass burning.
58 Among other measures, conserving biodiversity and promoting healthy ecosystems strengthens resilience to
potential adverse climate change impacts and disaster risks and may facilitate effective adaptation strategies. See
CBD/SBSTTA, Guidelines for Ecosystem-Based Approaches to Climate Change Adaptation and Disaster Risk Reduction,
January 2018 (draft); and E Cohen-Shacham, G Walters, C Janzen, S Maginnis (eds.) Nature-based Solutions to Address
Global Societal Challenges, IUCN 2016.
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alternatives are considered and that technically and financially feasible and cost-effective options 59
to reduce project-related GHG emissions and intensity are adopted, in a manner appropriate to the
nature and scale of the project’s operations and impacts. Alternative options may include, but are
not limited to, alternative project locations, adoption of renewable or low-carbon energy sources,
energy efficiency (see Standard 8), use of low-global-warming-potential coolants for air-conditioning
and refrigeration, and climate-smart agricultural, forestry, and livestock management practices, and
ecosystem-based adaptation and mitigation measures (including potential integration of carbon
sinks).
10. For projects that are expected to produce significant quantities of greenhouse gases, UNDP
characterizes and estimates the potential sources of GHG emissions related to project activities to
form a baseline for developing measures to reduce such emissions, providing such estimation is
technically and financially feasible. UNDP ensures that relevant projects’ emissions are tracked and
reported in accordance with provisions of the UNFCCC and GHG minimization measures are
implemented. 60
59 Technical feasibility means the proposed measures and actions can be implemented with commercially viable skills,
equipment and materials, taking into consideration prevailing local factors such as climate, geography, demography,
infrastructure, security, governance, capacity and operational reliability. Financial feasibility means the ability to apply
sufficient financial resources to install the measures and maintain them in operation in the long term. Cost-
effectiveness is determined according to the capital and operational costs and also the financial benefits of the
measure, considered over its lifespan.
60 Estimation methodologies are provided by the Intergovernmental Panel on Climate Change, various international
organizations, and relevant national agencies. Sectors most likely to emit significant quantities of GHGs include
energy, transport, cement production, iron and steel manufacturing, aluminum smelting, petrochemical industries,
petroleum refining, fertilizer manufacturing, agriculture, forestry and waste management.
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Standard 3: Community Health, Safety and Security
Introduction
1. The Community Health and Safety Standard recognizes that project activities, equipment, and
infrastructure can increase community exposure to risks and impacts. Potential negative impacts
affecting health and safety may arise from a broad range of supported activities, including from
infrastructure development and construction activities, changes in the nature and volume of traffic
and transportation, water and sanitation issues, use and management of hazardous materials and
chemicals, impacts on natural resources and ecosystems, the influx of project labour, and potential
abuses by security personnel. This Standard addresses the need to avoid or minimize the risks and
impacts to community health, safety and security that may arise from project-related activities, with
particular attention given to disadvantaged and marginalized groups. Measures to ensure
occupational health and safety issues are addressed in Standard 7: Labour and Working Conditions.
Objectives
• To anticipate and avoid adverse impacts on the health and safety of affected communities
during the project life cycle from both routine and non-routine circumstances
• To ensure quality and safety in the design and construction of project-related infrastructure,
preventing and minimizing potential safety risks and accidents
• To avoid or minimize community exposure to hazards, diseases and hazardous materials
associated with project activities
• To ensure that the safeguarding of personnel and property minimizes risks to communities
and is carried out in accordance with international human rights standards and principles
• To have in place effective measures to address emergency events, whether human-made or
natural hazards
categorization process. Requirements of this Standard apply to projects that may pose significant
risks to human health and safety. Further requirements to avoid or minimize impacts on human
health and the environment due to pollution are included in Standard 8: Pollution Prevention and
Resource Efficiency.
Requirements
3. Community health and safety: Community health and safety refers to protecting local communities
from hazards caused and/or exacerbated by project activities (including flooding, landslides,
contamination or other natural or human-made hazards), disease, and the accidental collapse or
failure of project structural elements such as dams. Project-related activities may directly, indirectly
or cumulatively change community exposure to hazards. A significant concern with major
development projects is the spread of communicable diseases from the workforce to the
surrounding communities.
22
4. Assessments and management plans: UNDP ensures that projects assess the risks to, and potential
impacts on, the safety of affected communities during the design, construction, operation, and
decommissioning of projects and establish preventive measures and plans to address them in a
manner commensurate with the identified risks and impacts. These measures61 will favour the
prevention or avoidance of risks and impacts over their minimization and reduction. Appropriate
health and safety assessments are undertaken62 and management plans and systems adopted based
on good international practice, tailored to the specific sector or activities in question, and designed
and carried out with appropriate health and safety expertise. The assessment and adopted
management measures take into account differences in risk exposure and sensitivity of women and
men, as well as marginalized and disadvantaged groups, including children, older persons, persons
with disabilities, minorities and indigenous people.
5. Consideration is given to potential exposure to both accidental and natural hazards, especially where
the structural elements of supported activities are accessible to members of the affected community
or where their failure could result in injury to the community. UNDP ensures that projects avoid or
minimize the exacerbation of impacts caused by natural or human-made hazards, such as landslides
or floods that could result from land use changes due to project activities.
6. Community exposure to health issues: UNDP ensures that projects avoid or minimize the potential
for community exposure to health risks (e.g. pollution, contaminated areas/resources) and diseases
that could result from or be exacerbated by programming activities, including water-related63 and
vector-borne diseases, and communicable and noncommunicable diseases, injuries, nutritional
disorders, mental health, and well-being that could result from project activities, taking into
consideration the differentiated exposure to and higher sensitivity of marginalized groups, including
communities living in voluntary isolation. UNDP ensures that projects avoid or minimize transmission
of communicable diseases that may be associated with the influx of temporary or permanent project
labour. Where endemic diseases exist in the project area (e.g. malaria), UNDP explores ways to
improve environmental conditions that could minimize the incidence of such diseases. Where
projects involve the provision of health services and/or use of antibiotics, incorporate antimicrobial
stewardship.64
7. Infrastructure design and safety: Structural elements and services (e.g. transportation) are
designed, constructed, operated and decommissioned in accordance with national legal
requirements, good international practice, and any relevant international obligations and standards
by competent professionals and certified or approved by competent authorities or professionals.
Structural elements of any infrastructure that may pose significant health and/or safety risks shall: (i)
be designed and constructed by qualified engineers and professionals, (ii) be certified and approved
61 Preventive and control measures shall be consistent with good international practice, such as the World Bank
Group Environmental, Health and Safety Guidelines (EHS Guidelines), available at http://www.ifc.org/ehsguidelines.
62 For example, a hazard assessment, health risk assessment (including where relevant an environmental health risk
assessment or a chemical health risk assessment), health impact assessment, or a health needs assessment.
63 See for example the UNECE/WHO Protocol on Water and Health.
64 Antimicrobial stewardship is a coordinated program that promotes the appropriate use of antimicrobials (including
antibiotics) that improves patient outcomes, reduces microbial resistance, and decreases the spread of infections
caused by multidrug resistant organisms.
23
by independent professionals not involved in the design process, (iii) include appropriate plans for
construction supervision and quality assurance, operation and maintenance, and emergency
preparedness, and (iv) require periodic safety inspections and monitoring.65 Geological and
geophysical hazards are considered, and appropriate risk assessments are undertaken where
needed. If structural elements must be situated in a high-risk location (e.g. seismic activity, risk of
extreme weather or slow onset events), then independent experts with relevant experience are
engaged to review the relevant project activities as early as possible prior to construction and
throughout the project cycle.
8. In addition, for project-related construction activities, ensure appropriate control of site access (e.g.
fencing, security), use of appropriate personal protective equipment, safely designed work
platforms, appropriate engineering and administrative controls (e.g. detours, traffic calming, signs),
and safety barriers. Construction personnel will have appropriate qualifications and training. Where
public access is intended, incremental risks of public’s potential exposure to operational accidents or
natural hazards are considered. Where relevant, potential traffic and road safety risks associated
with project activities will be identified, evaluated and monitored. Ensure that contractors working
on project sites appropriately manage health and safety risks and address the requirements herein.
9. Universal access: Wherever feasible, UNDP ensures the concept of universal access is applied in the
design and construction of facilities and services open to or provided to the public on an equal basis
with others.66
10. Hazardous materials management and safety: UNDP ensures that actions are taken to avoid, or
where avoidance is not possible, minimize potential community exposure to hazardous materials
and substances that may be utilized in or released by project activities. Where potential exposure
exists to health-and life-threatening hazards, including to workers and their families, special care to
65 Note on dams: UNDP will not propose or implement any project or program supported by the Global Environment
Facility (GEF) that would involve the construction or rehabilitation of large or complex dams. In the unlikely event that
UNDP provides support for such dams in other programming, UNDP will ensure that best practice policies and/or
guidelines are followed, such as those of the World Commission on Dams report “Dams and Development: A New
Framework for Decision-Making,” and the World Bank ESS4 Annex 1 Safety of Dams. Large dams are defined as those
of 15 meters or more in height. Dams that are between 5 and 15 meters high and have a reservoir of more than 3
million cubic meters are also classified as large dams. Complex dams are those of a height between 10 and 15 meters
that present special design complexities, including an unusually large flood-handling requirement, location in a zone
of high seismicity, foundations that are complex and difficult to prepare, or retention of toxic materials. For large
dams and dams that may pose significant safety risks, an independent panel of experts will be appointed to review
the assessment, design, construction and start of dam operations. For small dams without significant safety risks (e.g.
farm ponds, local silt retention dams, low embankment tanks), UNDP will ensure confirmation that there are no or
negligible risks of significant adverse impacts and ensure that dam construction and safety measures are designed by
qualified engineers in accordance with good international practice (e.g. FAO’s “Manual on Small Earth Dams,”
available at http://www.fao.org/docrep/012/i1531e/i1531e00.pdf). If the project relies on an existing dam or a dam
under construction, an independent dam specialist will be engaged (a) to inspect and evaluate the dam’s safety status
and performance history, (b) review and evaluate the dam’s operation and maintenance procedures, and (c) provide
a written report and recommendation for any remedial work or safety measures needed.
66 Universal access means unimpeded access for people of all ages and abilities in different situations and under
various circumstances. The Convention on the Rights of Persons with Disabilities requires adoption of “appropriate
measures to ensure to persons with disabilities access, on an equal basis with others, to the physical environment, to
transportation, to information and communications, including information and communications technologies and
systems, and to other facilities and services open or provided to the public, both in urban and in rural areas” (Article
9).
24
avoid such exposure is taken by modifying, substituting, and eliminating the condition or material
causing potential hazard. Hazardous material exposure risks from natural hazard-triggered accidents
are considered. If hazardous materials are part of the existing project-related infrastructure, then
due care will be exercised during construction, implementation and decommissioning in order to
avoid exposure. Appropriate due diligence is undertaken to control the safety of deliveries and
transportation and disposal of hazardous materials and wastes.
11. Emergency preparedness: UNDP ensures that the implementing partner, in collaboration with
appropriate and relevant authorities and third parties, is prepared to respond to accidental and
emergency situations in a manner appropriate to prevent and mitigate any harm to people and/or
the environment. Emergency events include unanticipated incidents arising from both natural and
human-made hazards, typically in the form of fire, explosions, leaks or spills, caused by failure to
implement operating procedures, extreme weather, or lack of early warning. Emergency
preparedness, reflected in planning documents, includes the identification of areas where accidents
and emergency situations may occur, communities and individuals that may be impacted, response
procedures, provision of equipment and resources, designation of responsibilities, communication
and notification channels, and periodic training to ensure effective response. The emergency
preparedness and response activities is periodically reviewed and revised, as necessary to reflect
changing conditions. UNDP considers the differential impacts of emergency situations on women
and men, the elderly, children, persons with disabilities, and potentially marginalized groups, and
strengthen the participation of women in decision-making processes on emergency preparedness
and response strategies. Appropriate information about emergency preparedness and response
activities, resources, and responsibilities is disclosed to affected communities.
12. Risks associated with influx of project workers: UNDP ensures that appropriate measures are taken,
including by project contractors, to avoid, mitigate and manage the risks and potential adverse
impacts on health and safety of communities arising from the influx of project-related workers into
project areas. Such risks and impacts may be associated with changes in population composition,
health implications and exposure to communicable diseases, threats of sexual violence and
harassment, crime, and increased vulnerability of communities due to increased pressure on already
scare natural resources. Measures are implemented that seek to protect community members from
such risks.67 Project workers are provided training, awareness raising programmes and codes of
conduct. Where relevant, alternative means to remedy significant stress on natural resources caused
by increased population numbers are identified.
13. Impacts on ecosystem services: Adverse impacts on ecosystem services may result in adverse health
and safety risks to communities (e.g. loss of natural buffers increasing flooding risks). UNDP ensures
that measures are taken to avoid, or where avoidance is not possible, minimize such adverse
impacts and implement appropriate mitigation measures that aim to maintain the value and
67UNDP requires that appropriate prevention and response measures be adopted to prevent and to respond
effectively to gender-based violence (GBV), including designing activities to prevent and address potential exposure of
project-affected people to GBV risks; screening of personnel; provision of training on prevention and response to
GBV; effective reporting and response protocols; referrals for safe and confidential survivor assistance; and prompt
investigation of allegations of GBV related to project activities.
25
functionality of ecosystem services of relevance to local communities, paying special attention to
avoid causing or exacerbating potential adverse impacts on marginalized and disadvantaged groups.
Where appropriate and feasible, potential risks and impacts on ecosystem services that may be
exacerbated by climate change are identified. See also Standard 1 regarding measures to conserve
ecosystems and maintain ecosystem services.
14. Security-related issues: Where UNDP projects involve engagement of security personnel to protect
facilities and personal property or to otherwise engage in project activities, security arrangements
are provided in a manner that does not violate international human rights standards or principles,68
or jeopardize the community’s safety and security. UNDP ensures that potential risks posed by
security arrangements to those within and outside the project area are assessed, that those
providing security are appropriately vetted, trained and supervised, and that security arrangements
are appropriately monitored and reported.69 Reasonable inquiries are undertaken to verify that
potential security personnel have not been implicated in past abuses and all allegations of unlawful
or abusive acts will be reviewed and actions taken to prevent recurrence and reprisals against
individuals and communities. Where necessary, UNDP reports unlawful and abusive acts to relevant
authorities.
68 International human rights standards and principles include the UN Basic Principles on the Use of Force and
Firearms by Law Enforcement officials, the UN Code of Conduct for Law Enforcement Officials, the Voluntary
Principles on Security and Human Rights, and the International Code of Conduct on Private Security Providers.
69 UNDP applies the “Human rights due diligence policy on United Nations support to non-United Nations security
forces” by which UN agencies ensure that any support that they may provide to non-United Nations forces is
consistent with the purposes and principles of the Charter of the United Nations and with their responsibilities to
respect, promote and encourage respect for international humanitarian, human rights and refugee law. See
http://www.ohchr.org/EN/NewYork/Pages/Resources.aspx. For additional guidance, see also the Voluntary Principles
on Security and Human Rights, available at http://www.voluntaryprinciples.org/.
26
Standard 4: Cultural Heritage
Introduction
1. UNDP recognizes that Cultural Heritage is central to individual and collective identity and memory,
providing continuity between the past, present and future. Cultural Heritage reflects and expresses
people’s constantly evolving values, beliefs, knowledge, traditions and practices. Cultural Heritage
also serves a crucial role within the sustainable development process through enhancing social
cohesion, diversity, well-being and the quality of life; supporting cultural rights by protecting the
heritage of minority and indigenous groups; fostering socio-economic regeneration; enhancing the
appeal and creativity of cities and regions; boosting long-term tourism benefits; and enhancing
sustainable practices. Cultural Heritage resources are often unique and irreplaceable, and may be
particularly fragile due to neglect, exploitation, or even destruction given their symbolism.
2. UNDP seeks to ensure that Cultural Heritage is preserved, protected and promoted in project
activities in a manner consistent with UNESCO Cultural Heritage conventions or any other national or
international legal instruments that might have a bearing on the use of Cultural Heritage.70
Objectives
• To protect Cultural Heritage from damage, inappropriate alteration, disruption, removal or
misuse
• To preserve and safeguard Cultural Heritage
• To promote the equitable sharing of benefits from the use of Cultural Heritage
• To promote meaningful consultation with stakeholders regarding preservation, protection,
utilization and management of Cultural Heritage
categorization process. The Standard applies to projects that may adversely impact Cultural
Heritage, including projects that meet any of the following criteria: (i) located in, or in the vicinity of,
a Cultural Heritage site; 71 (ii) involving significant excavations, demolitions, movement of earth,
flooding, or other environmental changes; (iii) proposes to utilize tangible or intangible forms of
Cultural Heritage for commercial or other purposes.
70 These conventions include The Hague Convention (for Protection of Cultural Property in the Event of Armed
Conflict) (1954), The Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of
Ownership of Cultural Property (1970), The Convention on the Protection of the World Cultural and Natural Heritage
(1972), The Convention for the Protection of the Underwater Cultural Heritage (2001), The Convention on the
Safeguarding of the Intangible Cultural Heritage (2003) and the Convention for the Protection and Promotion of the
Diversity of Cultural Expressions (2005). See also the work of the WIPO Intergovernmental Committee on Intellectual
Property and Genetic Resources, Traditional Knowledge and Folklore (IGC) relating to intellectual property and the
protection of traditional knowledge and traditional cultural expressions.
71 Examples may include UNESCO World Heritage Sites, legally protected areas, including areas proposed for such
designation, and areas recognized by national governments. However Cultural Heritage sites may be unknown and
not visible.
27
4. The requirements of this Standard apply to Cultural Heritage regardless of whether it has been
legally protected or previously disturbed.
5. For projects that may impact the Cultural Heritage of indigenous peoples, the requirements of
Standard 6: Indigenous Peoples apply. This Standard shall be interpreted in a manner to be
consistent with the Standard 6.
6. The term “Cultural Heritage” includes tangible and intangible heritage which may be recognized and
valued at the local, regional, national, or global level, 72 as follows:
• Tangible Cultural Heritage includes moveable or immovable objects, sites, structures, groups
of structures, human settlements and natural features and landscapes that have
archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural
significance. Tangible Cultural Heritage may be located in any setting and in any
environment (e.g. above or below ground or under water).
• Intangible Cultural Heritage, also referred to as living heritage, includes practices,
representations, expressions, knowledge, skills—as well as the instruments, objects,
artefacts and cultural spaces associated therewith—that communities/groups recognize as
part of their Cultural Heritage, as transmitted from generation to generation and constantly
recreated by them in response to their environment, their interaction with nature and their
history and provides them with a sense of identity and continuity, thus promoting respect
for cultural diversity and human creativity. This may include, but is not limited to,: a) oral
traditions and expressions, including language as a vehicle of the intangible Cultural
Heritage; b) performing arts; c) social practices, rituals and festive events; d) knowledge and
practices concerning nature and the universe; or e) traditional craftsmanship.
Requirements
7. Avoidance, assessment and mitigation of adverse impacts: UNDP projects seek to avoid supporting
activities that may lead to significant adverse impacts to Cultural Heritage. UNDP considers potential
direct, indirect, irreversible and cumulative risks and impacts to Cultural Heritage from project
activities. Relevant projects implement globally recognized practices for field-study, inventorying,
documentation, and protection of Cultural Heritage, including where appropriate a Heritage Impact
Assessment.73 Where avoidance is not possible—ensuring that all viable and feasible alternatives
have been explored—UNDP minimizes potential impacts per the mitigation hierarchy and adopts
appropriate mitigation measures (e.g. relocating or modifying the footprint of supported activities,
in situ conservation and rehabilitation). Where potential adverse impacts may be significant, a
Cultural Heritage Management Plan should be developed as part of the overall Environmental and
Social Management Plan (ESMP). The impacts on Cultural Heritage resulting from project activities,
72 The listed elements and features do not need to be ancient in order to be considered Cultural Heritage and the
minimum requirements do not apply an age limitation.
73 For example, see the ICOMOS Guidance on Heritage Impact Assessments for Cultural World Heritage Properties.
Where supported activities may affect natural World Heritage sites, see IUCN World Heritage Advice Note on
Environmental Assessment.
28
including mitigating measures, may not contravene the country’s national legislation, or its
obligations under relevant international treaties and agreements.74
8. Chance find procedures: UNDP projects ensure that chance find procedures are included in all plans
and contracts regarding project-related construction, including excavations, demolitions, movement
of earth, flooding, or other changes in the physical environment; such procedures establish how
chance finds of tangible Cultural Heritage shall be managed, including notification of relevant
authorities and stakeholders, avoidance of further disturbance or damage, protection,
documentation and assessment of found objects by relevant experts.
9. Community participation, stakeholder consultations and use of experts: For projects with potential
adverse impacts, qualified and experienced Cultural Heritage experts and relevant stakeholders
assist in the identification, documentation and appropriate management (e.g. protection) of
potentially affected Cultural Heritage. Ensure meaningful, effective stakeholder consultations are
undertaken, including with local and national regulatory authorities entrusted with the protection of
Cultural Heritage; local, national or international Cultural Heritage experts and organizations; and
affected-parties, including individuals and communities who develop, have developed, use or have
used the potentially affected Cultural Heritage within living memory. Where the Cultural Heritage of
indigenous peoples may be affected by project activities, ensure that the requirements of the
Standard 6: Indigenous Peoples are followed.
10. Continued access: UNDP projects avoid restricting access to Cultural Heritage sites and to the
instruments, objects, artefacts, cultural and natural spaces and places of memory necessary for
expressing intangible Cultural Heritage. However, where this is not possible, projects ensure
continued access based on stakeholder consultations and alternative routes are provided if access is
blocked, subject to overriding safety and security considerations.
11. Confidentiality and restricted access by communities: Together with stakeholders UNDP projects
determine whether disclosure of information regarding Cultural Heritage would compromise or
jeopardize its safety or integrity or endanger sources of information. In such cases, sensitive
information may be withheld from public disclosure. If communities affected by project activities
hold the location, characteristics or traditional use of Cultural Heritage in secret, then the project will
support measures to maintain confidentiality and to respect customary practices of communities
that limit access to specific aspects of their Cultural Heritage.
12. Integration and use of Cultural Heritage: Where a project proposes to integrate and/or utilize
Cultural Heritage, including the knowledge, innovations, or practices of local communities, the
project will engage in meaningful consultations and inform affected communities of their rights
under Applicable Law, the scope and nature of the proposed development, and the potential
consequences of such integration and utilization.
13. Where project activities seek to facilitate commercial use of Cultural Heritage by relevant
communities as an option for them to consider (including alternative livelihood development), UNDP
projects ensure that communities are informed of their rights and the options available to them.
74 See earlier footnote listing relevant conventions.
29
Project activities that envisage supporting specific commercial activities involving Cultural Heritage
will not proceed without meaningful, effective participation of affected communities and unless
good faith negotiations with affected communities result in a documented outcome that provides
for fair and equitable sharing of benefits from such commercial use and appropriate mitigation and
safeguarding measures per the mitigation hierarchy. The project will seek to ensure that any such
commercial use does not distort the meaning and purpose of the community’s Cultural Heritage.75
For projects that propose to utilize Cultural Heritage of indigenous peoples, the requirements of
Standard 6: Indigenous Peoples also apply.
14. Intangible Cultural Heritage: UNDP projects ensure respect for the dynamic and living nature of
intangible Cultural Heritage and the right of communities, groups and, where applicable, individuals
to continue the practices, representations, expressions, knowledge and skills necessary to ensure
the viability of their intangible Cultural Heritage. Where projects may involve or affect intangible
Cultural Heritage, they will ensure the meaningful participation of concerned parties in identifying
risks and impacts to their intangible Cultural Heritage—including its decontextualization,
commodification and misrepresentation—and in determining appropriate mitigation and
safeguarding measures. This includes in the identification, inventorying, documentation, research,
preservation, protection, promotion, enhancement, transmission, and revitalization of the various
aspects of such heritage.
15. Legally protected Cultural Heritage areas: UNDP projects identify and avoid adverse impacts to
legally protected Cultural Heritage areas; comply with defined national or local Cultural Heritage
regulations, protected area management plans and/or conservation master plans; consult area
sponsors and managers, local communities, local governments, local and national heritage
authorities and other key stakeholders; and implement additional programs, as appropriate, to
enhance conservation aims of those areas. A Heritage Impact Assessment may be necessary,
particularly for sites with an international designation such as cultural World Heritage sites.
Further Provisions for Specific Types of Cultural Heritage

16. Archaeological sites and materials: Where there is evidence or high probability of past human
activity in the project area, UNDP projects require desk-based research and field surveys to
document, map and investigate archaeological remains, document location and characteristics of
sites and materials discovered during the project cycle, provide documentation to Cultural Heritage
authorities, and provide documentation, with guidance on due obligations, to relevant authorities
undertaking project activities (e.g. departments of waterworks, agriculture, tourism, transportation
and energy). Projects will determine in consultation with Cultural Heritage experts whether
discovered material requires (a) documentation only, (b) excavation and documentation, or (c)
conservation in place (in situ); and will ensure management of the site accordingly. Most
archaeological features are best protected by preservation in situ. If not possible, the transfer of the
Cultural Heritage to another location shall be conducted in consultation with and agreement of
project-affected people and appropriate national partners, in accordance with good international
75For projects that also propose utilization of genetic resources, see Standard 1 requirements regarding upholding
provisions of the Convention on Biological Diversity and its Nagoya Protocol.
30
practice. UNDP projects will determine ownership and custodial responsibility for discovered
material. Until custody is transferred, UNDP will ensure identification, conservation, labeling, secure
storage and accessibility for study and analysis.
17. Built heritage: UNDP projects identify appropriate mitigation measures to address potential impacts
on built heritage, which may include (a) documentation; (b) conservation or rehabilitation in situ;
and/or (c) relocation, reconstruction and conservation or rehabilitation. Most built heritage features
are best protected by preservation in situ. If not possible, then the transfer of the Cultural Heritage
to another location shall be conducted in consultation with and agreement of project-affected
people, in accordance with good international practice. During any rehabilitation, UNDP projects
maintain authenticity of form, construction materials and techniques of structures according to laws,
regulations and good international practice. UNDP projects preserve physical and visual context of
individual or groups of historic structures by considering appropriateness and effect of supported
infrastructure proposed for the location within sight range.
18. Landscapes and natural features with cultural significance: UNDP projects identify through research
and consultation with affected persons and communities the landscape elements and natural
features with cultural significance, the people that value such elements and features, and individuals
or groups with authority to represent and negotiate regarding their location, protection, and use.
Landscapes and natural features derive much of their significance from their location and their
holistic environmental context, and often can only be protected by preservation in situ. UNDP
projects preserve physical and visual integrity of landscapes by considering appropriateness and
effect of project activities (e.g. infrastructure) proposed for the location within sight range. In cases
where natural features can physically be relocated and cannot be preserved in situ, their transfer to
another location is conducted with participation and agreement of project-affected people, in
accordance with good international practice. Project activities and any agreement reached regarding
the transfer of natural features shall respect and enable continuation and transmission of the
traditional practices associated with the landscape elements and natural features. See also Standard
1 regarding conservation of biodiversity and maintenance of ecosystem services.
19. Movable Cultural Heritage: UNDP projects include measures to guard against theft and illegal
trafficking of movable Cultural Heritage (e.g. books, paintings, sculptures, costumes, jewelry,
textiles) and artefacts stored and displayed in museums (or their equivalent) that are affected by
project activities and notify relevant authorities if any such activity occurs. UNDP projects identify
items that may be endangered and make provision for their protection throughout the project cycle.
UNDP projects inform religious or secular authorities or other responsible Cultural Heritage
custodians of project activities, schedule and alert them regarding potential vulnerability of movable
Cultural Heritage items.
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Standard 5: Displacement and Resettlement
Introduction
1. UNDP seeks to avoid physical and economic displacement in its projects. In exceptional
circumstances and where avoidance is not possible, displacement may occur only with full
justification, appropriate forms of legal protection and compensation, and according to the following
requirements.
2. Activities that involve physical and economic displacement, including through land acquisition or
restrictions on land use or access to resources, pose impoverishment risks. Potential impacts may
include loss of livelihoods, homelessness, food insecurity, social cohesion, well-being and other
adverse impacts. These impacts may lead to social unrest and political instability.
Objectives
• To recognize and respect the prohibition on forced evictions
• To anticipate and avoid, or, when avoidance is not possible, minimize adverse social and
economic impacts from land or resource acquisition or restrictions on land or resource use
• To enhance and restore the livelihoods of all displaced persons, and to improve the
standards of living and overall socioeconomic status of displaced poor and other displaced
groups and to support efforts to progressively realize the rights to adequate housing and
adequate standards of living for displaced populations
• To ensure that resettlement activities are planned and implemented collaboratively with the
meaningful and informed participation of those affected
categorization process. It applies to all UNDP activities that may involve physical displacement (i.e.
relocation or loss of shelter), whether full or partial and permanent or temporary, or economic and
occupational displacement (i.e. loss of assets or access to assets that leads to loss of income sources
or means of livelihood) as a result of project-related land or resource acquisition or restrictions on
land use or access to resources (including through project externalities such as pollution and impacts
to biodiversity or ecosystem services) that people depend on for physical, economic, social, cultural,
or spiritual well-being.
4. This Standard also applies to displacement activities occurring for associated facilities, displacement
activities significantly related to the project, and displacement activities that have occurred in
anticipation of a UNDP project.76
5. The Standard does not apply to voluntary, legally recorded market transactions in which the seller is
fully informed about available choices and has the genuine right to retain the land and refuse to sell
76As part of UNDP’s commitment to ensure that potential cumulative impacts of multiple projects in a given area or
landscape are identified and addressed, UNDP may require that impacts of displacement activities being planned or
carried out contemporaneously with the project are also addressed.
32
it.77 However, if the sale may displace people other than the seller, who occupy, use, or claim rights
to the land in question, then these requirements shall apply. The Standard also does not apply to
restrictions of access to natural resources under community-based natural resource management
arrangements (e.g. the establishment of a community conserved area) where the relevant
community decides to restrict its own access to these resources based on an appropriate
community-decision making process that reflects voluntary, informed consensus.
6. For displacement and resettlement activities that may impact indigenous peoples, Standard 6:
Indigenous Peoples shall also apply. This Standard shall be interpreted in a manner to be consistent
with Standard 6.
Requirements
7. Prohibit forced evictions, allowing evictions in exceptional circumstances only: Prohibit forced
evictions in all supported activities. Forced eviction is defined here as the permanent or temporary
removal against their will of individuals, families or communities from the homes and/or land which
they occupy, without the provision of, and access to, appropriate forms of legal or other protection.
Forced evictions constitute gross violations of a range of internationally recognized human rights.78
Any evictions that may be associated with project activities shall occur only in exceptional
circumstances and be carried out lawfully with full justification and meet all of the following criteria:
(a) authorized by national law; (b) carried out in full accordance with relevant provisions of
international human rights and humanitarian law; (c) undertaken solely for the purpose of
promoting the general welfare; (d) are reasonable and proportional, and (e) follow due process
standards and are regulated so as to ensure full and fair compensation and rehabilitation. The
protection provided by the requirements herein applies to all affected persons and groups,
irrespective of whether they hold title to home and property under domestic law.
8. Avoid, minimize and mitigate physical and economic displacement: UNDP projects seek to avoid
physical and economic displacement, and minimize and mitigate displacement impacts and inherent
risks when displacement cannot be avoided. To this end, projects that may involve displacement79
include the following measures and others identified as necessary:
a. As part of the social and environmental assessment, consider all feasible project
alternatives and measures to avoid displacement. Where a comprehensive options
assessment, including the “no action” option, indicates that displacement is
unavoidable, minimize its potential scale and demonstrate that any project-related land
acquisition and/or restrictions on land use are limited to direct project requirements.
77 Due diligence is required to ensure that the seller truly has the right to retain the land and is not compelled to sell it
and that the accepted price is in line with the existing replacement cost. This may involve reviewing relevant
agreements and meeting relevant parties.
78 See UN Committee on Economic, Social and Cultural Rights, General Comment No. 7: The right to adequate housing
(Art. 11(1): Forced evictions (1997). Forced evictions are also prohibited by the UN Basic Principles and Guidelines on
Development-based Evictions and Displacement (2007). See also UN Habitat/OHCHR, Forced Evictions, Fact Sheet No.
25/Rev.1 (2014).
79 Including activities undertaken by third parties (e.g. contractors) engaged by UNDP-supported projects that may
lead to physical or economic displacement.
33
b. Where displacement cannot be avoided, utilize experienced professionals in establishing
baseline information, designing displacement activities and assessing potential risks and
impacts. Identify potentially affected persons, lands, and assets through census, socio-
economic surveys and evaluations, and asset inventories, including claims of affected
groups not present as part of census (e.g. seasonal resource users). Clarify the tenure
rights and relationships of potentially affected persons to affected lands and resources,
including recognition of customary rights and collective or communal forms of land
tenure.
c. Where potential displacement may be significant undertake an Environmental and
Social Impact Assessment (ESIA) to assess potential environmental and social impacts of
the proposed land acquisition and/or restrictions on land and/or resource use and
potential impacts on host communities. Pay particular attention to the needs of directly-
affected persons who are marginalized and disadvantaged. Risks posed by natural and
human-made hazards should be considered and minimized in the selection of any
potential resettlement sites or alternative livelihood areas. Where potential
displacement may be minimal, an ESIA may not be required and negotiated settlements
may be reached that provide fair and just compensation for lost assets in accordance
with the requirements herein.
d. Public dissemination in accessible form and language of a written justification for the
displacement activity and public disclosure of an action plan (e.g. Resettlement Action
Plan, Livelihood Action Plan) sufficiently in advance of displacement activities.80
e. Access to effective remedies and to timely and affordable expertise, including legal
counsel, to provide an understanding of rights and options.
f. Effective and informed consultations with affected populations and good faith efforts to
secure negotiated settlements, even when expropriation options are available.
g. Ex-post evaluation of livelihood levels to examine if objectives of this Standard were
met.
9. Develop plans for displacement: When physical displacement or economic displacement is

unavoidable, UNDP integrates into the project documentation an action plan that has been
developed transparently with the individuals and communities to be displaced, and meets the
objectives and requirements of this Standard.
10. Action plans to address displacement impacts are proportionate to the risks and impacts associated
with project activities. The degree of potential impacts is largely determined by the scope of physical
and economic displacement and the vulnerability of affected persons.
11. A Resettlement Action Plan will typically be developed for physical displacement and a Livelihood
Action Plan for economic displacement (noting that a combined plan may also be required).
Displacement activities may also at times be conceptualized as a community development plan.
Where the specific locations and magnitude of potential land acquisition and restrictions of land use
80The UN Basic Principles and Guidelines on Development-Based Evictions and Displacement calls for at least 90 days’
notice prior to the date of displacement.
34
are not fully known during preparation of project activities, a Resettlement or and/or Livelihood
planning framework is required that specifies how further specific action plans will be developed
once project components are defined and assessed. In all cases, action plans addressing project-
related displacement impacts are to address the requirements of this Standard.
12. Where impacts on the entire displaced population are minor, an abbreviated action plan may be
developed that establishes eligibility criteria for affected persons; compensation procedures and
standards at full replacement cost designed at a minimum to restore affected persons assets and
livelihoods; and arrangement for participation and collaboration of affected persons. Impacts are
considered “minor” if affected persons are not physically displaced, are relatively few in number,
and if activities involve minor land acquisition (affecting less than 10 percent of productive assets)
and do not have significant livelihood impacts.
13. Action plans for activities involving physical displacement or economic displacement with significant
social and economic impacts on affected persons are to provide sufficient resources and
opportunities to enable displaced persons to benefit directly from programming activities with the
aim to improve affected persons livelihoods and living standards in real terms compared to pre-
displacement levels or to levels prevailing prior to the start of implementation, whichever is higher.
Such plans will at a minimum address the following relevant elements, taking into account the full
social and economic costs to displaced persons:
• Establish eligibility criteria, cutoff dates, and entitlements for all categories of affected
persons;
• Provide (a) fair and just compensation at full replacement cost (based where relevant on the
cost of replacement at resettled sites and locations) prior to displacement for any losses of
personal, real or other property or goods, noting that compensation and support may be
collective in nature; (b) transitional support (both financial and in-kind) based on reasonable
estimates of the time required to restore and improve income-earning capacity, production
levels, and standards of living; and (c) development assistance such as land development,
credit facilities, direct benefits, training or employment opportunities, and provision of
expertise, as appropriate. The combination of compensation, transitional support and
development assistance will seek to improve pre-displacement productive capacity and
earning potential of displaced persons;
• Provide to displaced individuals and communities secure access to necessary services,
shelter, food, water, energy, and sanitation, as applicable;
• Consider gender aspects, recognizing women and men as co-beneficiaries and providing
single women with their own compensation; and
• Ensure impoverished individuals and marginalized or disadvantaged persons and groups are
provided equal access to programming benefits and resources.
14. Physical displacement: Where project activities involve physical displacement, the action plan shall
address the following additional elements:
35
• Specify the resettlement options chosen by displaced persons, respecting preferences to
relocate in pre-existing communities wherever possible, and document all transactions;
• Provide a choice of replacement property with secure tenure81 of higher value and better
characteristics wherever possible82 for affected persons or communities with formal land
rights or recognizable claims.83 Land-based resettlement strategies are utilized when
affected livelihoods are land-based or where land is collectively owned;84
• Ensure resettlement sites provide adequate housing with improved living conditions,
necessary civic infrastructure and services. For housing to be adequate, it must, at a
minimum, meet the following criteria: providing security of tenure; availability of services,
materials, facilities and infrastructure; affordability; habitability; accessibility; location; and
cultural adequacy; 85
• For affected persons without formal land rights or recognizable claims, compensate for loss
of assets other than land (e.g. dwellings, other improvements) at full replacement costs,
provide resettlement assistance in lieu of compensation for land sufficient to restore living
standards at an adequate alternative site, and provide arrangements to allow them to obtain
adequate housing with security of tenure so they can resettle without facing the risk of
forced eviction;
• Stipulate that compensation is not required for encroachers after the established cut-off
date, provided that the date has been well publicized.
15. Economic displacement: Where project activities involve economic displacement with significant
social and economic impacts, the action plan shall address the following additional elements:
• Ensure compensation covers all commercial losses (including costs of transfer and re-
establishing commercial activity, lost net income during transition, lost employee wages) and
for other assets such as crops, irrigation infrastructure or other improvements to affected
areas;
• Provide replacement property of improved value where legitimate tenure rights (both
formal and informal) are restricted. Provide replacement agricultural sites of superior
productive potential wherever possible, including through investments in increasing
productivity. If it is clearly demonstrated that replacement land and resources are
81 Security of tenure means that resettled individuals or communities are resettled to a site that the can legally
occupy, where they are protected from the risk of eviction and where the tenure rights provided to them are socially
and culturally appropriate. Activities that involve physical displacement should adhere to the Voluntary Guidelines on
the Responsible Governance of Tenure of Land, Fisheries and Forests (VGGT).
82 Replacement property must at a minimum be of equal value of lost assets, with additional investment provided by
supported activities to improve its value and characteristics.

83 It may be appropriate to negotiate in situ land development arrangements whereby displaced persons or
communities accept partial loss of land for improvements that increase property value.
84 Cash compensation for replacement property and assets is discouraged. Payment of cash compensation for lost
land and other assets may be appropriate where livelihoods are not land-based or livelihoods are land-based but the
land taken is a small fraction of the affected asset and the residual land is economically viable.
85 See OHCHR/UN Habitat, The Right to Adequate Housing, Fact Sheet 21/Rev. 1.
36
unavailable, offer cash compensation at full replacement cost and options and support for
alternative income earning with evidence of mutual agreement;
• Compensate economically displaced persons who are without legally recognizable claims to
land for lost assets other than land (e.g. crops, irrigation infrastructure, other improvements
made to the land), at full replacement cost;
• Where displaced livelihoods are natural resource based, offer replacement land and access
to alternative resources with a combination of productive potential, locational advantage,
and other factors with improved livelihood-earning potential and accessibility, wherever
feasible. Provide alternative income earning opportunities and support if it is demonstrably
not possible to provide replacement land and resources;
• If the programming activities restrict access to resources in legally designated parks or
protected areas or other common property resources, establish a collaborative process with
affected persons and communities to negotiate and determine appropriate restrictions and
mitigation measures to improve affected livelihoods while maintaining the sustainability of
the park or protected area.
16. Addressing prior displacement: When displacement has occurred in anticipation of a UNDP project,
requirements of this Standard apply. When an unoccupied site from which prior residents were
displaced is provided for a project, but not in anticipation of a project, UNDP shall determine if
requirements of this Standard were met and, if not, if corrective action is feasible. If corrective
action is feasible and would improve the standard of living of the displaced persons, UNDP ensures
that corrective measures are pursued prior to, or if not feasible, then during implementation of the
project.
17. Monitoring and completion analysis: UNDP projects with significant displacement impacts provide
for independent monitoring by qualified experts of implementation of any action plans. Directly-
affected persons are consulted on implementation of plans and collaborative monitoring with
affected persons and communities is considered. Projects with significant displacement impacts
prepare periodic monitoring reports and inform affected persons about monitoring results. A long-
term monitoring plan is developed to assess impacts on standards of living of displaced persons and
whether objectives of action plans have been achieved, taking into account baseline conditions.
Project activities involving displacement are not considered complete until adverse impacts are
addressed and plans are fully implemented. Utilizing experienced independent experts, undertake a
completion analysis of whether livelihoods and living standards of affected persons were improved
or at least restored, and where necessary, propose corrective actions.
37
Standard 6: Indigenous Peoples
Introduction
1. Indigenous peoples, as distinct people, are equal to all other peoples. Indigenous individuals and
indigenous peoples or communities are entitled to enjoy and exercise their human rights without
discrimination. Indigenous peoples possess collective human rights which are indispensable for their
existence, well-being and development as peoples. The special relationship that indigenous peoples
have with their lands, territories, resources, and Cultural Heritage is integral to their physical,
spiritual and cultural survival.
2. The promotion and protection of the rights of indigenous peoples, especially concerning their lands,
territories, resources, traditional livelihoods, tangible and intangible Cultural Heritage, are necessary
to achieve UNDP’s goals of advancing human rights, respecting indigenous peoples identities and
improving their well-being.
Objectives
• To recognize and foster full respect for indigenous peoples’ human rights as recognized
under Applicable Law, including but not limited to their rights to self-determination, their
lands, resources and territories, traditional livelihoods and cultures
• To support countries in their promotion and protection of indigenous peoples' rights,
through implementation of domestic laws, policies, and project activities consistent with the
State's human rights obligations
• To ensure that UNDP projects that may impact indigenous peoples are designed in a spirit of
partnership with them, with their full and effective participation, with the objective of
securing their free, prior, and informed consent (FPIC) where their rights, lands, territories,
resources, traditional livelihoods may be affected
• To promote greater control and management by indigenous peoples over developments
affecting them, including their lands, resources and territories, ensuring alignment of
projects with indigenous peoples’ distinct vision and self-identified development priorities
• To avoid adverse impacts on the rights of indigenous peoples, their lands, territories,
resources, to mitigate and remedy residual impacts, and to ensure provision of just and
equitable benefits and opportunities for indigenous peoples in a culturally appropriate
manner
3. The applicability of this Standard is established during the social and environmental screening,
categorization and assessment process. This Standard applies to all projects that may affect the
human rights, lands, natural resources, territories, Cultural Heritage and/or traditional livelihoods of
indigenous peoples regardless of whether (i) the project is located within or outside of the lands and
territories inhabited by the indigenous peoples in question, (ii) a title is possessed by the affected
indigenous peoples over the lands and territories in question, or (iii) the indigenous peoples are
recognized as indigenous peoples by the country in question.
38
Requirements
4. Respect for domestic and international law: UNDP does not participate in a project that violates the
human rights of indigenous peoples as affirmed by Applicable Law and the United Nations
Declaration on the Rights of Indigenous Peoples (UNDRIP).86 UNDP ensures that social and
environmental assessments for projects involving indigenous peoples include an assessment of their
substantive rights, as affirmed in Applicable Law.
5. Identification of indigenous peoples: There is no one universally accepted definition of indigenous

peoples. For purposes of this Standard, "indigenous peoples" refers to distinct collectives, regardless
of the local, national and regional terms applied to them, 87 who satisfy any of the more commonly
accepted definitions of indigenous peoples.88 These definitions include, among other factors,
consideration of whether the collective: has pursued its own concept and way of human
development in a given socio-economic, political and historical context; has tried to maintain its
distinct group identity, languages, traditional beliefs, customs, laws and institutions, worldviews and
ways of life; has exercised control and management of the lands, territories and natural resources
that it has historically used and occupied, with which it has a special connection, and upon which its
physical and cultural survival as indigenous peoples typically depends; self-identifies as indigenous
peoples; and/or pre-dates those who colonized the lands within which the collective was originally
found or of which it was then dispossessed. When considering the factors above, no single one shall
be dispositive. Indigenous peoples include those indigenous peoples who have lost access to lands,
territories or resources because of forced severance, conflict, government resettlement,
dispossession, natural disasters, or incorporation of lands into urban areas, but that still maintain
collective attachment to those lands, territories and/or resources (regardless of their present
physical location).
6. Land, territories and resources: UNDP projects recognize that indigenous peoples have collective
rights to own, use, and develop and control the lands, territories and resources that they have
traditionally owned, occupied or otherwise used or acquired, including lands and territories for
which they do not yet possess title. Project activities that may undermine or inadvertently weaken
such rights are avoided. If the project involves activities that are contingent on establishing legally
recognized rights to lands, resources, or territories that indigenous peoples have traditionally
owned, occupied or otherwise used or acquired, then an action plan is developed to outline the
steps and timetable for achieving legal recognition of such ownership, occupation, or usage (see
86 This requirement is consistent with UNDP's obligations as per Article 42 of UNDRIP, which provides that the "United
Nations, its bodies, including the Permanent Forum on Indigenous Issues, and specialized agencies, including at the
country level, and States shall promote respect for and full application of the provisions of this Declaration and follow
up the effectiveness of this Declaration." See UN Declaration on the Rights of Indigenous Peoples, available at
http://undesadspd.org/IndigenousPeoples/DeclarationontheRightsofIndigenousPeoples.aspx.
87 For example, "tribal people", "first peoples", "scheduled tribes", "pastoralist", "hill people."
88 Including but not limited to those provided for in the Convention concerning Indigenous and Tribal Peoples in
Independent Countries (ILO Convention No. 169), the Study on the Problem of Discrimination against Indigenous
Populations (the “Martínez Cobo Study”), and the Working Paper on the Concept of “Indigenous People” prepared by
the Working Group on Indigenous Populations.
39
paragraph 16 below).89 In such cases, UNDP, with the consent of the relevant authority or
implementing partner, supports such activities aimed at delimiting, demarcating and titling such
lands, territories and resources, with due respect to the customs, traditions and land tenure systems
of the indigenous peoples concerned.90
7. Legal personality:91 UNDP recognizes that indigenous peoples' right to legal personality is critical to
the protection, respect and fulfillment of their human rights. If a UNDP project involves activities
that are contingent on the recognition of such legal personality, and such legal personality is not
provided for in national laws consistent with the norms, values and customary laws of the peoples
concerned, the action plan (see paragraph 16 below) outlines the steps and timetables for securing
such recognition. In such cases, UNDP, with the consent of the relevant agency or implementing
partner, supports such activities aimed at achieving such recognition.
8. Involuntary resettlement: No project supported by UNDP will result in the forcible removal of
indigenous peoples from their lands and territories.
9. Relocation: No relocation of indigenous peoples will take place without the free, prior and informed
consent (FPIC) of the indigenous peoples concerned and only after agreement on just and fair
compensation and, where possible, with the option of return. Without prejudice to this
requirement, for further guidance see the Standard 5: Displacement and Resettlement.
10. Full, effective and meaningful participation and FPIC: At the earliest stage of project
conceptualization and design, and iteratively throughout implementation and closure, mechanisms
are identified and implemented to guarantee the meaningful, effective and informed participation of
indigenous peoples on all matters. Culturally appropriate consultation are carried out with the
objective of achieving agreement and FPIC is ensured on any matters that may affect—positively or
negatively—the indigenous peoples’ rights and interests, lands, territories (whether titled or untitled
to the people in question), resources, traditional livelihoods, and/or tangible and intangible Cultural
Heritage. This includes any potential relocation and activities proposing the development, utilization
or exploitation of mineral, forest, water or other resources on lands and territories traditionally
owned, occupied or otherwise used or acquired by indigenous peoples, including lands and
territories for which they do not yet possess title. Project activities that may adversely affect the
89 Legal recognition as discussed in paragraphs 6 and 7 is not a pre-requisite to the approval or implementation of all
project activities. However, the term “contingent" in these two paragraphs is to be understood to mean where in the
absence of such recognition and as a result of implementation of project activities there is a likelihood of adverse
impacts to the rights, lands, resources and territories of indigenous peoples.
90 See the Voluntary Guidelines on the Responsible Governance of Tenure of Land, Fisheries and Forests (VGGT).
91 Legal personality of an indigenous people is not to be confused with the identification of indigenous peoples in
paragraph 5. Legal personality refers to whether an individual or an entity that is legally formed and recognized under
Applicable Law has the rights to sue, be sued and to contract. The lack of legal personality of indigenous peoples may
prevent them from entering into binding agreements or holding title to lands. A group may be recognized by a State
as an indigenous people, but still lack formal recognition of its 'legal personality' under the laws of that State.
40
existence, value, use or enjoyment of indigenous lands, territories or resources are not conducted
unless agreement has been achieved through the FPIC process.92 93
11. Documentation: Engagement processes with indigenous peoples require at a minimum

documentation of (i) a mutually accepted process to carry out good faith negotiations, (ii) outcomes
of good faith negotiations, including all agreements reached as well as disagreements and dissenting
views, and (iii) efforts aimed at accommodating indigenous peoples’ expressed interest and concerns
in the final programming design.
12. Prior social and environmental impact study: All projects that may impact the rights, lands,
territories and resources of indigenous peoples require prior review and/or assessment of potential
impacts and benefits.94 Such reviews and assessments will be conducted transparently and with the
full, effective and meaningful participation of the indigenous peoples concerned. The perspective of
the indigenous peoples concerned is a critical starting point for impact assessment and the
indigenous peoples concerned will have ample opportunities as early as possible to participate in the
assessment and development of avoidance and mitigation measures. Indigenous and traditional
knowledge is a valuable resource for identifying and addressing potential risks, including hazards and
disaster risks, and should be incorporated throughout the project cycle. Projects with potentially
significant adverse impacts require a full social and environmental assessment conducted by an
independent and capable entity.95 Assess all potential direct, indirect, social, cultural, spiritual
environmental impacts on indigenous peoples, including potential impacts on their rights, lands,
territories, and resources.96 Review of all substantive rights, property interests, tenurial
arrangements, and traditional resource usage may be required. Avoid adverse impacts on
indigenous peoples to the maximum extent possible, including exploration of alternative
programming strategies, designs and locations or consideration of not proceeding with the activities.
92 UNDP seeks to provide technical and financial support to the indigenous peoples concerned in order to increase the
awareness of their rights and strengthen their participation in accordance with their own norms, values and customs
and through representatives designated by them.
93 To guide in the implementation of this requirement, UNDP will encourage Implementing Partners and relevant
authorities to refer to the SES Guidance Note Standard 6 Indigenous Peoples in the SES Toolkit.
94 For projects without adverse impacts on rights, lands, resources and territories of indigenous peoples but which still
affect indigenous peoples, UNDP ensures that such projects are reviewed to identify any potential other impacts.
Reviews may take the form of a limited social and environmental impact assessment, social assessment, or mitigation
and management plan.
95 Where the American Convention on Human Rights is applicable, such study will be conducted by an independent
and capable entity as per the Inter-American Court of Human Rights. This requirement is consistent with the decision
of the Inter-American Court of Human Rights interpreting the American Convention. See Saramaka People v.
Suriname. Preliminary Objections, Merits, Reparations and Costs. Judgment of 28 November 2007, Series C No. 172,
at para. 129, available at: http://www.corteidh.or.cr/docs/casos/articulos/seriec_172_ing.pdf.
96 See Convention on Biological Diversity: The Akwé: Kon Voluntary Guidelines for the Conduct of Cultural,
Environmental and Social Impact Assessments Regarding Developments Proposed to Take Place on, or which are
Likely to Impact on, Sacred Sites and on Lands and Waters Traditionally Occupied or Used by Indigenous and Local
Communities (CBD Decision VII/16). The Guidelines provide advice on how to incorporate cultural, environmental
(including biodiversity-related), and social considerations of indigenous and local communities into new or existing
impact-assessment procedures, to ensure appropriate development. They support the full and effective participation
of indigenous and local communities in screening, scoping and development planning exercises, taking into account
their traditional knowledge, innovations and practices.
41
Where avoidance of adverse impacts is not possible, minimize and mitigate residual impacts in a
culturally appropriate manner per the mitigation hierarchy.
13. Appropriate benefits: UNDP ensures that arrangements, evidenced in a documented outcome, are
concluded with indigenous peoples for the equitable sharing of benefits to be derived by the project
in a manner that is culturally appropriate and inclusive giving full consideration to options preferred
by the indigenous peoples concerned. The provision of compensation and benefits takes into
account the institutions, rules, and customs of affected indigenous peoples and may occur on a
collective basis with mechanisms for effective distribution of benefits to all members of affected
groups, as far as practical. Indigenous peoples affected by project activities should share equitably in
benefits derived from any commercial development of indigenous peoples’ lands, territories or
resources or from the use or development of indigenous peoples’ Cultural Heritage.
14. Support rights implementation: UNDP projects are conducted in a manner consistent with UNDP’s
commitment to support countries to implement their duties and obligations under domestic and
international law regarding the rights of indigenous peoples, including relevant treaty obligations.
Without prejudice to paragraphs 6 and 7 above, whenever possible, and at the request of the
relevant government, projects will include activities that support legal reform of domestic laws to
strengthen compliance with the country’s duties and obligations under international law with
respect to the rights of indigenous peoples, and these steps and timetable are included in the
Indigenous Peoples Plan.
15. Special considerations:
a. Gender: While respecting the norms, values and customs of the indigenous peoples and
communities concerned, UNDP ensures that projects which may affect or involve indigenous
peoples pay particular attention to the rights and special needs of women and girls, do not
discriminate against women and girls and ensure that women and girls have equal
opportunities to participate and benefit.
b. Vulnerable and marginalized indigenous peoples: Particular attention is paid to the rights
and special needs of indigenous elders, youth, children, persons with disabilities, including
consideration of special measures to improve their participation in decision-making and their
general well-being.
c. Uncontacted and voluntarily isolated indigenous peoples: Where projects may directly or
indirectly impact uncontacted or voluntarily isolated indigenous peoples, their lands,
territories, resources, or their way of life, this Standard requires that such projects respect
and protect the right of these peoples to remain in isolation and to live freely in that
condition according to their culture. Such projects include the appropriate necessary
measures to (i) safeguard the collective and individual physical, territorial, and cultural
integrity of these peoples, (ii) recognize, respect and protect their lands and territories,
environment, health and culture, and (iii) prohibit and therefore avoid contact with them as a
direct or indirect consequence of the project. Where relevant, UNDP supports countries to
regularize the lands and territories of these peoples and establish buffer zones, to limit
42
access to such territories, and to develop monitoring and emergency response measures,
making avoidance of contact a priority.
d. Cultural Heritage: UNDP respects, protects, conserves and does not take or appropriate the
cultural, intellectual, religious and spiritual property of indigenous peoples without their
free, prior and informed consent. If indigenous peoples affected by project activities hold the
location, characteristics or traditional use of Cultural Heritage in secret, measures to
maintain confidentiality are put in place.97 Without prejudice to this requirement, Standard
4: Cultural Heritage applies where Cultural Heritage of indigenous peoples may be affected
by a project.
16. Indigenous Peoples Plan: If it is determined that the proposed project may affect the rights, lands,
resources or territories of indigenous peoples, an "Indigenous Peoples Plan" (IPP) or “Indigenous
Peoples Plan Framework” is elaborated and included in the project documentation.98 This plan is
developed in accordance with the effective and meaningful participation of indigenous peoples and
in accordance with UNDP Guidelines.99 The IPP is integrated into the design and implementation of
the project. It must have a level of detail proportional to the complexity of the nature and scale of
the proposed project and its potential impacts on indigenous peoples and their lands, territories,
resources, traditional livelihoods, and/or Cultural Heritage. The IPP identifies potential risks and
impacts, risk avoidance and mitigation measures, and specifies measures for provision of culturally
appropriate benefits, continued consultation and participation processes, grievance procedures,
monitoring and evaluation procedures, and a budget and financial plan for implementing agreed
measures. Where programming activities are designed solely to benefit indigenous peoples, a
separate action plan may not be required, provided that programming documentation addresses the
above elements. In no case shall project activities that may adversely affect indigenous peoples,
including the existence, value, use or enjoyment of their lands, resources or territories take place
before the action plan is carried out.
17. Monitoring: With the meaningful collaboration and contributions of indigenous peoples, methods
are developed and implemented for verifying and reporting that the project has been designed and
implemented in a manner consistent with this Standard. Transparent participatory monitoring
arrangements are put in place wherein indigenous peoples will jointly monitor project
implementation with the implementing partner.
97 See Convention on Biological Diversity: The Tkarihwaié:ri Code of Ethical Conduct to Ensure Respect for the Cultural
and Intellectual Heritage of Indigenous and Local Communities (CBD Decision X/42).
98 An Indigenous Peoples Planning Framework may be required in cases where specific activities and locations have
not yet been determined.

99 See the UNDP SES Guidance Note Standard 6 Indigenous Peoples in the SES Toolkit.
43
Standard 7: Labour and Working Conditions
Introduction
1. The pursuit of inclusive and sustainable economic growth, full and productive employment and
decent work for all requires the protection of workers’ fundamental rights, their fair treatment, and
the provision of safe and healthy working conditions. Project activities seek to enhance employment
promotion benefits, development outcomes and sustainability by ensuring sound worker-
management relationships and cooperation in their design and implementation. The SES
requirements have been guided by a number of international conventions and instruments,
including those of the International Labour Organization (ILO) and the United Nations (UN). 100
categorization process. The requirements of this Standard are to be applied in an appropriately-
scaled manner based on the nature and scale of the project, its specific activities, the project’s
associated social and environmental risks and impacts, and the type of contractual relationships with
project workers.
3. The requirements regarding labour and working conditions apply to all project workers, including
full-time, part-time, temporary, seasonal and migrant workers. Project workers are those workers
who work on a project site or perform work related to the core functions101 of the project regardless
of location, including those workers employed or engaged by third parties102 (see paragraphs 29-31)
and the project’s primary suppliers103 (see paragraphs 32-34).
4. The requirements of this Standard are to be addressed by the party or parties responsible for
implementing the relevant project activities, including implementing partners, responsible parties,
contractors and subcontractors (referred to as “applicable parties” herein).
Objectives
• To promote, respect and realize fundamental principles and rights at work 104 through:
100These conventions (see link) include among others: ILO Convention 87 on Freedom of Association and Protection of
the Right to Organize; ILO Convention 98 on the Right to Organize and Collective Bargaining; ILO Convention 29 on
Forced Labour and Protocol of 2014; ILO Convention 105 on the Abolition of Forced Labour; ILO Convention 138 on
Minimum Age (of Employment); ILO Convention 182 on the Worst Forms of Child Labour; ILO Convention 100 on Equal
Remuneration; ILO Convention 111 on Discrimination (Employment and Occupation); ILO Convention 155 on
Occupational Safety and Health; ILO Convention 161 on Occupational Health Services; UN Convention on the Rights of
the Child, Article 32.1UN Convention on the Protection of the Rights of all Migrant Workers and Members of their
Families.
101 “Core functions” of a project constitute those production and/or service processes essential for a specific activity
without which the project cannot continue.
102 “Third parties” may include contractors, subcontractors, brokers, agents or intermediaries.
103 “Primary suppliers” are those suppliers who, on an ongoing basis, provide directly to the Project goods or materials
essential for the core functions of the Project.

104 ILO Declaration on Fundamental Principles and Rights at Work (1998).
44
o Supporting freedom of association and the effective recognition of the right to collective
bargaining
o Preventing the use of child labour and forced labour
o Preventing discrimination and promoting equal opportunity of workers
• To protect and promote the safety and health of workers
• To ensure applicable parties comply with employment and labour laws, applicable rules and
regulations and international commitments
• To leave no one behind by protecting and supporting workers in disadvantaged and vulnerable
situations, including a special focus, as appropriate, on women workers, young workers, migrant
workers and workers with disabilities
Requirements
5. Terms and conditions of employment: Written labour management procedures are established105
that set out the conditions in which project workers will be employed or engaged and managed, in
accordance with the requirements herein and applicable labour laws, rules and regulations.106 107 The
procedures are appropriate to the size, locations and workforce of project activities.
6. Project workers are provided information and documentation that is clear and understandable
regarding their terms and conditions of employment, including information that sets out their rights
under applicable labour laws, rules and regulations (including any applicable collective agreements),
and their rights related to hours of work, wages, overtime, compensation and benefits, occupational
safety and health and the requirements herein.108 This information and documentation is provided at
the beginning of the working relationship and when any material changes to the terms or conditions
of employment or engagement occur.
7. Project workers are paid on a regular basis as required by applicable labour laws, rules and
regulations.109 Deductions from payment of wages are only made as allowed by human resources
management policies and applicable labour laws, rules and regulations. Project workers are
informed of the conditions under which such deductions will be made. Project workers are provided
with adequate periods of rest per week, annual holiday and sick, maternity and family leave, as
required by applicable labour laws, rules and regulations.
8. Project workers receive written notice of termination of employment and details of severance
payments in a timely manner as required by applicable labour laws, rules and regulations. All wages
that have been earned, social security benefits, pension contributions and any other entitlements
105 Labour management procedures include relevant human resources policies and policies and procedures for the
engagement of contractors.
106 The requirements, whether herein or in national law, that are the most protective of workers shall apply unless the
application of requirements herein would violate national law.

107 For project workers who are employed or engaged by the United Nations and its specialized agencies, conditions
of employment are governed by the respective entity’s internal rules, in accordance with the relevant provisions of
the Convention on the Privileges and Immunities of the United Nations, 1946.
108 Ibid.
109 Ibid.
45
are paid, either directly to the project workers or, where appropriate, for the benefit of the project
workers, with evidence of such payments.
9. Non-discrimination and equal opportunity: Decisions relating to the employment or treatment of

project workers are not made on the basis of personal characteristics unrelated to inherent job
requirements.110 The employment of project workers is based on the principle of equality of
opportunity and treatment, and there shall be no discrimination with respect to any aspects of the
employment relationship, such as recruitment and hiring, compensation (including wages and
benefits), working conditions and terms of employment, access to training, job assignment,
promotion, termination of employment or retirement, or disciplinary practices. Women and men
shall receive equal remuneration for work of equal value. The labour management procedures shall
set out measures to prevent and address violence, harassment, intimidation and/or exploitation.
Where applicable labour laws, rules and regulations are inconsistent with this paragraph, activities
are carried out in a manner that is consistent with these requirements to the extent possible.
10. Neither special measures of protection and assistance to remedy discrimination nor selection for a
particular job based on the inherent requirements of the job are not deemed as discrimination.
11. Appropriate measures of protection and assistance are provided to address the vulnerabilities of
project workers, including specific groups of workers, such as women, persons with disabilities,
migrant workers and young workers.
12. Appropriate measures will be taken to prevent and address any form of violence and harassment,
bullying, intimidation and/or exploitation, including any form of gender-based violence (GBV).
13. Workers organizations: In countries where national law recognizes workers’ rights to form and to
join workers’ organizations of their choosing and to bargain collectively without interference, the
applicable parties subject to national law who have engaged project workers must comply. In such
circumstances, the role of legally established workers’ organizations and legitimate workers’
representatives is respected and they will be provided with information needed for meaningful
negotiation in a timely manner. Where national law restricts workers’ organizations, the applicable
parties subject to national law shall not restrict project workers from developing alternative
mechanisms to express their grievances and protect their rights regarding working conditions and
terms of employment and shall not seek to influence or control these alternative mechanisms. The
applicable parties shall not discriminate or retaliate against project workers who participate, or seek
to participate, in such workers’ organizations and collective bargaining or alternative mechanisms.
14. Forced labour: Forced labour, which consists of any work or service not voluntarily111 performed that
is exacted from an individual under threat of force or penalty, shall not be used in connection with
110 Such as gender, sex, race, colour, nationality, national extraction, political opinion, affiliation or non-affiliation to a
union, ethnic, social or indigenous origin, religion of belief, marital or family status, disability, age, sexual orientation
or gender identity.
111 Work is on a voluntary basis when it is done with the free and informed consent of a worker. Such consent must
exist throughout the employment relationship and the worker must have the possibility to revoke freely given
consent. In particular, there can be no “voluntary offer” under threat or other circumstances of restriction or deceit.
To assess the authenticity of a free and informed consent, it is necessary to ensure that no external constraint or
indirect coercion has been carried out, either by an act of the authorities or by an employer’s practice.
46
the project.112 This prohibition covers any kind of involuntary or compulsory labour, such as
indentured labour, bonded labour, or similar labour-contracting arrangements. No trafficked
persons may be employed in connection with the project activities.113
15. Where cases of forced labour are identified, immediate steps must be taken by the applicable
parties to correct and remedy them.
16. Child labour: Child labour, which consists of employment of children below the minimum age of
employment as defined by the ILO Minimum Age Convention, 1973 (No. 138) and ILO Worst Forms
of Child Labour Convention, 1999 (No. 182), may not be used in connection with or arising from the
project activities.
17. A minimum age for employment shall be specified in connection with the project activities, as
determined by national law for applicable parties subject to national law and consistent with the ILO
Convention No. 138.114
18. Notwithstanding paragraph 16 above, a child under the age of 18 may not perform work in
connection with or arising from the project activities which, by its nature or the circumstances in
which it is carried out, is likely to harm his/her health, safety or morals. Such work is determined by
national laws or regulations or by the competent authority and commonly specified in national lists
of hazardous work prohibited to children. In the absence of such regulations, guidance on hazardous
work to be prohibited in connection with the project should derive from the relevant ILO
instruments.115 In addition, a child under the age of 18 may not, in connection with project activities,
perform work that is likely to interfere with his/her compulsory education or be harmful to his/her
physical, mental, spiritual, moral or social development.
19. Where cases of child labour are identified, immediate steps shall be taken by applicable parties to
correct and remedy them, including the rehabilitation and social integration of the child where
necessary.
20. Occupational safety and health (OSH): Necessary processes and measures that address the safety
and health of project workers shall be in place to support project design, planning and
implementation. These processes and measures may be encompassed and implemented through
112 See the Forced Labour Convention, 1930 (No.29), as well as the Protocol of 2014 to the Forced Labour Convention.
113 Trafficking in persons is defined as the recruitment, transportation, transfer, harboring or receipt of persons by
means of the threat or use of force or other forms of coercion, abduction, fraud, deception, abuse of power, or of a
position of vulnerability, or of the giving or receiving of payments or benefits to achieve the consent of a person
having control over another person, for the purposes of exploitation. Women and children are particularly vulnerable
to trafficking practices.
114To be consistent with the ILO Minimum Age Convention, 1973 (No. 138), the applicable minimum age will not be
less than the age of completion of compulsory schooling and, in principle, not less than 15 years.
115 See ILO Worst Forms of Child Labour Convention, 1999 (No. 182) and ILO Worst Forms of Child Labour
Recommendation, 1999 (No. 190). Examples of hazardous work activities prohibited for children include work: (a)
with exposure to physical, psychological or sexual abuse; (b) underground, underwater, working at heights or in
confined spaces; (c) with dangerous machinery, equipment or tools, or involving handling or transport of heavy loads;
(d) in unhealthy environments exposing children to hazardous substances, agents, or processes, or to temperatures,
noise or vibration damaging to health; or (e) under particularly difficult conditions such as work for long hours, during
the night or in unreasonable confinement on the premises of the employer.
47
the applicable party’s occupational safety and health management system116 or processes and shall
address:
(a) Identification and assessment of potential hazards and risks, particularly those that could result
in serious injury, ill health or death and those identified through worker health surveillance;
(b) Elimination of hazards and minimization of risks through implementation of preventive and
protective measures in the following order of priority: elimination or substitution, engineering and
organizational controls, administrative controls, and where residual hazards and risks cannot be
controlled through these collective measures, provision of personal protective equipment at no
cost to the worker;
(c) Safety and health training, including on the proper use and maintenance of personal protective
equipment, at no cost to workers conducted by competent persons and the maintenance of
training records;
(d) Recording and notification of occupational accidents and incidents and any resulting injuries,
ill health or death;
(e) Emergency prevention and preparedness and response arrangements to emergency situations;
and
(f) Employment injury benefits and/or remedies for adverse impacts such as occupational injuries,
disability, ill health or disease and death. 117
21. All applicable parties who employ or engage project workers shall put in place the above safety and
health processes and measures to prevent and protect workers from chemical, physical, biological
and psychosocial hazards and to establish and maintain safe and healthy workplaces including the
work environment, organization, processes, tools machinery and equipment.118 Such parties actively
consult and collaborate with project workers and promote their understanding and participation in
the implementation of safety and health measures, as well as provide them information, training
and personal protective equipment. Mechanisms are used for consultation and participation of
project workers, such as worker safety representatives or joint worker-management safety and
health committees.
22. Workplace mechanisms are made available for project workers to report work situations that they
believe are not safe or healthy and to remove themselves from a work situation they have
reasonable justification to believe presents an imminent and serious danger to their life or health.
Project workers who remove themselves from such situations are not required to return to work
until necessary remedial action to correct the situation has been taken, and are not retaliated
against or otherwise subject to reprisal or negative action.
23. Project workers are provided with safe and healthy facilities appropriate to the circumstances of
their work, including access to canteens, hygiene facilities, and appropriate areas for rest where
116 ILO Guidelines on Occupational Safety and Health Management systems, 2001. See also United Nations Common
System Occupational Safety and Health Framework, Chief Executives Board, 31 March 2015
117 These would include for example necessary insurance arrangements that ensure access to health benefits and
replacement of loss of earnings in case of a work-related injury, namely in case of death or an illness due to work.
118 See also ILO Conventions 167, 184, and 176 on OSH in Construction, Agriculture and Mining
48
appropriate on the basis of the work performed. Where accommodation services are provided to
project workers, policies are put in place and implemented on the management and quality of
accommodation to protect and promote the health, safety, and well-being of the project workers,
and to provide access to or provision of services that accommodate their physical, social and cultural
needs.
24. Where more than one party are employing or engaging workers and such workers are working
together in one location, the parties who employ or engage the workers shall collaborate in applying
the OSH measures, without prejudice to the responsibility of each applicable party for the safety and
health of its own workers. The design and implementation of OSH measures shall be reviewed and
necessary action taken in the event of significant changes in the working conditions or workers.
25. A process for conducting accident investigations and regular evaluation of preventive and protective
measures and OSH performance shall be put in place and necessary corrective actions adopted
based on the results of such investigations and evaluations.
26. Workplace grievance mechanism: A workplace grievance mechanism (distinct from any general
project-level grievance mechanism) is provided for all project workers (and, where relevant, their
organizations) to raise workplace concerns (including potential violations of existing rights and
entitlements as provided for in legislation, collective agreements, employment contracts and human
resources policies). The mechanism will be easily accessible to project workers who are to be
informed of the grievance mechanism at the time of recruitment and the measures to protect them
against any reprisal for its use.
27. The grievance mechanism shall be designed to address workers’ concerns promptly, using an
understandable, transparent process that provides timely feedback to those concerned in a language
they understand, without any retribution, and shall operate in an independent and objective
manner. The grievance mechanism may utilize existing grievance mechanisms, providing that they
meet the above criteria. Existing grievance mechanisms may be supplemented as needed with
project-specific arrangements.
28. The grievance mechanism shall not impede access to other judicial or administrative remedies that
might be available under applicable laws, regulations or rules or through existing arbitration
procedures, or substitute for grievance mechanisms provided through collective agreements, if
applicable. The mechanism ensures workers’ rights to be present and to participate directly in the
proceedings and to be represented by a trade union, if applicable, or person of their choosing.
29. Contractor/Third Party Workers: Due diligence is conducted to ascertain that third parties who
engage project workers are legitimate and reliable entities and have in place appropriate policies,
processes and systems that allow them to operate in accordance with the minimum requirements
herein.
30. Procedures are established for managing and monitoring the performance of such third parties in
relation to the minimum requirements herein, including incorporation of the minimum requirements
into contractual agreements with such third parties, together with appropriate noncompliance
49
remedies. In the case of subcontracting, third parties are required to include equivalent
requirements and remedies in their contractual agreements with subcontractors.
31. Contractor workers shall have access to a grievance mechanism. Where the third party employing or
engaging the workers is not able to provide an easily accessible grievance mechanism, the grievance
mechanism provided to direct project workers shall be made available.
32. Primary Supplier Workers. Potential risks of violations of primary supplier workers’ fundamental
rights119 and safety and health issues which may arise in relation to primary suppliers (at a minimum)
are to be identified. Roles and responsibilities for monitoring primary suppliers are established. If
child labour or forced labour cases or breaches of other fundamental rights are identified, the
applicable party will require the primary supplier to take appropriate steps to remedy them.
33. Additionally, where primary supplier workers are exposed to hazards that present a risk of serious
injury, ill health or death, the relevant primary supplier is required to have procedures in place to
address such safety and health issues. Such procedures and mitigation measures shall be reviewed
periodically to ascertain their effectiveness.
34. The ability to address these risks shall depend upon the applicable party’s level of control or
influence over its primary suppliers. Where prevention and remedy are not possible, shift the
project’s primary suppliers to suppliers that can demonstrate that they are meeting the relevant
requirements herein. Where there is imminent danger of serious injury, ill health or death to
workers, the applicable party shall exercise its control or influence to stop the operation concerned
until such time as the primary supplier can demonstrate that it can control the hazard in a manner
consistent with the minimum requirements herein.
119Freedom of association and the right to collective bargaining; the abolition of child and forced labour and non-
discrimination and equal opportunity.
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Standard 8: Pollution Prevention and Resource Efficiency
Introduction
1. The Pollution Prevention and Resource Efficiency Standard recognizes that increased industrial
activity, urbanization, and intensive agricultural development often generate increased levels of
pollution120 to air, water, and land, and consume finite resources in a manner that may threaten
people and the environment at the local, regional, and global level. Pollution prevention and
resource efficiency are core elements of a sustainable development agenda and UNDP projects must
meet good international practice in this regard.
2. This Standard outlines a project-level approach to pollution prevention and resource efficiency.
Reduction of greenhouse gas emissions that contribute to climate change is addressed in Standard 2:
Climate Change and Disaster Risks.
Objectives
• To avoid or minimize adverse impacts on human health and the environment by avoiding or
minimizing pollution from project activities
• To promote more sustainable use of resources, including energy, land and water
• To avoid or minimize programming-related emissions of short and long-lived climate
pollutants 121 and ozone-depleting substances122
• To avoid or minimize generation of hazardous and non-hazardous substances and wastes,
and promote a human rights-based approach to the management and disposal of hazardous
substances and wastes123
• To promote safe, effective, environmentally sound pest management
categorization process. Requirements of this Standard apply to projects that (i) aim to improve
existing waste management practices; (ii) generate or cause generation of solid, liquid or gaseous
waste; (iii) use, cause use of, or manage the use, storage or disposal of hazardous materials and
120 For the purposes of this Standard, the term “pollution” refers to both hazardous and nonhazardous pollutants in
the solid, liquid, or gaseous phases, and includes other components such as pests, pathogens, thermal discharge to
water, GHG emissions, nuisance odors, noise, vibration, radiation, electromagnetic energy, and the creation of
potential visual impacts including light.
121 This includes GHGs (see Standard 2 Climate Change and Disaster Risks and black carbon.
122 According to the Scientific Assessment Panel of the Montreal Protocol, an ozone depleting substance (ODS) is a
substance that leads to stratospheric ozone depletion. Under the Montreal Protocol, most of the widely used ODSs
are controlled. These include, among others, chlorofluorocarbons (CFCs), carbon tetrachloride (CCl4), methyl
chloroform (CH3CCl3), halons, methyl bromide (CH3Br) and hydrochlorofluorocarbons (HCFCs).
123 In this regard, due consideration should be given to the Guidelines for good practices in relation to the human
rights obligations related to the environmentally sound management and disposal of hazardous substances and
wastes (2017), prepared by the Special Rapporteur on the implications for human rights of the environmentally sound
management and disposal of hazardous substances and wastes.
51
chemicals, including pesticides; and (iv) that significantly consume or cause consumption of water,
energy, or other resources.
Requirements
4. Pollution prevention: UNDP ensures that projects avoid the release of pollutants, and when
avoidance is not feasible, minimize and/or control the intensity and mass flow of their release. This
applies to the release of pollutants to air, water, and land due to routine, non-routine, and
accidental circumstances. 124 UNDP projects ensure that pollution prevention and control
technologies and practices are applied during the project life cycle, utilizing performance levels and
measures specified in national law or in good international good practice,125 whichever is more
stringent. If less stringent measures (as compared to good international practice) are appropriate,
the project will fully justify the chosen alternative through the assessment process, demonstrating
that the alternative is consistent with these requirements. The technologies and practices applied
will be tailored to the hazards and risks associated with the nature of the project.
5. Upon request, UNDP will support countries to strengthen management and systems for improved
pollution prevention, waste reduction, and chemicals management.126
6. Ambient considerations: To address adverse impacts on existing ambient conditions (such as air,
surface water, groundwater, and soils), a number of factors will be considered, including the finite
assimilative capacity of the environment,127 existing and planned land use, existing ambient
conditions, the project’s proximity to ecologically sensitive or protected areas (see Standard 1), the
potential for cumulative impacts with uncertain and irreversible consequences, and strategies for
avoiding and minimizing the release of pollutants. If the project activities will generate significant
pollutants in already degraded/polluted areas, adopt measures that avoid and minimize potential
negative effects, including potential alternative locations. The project will control runoff of
contaminated water from project sites and ensure polluted wastewater is treated.
7. Wastes: UNDP ensures that projects avoid the generation of hazardous and non-hazardous waste
materials. Where waste generation cannot be avoided, projects reduce the generation of waste—
including plastics—and recover and reuse waste in a manner that is safe for human health and the
environment. Where waste cannot be recovered or reused, it is treated, destroyed, or disposed of in
an environmentally sound manner that includes the appropriate control of emissions and residues
124 Including those covered under the UNECE Convention on Long-range Transboundary Air Pollution, available at
https://unece.org/convention-and-its-achievements.
125 As reflected in internationally recognized standards such as the World Bank Group’s Environmental, Health and
Safety Guidelines, available at http://www.ifc.org/ehsguidelines. These standards contain performance levels and
measures that will normally be acceptable and applicable to projects. When national regulations differ from these
levels and measures, the Implementing Partner will achieve whichever are more stringent. If less stringent levels or
measures are appropriate in view of specific project circumstances, the Implementing Partner will provide full and
detailed justification for any proposed alternatives, provided that such alternatives are consistent with the
requirements of UNDPs SES.
126 For example, assistance with applying the UNDP’s Guide for Integrating the Sound Management of Chemicals into
Development Planning, available at http://www.undp.org/content/undp/en/home/librarypage/environment-

energy/chemicals_management/Guide_for_integrating_SMC_into_development_planning/.
127 Assimilative capacity of the environment refers to the capacity of the environment for absorbing an incremental
load of pollutants while remaining below a threshold of unacceptable risk to human health and the environment.
52
resulting from the handling and processing of the waste material. UNDP projects develop waste
management plans where waste generation and handling may be significant.
8. If the generated waste is considered hazardous,128 reasonable alternatives for its environmentally
sound disposal will be adopted while adhering to the limitations applicable to its transboundary
movement.129 When hazardous waste disposal is conducted by third parties, UNDP will ensure the
use of contractors that are reputable and legitimate enterprises licensed by the relevant government
regulatory agencies and that chain of custody documentation to the final destination is obtained.
UNDP projects will ascertain if licensed disposal sites are being operated to acceptable standards; if
this is not the case, the project will minimize waste sent to such sites and consider alternative
disposal options.
9. Hazardous materials: UNDP projects will avoid or, when avoidance is not feasible, minimize and
control release and exposure to hazardous materials resulting from their production, transportation,
handling, storage and use. Where avoidance is not possible, the health risks—including potential
differentiated effects on men, women and children—of the potential use of hazardous materials will
be addressed in the social and environmental assessment. UNDP projects will consider the special
vulnerabilities faced by workers as well as low-income communities, peoples with disabilities,
indigenous peoples and minorities to hazardous materials. The project will develop hazardous
materials management and safety measures/plans per good international practice. 130 UNDP projects
will consider the use of less hazardous substitutes for such chemicals and materials and will avoid
supporting the manufacture, trade, and use of chemicals and hazardous materials subject to
international bans, restrictions or phase-outs due to their high toxicity to living organisms,
environmental persistence, potential for bioaccumulation, or potential for depletion of the ozone
layer, unless for acceptable purposes as defined by the conventions or protocols (e.g. the Montreal
Protocol, Minamata Convention, Basel Convention, Rotterdam Convention, Stockholm
Convention).131
10. Pesticide use and management: UNDP seeks to avoid use of pesticides in supported activities.
Integrated Pest Management (IPM) and Integrated Vector Management (IVM) approaches are to be
utilized that entail coordinated use of pest and environmental information along with available
pest/vector control methods, including cultural practices, biological, genetic and, as a last resort,
chemical means to prevent unacceptable levels of pest damage. If after having considered such
approaches recourse to pesticide use is deemed necessary, adopt safe, effective and
128 As defined by international conventions or local legislation. Where local legislation and international conventions
may diverge, the higher standard will apply.
129 Transboundary movement of hazardous materials should be consistent with national, regional and international
law, including the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their
Disposal, available at www.basel.int, and the London Convention on the Prevention of Marine Pollution by Dumping
of Wastes and Other Matter, available at www.imo.org. For further guidance, the Strategic Approach to International
Chemicals Management (SAICM) is a policy framework to foster the sound management of chemicals, available at
http://www.saicm.org/.
130 These include the principles of inherently safer design, life-cycle approach, and global approach. See Guidelines for
good practices in relation to the human rights obligations related to the environmentally sound management and
disposal of hazardous substances and wastes (2017), paras. 45-55.
131 Similar considerations will apply to certain World Health Organization (WHO) classes of pesticides.
53
environmentally sound pest management in accordance with the WHO/FAO International Code of
Conduct on Pesticide Management132 for the safe labelling, packaging, handling, storage, application
and disposal of pesticides. Hazards of pesticide use are to be carefully considered and the least toxic
pesticides selected that are known to be effective, have minimal effects on non-target species and
the environment, and minimize risks associated with development of resistance in pests and vectors.
A Pest Management Plan is developed where use of a significant volume of pesticides is foreseen to
demonstrate how IPM will be promoted to reduce reliance on pesticides and describes measures to
minimize risks of pesticide use.
11. UNDP projects do not supply or use pesticides that contain active ingredients that are banned or
restricted under applicable international treaties and agreements, or meet the criteria of
carcinogenicity, mutagenicity, or reproductive toxicity as set forth by relevant international
agencies.133 Users of any pesticides shall be trained to handle pesticides in a proper and responsible
manner and utilize appropriate application equipment and adequate personal protective equipment.
12. Resource efficiency: UNDP projects are designed and implemented in a manner that promotes the
efficient use and consumption of land/soils, energy, water, and other resources and material
inputs.134 Technically and financially feasible and cost-effective efficiency measures are
implemented.135 Such measures integrate the principles of cleaner production into product design
and production processes with the objective of conserving raw materials, energy, and water. For
resource intensive projects, benchmarking data are utilized to establish the relative level of
efficiency. Principles of green design, circular economy, sustainable infrastructure and sustainable
procurement are considered where feasible.
13. Water usage: For projects with high water demand (generally greater than 5,000 m3/day in non-arid
climates), in addition to applying the resource efficiency requirements of this Standard, measures
are adopted that avoid or reduce water usage so that the project’s water consumption does not
have significant adverse impacts on communities, other users or on the environment and
ecosystems (see Standard 1 on conserving ecosystems). Cumulative impacts of water use are
assessed and appropriate mitigation measures implemented, such as water demand management,
132 FAO/WHO, The International Code of Conduct on Pesticide Management (2014).

133 Including those that meet the criteria for Highly Hazardous Pesticides identified by WHO and FAO: (1) pesticide
formulations that meet the criteria of classes Ia or Ib of the WHO Recommended Classification of Pesticides by Hazard
(2019); (2) pesticide active ingredients and their formulations that meet the criteria of carcinogenicity, mutagenicity,
and reproductive toxicity Categories 1A and  1B of the Globally Harmonized System on Classification and Labelling
of Chemicals (GHS); (3) pesticide active ingredients listed by the Stockholm Convention in its Annexes A and B, and
those meeting all the criteria in paragraph 1 of annex D of the Convention; (4) pesticide active ingredients and
formulations listed by the Rotterdam Convention in its Annex III; (5) pesticides listed under the Montreal Protocol;
and (6) pesticide active ingredients and formulations that have shown a high incidence of severe or irreversible
adverse effects on human health or the environment.
134 Projects that may generate significant GHG emissions will also address the requirements of Standard 2: Climate
Change and Disaster Risks.

135 Technical feasibility means the proposed measures and actions can be implemented with commercially viable
skills, equipment and materials, taking into consideration prevailing local factors such as climate, geography,
demography, infrastructure, security, governance, capacity and operational reliability. Financial feasibility means the
ability to apply sufficient financial resources to install the measures and maintain them in operation in the long term.
Cost- effectiveness is determined according to the capital and operational costs and also the financial benefits of the
measure, considered over its lifespan.
54
efficiency measures, benchmarking usage, alternative supplies, resource contamination avoidance,
mitigation of impacts on downstream users, and water use offsets. Good international practice for
water conservation and efficiency is applied, including for irrigation activities and wastewater usage.
55
PART C: Social and Environmental Management System
Requirements
1. The objectives and requirements of the SES are considered throughout UNDP’s programming cycle.
Opportunities to strengthen social and environmental sustainability are identified at the earliest
stage of programme and project design,136 realized through implementation and tracked through
monitoring and evaluation. Social and environmental opportunities and risks are addressed in an
integrated manner, recognizing the interrelatedness of social and environmental issues.
2. UNDP’s social and environmental management system ensures the SES are applied through the
programming cycle and includes the following elements: (a) quality assurance and risk management;
(b) screening, assessment and management of social and environmental risks and impacts; (c)
stakeholder engagement and response mechanisms; (d) access to information; and (e) monitoring,
reporting and compliance.
Programming Quality Assurance and Risk Management

3. The SES are included in the “Principled” quality criteria within the Quality Assurance Framework for
UNDP Programming. Therefore, compliance with the SES are reviewed by UNDP throughout the
programme and project management cycle as part of the Programming Quality Assurance system.
4. Programme and project documents incorporate appropriate management and budgetary resources
to address associated social and environmental risks. For programmes that include a set of activities
which pose potentially significant adverse social and environmental risks, a Strategic Social and
Environmental Assessment (SESA) 137 may need to be integrated into the programme.
5. Programme and project level social and environmental risks will be tracked and monitored using
UNDP’s Risk Register and escalated where needed. Refer to UNDP’s ERM Policy.
Project-Level Screening, Assessment and Management of Social and

Environmental Risks and Impacts
Screening and Categorization
6. 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
136 UNDP “programming” comprises the planning, implementation, reporting and evaluation of development results
achieved with partners through UNDP support. A UNDP “Programme” is a plan for effectively contributing to outcome
level development results through UNDP’s “Project modalities:” development projects, the engagement facility and
development services.
137 SESA or Strategic Environmental Assessment (SEA) refers to a range of analytical and participatory approaches that
aim to integrate social and environmental considerations into policies, plans and programmes and evaluate the
interlinkages with economic and social considerations. For guidance see the OECD DAC guidelines “Applying Strategic
Environmental Assessment” (2006), available at http://www.oecd.org/environment/environment-
development/37353858.pdf.
56
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.
7. UNDP utilizes its Social and Environmental Screening Procedure (SESP) to identify potential social
and environmental risks and opportunities associated with the project.138 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).
8. 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.139
9. 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).
138 See UNDP Social and Environmental Screening Procedure, including guidance in applying the SESP, in the SES
Toolkit.
139 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); (g) Development Effectiveness projects and Institutional Effectiveness projects. These
projects are assumed to be Low Risk.
57
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.140 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.141 Such
assessments are required, for example, for projects that (i) may adversely impact critical
habitats, (ii) involve significant displacement and/or resettlement,142 (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. 143
10. 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.
140 UNDP’s Social and Environmental Screening Procedure contains an indicative list of potential “High Risk” projects.
141 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.
142 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.
143 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.
58
Assessment and Management
11. 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 risks and impacts.
12. 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. 144
13. Projects with potential adverse risks and impacts, including potential impacts which may undermine
the realization of human rights, require appropriately-scaled forms of assessment and management
measures/plans to avoid and minimize adverse impacts and to improve social and environmental
performance.
14. In addressing projects with potential adverse social and environmental impacts, UNDP requires that
key principles are applied, including a precautionary approach to addressing significant
environmental and social challenges; the mitigation hierarchy;145 the “polluter pays” principle
(whereby the cost of mitigation is borne by the polluter, where relevant); and adaptive management
techniques (whereby lessons are learned from past management actions and are proactively utilized
to predict and improve management as programming progresses).
15. The social and environmental assessment process is undertaken as early as possible, noting that in
some cases, it 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 assessment and adoption of
appropriate management measures and plans.
16. The social and environmental assessment process and development of appropriate management
measures includes and/or reflects the following criteria and measures:146
• Impacts on physical, biological, socioeconomic and cultural resources, including direct,

indirect, and cumulative impacts in the project’s area of influence,147 including those related
144 UNDP applies a range of tools to support social and environmental mainstreaming; these approaches and tools are
outlined in the SES Toolkit.
145The mitigation hierarchy is applied by (a) anticipating and avoiding risks and impacts; (b) where avoidance is not
possible, minimizing or reducing risks and impacts; (c) once risks and impacts have been minimized or reduced,
mitigating them; and (d) where residual adverse impacts remain, compensating for or offsetting them, where
technically and financially feasible.
146 See UNDP’s SESP and the SES Guidance Note on Social and Environmental Assessment and Management, available
in the SES Toolkit.

147 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 (see footnote 148), (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).
59
to associated facilities. 148 Potential transboundary and global concerns, including climate
pollutants and other emissions, as they relate to project activities. Strategic, sectoral or
regional environmental assessment where appropriate
• Relevant environmental and social risks and impacts associated with the SES Programming
Principles and Project-level Standards.
• Risks to human security through escalation of conflict, crime and violence, with appropriate
response measures. Take into account the risk of reprisals against individuals and
communities in relation to project activities.
• Applicable legal and institutional framework, including obligations under Applicable Law and
confirm that the project would not be supported if it contravenes international obligations.
• Adequate and recent social and environmental baseline data at an appropriate level of
detail, recognizing that variability over time (e.g. seasonal variations, movement of people)
may necessitate collection of additional baseline data.
• Feasibility of 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 appropriately-scaled management measures and
plans that are adequately budgeted and resourced. Develop an Environmental and Social
Management Plan (ESMP) or equivalent scaled to reflect the nature of the activity and its
potential impacts (e.g. from relatively simple plans for projects with few social and
environmental risks to comprehensive plans for High Risk activities with potentially
significant adverse risks and impacts). The ESMP 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. projects still under development, “upstream”
activities), develop an Environmental and Social Management Framework (ESMF) in place of
an ESMP.149
• Independent experts not directly affiliated with the implementing partner or UNDP must
conduct ESIAs or SESAs for High Risk projects, and where appropriate, Substantial and
Moderate Risk projects. UNDP will ensure that conflicts of interest are avoided. Independent
advisory panels are used during preparation and implementation of projects that are highly
risky or contentious or that involve serious and multi-dimensional social and/or
environmental concerns.
148 ‘Associated facilities’ means facilities or activities that are not funded as part of the project but are directly related
to the project, are carried out or planned to be carried out contemporaneously with the project, and are necessary
for the project to be viable and would not have been conducted, constructed or expanded if the project did not exist
(e.g. transmission lines to connect UNDP-supported solar energy facility).
149 UNDP’s SES Guidance Note on Social and Environmental Assessment and Management contains outlines and
guidance for preparing ESMPs and ESMFs (see the SES Toolkit).
60
• The needs of particular individuals and groups are assessed that 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, sex, age,
language, disability, sexual orientation, gender identity, religion, political or other opinion,
national or social or geographical origin, property, birth, health status 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 are applied to ensure
that the adverse impacts do not fall disproportionately on them and they are not
disadvantaged in sharing project benefits and opportunities.
• Potential adverse gender impacts related to project activities are identified and
differentiated measures are adopted to prevent gender-based discrimination. Potential risks
of gender-based violence and/or sexual exploitation and abuse of men, women, girls and
boys that may occur in connection with any of supported activities are considered.
• Where potential project-related adverse risks and impacts to persons with disabilities are
identified, differentiated measures are adopted that ensure non-discrimination and equality,
access, and opportunities for persons with disabilities to participate in and benefit from
supported activities on an equal basis with others.
• Early, iterative and meaningful stakeholder engagement and participation, predicated on
timely disclosure of relevant information. 150
• Potential environmental and social risks and impacts associated with project contractors and
primary suppliers are identified. Specific due diligence should be undertaken to ascertain the
performance and reputation of contractors and primary suppliers. Include covenants in legal
agreements with project contractors to comply with relevant SES requirements. Risks and
impacts associated with project primary suppliers should be addressed in a manner
proportionate to UNDP’s control or influence over them.
17. UNDP’s mandatory Social and Environmental Screening Procedure (SESP) provides detailed
requirements and guidance on screening and assessment.
Stakeholder Engagement and Response Mechanisms

18. UNDP ensures meaningful, effective and informed participation of stakeholders151 in the formulation
and implementation of UNDP programmes and projects. Stakeholder engagement is an ongoing
process that may involve, to varying degrees, the following elements: stakeholder analysis and
planning, disclosure and dissemination of information, consultation and meaningful participation,
dispute resolution and grievance redress, ongoing reporting to affected communities and
stakeholders, and inclusion of stakeholders in monitoring and evaluation. Stakeholder analysis and
engagement is conducted in a gender-responsive, culturally sensitive, non-discriminatory and
150 Draft social and environmental assessments, including any draft management plans, are to be disclosed whenever
possible before project appraisal formally begins. See the SES Guidance Note on Stakeholder Engagement, including
access to information guidance, in the SES Toolkit.
151 “Stakeholder” refers to individuals or groups or organizations representing them who (a) are affected by the
project and (b) may have an interest in the project.
61
inclusive manner, ensuring that potentially affected vulnerable and marginalized groups are
identified and provided opportunities to participate. 152 Measures are undertaken to ensure that
effective stakeholder engagement occurs where conditions for inclusive participation are
unfavourable.
19. Meaningful, effective and informed stakeholder engagement and participation is undertaken that
seeks to build and maintain over time a constructive relationship with stakeholders, with the
purpose of avoiding or mitigating any potential risks in a timely manner. The scale and frequency of
the engagement reflects the nature of the activity, the magnitude of potential risks and adverse
impacts, and concerns raised by affected communities.
20. Meaningful, effective and informed consultation processes in UNDP programmes and projects seeks
to identify priorities of stakeholders and provides them with opportunities to express their views at
all points in the programme and/or project decision-making process on matters that affect them and
allows the programme and/or project teams to consider and respond to them. Meaningful, effective
and informed consultation processes will be free of charge and possess the following characteristics:
• Free of external manipulation, interference, coercion, and intimidation.

• Gender and age-inclusive and responsive.
• Culturally appropriate and tailored to the language and accessibility preferences and
decision-making processes of each identified stakeholder group, including disadvantaged or
marginalized groups. Where applicable, includes differentiated measures to allow effective
participation of disadvantaged or vulnerable groups, including persons with disabilities.
• Based on prior and timely disclosure of accessible, understandable, relevant and adequate
information, including draft documents and plans.
• Initiated early in the programme and/or project design process, continued iteratively
throughout the programme and project life cycle, and adjusted as risks and impacts arise.
• Addresses social and environmental risks and adverse impacts, and the proposed measures
and actions to address these.
• Seeks to empower stakeholders, particularly marginalized groups, and enable the
incorporation of all relevant views of affected people and other stakeholders into decision-
making processes, such as project goals and design, mitigation measures, the sharing of
development benefits and opportunities, and implementation issues.
• Documented and reported in accessible form to participants, in particular the measures
taken to avoid or minimize risks to and adverse impacts on the project stakeholders.
• Consistent with the States’ duties and obligations under international law.
21. Stakeholder engagement plans are developed for all programmes and projects, scaled to reflect the
nature of the activity and its potential impacts (e.g. from relatively simple measures for
152Vulnerability may be compounded due to discrimination on prohibited grounds including race, ethnicity, sex, age,
language, disability, sexual orientation, gender identity, 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.
62
programmes/or projects with few if any social and environmental risks to comprehensive plans for
High Risk activities with potentially significant adverse risks and impacts).
22. For projects that may affect the rights and interests, lands, resources, territories and/or traditional
livelihoods of indigenous peoples, free, prior and informed consent (FPIC) will be ensured (see also
Standard 6: Indigenous Peoples).
23. Stakeholders who may be adversely affected by a UNDP project can communicate their concerns
about the social and environmental performance of the project through various entry points, scaled
appropriately to the nature of the activity and its potential risks and impacts. Potentially affected
stakeholders are informed about available entry points for submitting their concerns as part of the
stakeholder engagement process.
24. When necessary, an effective project-level grievance redress mechanism is made available. The
mandate and functions of a project-level grievance redress mechanism could be executed by the
Project Board153 or through an implementing partner’s existing grievance redress mechanisms or
procedures for addressing stakeholder concerns. Where needed, UNDP and implementing partners
will strengthen the implementing partners’ capacities to address project-related grievances.
25. In addition, UNDP’s Stakeholder Response Mechanism is available to project stakeholders as a

supplemental means of redress for concerns that have not been resolved through standard project
management procedures.154
26. Project-level grievance redress mechanisms and UNDP’s Stakeholder Response Mechanism address
concerns promptly through dialogue and engagement, using an understandable and transparent
process that is culturally appropriate, rights-compatible, and readily accessible to all stakeholders at
no cost and without retribution. They are gender- and age-inclusive and responsive and address
potential access barriers to women, the elderly, persons with disabilities, youth and other potentially
marginalized groups as appropriate to the project. These grievance mechanisms and Stakeholder
Response Mechanism do not impede access to judicial or administrative remedies as may be
relevant or applicable.
27. UNDP seeks to identify, reduce and address the risk of retaliation and reprisals against people who
may seek information on and participation in project activities, express concerns and/or access
project-level grievance redress processes/mechanisms or UNDPs Stakeholder Response Mechanism
or Social and Environmental Compliance Unit.
153 Noting that UNDP’s programme and Operations Policies and Procedures (POPP) states that the Project Board “…
arbitrates on any conflicts within the [P]roject or negotiates a solution to any problems between the [P]rojects and
external bodies.” Project Boards can play this role in both National Implementation and Direct Implementation
contexts.
154 See UNDP’s Stakeholder Response Mechanism: Overview and Guidance, available at
https://info.undp.org/sites/bpps/SES_Toolkit/SitePages/Response%20Mechanisms.aspx. The focal point for the

Stakeholder Response Mechanism will not bear direct project management responsibilities for the relevant project.
63
Access to Information
28. Consistent with UNDP’s Information Disclosure Policy,155 UNDP is committed to ensuring that
relevant information about UNDP programmes and projects is disclosed to help affected
communities and other stakeholders understand the opportunities, risks and impacts of the
proposed activities. UNDP ensures that information on a programmes and/or project’s purpose,
nature and scale, and duration, and its risks and potential impacts, is made available in a timely
manner, in an accessible place, and in a form and language understandable to affected persons and
other stakeholders, including the general public, so they can provide meaningful input into
programme and/or project design and implementation. Such disclosure considers any special needs
of groups that may be disproportionately affected, disadvantaged or groups with specific
information needs, such as due to disability, literacy, gender, mobility, language, and accessibility.
Such disclosure occurs early in the programme and/or project development process in a timeframe
that allows for meaningful effective consultation and on an ongoing basis. Among other disclosures
specified by UNDP’s policies and procedures, UNDP ensures that:
• A public record of stakeholder engagement throughout the project cycle is maintained and
disclosed. In cases where it may be necessary to safeguard the identities of stakeholders,
statistical information is recorded and disclosed.
• Stakeholder engagement plans are disclosed early in project development and summary
reports of stakeholder consultations are disclosed in an accessible manner.
• Social and environmental screening reports are disclosed with programme and project
documentation.
• Draft social and environmental assessments, including any draft management plans, 156 are
disclosed whenever possible before project appraisal formally begins and in all cases before
any activities are undertaken that may cause adverse social and environmental impacts.
• Final social and environmental assessments and associated management plans are disclosed
upon completion.
• Any required social and environmental monitoring reports are disclosed upon completion.
Monitoring, Reporting and Compliance

29. UNDP monitors and evaluates its overall performance against the objectives and requirements of
the Social and Environmental Standards. Monitoring is integrated with UNDP’s Quality Assurance
reporting system and Risk Register.
30. The extent of monitoring activities is commensurate with the programme’s or project’s risks and
impacts. UNDP requires that (i) the progress of implementation of mitigation/management plans
required by the SES is monitored, (ii) complaints/grievances are tracked and monitored; (iii) follow-
155See UNDP Information Disclosure Policy.

156Draft and final management plans may include for example Environmental and Social Management Plans,
Indigenous Peoples Plans, Resettlement Action Plans, Biodiversity Action Plans, Community Health and Safety Plans,
Emergency Response and Preparedness Plans, Hazardous Materials Management Plans, Gender Mainstreaming Plans,
Cultural Heritage Plans.
64
up on any identified corrective actions is tracked; and (iv) any required monitoring reports on SES
implementation are finalized and disclosed.
31. Monitoring and reporting should include data disaggregated by categories of potential beneficiary
and/or affected groups, and include specific gender indicators.
32. Where appropriate, monitoring shall engage and/or involve stakeholders and third parties, such as
affected communities, independent experts, or NGOs, to complement or verify monitoring activities.
The role of local governments should also be considered in monitoring activities.
33. Based on the monitoring results, any necessary corrective actions are undertaken. UNDP and
stakeholders are to be promptly notified of any incident or accident related to the project activities
that has had (or is likely to have) significant adverse impacts on people or the environment.
Immediate measures are undertaken to address and remedy the incident or accident, and to prevent
any recurrence.
34. Ongoing reporting to affected communities and individuals: For projects with potentially significant
risks and impacts, periodic reports are provided to the affected communities that describe progress
with implementation of project management and action plans and on issues that the consultation
process or grievance mechanism has identified as a concern. Any material changes or additions to
the mitigation measures or actions plans are communicated to affected communities. Reports are
provided at a frequency proportionate to the concerns of affected communities but not less than
annually.157
35. Monitoring activities involve direct participation of affected stakeholders, where possible, and in
particular for projects with potentially significant adverse risks and impacts.
36. Monitoring activities should:
• Serve the purpose of learning for future improvement and be flexible and adaptable.
• Balance quantitative and qualitative assessment.
• Use participatory tools that include target group narratives, especially women’s narratives,
which are crucial.
• Track and assess reversals and capture negative impacts of a project.
• Assess contribution to change instead of attribution-based frameworks.
• Be tailored to timeframes to ensure realistic measurement and reporting.
• Be supplemented by a review by an independent third party whenever possible.
37. Compliance review: UNDP’s compliance review process is intended to investigate alleged or
potential violations of UNDP’s social and environmental commitments, including the SES, in the
context of specific UNDP programmes or projects. Individuals or communities potentially affected by
UNDP programmes or projects may submit complaints to the Social and Environmental Compliance
Unit (SECU), an independent review body located in UNDP’s Office of Audit and Investigations (OAI).
157Without prejudice to any information sharing requirements under the Project-level Standards, including the free,
prior, and informed consent requirement of Standard 6: Indigenous Peoples.
65
SECU evaluates whether UNDP has complied with its obligations, whether any non-compliance has
caused harm to the complainant, and how UNDP can correct the non-compliance. UNDP’s
Administrator makes the final determination of measures necessary to correct non-compliance.158
158For more on UNDP’s Social and Environmental Compliance Unit, see

https://www.undp.org/accountability/audit/secu-srm/social-and-environmental-compliance-review.
66

UNDP Social and Environmental Standards - 2019 UPDATE

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Effective as of January 1, 2021

Alignment with the UN Sustainable Development Cooperation Framework country

Key changes include:

SES 2015 Sections/Issues Proposed Change

1 UNDP Strategic Plan, 2018-2021, available at http://strategicplan.undp.org/.

Principles and Project-level Standards.

6. When the implementing partner6 is a government institution (National Implementation Modality or

PART A: Programming Principles

Leave No One Behind

Gender Equality and Women’s Empowerment

Sustainability and Resilience

22 For further information, visit www.undp.org/secu-srm.

2. UNDP’s Project-level Standards relate to the following areas:

Standard 1: Biodiversity Conservation and Sustainable Natural Resource Management

2. UNDP is committed to integrating biodiversity and ecosystem management into development

biodiversity values that are being impacted by the project.

Biodiversity Offsets (2012), available at https://www.forest-trends.org/publications/standard-on-biodiversity-offsets/

equivalent national or regional listings.

See the CITES Appendices of species threatened by international trade.

19. Forests: project activities:

6. UNDP strengthens the participation of women in decision-making processes on climate adaptation,

74 See earlier footnote listing relevant conventions.

Further Provisions for Specific Types of Cultural Heritage

lead to physical or economic displacement.

9. Develop plans for displacement: When physical displacement or economic displacement is

supported activities to improve its value and characteristics.

5. Identification of indigenous peoples: There is no one universally accepted definition of indigenous

11. Documentation: Engagement processes with indigenous peoples require at a minimum

15. Special considerations:

not yet been determined.

essential for the core functions of the Project.

application of requirements herein would violate national law.

9. Non-discrimination and equal opportunity: Decisions relating to the employment or treatment of

Development Planning, available at http://www.undp.org/content/undp/en/home/librarypage/environment-

132 FAO/WHO, The International Code of Conduct on Pesticide Management (2014).

Change and Disaster Risks.

Programming Quality Assurance and Risk Management

Project-Level Screening, Assessment and Management of Social and

• Impacts on physical, biological, socioeconomic and cultural resources, including direct,

in the SES Toolkit.

Stakeholder Engagement and Response Mechanisms

project and (b) may have an interest in the project.

• Free of external manipulation, interference, coercion, and intimidation.

25. In addition, UNDP’s Stakeholder Response Mechanism is available to project stakeholders as a

https://info.undp.org/sites/bpps/SES_Toolkit/SitePages/Response%20Mechanisms.aspx. The focal point for the

Monitoring, Reporting and Compliance

155See UNDP Information Disclosure Policy.

36. Monitoring activities should:

158For more on UNDP’s Social and Environmental Compliance Unit, see

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